UIPL 08-24.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 21 2024 RESCISSIONS None EXPIRATION DATE Continuing ADVISORY UNEMPLOYMENT INSURANCE PROGRAM LETTER NO. 08-24 TO STATE WORKFORCE AGENCIES FROM SUBJECT BRENT PARTON Principal Deputy Assistant Secretary Fiscal Year FY 2024 Funding Allotments and Operating Guidance for Unemployment Insurance UI Reemployment Services and Eligibility Assessment RESEA Grants 1.Purpose. To provide guidelines for the FY 2024 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 Unemployment Insurance Program Letter UIPL 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 ES and workforce information labor market information programs. States requesting funding to continue a current RESEA program or to implement a new RESEA program during FY 2024 must submit a RESEA State Plan. The submission must contain all required information described in this UIPL and be submitted via https www.grants.gov by April 8 2024. 3.Summary and Background. a.Summary This UIPL provides general operating guidance for the RESEA program for FY 2024 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. 2 This UIPL is published concurrently as a Training and Employment Guidance Letter TEGL No. 11-23. 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. The Bipartisan Budget Act of 2018 Public Law 115-123 BBA enacted on February 9 2018 included amendments to the Social Security Act 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 UIPL. The purposes of the RESEA program are identified in Section 306 b of the 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 through the detection and prevention of such payments to ineligible individuals 3 To promote alignment with WIOA s broader vision of increased program integration and service delivery for job seekers including UC claimants and 4 To establish RESEA as an entry point for UC claimants into other workforce system partner programs. 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 earnings outcomes for RESEA participants. For FY 2024 the evidence-based percentage remains 25 percent. Please note that this percentage will increase to 40 percent in FY 2025. During FY 2024 states may continue to reference REA studies with a high or moderate causal rating to meet the 25-percent evidence-based requirement. To best align with RESEA s evidence-based requirements the Department strongly encourages states participating in RESEA to adopt a culture of evidence. A culture of evidence is an environment where learning is valued and prioritized and evidence is recognized as an essential tool for supporting continuous learning and program improvement. Building evidence is embraced as an opportunity to demonstrate growth or 3 progress rather than a compliance requirement. Evidence is developed using multiple sources such as program evaluations program monitoring and routine analyses of administrative and other performance data. A culture of evidence depends on a dynamic growing and changing evidence base rather a single study and 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. 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 unchanged in FY 2024. These definitions identify minimum levels of service delivery. States are strongly encouraged to identify and integrate additional services that respond to UC claimants reemployment needs. Each definition includes information on how the item should be reported on the RESEA State Plan and the quarterly RESEA activity report ETA 9128 . See Attachment II for the RESEA State Plan template. See Employment and Training ET Handbook No. 401 5 th Edition and Section 4.d.v.B. of this UIPL for additional information on the ETA 9128. i. Initial RESEA The term initial RESEA refers to the first meeting between an RESEA service provider and a UC claimant who responded to an official notification of selection and required participation in RESEA services. As described in Section 4.d.ii. of this UIPL 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 has not 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 ES program 4 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 initial RESEA meeting respective service delivery design. Additional information and requirements on RESEA services are found in Sections 4.c. of this UIPL. B. Reporting instructions for RESEA State Plan. Report under Element 12a. Total Number of RESEAs Projected to be Completed see Attachment II of this UIPL . This element records both the initial and subsequent completed RESEA sessions. C. Reporting instructions for ETA 9128. Report under Item 3 Number of RESEAs completed see Section 4.a.i.A. of this UIPL . 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 meetings. A. Minimum requirements 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 if 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 possible date. Additionally if the claimant is required to search for work as a condition of UC eligibility the state should provide 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 5 effective method in making referrals to additional reemployment services. B. Reporting instructions for RESEA State Plan. Report under Element 12a. Total Number of RESEAs Projected to be Completed see Attachment II of this UIPL . This element records both the initial and subsequent completed RESEA sessions. C. Reporting instructions for ETA 9128. The ETA 9128 has been revised to capture data on subsequent in addition to initial RESEA activities and account for individuals selected for RESEA that are later determined to be incorrectly selected or ineligible for RESEA participation. The UIPL discussing the additional items will be published in March 2024. The ETA 9128 report must be completed by states quarterly and submitted no later than the 20 th day of the second month following the quarter of reference i.e. February 20 May 20 August 20 and November 20. Before its quarterly submission states must review the ETA 9128 Workload report for accuracy. In addition to appropriate RESEA staff members this review must include state UI staff members. iii. Reemployment Services States must develop processes