TEGL 08-22 (Complete PDF).pdf

ETA Advisory File Text

EMPLOYMENT AND TRAINING ADMINISTRATION ADVISORY SYSTEM U.S. DEPARTMENT OF LABOR Washington D.C. 20210 CLASSIFICATION Unemployment Insurance CORRESPONDENCE SYMBOL OUI DL DATE February 23 2023 RESCISSIONS None EXPIRATION DATE Continuing ADVISORY TO TRAINING AND EMPLOYMENT GUIDANCE LETTER NO. 08-22 STATE WORKFORCE AGENCIES FROM BR ENT PARTON Acting Assistant Secretary SUBJECT Fiscal Year FY 2023 Funding Allotments and Operating Guidance for Unemployment Insurance UI Reemployment Services and Eligibility Assessment RESEA Grants 1. Purpose . To provide guidelines for the FY 2023 UI RESEA grants and to invite State Workforce Agencies to submit a RESEA State Plan. 2.Action Requested. The U.S. Department of Labor s Department s Employment and Training Administration ETA requests state agency administrators to provide information contained in this Training and Employment Guidance Letter TEGL to appropriate staff. This information should be shared with staff working in the following program areas as well as other relevant staff the UI program workforce programs administered under the Workforce Innovation and Opportunity Act WIOA including the Wagner-Peyser Act- funded Employment Service and workforce information labor market information programs. States requesting funding to continue a current RESEA program or to implement a new RESEA program during FY 2023 must submit a RESEA State Plan. The submission must contain all required information described in this TEGL and be submitted via https www.grants.gov by April 10 2023. 3.Summary and Background. a.Summary This TEGL provides general operating guidance for the RESEA program for FY 2023 a definitions for RESEA-specific terms b funding details including the base-funding formula for state grants outcome payments and evaluation set-aside costs c program design including covered populations promoting program equity and a discussion about remote and virtual service delivery d program operations including the involvement of UI agency staff and performance reporting requirements e evidence- based interventions and evaluation requirements and f the RESEA State Plan submission process. To support t he ongoing implementation of the permanent RESEA program ETA has applied the following changes to required RESEA reports and the state plan template State Plan Template The document is now a Word document to allow states to describe and explain their program s narratives without restriction. Moreover redundant sections were removed and an evaluation chart was added to capture evidence -based funding requirements under Section 303 c 2 of the Social Security Act SSA See Attachment V of this TEGL for additional detail . Beginning in FY 2023 states must as required by Section 303 c 2 SSA dedicate a percentage of RESEA funding to evidence -based interventions with a high or moderate causal evidence rating that improve employment and earning s outcome s for RESEA participants. See Attachment V of this TEGL for additional detail . This TEGL is published concurrently as Unemployment Insurance Program Letter UIPL No. 02-23. The joint UIPL TEGL reflects the shared responsibilities across UI and workforce programs in conducting RESEA activities. The guidance documents are identical other than non-substantive changes to formatting. b. Background Since 2005 the Department and participating state UI agencies have leveraged the voluntary UI Reemployment and Eligibility Assessment REA program and its successor the voluntary RESEA program to address individual reemployment needs of unemployment compensation UC claimants and to prevent and detect UC improper payments . Because there is strong evidence that these types of reemployment programs and service delivery strategies are effective they remain a high priority for the Department .1 The purposes of the RESEA program are identified in Section 306 b SSA 1 To improve employment outcomes of UC recipients and reduce the average duration of UC receipt through employment 2 To strengthen program integrity and reduce improper UC payments th rough the detection and prevention of such payments to ineligible individuals 3 To promote the alignment with the broader vision of WIOA of increased program integration and service delivery for job seekers including UC claimants and 4 To establish reem ployment services and eligibility assessments as an entry point for UC claimants into other workforce system partner programs. 1 USDOL CLEAR Reemployment Synthesis November 2018 Abt Associates November 2019 Evaluation of Impacts of the Reemployment and Eligibility Assessment REA Program IMPAQ International March 2020 Low - Cost Randomized Control Trial Study of the Nevada Reemployment and Eligibility Assessment REA Program. https clear.dol.gov sites default files ResearchSynthesis Reemployment 0.pdf https www.dol.gov sites dolgov files OASP evaluation pdf REA 20Impact 20Study 20 - 20Final 20Report.pdf and https osf.io rja28 2 The Bipartisan Budget Act of 2018 Public Law 115 -123 BBA enacted on February 9 2018 included amendments to SSA creating a permanent authorization for the RESEA program. The RESEA provisions are contained in Section 30206 of the BBA enacting new Section 306 of the SSA. The permanent RESEA program includes phased implementation that spans several years as explained in UIPL No. 13 -21 Section 3.b. Major implementation components are summarized in Attachment V to this TEGL . The American Rescue Plan Act ARPA Public Law Pub. L. 117 -2 was enacted on March 11 2021 . Section 9032 ARPA creates a new Section 2118 of the C oronavirus Aid Relief and Economic Security CARES Act Pub. L. 116 -136 as amended and provides for a 2 000 000 000 appropriation for the Secretary of Labor to detect and prevent fraud to promote equitable access and to ensure timely payment of be nefits to eligible workers with respect to U I programs. Funds made available under this TEGL are provided in addition to the ARPA Fraud Prevention Grant 2021 made available with UIPL No. 22 -21 the UI Equity Grant 2021 made available with UIPL No. 23 -21 the UI Tiger Team Grant 2021 made available with UIPL No. 02 -22 and the ARPA Navigator Grant 2021 made available with UIPL No. 11 -22 . States are encouraged to leverage these combined resources. See Section 4.c.iii. of this TEGL for additional dis cussion about promoting program equity within the context of RESEA. 4. Guidance. a. Definitions . To reflect the increased opportunity for innovation provided by the permanently authorized RESEA program and to assist states in conducting RESEA planning and performance reporting several definitions were introduced in FY 2020 that will continue unch anged in FY 202 3. These definitions identify minimum levels of service delivery. States are strongly encouraged to integrate a wide range of additional services that can identify and respond to the specific needs of each UC claimant. Each definition includes information on how the item should be reported on the RESEA State Plan and the ETA 9128 report. See Attachment II for the RESEA State Plan template as well as further discussion in Section 4.f. of this TEGL . See Employment and Training ET Han dbook No. 401 5 th Edition for additional information on the ETA 9128 as well as discussion in Section 4.d.v.B. of this TEGL . i. Initial RESEA The term initial RESEA refers to the first meeting between an RESEA service provider and a UC claimant who re sponded to an official notification of selection and required participation in RESEA services. As described in Section 4.d.ii. of this TEGL every RESEA participant must be scheduled an initial RESEA. A. Minimum requirements for an initial RESEA. The initial RESEA is considered completed when at a minimum all of the following services have been provided 1 A UC eligibility review that is conducted on a one -on -one basis including review of work search activities if the work search requirement ha s not 3 been waived for the claimant and referral to adjudication if an issue or potential issue s is identified 2 Customized labor market and career information based on an assessment of the claimant s needs 3 Co -enrollment in the Wagner -Peyser Act -funded Em ployment Service program 4 Support to the extent needed for the claimant in the development of an individual reemployment plan tailored to the claimant s needs and 5 Referral and information provided for additional reemployment services and other American Job Center services resources and trainings as appropriate . The above list identifies the minimum requirements for an initial RESEA. States may add additional activities or services as part of their respective service delivery designs. This may include the addition of subsequent RESEA sessions see Section 4.a.ii. of this TEGL . Additional information and requirements on RESEA services are found in Sections 4.c. of this TEGL . B. Reporting instructions for RESEA State Plan. Report under Element 12a. Total Number of RESEAs Projected to be Completed see Attachment II of this TEGL . Th is element record s both the initial and subsequent completed RESEA sessions. C. Reporting instructio ns for ETA 9128. Report under Item 3 Number of RESEAs completed see Section 4.a.i.A. of this TEGL . ii. Subsequent RESEA States will determine the extent to which they require any subsequent RESEAs as part of their service delivery model in addition to referrals to reemployment services. The term subsequent RESEA refers to any follow -on RESEA meeting s. A. Minimum requiremen ts for a subsequent RESEA. The subsequent RESEA is considered completed when at a minimum all of the following services have been provided 1 A UC eligibility review that is conducted on a one -on -one basis including review of work search activities i f such activities have not been waived and referral to adjudication if an issue or potential issue s is identified and 2 Review of the claimant s activities to determine if additional assistance is needed to support the claimant s return to suitable work at the earliest 4 possible date. Additionally if the claimant is required to search for work as a condition of UC eligibility the state should pro vide any additional assistance necessary to support the claimant s compliance with the state s work search requirements. States have the opportunity for significant innovation in their service -delivery design . This includes the extent to which they require subsequent RESEA sessions how many subsequent RESEAs to provide and identifying the most effective method in making referrals to additional reemployment services. B. Reporting instructions for RESEA State Plan. Report und er Element 12a. Total Number of RESEAs Projected to be Completed see Attachment II of this TEGL . This element records both the initial and subsequent completed RESEA sessions. C. Reporting instructions for ETA 9128. The re is not a designated item on the ETA 9128 form to record subsequent RESEA sessions. States must report the scheduled completed and failure to report subsequent sessions in the comment section of the ETA 9128 report . iii. Reemployment Services States must develop processes to refer RES EA participants to reemployment services including those services provided using RESEA funding and those provided through other programs. In support of RESEA s goal of greater alignment with WIOA reemployment services include but are not limited to a ctivities identified as career services under Section 134 c 2 WIOA and further detailed at 20 CFR 678.430. Each state will identify the types and quantity of reemployment services provided but must ensure that its respective RESEA program design and the services provided supplement rather than supplant federal state and local public funds that would otherwise be expended on reemployment services in the absence of an RESEA program. Referrals to reemployment services resulting from RESEA are captu red on the ETA 9128 item s 4 -5 and in each state s RESEA state plan narrative describing service delivery. ETA will also collect additional information via the Workforce Integrated Performance System for claimants referred to the E mployment Service program and other WIOA partners by RESEA. A. Reporting instructions for RESEA State Plan. States must describe referral process in the appropriate narrative section s. B. Reporting instructions for ETA 9128. Report under item 4 Number reporting for reemploy ment services or training an d item 5 Number reporting for reemployment services. These items capture reemployment services resulting from RESEA. 