to refer RESEA participants to reemployment services including those services provided using RESEA funding and those provided through other programs. In support of RESEA s goal of greater alignment with WIOA reemployment services include but are not limited to activities identified as career services under Section 134I 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 captured on the ETA 9128 items 4-5 and in each state s RESEA state plan narrative describing service delivery. ETA will also collect additional information via the Workforce Integrated Performance System for claimants referred to the ES program and other WIOA partners by RESEA. A. Reporting instructions for RESEA State Plan. States must describe referral process in the appropriate narrative sections. B. Reporting instructions for ETA 9128. Report under item 4 Number reporting for reemployment services or training and item 5 Number reporting 6 for reemployment services. These items capture reemployment services resulting from RESEA. 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 referral will align with the statutory purposes of RESEA by making use of available labor market information business services and other resources to directly link the training to a specific job or in-demand occupation. RESEA funds may not be used to support 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 uses of these state grants iv removal of administrative cost limitations v evaluation set-aside funds vi a note on the average costs of Initial RESEAs and Subsequent RESEAs 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 UIPL are subject to the availability of Federal funds. The amounts identified in Attachment I are based on the authorized a FY 2024 funding level of 382 000 000 as identified in Section 251 b 2 E of the Balanced Budget and Emergency Deficit Control Act of 1985 Public Law 99-117 as amended by the Fiscal Responsibility Act of 2023 Public Law 118-5. The funding level is distributed across three funding streams eighty-nine 89 percent 339 980 000 awarded to states via the base-funding formula see Section 4.b.i. of this UIPL ten 10 percent 38 200 000 awarded to states for outcome payments see Section 306 f 2 SSA and one 1 percent 3 820 000 reserved by the Department to conduct research and provide technical assistance see Section 306 f 3 SSA . Grant recipients may be required to revise budget documents prior to award execution to account for discrepancies among estimated funding availability funding requests and 7 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 labor force. The final RESEA base funding allocation formula was published in the Federal Register on August 8 2019 84 Fed. Reg. 39 018 . Following the Congressional notification process in Section 303 g SSA the Department made a series of temporary formula modifications to the implementation of the RESEA base- funding formula and recently notified Congress of a permanent modification to the Department s methodology for calculating states carry-over balances that are used to determine states RESEA base formula allocations. An explanation of base-funding formula carry-over changes is provided in Section 4 b i C of this UIPL. 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 minimum funding clause and carry-over threshold. A. Hold harmless. In FY 2024 each state will receive no less than an amount equal to at least 95 percent of its FY 2022 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 Limits. The RESEA base funding allocation formula published on August 8 2019 allowed a state to ensure states timely expenditure of RESEA funding to carry over up to 30 percent of its previous FY s grant award into the new FY. In FYs 2021 and 2022 the Department applied the Congressional notification process described in Section 306 g SSA to delay implementation of the carry-over provision to FY 2023 at a temporarily- increased carry-over limit of 60 percent. Training and Employment Notice TEN No. 23-22 further clarified that any reductions to state funding resulting from exceeding the carry-over limit occur in the year following the occurrence of the carry-over rather than concurrently. Using the authority and notification process in Section 306 g SSA the Department informed Congress on December 11 2023 of additional modifications to the Department s implementation of the carry-over limitation the change will take effect March 10 2024 and be applied to FY 2024 RESEA awards. Specifically carry-over will be assessed based on the 8 expenditure of funds awarded the FY before the preceding FY. Applying this change any adjustments to FY 2024 allocations will be based on initial FY 2021 RESEA state base fund awards that were carried-into FY 2023 as of September 30 2023. Beginning in FY 2024 the permanent 30 percent carry-over threshold will be implemented and total state base funding including any optional reallocations i.e. end of year funding will be factored into the Department s carry-over assessments. Outcome Payments awarded under Section 306 f 2 SSA will continue to be excluded from carry-over balances. ii. RESEA Outcome Payments. The Department will award outcome payments to states participating in the RESEA program that in the previous FY 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 additional details. On October 6 2023 the Department published TEN No. 07-23 providing states with a midyear analysis of the RESEA performance levels. ETA will award FY 2023 outcome payments in March 2024. 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 ES 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 local 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. Beginning in FY 2024 ETA will authorize states to use a percentage of their RESEA funding to provide limited supportive services to support selected claimants 9 participation in RESEA activities. Guidance regarding allowable supportive service costs is in development and will be published later this year. 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. 