5 iv. Training In the context of RESEA training includes training services identified under Section 134 c 3 WIOA and 20 CFR 680.200 as well as any other training program approved by the state s UI agency. It is expected that training resulting from an RESEA ref erral will align with the statutory purposes of RESEA by making use of available labor market information business services and other resources to directly link the training to a specific job or in -demand occupation. RESEA funds may not be used to suppo rt training activities. A. Reporting instructions for RESEA State Plan. Training is not reported on the RESEA State Plan. B. Reporting instructions for ETA 9128. Report the number of claimants that report to training as a result of RESEA referral under the following item 4 Number reporting for reemployment services or training and item 6 Number reporting for training . C. Other important items to note. Training activities resulting from RESEA referrals will be reported through the workforce program reporting structures . b. Funding . The following section describes i funding availability ii the base -funding formula for state grants iii allowable us es of these state grants iv removal of administrative cost limitations v evaluation set -aside funds vi a note on the average costs of Initial RESEA s and Subsequent RESEA s and vii the period of performance for these state grants. Allowable costs may not exceed the state s formula allocation as provided in Attachment I . The awards presented in this TEGL are subject to the availability of federal funds. The amounts identified in Attachment I are based on the appropriated FY 202 3 funding lev el of 375 000 000. The funding level is distributed across three funding streams eighty -nine 89 percent 333 750 000 awarded to states via the base -funding formula see Section 4.b.i. of this TEGL ten 10 percent 37 500 000 awarded to states for outcome payments see Section 306 f 2 SSA and one 1 percent 3 75 0 000 reserved by the Department to conduct research and provide technical assistance see Section 306 f 3 SSA . Grant recipients may be required to revis e budget documents prior to award execution to account for discrepancies among estimated funding availability funding requests and actual award amounts. i. Base -Funding Formula for State Grants The Department began in FY 2021 to determine each state s maximum RESEA base award using a formula allocation based on the state s Insured Unemployment Rate IUR and the size of its civilian 6 labor force. The final RESEA allocation formula was published in the Federal Register on August 8 2019 84 Fed. Reg . 39 018 . Attachment I provides state -level formula allocations of RESEA base funding. Grant recipients may be required to revise budget documents prior to award execution to account for discrepancies among estimated funding availability funding requests and actual award amounts. The formula allocation includes provisions intended to stabilize funding from year to year and to incentivize the timely expenditure of RESEA funds. These include a hold harmless provision minim um funding clause and carry -over threshold. A. Hold harmless. In FY 202 3 each state will receive no less than an amount equal to at least 9 5 percent of its FY 202 2 allotment. B. Minimum funding. No state will receive an amount equal to less than 0.28 percent of the total available funding for FY 2021 RESEA s base -funding level or 498 400. C. Carry -over threshold. Subject to a temporary modification for FY 2023 explained below a state may carr y over from its previous year s grant award up to 60 percent of the state s previous year grant award. Amounts in excess of 60 percent would be reduced from the state s subsequent allocation. D. Modifications to FY 202 3 formula allocation. The Department may change the final allocation methodology in accordance with Section 306 g SSA upon providing a 90 -day notification to Congress before the change may take effect. As described in Section 6 of TEGL No. 13 -21 the Department implemented such a change to suspend the carry -over threshold for FY 2021 funds. This change was implemented to reflect program disruptions including temporary program suspensions resulting from COVID -19. For FY 2023 the Department intends to continue the modif ied implementation of the 30 -percent carry -over threshold. In FY 2022 the Department suspend ed the 30 -percent carry -over limit and proposed to phase in the requirement for FY 2023 grants at the modified level of 60 percent. For all grant awards after FY 202 3 the 30 -percent limit will be applied. This change was proposed in response to the COVID -19 pandemic s continued impact on RESEA operations. Congress was notified of this change on October 25 2021 it took effect on January 23 2022. Formula alloc ations provided in Attachment I do not include adjustments for the 60 percent carry - over threshold . ETA will provide revised state -level allocations that reflect application of the 60 percent carry -over threshold based on December 2022 financial reports provided in February 2023 . States must account for carry - over threshold as part of their RESEA State Plan activities. 7 Additionally the Department modif ied the RESEA base funding formula methodology to allow for subsequent base funding formula allocation s when there are changes in the available base funding after the initial formula allocation. Congress w as notified of this change on September 6 2022 and this permanent change took effect on December 6 202 2. The Department appl ied this change to allocate remaining FY 2022 base -funds that resulted from several states requesting partial FY 2022 funding. ii. RESEA Outcome Payments. The Department will award outcome payments to states participating in the RESEA program that in the previous fiscal year met or exceeded certain outcome goals. These outcome payments will increase the amount otherwise awarded to a state in its base -funding allocation in accordance with Section 306 f 2 SSA. See 86 Fed. Reg. 57 856 published on October 19 2021 for ad ditional details. Moreover the FY 2022 outcome payments timeline was extended by appropriations acts and ETA will award FY 2022 outcome payments in March 2023. iii. Allowable Use of Funds When a state applies for RESEA funding the state is agreeing to integrate the RESEA program with other workforce partner programs including services funded under WIOA and the Wagner -Peyser Act and to co -enroll all RESEA participants into the Employme nt Service program. RESEA funds must be used to support states in providing initial RESEAs subsequent RESEAs where determined appropriate by the state and reemployment services where determined appropriate by the state . These funds must supplement the level of federal state and local public funds that are already expended to provide reemployment services and eligibility assessments to individuals receiving UC. Thus only reemployment or other service costs that are a direct result of a claimant s participation in the RESEA program may be reimbursed using RESEA funds. RESEA funds may not supplant UI grant funds devoted to other state UI program enforcement or program eligibility review activities. This includes federal state or loca l funds devoted to providing reemployment services to UC claimants. Moreover RESEA funds may not be used to pay for training services or to purchase or pay for licenses for an assessment tool e.g. the Transferable Occupation Relationship Quotient . Funding for RESEA state staff may not be obligated for use at a future date and the obligation may only occur at the time the staff performs services on the project. iv. Administrative Cost Limitations Beginning in FY 2017 ETA limited RESEA administrative costs to a specific percentage of each state s annual grant award. These limits were intended to align RESEA with other similarly -sized discretionary grants. The Department removed such limitations beginning in FY 2022. 8 The removal of this limit reflects changes to the RESEA program including among others its permanent authorization and potential growth in future years. ETA intends for this change to in centivize states to grow their RESEA program . Growing the program may include increasing permanent RESEA staffing and supporting other resources necessary for expanding RESEA s capacity to serve a larger percentage of UC claimants. ETA will continue to r eview RESEA state plan submissions and perform routine monitoring to ensure administrative costs are reasonable and limited to supporting RESEA and state spending is aligned with the approved FY 202 3 RESEA state plans. v. Evaluation Set -Aside Funds Beginning in FY 2023 states must link a percentage of their RESEA funding to evidence -based components with a high or moderate causal rating that show a demonstrated capacity to improve employment and earnings outcomes for program participants. This perce ntage will incrementally increase through FY 2026. States must engage now in conducting such evaluations to build the necessary evidence t hat support successful RESEA program s in the future. Section 306 d SSA allows states to use up to 10 percent of t heir RESEA grant funds including the base grant and outcome payment amount to conduct or commission evaluations of interventions and service delivery strategies used in carrying out the ir RESEA program s. If a state finds that the evaluation funding from a single year is insufficient to conduct a rigorous evaluation needed to build evidence - based strategies the state is encouraged to explore multi -year funding strategies and or collaborate and pool its funds with other states . Additional de tail is provided in Section 4.e. of this TEGL . The evaluation costs must be reported quarterly in the comment section of the ETA -9130 Financial Report which is available at htt ps www.dol.gov agencies eta grants management reporting . vi. Average Cost of Initial RESEA s and Subsequent RESEA s States have the opportunity to innovate in designing their RESEA programs and the types of service delivery strategies and interventions permitted see Section 4.e.ii of this TEGL regarding evaluation of such activities . Previous funding limits regarding the average cost of each Initial RESEA and Subsequen t RESEA were removed in FY 2020. However states must continue to report information about these costs in the RESEA State Plan for program management and technical assistance purposes. A. Reporting instructions for RESEA State Plan. Report under Element 9 Completed Initial RESEA Staff ing and Time and 10 Completed Subsequent RESEA Staffing and Time. B. Reporting instructions for ETA 9128. Average costs of Initial and Subsequent RESEAs a re not reported on the ETA 9128. vii. Period of Performance for State Grants For operational purposes states are strongly encouraged to continue designing and operating their RESEA programs based on a calendar year schedule. However the period of performance for FY 202 3 9 RESEA funds will be January 1 202 3 through September 3 0 202 4. FY 202 3 funding must be obligated by September 30 2024 and liquidated by December 31 202 4. In the event that a state needs additional time to obligate or liquidate their funds the state must seek approval to modify its grant request. Sectio n 4.f.iv. of this TEGL provides instructions for requesting grant modifications. c. Program Design . The following section describes i UC claimant populations that are covered by the RESEA program ii the intersection of the RESEA and Worker Profiling and Reemployment Services WPRS programs iii promoting program equity iv required RESEA services v remote service delivery and virtual resources v i integration with WIOA Wagner -Peyser and other workforce -funded services and vi i additional resources to support program implementation. i. Covered Populations States are strongly encouraged to increase the percentage of UC claimants that are selected for RESEA. Section 306 a SSA requires RESEA - funded activities to be targeted to claimants determined most likely to exhaust UC in accordance with Section 303 j SSA. Refer to Section 4.c.ii. of this TEGL for additional details on the population of UC claimants identified in accordance with Section 303 j SSA. Since FY 2019 the Department s appropriation acts have contained a provision providing states discretion in identifying additional claimant populations among recipients of regular UC thus removing the requirement that states target only those UC claimant s determined most likely to exhaust UC benefits under Section 303 j SSA. The Department anticipate s that this flexibility will be continued during FY 202 3. Historically states excluded from RESEA selection UC claimants who have a definite return -to-work date who secure work only through a union hiring hall or who are in approved training . These blanket exclusions were based on the assumption that participation in the RESEA program would not reduce the duration of UC recipiency for such individuals. Beginning in FY 2020 and continuing into FY 202 3 states may consider expand ing RESEA services to these populations if doing so aligns with the four purposes of the RESEA program identified in Section 3.b. of this TEGL and applicable state laws. If a state later identifies capacity to expand RESEA services beyond the target population identified in the approved RESEA S tate Plan process the state may request a modification to its program to include additional populations o f recipients of regular U C. Section 4.f.i v. of this TEGL provides instructions for requesting grant modifications. 2 2 Individuals receiving extended benefits or payments under temporary federal U I programs are not eligible for RESEA services. As described in Section 7.b. of UIPL No. 13 -21 also issued as TEGL No. 12 -20 states should continue to leverage partnerships across available workforce partners to ensure other reemployment assistance is made available to recipients and exhaustees of these temporary programs. 10 ii. Intersection of the RESEA and Worker Profiling and Reemployment Services WPRS Programs Section 303 j SSA requires that states evaluate all new UC claimants to iden tify those who are most likely to exhaust UC refer such individuals to reemployment services and collect follow -up information related to employment outcomes for these individ uals this is known as the WPRS program. See UIPL No. 41 -94 for additional details on WPRS program requirements. A state that is selecting UC claimants identified as most likely to exhaust UC in accordance with Section 303 j SSA for participation in the RESEA program will have met the WPRS requirements and does not need to provide a separate WPRS program. Additionally a s tate that include s these UC claimants identified in accordance with Section 303 j SSA along with other UC claimant populations will also have met the WPRS requirements if both of the following conditions are satisfied 1 claimants selected in accordance with Section 303 j SSA are provided priority over the other populations and 2 RESEA services are provided statewide . States that select UC claimants for participation in the RESEA program in accordance with Section 303 j SSA but do not provide RESEA statewide must cont inue to provide a WPRS program in areas not served by RESEA. Additionally states that do not serve individuals identified as most likely to exhaust in accordance with Section 303 j SSA as part of their RESEA program must operate a separate WPRS progra m to serve these claimants. States operating separate WPRS programs under Section 303 j SSA may not use funds appropriated for RESEA activities to administer a WPRS program . A. Resources to strengthen state data analytics in identifying UC claimants who are most likely to exhaust UC. For states that use the WPRS program as their approach to selecting RESEA claimants having a strong data analytics model to identify claimants fil ing new UC claim s who are most likely to exhaust UC from those new claim s is important so that states can maximize their resources in serving those who would most likely benefit from this investment . States seeking assist ance with this data analytics mode l may reference Training and Employment Notice TEN No. 37 -15 or contact OUI.RESEA dol.gov . B. Reporting instructions for RESEA State Plan. Element 17 Selection of RESEA Participants see Attachment II of this TEGL collects information about the profiling models. iii. Promoting Program Equity. As states consider RESEA program design equitable access to UC must be at the forefront of the decision-making process in line with Executive Order 13985 Advancing Racial Equity and Support for Underserved Communities Through the Federal Government issued in January 2021 and UIPL Nos. 02-16 and 02-16 Change 1. At the most fundamental level equity within the UI program means the provision of UC to eligible workers including workers who belong to historically underserved communities in a timely and fair manner with an application process that is readily accessible to all workers. These historically 11 underserved communities include but are not limited to workers who are low paid Black Hispanic Latinx American Indians Alaska Native Asian Americans Native Hawaiians Pacific Islanders Indigenous persons other persons of color individuals with disabilities members of religious minorities LGBTQI persons individuals with limited English proficiency women formerly incarcerated workers and individuals living in rural areas. As stat ed in Section 8.c. 1 of UIPL No. 41 -94 when identifying UC claimants that are most likely to exhaust UC states must not produce results that discriminate in violation of any federal or state law or which otherwise unfairly favor some claimants over thos e similarly situated with respect to their need for reemployment services. The Department has advised states that they may not use the following characteristics in their selection process age race ethnic group sex color national origin disability religion political affiliation or belief and citizenship. Within the context of the RESEA program ensuring equitable access includes but is not limited to 1 providing clear and accessible alternatives to digital tools 2 providing reasonable ac commodations modifications and auxiliary aids and services where appropriate and ensuring that communications with persons with disabilities are as effective as communications with others 3 ensuring all communications are linguistically and cultural ly appropriate and that limited English -proficiency individuals are effectively informed of and able to participate in the RESEA program and 4 ensuring that data is available to understand the impact if any of RESEA service delivery on the equitable access to UC for all eligible individuals. Some questions that states may consider in this effort include What logistical supports are needed to best serve individuals selected for RESEA participation in rural and urban communities Are there technology concerns that impact access Has the state regularly updated its selection process to reflect current economic conditions and other factors Are notifications and other information about RESEA and other reemployment services clear ac cessible translated into appropriate languages to effectively serve RESEA participants and widely distributed iv. Required RESEA Services Two of the primary goals for the RESEA program are to reduce duration of UC receipt through improved employment out comes and ensure that individuals claiming UC continue to meet eligibility requirements. To support these goals every RESEA participant must be scheduled for an initial RESEA. States may choose to also include a combination of subsequent RESEAs and reem ployment services. Initial RESEA subsequent RESEA and reemployment services are defined in Section 4.a. of this TEGL . v. Remote Service Delivery and Virtual Resources Although the Department encourages in -person services where safety and other circumstances allow as 12 described in Section 7.e. of UIPL No. 13 -21 states may continue to conduct RESEA remotely including the initial RESEA and subsequent RESEA using pers on -to- person technologies such as Skype Zoom FaceTime or other similar applications . The level and timeliness of these remote services must be comparable to the assistance staff would have provided in-person. In instances where in -person or person -to-person technologies are not available states may also continue to provide RESEA services via telephone. States are also encouraged to leverage virtual service delivery tools that allow portions of the RESEA sessions to be automated and accessed through se lf-service methods. Examples of virtual service tools include pre -recorded orientations to American Job Center services as well as online registration and assessment tools that assist a UC claimant in preparing for the initial RESEA. These virtual servi ce delivery tools should be designed to increase RESEA program efficiencies including to 1 enhance the participants experience with RESEA services 2 complement the resources and services provided during the initial RESEA or subsequent RESEA and 3 significantly expand the number of UC claimants who can be served under the RESEA program. States are invited to share promising practices related to remote and virtual RESEA services by contacting OUI.RESEA dol.g ov . vi. Integration with WIOA Employment Service and Other W orkforce -Funded Service s One of the statutory goals of the RESEA program is to serve as an entry point for individuals receiving UC into other workforce system partner programs. State RESEA programs must support this goal by ensuring that the RESEA program is integrated into the workforce system broadly to enable RESEA participants access to the full range of services offered through the state s one -stop delivery system. States are particularly encouraged to consider how RESEA can be integrated with other programs serving dislocated workers including but not limited to the Employ ment Service program co -enrollment is required with the Employment Service program as described in Section 4. d.iv. of this TEGL Trade Adjustment Assistance Dislocated Worker Grants Registered Apprenticeship Jobs for Veterans State Grants and the WIOA Adult and Dislocated Worker programs. vii. Additional Resources to Support Program Implementation States may leverage the follo wing tools as they assess their current program design and identify possible enhancements . A. Quick Start Action Plan QSAP . This tool reviews the current status of a state s RESEA operations and strategic planning. Each section of t he guide is an indicator that help s states self -assess where th eir RESEA implementation is in relation to an integrated workforce system. Therefore s tates are encouraged to use this guide to strengthen their RESEA programs and in meetin g the program goals. 13 The QSAP ca n be found on the WorkforceGPS website at https rc.workforcegps.org resources 2021 05 28 13 29 RESEA QSAP . B. Existing remote and virtual se rvices. Internet -based virtual tools help optimize customer access to services and resources. Additionally providing customers instant access and self -services supports increased program efficiency by reducing the number of calls emails or in -person visits. The following is a link to a WorkforceGPS webpage on Service Delivery Virtual Tools https www.workforcegps.org resources 2020 01 16 13 21 service -de livery - virtual -tools . C. CLEAR s RESEA Topic Area Tab . The Department s Clearinghouse for Labor Evaluation and Research CLEAR finds summarizes and assigns causal evidence ratings to studies in the reemployment evidence base as well as to RESEA interventions. This public resource is updated periodically as new evidence is available. CLEAR s RESEA Topic Area Tab can be found here https clear.dol.gov reemployment -services -and -eligibility -assessments - resea d. Program Operations . The following section describes i the required engagement of UI staff in RESEA program operations ii claimant participation in RESEA activities and rescheduling iii the communication feedback loop with UI staff for adjudication activities iv the requirement that claimants be co -enrolled in the Employment Service program and v state performance re porting. i. Required Engagement of UI Staff UI staff must be engaged in the administration of the RESEA program. This includes but is not limited to Participating in the planning administration and oversight of the RESEA program Providing all appr opriate staff training on UC eligibility requirements Ensuring accurate data are provided in the RESEA -requir ed reports and Conducting eligibility determinations and redeterminations resulting from issues identified through RESEA participation . ii. Claimant Participation in RESEA Activities and Rescheduling Once a state notifies claimants of their selection to participate in the RESEA program participation is a mandatory condition of UC eligibility. This includes 1 the initial RESEA 2 any s ubsequent RESEAs and 3 any reemployment services to which claimants are referred. A claimant who contacts the appropriate agency before the RESEA appointment and requests to change the scheduled RESEA date or time for good reason such as scheduled jo b interviews should be accommodated within reason. Many states are 14 developing or have already implemented self -scheduling of RESEA sessions. The Department strongly encourages states to use this option due to its efficiency and proven ability to increas e program participation and decrease no -show rates. States utilizing this strategy need to develop policies that prevent excessive rescheduling that substantially delays or allows a claimant to circumvent participation in RESEA activities. Additionally as discussed in Section 4.c.i v. of this TEGL and to the extent possible states should assess if scheduling challenges such as excessive rescheduling are related to issues concerning equitable access and outcomes . To mitigate instances of excessive rescheduling some state UC laws provide that UC be denied for failure to rep ort as directed until the individual actually reports. The Department issued UIPL No. 01 -16 to remind states of the requirements of federal law pertaining to protecting individual rights in state procedures. As discussed in Section 4.h of UIPL No. 01 -16 If an individual fails to report as required the state may apply subject