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 incentivize 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 review 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 2024 RESEA state plans. v. Evaluation Set-Aside Funds Beginning in FY 2023 states have been required to 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 percentage will incrementally increase through FY 2026. For FY 2024 states must demonstrate 25 percent of the RESEA grant award is used for interventions with a causal rating of high or moderate. States must engage now in conducting such evaluations to build the necessary evidence that support successful RESEA programs in the future. Section 306 d SSA allows states to use up to 10 percent of their RESEA grant funds including the base grant outcome payment amount and subsequent base funding formula allocation when applicable to conduct or commission evaluations of interventions and service delivery strategies used in carrying out their RESEA programs. 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 detail is provided in Section 4.e. of this UIPL. The evaluation costs must be reported quarterly in the comment section of the ETA- 9130 Financial Report which is available at https www.dol.gov agencies eta grants management reporting. As states approach completing their evaluation s states must begin planning for evaluation reports and documenting information collected and lessons learned from the evaluation. To be included in the national RESEA evidence-base states must document the interventions deliveries being tested the context of the evaluation and document impact analysis with significant statistical detailed information. Additional information can be found in the Reemployment Services and Eligibility Assessment 10 RESEA Evaluation Toolkit. Updated RESEA evaluation and evidence resources are available in WorkforceGPS. Please see Attachment VI RESEA Program Evaluation Reports Appendix for more details regarding recommendations for consistent study reporting. vi. Average Cost of Initial RESEAs and Subsequent RESEAs 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 UIPL regarding evaluation of such activities . Previous funding limits regarding the average cost of each Initial RESEA and Subsequent 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 Staffing and Time and 10 Completed Subsequent RESEA Staffing and Time. B. Reporting instructions for ETA 9128. Average costs of Initial and Subsequent RESEAs are 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 2024 RESEA funds will be January 1 2024 through September 30 2025. FY 2024 funding must be obligated by September 30 2025 and liquidated by December 31 2025. 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. Section 4.f.iv. of this UIPL 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 vi integration with WIOA Wagner-Peyser and other workforce-funded services and vii 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 UIPL for additional details on the population of UC claimants identified in accordance with Section 303 j SSA. Since FY 2019 the Department of Labor appropriation acts have contained a provision providing states discretion in identifying additional claimant populations 11 among recipients of regular UC thus removing the requirement that states target only those UC claimants determined most likely to exhaust UC under Section 303 j SSA. States exclusively selecting those identified as most likely to exhaust have the flexibility to include all UC claimants including but not limited to those having a definite return-to-work date those who seek work exclusively through union hiring halls or are in approved training. The Department anticipates that this flexibility will be continued in Department of Labor appropriations for FY 2024. Historically states were directed to exclude from RESEA selection those 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 limited RESEA capacity that existed prior to the program s permanent authorization. Beginning in FY 2020 and continuing into FY 2024 states have been permitted to expand RESEA services to these populations if doing so aligns with the four purposes of the RESEA program identified in Section 3.b. of this UIPL and applicable state laws. If a state later identifies capacity to expand RESEA services beyond the target population identified in the approved RESEA State Plan process the state may request a modification to its program to include additional populations of recipients of regular UC. Section 4.f.iv. of this UIPL provides instructions for requesting grant modifications. 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 identify 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 individuals 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 state that includes 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 continue 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 program to serve these claimants. States operating separate WPRS programs under Section 12 303 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 filing new UC claims who are most likely to exhaust UC from those new claims is important so that states can maximize their resources in serving those who would most likely benefit from this investment. States seeking assistance with this data analytics model 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 UIPL 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 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 stated 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 those 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 accommodations 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 culturally appropriate and that limited English-proficiency individuals are effectively informed of and able to participate in the RESEA program 13 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 accessible 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 outcomes 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 reemployment services. Initial RESEA subsequent RESEA and reemployment services are defined in Section 4.a. of this UIPL. v. Remote Service Delivery and Virtual Resources Although the Department encourages in-person