to any applicable procedural protections for individuals its law s provisions on ineligibility for UC due to failure to report until the individual complies with the reporting re quirement. States are advised that an individual may not be found ineligible for UC for failure to report for any week in which no services were available. iii. UC Feedback Loop and Adjudication RESEA staff must refer any f ailure s to report or participate in any aspect of the RESEA program to the UI agency for adjudication under the applicable state law. This feedback loop should also be used to report potential eligibility issues. iv. Required Co -Enrollment in E mployment Service Program The Department requires that RESEA participants be co -enrolled in the Wagner -Peyser Act -funded Employment Service program as part of the initial RESEA. This is to promote the integrated service delivery described in Section 4.c.v i. of this TEGL . This practice also supports capturing RESEA program outcome information through the Workforce Integrated Performance System WIPS to streamline WIOA and Wagner -Peyser Act reporting. As part of this enrollment each RESEA participant must be appropriately identified in Employment Service case management and performance reporting systems as referred by RESEA. Given the structure of the state s workforce system co - enrollment in WIOA Dislocated Worker or other available programs may also be appropriate but is not a requirement of this grant. v. Performance Reporting There are three mechanisms under which RESEA performance will be monitored. This includes RESEA performance reporting measures obtained from the WIPS the state s submission of their quarterly ETA 9128 and ETA 9129 reports and the state s Quarterly Narrative Progress Report ETA 9178 . A. RESEA Performance Reporting. To support employment goals for UC claimants and the vision of WIOA for a set of primary indicators of 15 performance to be used across workforce development programs the following measures will assess state performance relate d to employment and earnings 1 Reemployment rate in the 2 nd quarter after program exit quarter for RESEA program participants 2 Median earnings in the 2 nd quarter after program exit quarter for RESEA participants and 3 Reemployment rate for all U C-eligible participants in the 2 nd quarter after program exit quarter. The data to support these performance measures will be derived from the WIPS . There is no additional reporting burden to states. See UIPL No. 07 -21 for additional details. B. ETA 9128 and ETA 9129. Performance reporting for FY 202 3 consists of the ETA 9128 Reemployment and Eligibility Assessment Workload and ETA 9129 Reemployment and Eligibility Assessments Outcomes Office of Management and Budget OMB Control No. 1205 -04 56 expiration date 12 31 2025 . All RESEA -related performance reports are due on the 20th day of the second month following the end of the reporting quarter. A state UI staff member must review these reports for accuracy e ach calendar quarter and prior to submission in addition to being reviewed by the RESEA program lead if a different staff member . Additional information about these reports is provided in Employment and Training ET Handbook No. 401 5th Edition. The Department is currently soliciting comments concerning a proposed revision to these reports see notice published in the Federal Regi ster on November 23 2021 86 Fed. Reg. 66 593 . C. Quarterly Narrative Progress Report ETA 9178 . States must complete the Quarterly Narrative Progress Report ETA 9178 OMB Control No. 1205 - 0517 expiration date 7 31 2024. States must submit the ETA 91 78 to their ETA Regional Office no later than 45 days after the end of each reporting quarter. Additional information about the ETA 9178 is provided in UIPL No. 05 -19. e. Evidence -Based Interventions and Strategies and Evaluation Requirements . Interventions and service delivery strategies funded by RESEA grant funds must demonstrate the program s ability to reduce the average number of weeks participants receive UC by improving employment outcomes as set out in Section 306 c 1 SSA. Beginnin g in FY 2023 a growing percentage of RESEA funds must be used to support only those interventions and service delivery strategies with a high or moderate causal evidence rating. 16 This section discusses i a tiered evidence approach ii expectat ions for conducting evaluations in FY 202 3 and future years iii opportunities for states to partner on impact evaluations iv leveraging evidence across states and v additional technical assistance available to states. i. Tiered Evidence Approach The phrase tiered evidence refers to a policy tool that tie s funding to strategies with evidence to encourage the use of interventions or service delivery strategies that have strong evidence of success and to test promising new intervention s and service -delivery strategies. Section 306 c SSA includes this tiered evidence approach for the RESEA. The goal s of using tiered evidence are to ensure that each state 1 employs RESEA interventions and service delivery strategies that based o n rigorous evaluations are known to reduce UC duration through improved employment outcomes for participants and 2 evaluates its RESEA intervention s and service delivery strateg ies to add to the evidence base and advance continuous improvement of RESEA services. ETA provided preliminary guidance regarding the evidence -based strategies and evaluation provisions in UIPL No. 07 -19. Building on this UIPL No. 01 -20 also issued as TEGL No. 06 -19 provide d further information on the RESEA evidence - based requirements including 3 a description of how the Department rates a study s evidence quality through its CLEAR the standards for rating RESEA intervention effectiveness and relevant interventions that currently meet those standards RESEA components that are in need of expanded evidence and potential evaluation approaches and strategies for carrying out evaluations. These documents also ide ntify resources on existing evidence and can help states initiate rigorous high -quality evaluations. 4 ii. Evaluation and Evidence -Base Expectations for FYs 202 3-2027 States must align their FY 202 3 RESEA State Plans and program design with the evaluation and evidence -based requirements and guidance identified in UIPL No. 01 -20. A. Adopting a culture of evidence . The successful implementation of ev idence -based requirements necessitates that all states operating RESEA 3 Ad ditional approaches for developing RESEA evidence is described in DOL s report Options for Building Evidence on RESEA Program which was published in April 2022 and available at https www.dol.gov sites dolgov files OASP evaluation pdf resea Options for B uilding Evidence on RESEA Pr ograms final 508c.pdf 4 Information about the current state of RESEA evidence is included in DOL s Reemployment Services and Eligibility Assessments RESEA Evidence Building and implementation Study published in June 2022 and available at https www.dol.gov agencies oasp evaluation completedstudies RESEA -Evidence -Building -Implementation - Study 17 programs adopt and continually seek to foster a culture of evidence . In place s with a well -established culture of evidence learning is value d and prioritized and evidence is recognized as an essential tool for supporting continuous learning and program improvement . Building evidence is also perceived as an oppor tunity to demonstrate growth or progress rather than a compliance requirement. Evidence is developed using multiple sources such as program evaluations program monitoring and routine analyses of administra tive and other performance data. With practical application program managers within a culture of evidence make decisions informed by strong evidence consider suggestive evidence and continually build evidence to fill gaps . A culture of evidence is best supported when evidence -building activities such as evaluation are integrated during the early stages of program design and continued throughout program operations as part of a continuous cycle of learning and improvement. A culture of e vidence depend s on a dynamic growing and changing evidence base rather a single study . The use of a dynamic evidence base may be especially true within the RESEA program due to the need to frequently modify services in response to changing economic conditions new state UI requirements and innovations in service -delivery and technology . As part of the RESEA evidence culture the Department expects states to continue with their continuous learning cycle s use current evaluations to inform an d guide future evidence building as state evaluations will add to the national portfolio of RESEA evidence. Additionally states can apply studies from the entire RESEA evidence base including impact evaluations completed in other states to meet RESEA evidence requirements. The use of evidence across states is in tended to supplement rather than replace state -specific evidence and states are still expected to conduct their own evidence -building and in particular their own impact studies as part of RESEA participation . B. Existing evidence. The Department currently allow s states to meet the requirements of Section 306 c SSA by applying evidence that demonstrates the effectiveness of three intervention categorie s the REA program Job Search Assistance JSA Services and Profiling interventions .5 These categories are discussed in more detail in Section 9 of UIPL No. 01 -20. The REA program was replaced by the RESEA program in FY 2015 see UIPL No. 13 -15 . Permission for states to rely on the REA interventi on category and the related causal evidence that supports its high effectiveness rating to meet RESEA requirements is temporary and will be phased out and replaced by new more precise intervention categories as more RESEA evidence becomes available. This phasing -out reflects structural differences 5 Currently these are the three interventions CLEAR has found to have achieved high or moderate inter vention effectiveness ratings. In recent state plans most states have used the REA intervention and its evidence to show their RESEA programs are evidence -based. Additional information available at https clear.dol.gov reemployment - services -and -eligibility -assessments -resea 18 between the REA and RESEA programs and the inherently evolving nature of an evidence -based culture where programs continually adapt based on available evidence to improve program results. The timeframe for the final phasing -out of the REA intervention category will be announced in future guidance. C. Building future evidence to support whole program service delivery and components of service delivery. RESEA program components that were not evaluated previous impact studies should be under evaluation to develop the evidence base necessary to satisfy future RESEA tiered -evidence program requirements. To meet future evidence -based requirements all states are expected to continue to conduct the RESEA evaluations that were implemented during FY 2021. 6 To date the majority of states have reported that they are pursuing whole program evaluations of RESEA. The Department recognizes the value of whole program evaluations and supports states ongoing efforts. Additionally causal evidence on RESEA program components will be necessary to meet future RESEA requirements. Moving forward the Department strongly encourages states to develop new or to modify current evaluations to build ca usal evidence on specific RESEA components as well . D. Evidence -Based F unding requirements. Beginning in FY 2023 states must devote at least 25 percent of their RESEA funds to interventions with a high or moderate causal evidence rating that shows demonstrated capacity to improve employment and earnings outcomes for program participants. The minimum funding level is 25 percent during FY 2023 and FY 2024 40 percent during FY 2025 and 2026 and 50 percent after FY 2026. The chart below provides a n implementation timetable for the available RESEA evidence base. Attachment II of this TEGL Elements of an Unemployment Insurance UI Reemployment Services and Eligibility Assessment RESEA Grant State Plan has been revised to include a new Element 22i . that will be used to capture information responding to this new requi rement. Implementation Timetable for RESEA Evidence -base by Fiscal Year Fiscal Years Required Percentage of RESEA Funds Dedicated to Program Components with a High or Moderate Causal Evidence Rating FY 2022 None FYs 2023 -2024 25 of RESEA award 6 Currently the Department uses a vote -counting strategy to rate RESEA intervention effectiveness. Crit eria for RESEA intervention effectiveness ratings are described in UIPL No. 01 -20 also published as TEGL No. 06 -19 and CLEAR s technical guidelines for operationalizing rating RESEA intervention effectiveness may be found here https clear.dol.gov sites default files CLEAR 20guidelines 20on 20effectiveness 20of 20reemployment 20 interventions final Jan 202021.docx.pdf . 19 FYs 2025 -2026 40 of RESEA award After FY 2026 50 of RESEA award iii. State Partnering on Impact Evaluations As part of evaluation planning and implementation states are strongly encouraged to explore potential evaluation partnerships with other states with a goal of conducting a single evaluation that would answer research questions and build evidence on RES EA programs for all involved states. These partnerships could allow for increased efficiencies pooling of resources and larger sample sizes necessary to collect evidence at a program component level. For assistance locating potential partner states pl ease contact DOL s RESEA Evaluation Technical Assistance Help Line at RESEA abtassoc.com . iv. Evaluation Technical Assistance The Department is committed to the ongoing improvement of RESEA programs by generating evidence that can inform each state s program design and development. To assist each state with this evidence - building process ETA has been working closely with the Department s Chief Evaluation Office to provide a wide -rang e of evaluation technical assistance through a combination of general resources such as webinars and toolkits and customized technical assistance that is tailored to the unique needs of a specifi c state. States are encouraged to submit any technical assistance requests to the Department s RESEA Evaluation TA Help Line at RESEA abtassoc.com . An archive of previous RESEA evaluation technical assistance webinars and related resources is maintained on WorkforceGPS at https rc.workforcegps.org resources 2019 07 30 17 32 RESEA Evaluation Eviden ce Resources and within the RESEA evaluation resource list which is updated periodically current version is here https d2leuf3vilid4d.cloudfront.net - media A6426940848D42738AAE31B139CF1318.ashx rev 74C2A83F4B39350106 A5A5E62F6A90E4 . DOL s Clearinghouse for Labor Evaluation and Research CLEAR also includes resources that may be of interest including its RESEA Topic Area Tab https clear.dol.gov reemployment -services -and -eligibility -assessments - resea . A. Ad -hoc customized RESEA evaluation technic al assistance . States may contact the Evaluation TA Help Line at RESEA abtassoc.com to request ad - hoc customized evaluation technical assistance . Available customized technical assistance includes but is not limited to Technical advice on evaluation designs that meet CLEAR See Section 4.e.1. of this TEGL high or moderate evaluation standards Technical and logistical advice on evaluation implementation including challenges that may occur after an evaluation begins Tips for procuring an independent third -party evaluator 20 Help with research questions and determining appropriated evaluation design Assistance in identifying other states interested in conducting multi -state evaluations and assisting in laying the groundwork for those partnerships Information on specific RESEA evaluation topics e.g. how to implement random assignments in your information systems staff training on how to implement random assignments and more Assistance with data -related questions and issues such as data access or quality issues identifyi ng fields relevant to service delivery and the evaluation and Support with meeting CLEAR s standards. B. Role of the Department s Clearinghouse. As described in Section 6 of UIPL No. 01 -20 the Department will leverage CLEAR to identify evaluations in the evidence base that are relevant to the RESEA program and determine which impact studies have high moderate or low causal evidence ratings. As more causal evidence becomes available it is the Department s intent that CLEAR s RESEA intervention categories will be updated and become more precise over time so states can use the best available evidence to improve programs for their participants . To facilitate this evolution the Department anticipates that CLEAR will conduct periodic systematic evidence reviews to find summarize and rate reemployment studies and related RESEA interventions. To do this it is important that states and their independent evaluators make RESEA program evaluation reports publicly available. 7 States and their evaluators are invited to notify CLEAR when and where new studies are publicly posted by contacting CLEAR at https clear.dol.gov about contact -us . f. RESEA St ate Plan Submission . This section discusses i the RESEA State Planpackage ii what happens with disapproved S tate Plans iii available technical assistance during the grant submission process and iv the process for requesting a grant modification. Each state must submit a plan that outlines how the state intends to conduct its RESEA program as required under Section 306 e SSA to receive RESEA grant funds. Plans must be submitted via https www.grants.gov by April 10 2023. As part of the timely submission and review process each state must provide all required and correctly completed RESEA State Plan documents as described below. Incomplete submissions will be returned for correction without review. 7 At a minimum states should receive final reports from their independent evaluators. States may also wish to receive and publicly post interim reports during the course of their program evaluations. Interim reports can provide useful information for states needing to use that evidence to inform ongoing program decisions and add timely evidence to the growing RESEA evidence base. States and their evaluators may determine the frequency of reporting that is appropriate and feasible. 21 i. RESEA State Plan Package. Each state s submission must consist of the following documents A.RESEA State Plan Template This refers to the revised template that is a Word document. The updated State Plan Template includes the addition of elements to collect information specific to subsequent RESEA sessions and an evaluation chart to better support states in meeting the requirement to devote a specific percentage of their RESEA funding to evidence-based components with a high or moderate causal rating as set forth in Section 303 c 2 SSA. When providing answers to each component the state must include details and contextual information regarding how the state modified its RESEA programs during FY 2022 and the planned activities for FY 2023. This may include but is not limited to information about unplanned RESEA changes and any impact those changes had or continue to have on the performance staffing and operations of the state s RESEA program. Moreover if any FY 2022 RESEA activities were modified or funding expenditures delayed please provide a timeline of resumed activity. Likewise states are to provide a timeline for any proposed modification of activities to occur in the FY 2023. Attachment II to this TEGL the RESEA State Plan Template OMB Control No. 1205-0538 expiration date 10 31 2022 can be found on https www.grants.gov and ETA s Regional Offices. B .SF-424 Application for Federal Assistance OMB Control No. 4040-0004 expiration date 12 31 2022 . See Attachment IV to this TEGL for instructions and guidance on how to complete the form. Additionally on the SF-424 each state must enter UIPL No. 02-23 into Section 12 Funding Opportunity Number of the application the amount under Section 18 Estimated Funding must not exceed the amount set out for the state in Attachment I to this TEGL. The budget numbers listed on the SF-424 must match those on the State Plan template and SF-424A. States may be required to submit a revised Budget Narrative SF-424 and SF-424A if the final award amount is different from the initial request. C.SF-424A Budget Information Non-Construction Programs OMB Control No. 4040-0006 expiration date 02 28 2025 . See Attachment IV to this TEGL for instructions. The budget numbers listed on the SF-424A must match those on the State Plan template and SF-424. States may be required to submit a revised Budget 22 Narrative SF -424 and SF -424A if the final award amount is different from the initial request. D. Indirect Costs If the state is including indirect costs in the budget it must include either a the approved indirect cost rate with a copy of the Negotiated Indirect Cost Rate Agreement NICRA a description of the base used to calculate indirect c osts along with the amount of the base and the total indirect costs requested OR b for those applicant states that meet the requirements to use the 10 percent de minimis rate as described in 2 CFR 200.414 f a description of the modified total direct cost base see 2 CFR 200.68 for definition used in the calculation along with the amount of the base and the total indirect costs requested based on the 10 percent de minimis rate. The Department s information on NICRA is available at the following link https www.dol.gov agencies oasam centers -offices office -of-the -senior - procurement -execut ive cost -price -determination -division . ii. Disapproved RESEA State Plan s. Plans that do not meet the required elements will not be approved for RESEA grant funds . States with unapproved plans will receive notification wit hin 30 days of the Department s receipt of the plan and be given the opportunity to submit a revised plan. The revised plan is to address the deficient items provided in the written disapproval notification which will describe any portion s of the plan that was not approved the reason for the disapproval s and instructions for submitting a revised plan. iii. Technical Assistance with the Grant Submission Process . The website http www.grants.gov provides additional general information about grant requirements and the application process including standard terms and conditions. For technical issues encountered during application submission applicants may call 800 -518 -4726 or 606 -545 -5035 to speak to a Customer Support Representative or email su pport grants.gov . The Contact Center is open 24 hours a day seven days a week but closed on federal holidays. Attachment III to this TEGL provides more detailed instructions about submitting an application through https www.grants.gov . iv. Grant Modification Request s. States that need to modify their approved grant activities during their grant s period of performance may request a modification to their current grant. States must consult with their respective ETA Federal Project Officer FPO to determine the appropriate type of modification the applicable ti meline and other requirements . Completed modification requests must be sent to the appropriate ETA 23 Regional Office and OUI.RESEA dol.gov . Generally modification request s must pr ovide the following information and should be submitted 30 days prior to the requested change taking effect Request for modification on grantee letterhead dated and signed by the authorized representative Subject line of letter includes modification type grant name grant number Submission of revised statement of work which outlines request and provides an explanation detail for each request and New obligation deadline for funds if applicable If a state is requesting additional fu nding such as a Supplemental Budget Request then the modification request must also include a revised SF 424 SF 424A and updated budget narrative. The FPO will identify any additional requirements specific to the state s requested modification. 5. Inqu iries . Please direct inquiries to the appropriate ETA Regional Office and copy OUI.RESEA dol.gov . For technical questions about evaluations please contact RESEA abtassoc.com and for questions about grants.gov to support grants.gov . 6. References . Sections 303 j and 306 SSA 42 U.S.C. 503 j and 506 Bipartisan Bu dget Act of 2018 enacted February 9 2018 Pub. L. 115 -123 Workforce Innovation and Opportunity Act WIOA enacted July 22 2014 Pub. L. 113 -128 2 CFR Part 200 Uniform Administrative Requirements Cost Principles and Audit Requirements for Federal Awards 20 CFR Part 678 Description of the One -Stop Delivery System under Title I of the Workforce Innovation and Opportunity Act 20 CFR Part 68 0 Adult and Dislocated Worker Activities under Title I of the Workforce Innovation and Opportunity A ct 20 CFR Part 683 Administrative Provisions under Title I of the Workforce Innovation and Opportunity Act 86 Fed. Reg. 57856 Notice Announcing the Methodology to Distribute Outcome Payments to States for the Unemployment Insurance UI Reemployment Services and Eligibility Assessments RESEA Program in Accordance with Title III Section 306 f 2 of the Social Security Act SSA published October 19 2021 84 Fed. Reg. 39018 Allocating Grants to States for Reemployment Services and Eligibility Assessments RESEA in Accordance with Title III Section 306 of the Social Security Act SSA published August 8 2019 Executive Order 13985 86 Fed. Reg. 7009 Advancing Racial Equity and Support for Underserved Communities thr ough the Federal Government issued January 20 2021 24 UIPL No. 02 -22 Grant Opportunity to Support States Following a Consultative Assessment for Fraud Detection and Prevention Promoting Equitable Access and Ensuring the Timely Payment of Benefits inclu ding Backlog Reduction for all Unemployment Compensation UC Programs issued November 2 2021 https wdr.doleta.gov directives corr doc.cfm DOCN 6683 UIPL No. 23 -21 Change 1 Extension of Time to Submit Request for Funding under Grant Opportunity Announced in Unemployment Insurance Program Letter UIPL No. 23 -21 issued November 1 2021 https wdr.doleta .gov directives corr doc.cfm DOCN 4662 UIPL No. 23 -21 Grant Opportunity for Promoting Equitable Access to Unemployment Compensation UC Programs issued August 17 2021 https wdr.doleta.gov directives corr doc.cfm DOCN 7400 UIPL No. 22 -21 Change 1 Extension of Time to Submit Request for Funding under Grant Opportunity Announced in Unemployment Insurance Prog ram Letter UIPL No. 22 -21 issued September 17 2021 https wdr.doleta.gov directives corr doc.cfm docn 5369 UIPL No. 22 -21 Grant Opportunity to Support States with Fraud Detection and Prevention Including Identity Verification and Overpayment Recovery Activities in All Unemployment Compensation UC Programs issued August 11 2021 https wdr.doleta.gov directives corr doc.cfm docn 4240 UIPL No. 13 -21 TEGL No. 12 -20 Fiscal Year FY 2021 Funding Allotments and Operating Guidance for Unemployment Insurance UI Reemployme nt Services and Eligibility Assessment RESEA Grants issued January 19 2021 https wdr.doleta.gov directives corr doc.cfm DOCN 6686 UIPL No. 07 -21 Performance Measures for Reemployment Services and Eligibility Assessments RESEA and Unemployment Insurance UI Participants issued December 17 2020 https wdr.do leta.gov directives corr doc.cfm DOCN 3854 UIPL No. 01 -20 TEGL No. 06 -19 Expectations for States Implementing the Reemployment Service and Eligibility Assessment RESEA Program Requirements for Conducting Evaluations and Building Program Evidence issued October 31 2019 https wdr.doleta.gov directives corr doc.cfm DOCN 6691 UIPL No. 07 -19 Fiscal Year FY 20 19 Funding Allotments and Operating Guidance for Unemployment Insurance UI Reemployment Services and Eligibility Assessment RESEA Grants issued January 11 2019 https wdr.doleta .gov directives corr doc.cfm DOCN 8397 UIPL No. 05 -19 Form ETA 9178 for Employment and Training Supplemental Grant Reporting issued December 19 2018 https wdr.doleta.gov directives corr doc.cfm DOCN 4071 UIPL No. 02 -16 Change 1 State Responsibilities for Ensuring Access to Unemployment Insurance Benefits Services and Information issued May 11 2020 https wdr.doleta.gov directives corr doc.cfm DOCN 5491 UIPL No. 02 -16 State Responsibilities for Ensuring Access to Unemployment Insurance Benefits issued October 1 2015 https wdr.doleta.gov directives corr doc.cfm DOCN 4233 25 UIPL No. 01 -16 Change 1 Federal Requirements to Protect Claimant Rights in State Unemployment Compensation Overpayment Prevention and Recovery Procedures Question and Answers issued January 13 2017 https wdr.doleta.gov directives corr doc.cfm DOCN 7706 UIPL No. 01 -16 Federal Requirements to Protect Individual Rights in State Unemployment Compensation Overpayment Prevention and Recovery Procedures issued October 1 2015 https wdr.doleta.gov directives corr doc.cfm DOCN 5763 UIPL No. 13 -15 Fiscal Year FY 2015 Unemployment Insurance UI Reemployment Services and Eligibility Assessment RESEA Grants issued March 27 2015 https wdr.doleta.gov directives corr doc.cfm DOCN 4482 UIPL No. 41 -94 Unemployment Insurance Program Requirements for the Worker Profiling and Reemployment Services System issued August 16 1994 https oui.doleta.gov dmstree uipl uipl94 uipl 4194.htm TEGL No. 2 0-19 Revised ETA -9130 Financial Report Instructions and Additional Guidance is sued April 29 2020 https wdr.doleta.gov directives corr doc.cfm DOCN 5804 ET Handbook No. 401 5th Edition Revised ET Handbook No. 401 Unemploy ment Insurance Reports Handbook TEN No. 37 -15 Availability of Assistance Building Profiling Models to Identify Unemployment Insurance Claimants Most Likely to Exhaust Benefits issued June 3 2016 https wdr.doleta.gov directives corr doc.cfm DOCN 4113 Guidelines on Effectiveness of RESEA Interventions published January 2021 available at https clear.dol.gov sites default files CLEAR 20guidelines 20on 20effectiven ess 20of 20reemployment 20interventions final Jan 202021.docx.pdf Reemployment Services and Eligibility Assessment RESEA Evaluation Toolkit available at https www.dol.gov sites dolgov files OASP evaluation pdf RESEA Toolkit Feb ruary2021.pdf Low -Cost Randomized Control Trial Study of the Nevada Reemployment and Eligibility Assessment REA Program published March 2020 available at https osf.io rja28 Evaluation of Impacts of t he Reemployment and Eligibility Assessment REA Program published November 2019 available at https clear.dol.gov sites default files ResearchSynthesis Reemplo yment 0.pdf https www.dol.gov sites dolgov files OASP evaluation pdf REA 20Impact 20 Study 20 - 20Fi nal 20Report.pdf Clearinghouse for Labor Evaluation and Research CLEAR RESEA Topic Area Tab available at https clear.dol.g ov reemployment -services -and -eligibility - assessments -resea Quick Start Action Plan QSAP Tool available at https rc.workforcegps.org resources 2021 05 28 13 29 RESEA QSAP Service Delivery Virtual Tools available at https www.workforcegps.org resources 2020 01 16 13 21 service -delivery - virtual -tools 26 RESEA Evaluation and Evidence Resources available at https rc.workforcegps.org resources 2019 07 30 17 32 RESEA Evaluation Evid ence Resources Office of the Assistant Secretary for Administration and Management Cost Price Determination Division available at https www.dol.gov agencies oasam centers - offices office -of -the -senior -procurement -executive cost -price -determination - division https www.grants.gov and https clear.dol.gov about contact -us . 7. Attachments . Attachment I Maximum Fiscal Year FY 2022 Unemployment Insurance UI Reemployment Services and Eligibility Assessment RESEA Grant Awards by State . Attachment II Elements of an Unemployment Insurance UI Reemployment Services and Eligibility Assessment RESEA Grant State Plan . Attachment III Additional Grants.gov Submission Instr uctions . Attachment IV Additional Guidance for Completing the SF -424 and SF -424A . Attachment V Phased Implementation of RESEA Components . 27 I-1Attachment I Maximum Fiscal Year FY 2023 Unemployment Insurance UI Reemployment Services and Eligibility Assessment RESEA Grant Awards by State State FY 2022 Maximum Base Award FY 2023 Maximum Base Award Alaska 572 359 976 805 Alabama 1 401 914 1 331 818 Arkansas 999 072 1 833 366 Arizona 2 075 673 3 456 202 California 40 013 786 73 425 432 Colorado 1 283 403 4 245 787 Connecticut 3 280 972 4 747 346 District of Columbia 790 077 989 457 Delaware 742 056 781 725 Florida 9 043 040 8 590 888 Georgia 2 636 525 8 722 221 Hawaii 1 761 828 1 740 097 Iowa 2 118 372 2 286 673 Idaho 896 580 854 647 Illinois 4 309 773 14 257 704 Indiana 5 557 100 5 279 245 Kansas 1 349 315 1 503 927 Kentucky 2 261 286 2 148 222 Louisiana 3 534 609 3 416 566 Massachusetts 7 261 972 9 234 672 Maryland 3 274 034 4 737 192 Maine 790 139 1 047 196 Michigan 6 815 479 9 945 034 Minnesota 4 244 327 8 441 708 Missouri 2 198 089 3 434 033 Mississippi 1 723 593 1 637 413 Montana 816 247 883 962 North Carolina 5 516 881 5 241 037 North Dakota 498 400 498 400 Nebraska 631 510 676 165 New Hampshire 1 655 411 1 572 640 New Jersey 6 094 175 18 235 951 New Mexico 1 562 156 2 063 228 I-2State FY 2022 Maximum Base Award FY 2023 Maximum Base Award Nevada 4 158 147 3 950 240 New York 24 617 275 28 924 536 Ohio 5 600 429 7 201 459 Oklahoma 1 875 335 2 785 562 Oregon 5 881 323 5 587 257 Pennsylvania 4 761 504 15 444 142 Puerto Rico 956 072 3 162 902 Rhode Island 1 407 186 1 703 082 South Carolina 2 205 984 2 841 326 South Dakota 498 400 498 400 Tennessee 3 337 766 3 170 878 Texas 16 860 815 20 923 017 Utah 2 205 129 2 094 873 Virginia 3 827 073 4 062 585 Virgin Islands 498 400 498 400 Vermont 885 093 840 838 Washington 10 139 978 9 632 979 Wisconsin 3 697 771 5 563 197 West Virginia 877 767 1 441 667 Wyoming 498 400 498 400 Projected state funding allocations for FY 2023 include application of the hold harmless and minimum funding provisions described in the final funding allocation methodology announced in the Federal Register on August 8 2019 84 FR 39018 and described in Section 4.b.i. Base- Funding Formula for State Grants of this UIPL. These projected allocations do not include adjustments for the 60 percent carry-over threshold described in Section 4 b i D of Training and Employment Guidance Letter No. 5-21 and Section 4.b.i.D. of this UIPL. The Employment and Training Administration will provide revised state-level allocations that reflect application of the 60 percent carry-over threshold based on December 2022 financial reports provided in February 2023. States must account for carry-over threshold as part of their RESEA State Plan activities. These funding allocations represent the maximum funding level a state may request to support its FY 2023 RESEA actives. States are strongly encouraged to take advantage of available funding to further build and expand their RESEA program capacity see Section 4.b. of this UIPL for additional information. However the state may request a lesser amount based on capacity projected need and other factors. I-3States that did not receive an increase from their FY 2022 allocation were subject to the formula s minimum funding provision. The funding for these states was increased from their formula-based allocation to the minimum funding level of 498 400. OMB Number 1205 -0538 Expiration Date 11 30 2025 Attachment II II-1 ELEMENTS OF AN UNEMPLOYMENT INSURANCE UI REEMPLOYMENT SERVICES AND ELIGIBILITY ASSESSMENT RESEA GRANT STATE PLAN Instructions All fields are required unless otherwise noted . 1. State Name 2. State Agency Administrator Name Title Address 3. RESEA Program Lead s Contact s The person s who can a nswer questions about the RESEA proposal. Name Telephone E-mail 4. UI Program Lead Contact The person who can answer questions about the UI aspects of the RESEA proposal. This person may also be the RESEA Program Lead Contact. Name Telephone E-mail OMB Number 1205 -0538 Expiration Date 11 30 2025 Attachment II II-2 5a. Total Project Cost for Proposed State Plan RESEA The total amount of funds requested in this grant which may be up to the limit specified in annual RESEA operating guidance. Requesting less than full formula allotment 5b. Element 5 Additional Space Use this field to break out project costs. Please include a narrative describing determinations for the current year and any issues that impacted the previous year s expenditures. Be sure to discuss what this year s project goa ls e.g. staffing up improving program tools etc. 6a. Carry -over Total Funds from prior RESEA Grants Projected to carry -over. Please include expected date for full obligation and expenditure of these remaining funds. FY Projected Obligation date Projected Expenditure date FY Projected Obligation date Projected Expenditure date TOTAL Dollar Amount 6b. Element 6 Additional Space Use the text box to provide details for each year s carry -over funds . Please explain why there are carry -over funds for ea ch specific FY. Additionally include how the funds will be used and a timeline for expenditure. If there is Zero carry -over please note this in the text field. OMB Number 1205 -0538 Expiration Date 11 30 2025 Attachment II II-3 7a. Total Service Delivery Program Cost Please include evaluation expense s in this element 7b. Element 7 Additional Space Provide a breakout narrative listing the program costs including a line for evaluation costs. 8a. Total Administrative Costs The total amount of funds requested for program administrative costs. Please include a breakout of these costs. Note This entry includes information technology IT costs 8b. Element 8 Additional Space Use the space to elaborate on the administrative costs. Please include changes to staffing IT expansion other significant changes etc. 9a. Completed Initial RESEA Staffing and Time Complete chart below on how specific required initial RESEA activities are staffed th e average time needed and estimated costs. Use Element 9 s additional space provided after the chart to explain any of the chart figures and information. Activity Staff ES WIOA UI Other Individual Group In-Person Remote Virtual Average Time Minutes Staff Cost Per Hour Dollars EXAMPLE LINE ES WIOA Individual In-Person 20 minutes 70 Eligibility Review Labor Market Information Individual Reemployment Plan OMB Number 1205 -0538 Expiration Date 11 30 2025 Attachment II II-4 Providing information and access to American Job Center AJC services including career services Enrollment in Employment Services Providing support with individual reemployment plan. Referrals to other services Other activities performed in addition to required elements. Please describe any additional activities in element 9b. Pre -work Preparation for RESEA Post - work casework notes etc. following RESEA Totals Note please note that all eligibility determinations and redeterminations are funded through the regular UI funding for non -monetary determinations and not through the RESEA grant. 9b. Element 9 Additional space to explain any notable changes from the previous year automated services that have expenses Zeros efforts to prevent fraud or chart information that may need an explanation. 10 a. Completed Subsequent RESEA Staffing and Time OMB Number 1205 -0538 Expiration Date 11 30 2025 Attachment II II-5 Complete chart below on how specific subsequent RESEA activities are staffed and the average time needed. Activity Staff ES WIOA UI Other Individual Group In-Person Remote Virtual Average Time Minutes Staff Cost Per Hour Dollars EXAMPLE LINE ES Individual In-Person 10 minutes 78.96 Eligibility Review Labor Market Information Providing support with individual reemployment plan. Providing information and access to AJC services including career services Referrals to other services Other activities performed in addition to required elements. Please describe any additional activities in element 10b. Pre -work Preparation for RESEA Post - work casework notes etc. following RESEA Totals Note please note that all eligibility determinations and redeterminations are funded through the regular UI funding for non -monetary determinations and not through the RESEA grant. OMB Number 1205 -0538 Expiration Date 11 30 2025 Attachment II II-6 10b. Element 10 Additional Space Use the text field for any fields requiring additional explanation. 11a. Total Number of RESEAs Projected to be Scheduled Initial to be Scheduled Subsequent to be Scheduled 11b. Element 1 1 Additional Space -- Please provide an explanation how the target number was determined. Including any significant changes from the previous years. 12a. Total Number of RESEAs Projected to be Completed Initial to be Completed Subsequent to be Completed 12b. Element 1 2 Additional Space Please provide an explanation how the target number was determined. Including any significant changes from the previous year. 13a. Total Number of RESEAs Projected for which the Claimant will fail to report Initial Fail to Report Subsequent Fail to Report 13b. Element 1 3 Additional Space Please provide an explanation how the target number was determined. Including any significant changes from the previous year. 14. Actions taken to reduce number of claimants failing to report. OMB Number 1205 -0538 Expiration Date 11 30 2025 Attachment II II-7 Provide a brief narrative that d iscuss es any actions in the past year s and or plans to carry out any activities under the proposed RESEA program to reduce the number of claimants failing to report please identify and provide an analysis about the efforts. 15a. Is RESEA statewide Y es N o Check box Yes No If Yes then proceed to Element 1 6. Note RESEAs are considered statewide if operating in at least one location in each Workforce Innovation and Opportunity Act WIOA w orkforce development area . 15b. Total number of RESEA Sites where RESEAs will be conducted. If RESEA is not statewide and is provided at limited sites list the towns cities or local workforce development areas where RESEA activities will be conducted . Additionally if RESEA is not available statewide Worker Profiling and Reemployment Services WPRS must be provided in areas where RESEA is not available. Number of sites providing RESEAs Number of sites providing WPRS 15c. List RESEA locations if RESEA activities are not statewide OMB Number 1205 -0538 Expiration Date 11 30 2025 Attachment II II-8 15d. List WRPS locations if RESEA activities are not statewide 16. Role of UI Staff Briefly describe the role played by UI staff in program management. Note At a minimum UI Staff must be involved with the following activ ities Participating in the planning administration and oversight of the RESEA program Training -- Providing all appropriate staff training on unemployment compensation UC eligibility requirements Reports -- Ensuring accurate data are provided in the RESE A-required reports and Conducting eligibility determinations and redeterminations resulting from issues identified through RESEA participation. 17. Selection of RESEA Participants Please describe the state s methodology for selecting claimants to participate in the RESEA program and at what point in the claim series selections are made. If a profiling or statistical model is used please describe the model including factors used a nd when the model was last updated will be updated. 18a. Proper Notification Please attach a copy of the template notification letter All states participating in the RESEA program must provide both assurance that and description of how individuals selected to participate in RESEA will receive proper notifications regarding the program s eligibility conditio ns requirements and benefits. Proper notifications must be in clear and simple language and include warnings to ensure selected individuals are fully aware of the consequences of noncompliance with the state s policies related to non -attendance and or n onfulfillment of UI work search requirements. Section 306 e 1 A i Social Security Act SSA . OMB Number 1205 -0538 Expiration Date 11 30 2025 Attachment II II-9 18b. Do you assure that proper notification as described in Element 1 8a will be provided Yes No 18c. Insert description of notification process and attach template used for notifications. 19 a. Reasonable Scheduling Accommodations To maximize participation in the RESEA program the state must provide assurance that and a description of how reasonable scheduling accommodations are made available to individuals selected for RESEA Section 306 e 1 A ii SSA . Do you assure that reasonable scheduling accommodations are available to RESEA participants Yes No 19 b. Insert a description of the reasonable scheduling accommodations provided. Please describe your rescheduling policies procedures and limitations for rescheduling. Be sure to identify whic h items have been automated versus in -person. 20a. UI Feedback Loop and Adjudication. On ce selected for an initial or subsequent RESEA claimants are required to participate in all components of the RESEA. Failure to report or participate in any aspect of the RESEA must result in referral to the UI agency for adjudication under the applicab le state law. States must include a description of the UI feedback loop and adjudication process. As described in Unemployment Insurance Program Letter UIPL No. 14 -18 Unemployment Insurance and the Workforce Innovation and Opportunity Act an effective feedback loop advises UI staff whether the claimant reported as directed and participated in the eligibility assessment and or OMB Number 1205 -0538 Expiration Date 11 30 2025 Attachment II II-10 services as appropriate is in place for all reemployment service activities in which UI claimants are required to participate and includes a process for referral to UI adjudication any eligibility issues identified in an eligibility review . Insert a brief description regarding the feedback loop from the RESEA provider to the UI system on whether the claimants reported and participated in required activities as directed . 20b. Insert a brief description of the feedback loop established to refer any U C eligibility issues identified during the RESEA for adjudication . 21. Activities Supporting RESEA s Statutory Purposes Each state must provide assurance that and description of how the planned RESEA program will conform to the four statu tory purposes identified below Section 306 e 1 B SSA . 21a. Purpose 1 To improve employment outcomes of individuals that receive unemployment compensation and to reduce the average duration of receipt of such compensation through unemployment. Do you assure that the proposed RESEA program design and planned activ ities conf orm to purpose 1 as described in Element 2 1a Yes No 21b. Insert brief description of specific RESEA program elements and or activities that support purpose 1. 21c. Purpose 2 To strengthen program integrity and reduced improper payments of unemployment compensation by states through the detection and prevention of such payments to individuals who are not eligible for such compensation. Do you assure that the proposed RESEA program design and planned activities conf orm to purpose 2 as described in Element 2 1c. OMB Number 1205 -0538 Expiration Date 11 30 2025 Attachment II II-11 Yes No 21d. Insert brief description of specific RESEA program elements and or activities that support purpose 2. 21e. Purpose 3 To promote alignment with the broader vision of the Workforce Innovation and Opportunity Act WIOA 29 U.S.C. 3101 et seq . of increased program integration and service delivery for job seekers including clai mants for unemployment compensation. Note Additional information about the vision of WIOA is provided in Training and Employment Guidance Letter No. 19 -14 Vision for the Workforce System and Initial Implementation of the Workforce Innovation and Opportu nity Act and additional information specific State UI programs is provided in UIPL No.14 -18 Unemployment Insurance and the Workforce Innovation and Opportunity Act . Do you assure that the proposed RESEA program design and planned activities conform to purpose 3 as described in Element 2 1e Yes No 21f. Insert brief description of specific RESEA program elements and or activities that support purpose 3 including information about how RESEA has been integrated into the State s workforce s ystem and network of AJCs . 21g . Purpose 4 To establish reemployment service and eligibility assessment as an entry point for individuals receiving unemployment compensation into other workforce system partner programs. Do you assure that the proposed RESEA program design and planned activities conf orm to purpose 4 as described in Element 2 1g Yes No 21h. Insert brief description of specific RESEA program elements and or activities that support purpose 4. OMB Number 1205 -0538 Expiration Date 11 30 2025 Attachment II II-12 22a. Evidence -based Standards and Evaluation Requirements Each state must provide assurances and a description of how the state s RESEA program will satisfy the requirement to use gra nt funds only for interventions and service delivery strategies designed to reduce the number of weeks for which program participants receive unemployment compensation by improving employment outcomes for participants including employment and earnings. States implementing RESEA interventions or service delivery strategies without a high or moderate causal rat ing must be under evaluation at the time of use. Section 306 e 1 B SSA . Do you assure that the state s RESEA program will satisfy the requirement to use grant funds only for interventions and servi ce delivery strategies designed to reduce the number of weeks for which program participants receive unemployment compensation by improving employment outcomes for participants including employment and earnings Yes No 22b. Is your state using interventions that have received a High or Moderate RESEA causal rati ng in the Clearinghouse for Labor Education and Research CLEAR Yes No 22c. Insert a description of the evidence -based interventions and service delivery strategies the State plans to use to speed reemployment including specific references to the evidence relied upon . Describe which interventions your state is using that have received High or Moderate ratings in CLEAR. Be sure to cite th e specific name of the study of an intervention and when the report was published. Description of Intervention High Moderate Rating in CLEAR Name of Study Study published MM YYYY OMB Number 1205-0538 Expiration Date 11 30 2025 Attachment II II-1322d. Insert an explanation of how such interventions and service delivery strategies are appropriate to the population served. 22e. Do you assure that the planned RESEA interventions or service delivery strategies that do not have a high or moderate causal rating are under evaluation at the time of use Yes No Not Applicable all interventions have a high or moderate causal rating If Not Applicable please advance to 22g. 22f. Insert a description of the evaluation structure the State plans to use for interventions and service delivery strategies without at least a moderate or high causal evidence rating. This evaluation structure may include a whole program evaluation evaluation of specific program components interventions or national evaluations conducted by the U.S. Department of Labor USDOL or by other entities. Explain what the intervention that your state is planning to evaluate and how it is being implemented within the RESEA program. Describe the type of evaluation being planned by your state e.g. impact study using random assignment or quasi- experimental design. 22g. Total funds that will be set aside to conduct or cause to be conducted evaluations of interventions used in carrying out the RESEA Program. This amount is limited to 10 percent of grant award Section 306 d 2 SSA . OMB Number 1205-0538 Expiration Date 11 30 2025 Attachment II II-1422h. Insert a description of any evaluations of reemployment interventions and service delivery strategies conducted in the prior fiscal and any data collected on 1.Characteristics of program participants 2.Number of weeks for which program participants receive unemployment compensation and 3.Employment and other outcomes for program participants consistent with State performance accountability measures provided by the State unemployment compensation program and performance outcome measures as defined in section 116 b of the Workforce Innovation and Opportunity Act 29 U.S.C. 3141 b . Examples In addition to information from formal evaluations states may include information from other forms of analyses such as reviews of administrative data or analysis of quarterly reporting provided to USDOL. 22i. Complete below chart providing additional information about RESEA component activities their causal rating the costs associated with that component activity and what percentage it is of the current grant. EVIDENCE BASED FUNDING RESEA Component Activity a Causal Rating Moderate High b RESEA Cost of Component Activity c Percentage of Current Grant d 1. 2. 3. 4. 5. OMB Number 1205-0538 Expiration Date 11 30 2025 Attachment II II-156. 7. 8. 9. 10. 11. Totals III -1 Attachment III Additional Grants.gov Submission Instructions The following is provided as additional instructions beyond what is already available on the www.grants.gov website. In the event you encounter a problem with www.grants.gov and do not find a resolution in any of the other resources call 1 -800 -518 -4726 or 606 -545 -5035 to speak to a Customer Support Representative or email support grants.gov . States are strongly advised to initiate the application submission and validation process via www.grants.gov as soon as possible and to plan for time to resolve technical problems. Please note that validation does not mean the State s application has been accepted as comple te or has been accepted for review. Rather www.grants.gov only verifies the submission of certain parts of the application. Before you begin to write the application the U.S. Department of Labor Department strongly recommends that you initiate and complete the Get Registered registration steps at https www.grants.go v web grants register.html . Before registering you should read through the registration process carefully. These steps can take as many as four weeks to complete and this time should be factored into plans for timely electronic submission to avoid unexpected delays that could result in the rejection of your application. The www.grants.gov website also contains the Step -By -Step Guide to Organization Registration to help applicants walk through the process. The next step in the registration process is creating a username and password with www.grants.gov to become an Authorize d Organizational Representative AOR . AORs will need to know the Unique Entity Identifier UEI number of the organization for which they will be submitting applications to complete this process. To read more detailed instructions for creating a profile on www.grants.gov visit https www.grants.gov web grants applicants registration.html . After creating a profile on www.grants.gov the E -Biz Point of Contact E -Biz POC a representative from your organization who is the contact listed for System of Award Management SAM will receive an email to grant the AOR permission to submit applications on beh alf of their organization. The E -Biz POC will then log into www.grants.gov and approve an individual as the AOR thereby giving him or her permission to submit applications. To learn more about AOR Authorization visit https www.grants.gov web grants applicants registration authorize -roles.html or to track AOR status visit https www.grants.gov web grants applicants registration track -role - status.html . An application submitted through www.grants.gov constitutes a submission as an electronically signed application. The registration and account creation with www.grants.gov with E -Biz POC approval establishes an AOR. When an application is submitted through www.grants.gov the name of t he AOR on file will be inserted into the III -2 signature line of the application. State Workforce Agencies must register the individual who is able to make legally binding commitments for their organizations as the AOR . This step is often missed and it is cru cial for valid submissions. When a registered applicant submits an application with www.grants.gov an electronic time stamp is generated within the system when the application is suc cessfully received by www.grants.gov . Within two business days of application submission www.grants.gov will send the applicant two email messages to provide the status of the application s progress through the system. The first email sent almost immediately will contain a tracking number and will confirm receipt of the application by www.grants.gov . The second email will indicate that the applicati on either has been successfully validated or has been rejected due to errors. If the applicant s registration in SAM is expired www.grants.gov will reject the application. Only app lications that have been successfully submitted in www.grants.gov by the deadline and subsequently successfully validated will be considered. It is the State s responsibility to ensur e a timely submission. While it is not required that an application be successfully validated before the deadline for submission it is prudent to reserve time before the deadline in case it is necessary to resubmit an application that has not been succes sfully validated in www.grants.gov . Therefore adequate time should be allotted for submission two business days recommended and additional time to address any errors and requiring v alidation upon resubmission an additional two business days for each ensuing submission . To ensure consideration the components of the application must be saved as .doc .docx .xls .xlsx .rtf or .pdf files. If submitted in any other format the ap plicant bears the risk of compatibility or other issues preventing a state s application from being considered. The Department will attempt to open the document but will not take any additional measures in the event of problems with opening it e.g. conv ersions of any kind . The Department strongly advises applicants to use the various tools and documents including Frequently Asked Questions which are available on the Applicant Resources page at https www.grants.gov web grants applicants applicant -faqs.html . To receive updated information about critical issues new tips for users and other time sensitive updates you may subscribe to www.grants.gov updates at https www.grants.gov web grants manage -subscriptions.html . IV-1Attachment IV Additional Guidance for Completing the SF-424 and SF-424A I.Application for Federal Assistance SF-424 Use the current version of the form for submission. Expired forms will not be accepted. SF-424 Expiration Date 12 31 2022 Office of Management and Budget OMB Control No. 4040-0004 Grants.gov . https www.grants.gov web grants forms sf-424- family.html Section 8 APPLICANT INFORMATION oLegal Name The legal name must match the name submitted with the System for Award Management SAM . Please refer to instructions at https www.sam.gov oEmployer Tax Identification Number EIN TIN Input your correct 9-digit EIN and ensure that it is recorded within SAM. oUnique Entity Identifier Requirements oEffective on April 4 2022 the DUNS Number was replaced by a new non- proprietary identifier requested in and assigned by SAM.gov. This new identifier is called the Unique Entity Identifier UEI or the Entity ID. To learn more about SAM s rollout of the UEI please visit the U.S. General Service Administration GSA Unique Entity Identifier Update webpage. oIf the grant award or cooperative agreement recipient is authorized to make subawards under this award then the recipient 1.Must notify potential subrecipients that no entity see definitions below may receive a subaward from the grant award recipient until the entity has provided its UEI to the recipient. 2.May not make a subaward to an entity unless the entity has provided its UEI to the grant or cooperative agreement recipient. Subrecipients are not required to obtain an active SAM registration but must obtain a UEI. oPlease ensure that your state is registered with the SAM. Instructions for registering with SAM can be found at https www.sam.gov. Additionally the state must maintain an active SAM registration with current information at all times during which it has an active Federal award or an application under consideration. To remain registered in the SAM database after the initial registration there is a requirement to review and update the registration at least every 12 months from the date of initial registration or subsequently update the information in the SAM database to ensure it is current accurate and complete. Failure to register with SAM and maintain an active account will result in a rejection of your submission. IV-2oAddress Input your complete address including Zipcode 4 Example 20110-831. For lookup use link at https tools.usps.com go ZipLookupAction input.action oOrganizational Unit Input appropriate Department Name and Division Name if applicable oName and contact information of person to be contacted on matters involving this application. Provide complete and accurate contact information including telephone number and email address for the point of contact Section 9 Type of Applicant 1 Select Applicant Type Input State Government Section 10 Name of the Federal Agency Input Employment and Training Administration Section 11 Catalog of Federal Domestic Assistance Number include the accurate Catalog of Federal Domestic Assistance Number for the applicable Funding Opportunity Example 17.225 for Unemployment Insurance Section 12 Funding Opportunity Number and Title Input the appropriate funding opportunity number and Title Example UIPL No. 1-17 Health Coverage Tax Credit TEGL 17-15 WIOA Adult Dislocated Worker and Youth Activities Program Allotments V-1Attachment V Phased Implementation of RESEA Components Year Description FY 2019 Application of requirement that RESEA funds be used for interventions i.e. service delivery strategies demonstrated to reduce the average number of weeks participants receive benefits by improving participant employment outcomes as required by Section 306 c 1 SSA. Ability to expand the pool of RESEA participants from those most likely to exhaust UC to include up to all UC claimants as provided in the Department s appropriations act for FY 2019. This provision was continued in all subsequent RESEA appropriations and is anticipated to continue in FY 2022. See Section 4.c.i. of this UIPL. FY 2020 In response to the COVID-19 pandemic the Department approved additional flexibility allowing states to provide the full range of RESEA services using remote and virtual service-delivery. This provision continues in FY 2022. See Section 4.c.v. of this UIPL. FY 2021 Implementation of a formula to allocate RESEA base funds as required by Section 306 f 1 A SSA. The final RESEA allocation formula was published in the Federal Register on August 8 2019 84 Fed. Reg. 39 018 . See Section 4.b.i. of this UIPL. Submission of a Congressional Report identifying promising reemployment assistance interventions https d2leuf3vilid4d.cloudfront.net - media F0F359D1000345A99FCCB91EF934D2F1.ashx rev B9F225BA8D0737 F7A0B93918524B5F13 Implementation of new RESEA performance measures that align with the primary indicators of performance under WIOA. See UIPL No. 07-21. Implementation of RESEA performance-based outcome payments as required by Section 306 f 2 SSA. The final methodology was published in the Federal Register on October 19 2021 86 Fed. Reg. 57 856 . See Section 4.b.ii. of this UIPL. FY 2022 Continuation of the provisions implemented in FY 2019 FY 2020 and FY 2021. State Plan Template updated to account for expanding RESEA programs. The final template changes was published in the Federal Register on April 14 2022 87 Fed. Reg. 22 234 . ETA 9128 updated to record additional RESEA meetings which are called subsequent meetings. The update was published in the Federal Register on November 23 2021 86 Fed. Reg. 66 593 . Implementation Study suite of reports are available at https www.dol.gov agencies oasp evaluation completedstudies RESEA- Evidence-Building-Implementation-Study . Additional information See TEN No. 03-22. V-2FY 2023 Application of requirement that states directly link a percentage of their RESEA funding to evidence-based components with a high or moderate causal rating that show a demonstrated capacity to improve employment and earnings outcomes for program participants as required by Section 306 c 2 SSA. This percentage will incrementally increase through FY 2026. See Section 4.e.ii.C of this UIPL.