services where safety and other circumstances allow as 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 person-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 self-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 service 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.gov. 14 vi. Integration with WIOA ES and Other Workforce-Funded Services 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 ES program co-enrollment is required with the ES program as described in Section 4.d.iv of this UIPL 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 following 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 the guide is an indicator that helps states self-assess where their RESEA implementation is in relation to an integrated workforce system. Therefore states are encouraged to use this guide to strengthen their RESEA programs and in meeting the program goals. The QSAP can be found on the WorkforceGPS website at https rc.workforcegps.org resources 2021 05 28 13 29 RESEA QSAP. B. Existing remote and virtual services. 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-delivery- 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 15 and rescheduling iii the communication feedback loop with UI staff for adjudication activities iv the requirement that claimants be co-enrolled in the ES program and v state performance reporting. 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 appropriate staff training on UC eligibility requirements Ensuring accurate data are provided in the RESEA-required 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 subsequent 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 job interviews should be accommodated within reason. Many states are 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 increase 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.iv of this UIPL 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 report as directed until the individual actually reports. The Department issued UIPL No. 01-16 to remind states of the requirements of Federal law pertaining to protecting individual rights in state procedures. As discussed in Section 4.h of 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 requirement. States are advised that an individual may not be found ineligible for UC for failure to report for any week in which no services were available. iii. UC Feedback Loop and Adjudication RESEA staff must refer any failures 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 16 to report potential eligibility issues. iv. Required Co-Enrollment in ES Program The Department requires that RESEA participants be co-enrolled in the Wagner-Peyser Act-funded ES program as part of the initial RESEA. This is to promote the integrated service delivery described in Section 4.c.vi of this UIPL. 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 ES case management and performance reporting systems as referred by RESEA. Given the structure of the state s workforce system co-enrollment in WIOA Dislocated Worker or other available programs may also be appropriate but is not a requirement of this grant. 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 performance to be used across workforce development programs the following measures will assess state performance related 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 UC-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 2024 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. 1205-0456 expiration date December 31 2025. All RESEA-related performance reports are due on the 20th day of the second month following the end of the reporting quarter. 17 A state UI staff member s must be available and involved in the RESEA functions including reporting. Each quarter prior to submission the ETA 9128 Workload report is to be reviewed by UI staff member s for accuracy and ensure timely submission to the Department. A member of the state s RESEA team preferably the RESEA program lead must be included in the review process. Additionally the ETA 9128 RESEA Workload report was revised to capture subsequent data and adjust failure to report rates to account for individuals selected for RESEA who before the initial RESEA appointment were later determined to be incorrectly selected or ineligible for RESEA participation. The revisions will be further discussed in a future UIPL planned for publication in 2024.. Additional information about these reports is provided in Employment and Training ET Handbook No. 401 5th Edition. C. Quarterly Narrative Progress Report ETA 9178 . States must complete the Quarterly Narrative Progress Report ETA 9178 OMB Control No. 1205- 0517 expiration date July 7 2024. States must submit the ETA 9178 to their ETA Regional Office no later than the 20th day of the second month following the end of the 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. Beginning 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. This section discusses i a tiered evidence approach ii expectations for conducting evaluations 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 ties 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 interventions and service-delivery strategies. Section 306 c SSA includes this tiered evidence approach for the RESEA. The goals of using tiered evidence are to ensure that each state 1 employs RESEA interventions and service delivery strategies that based on rigorous evaluations are known to reduce UC duration through improved employment outcomes for participants and 2 evaluates its RESEA interventions and service delivery strategies to add to the evidence base and advance continuous improvement of RESEA services. 18 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 provided further information on the RESEA evidence- based requirements including 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 identify resources on existing evidence and can help states initiate rigorous high-quality evaluations. ii. Evaluation and Evidence-Base Expectations for FYs 2024-2027 States must align their FY 2024 RESEA State Plans and program design with the evaluation and evidence-based requirements and guidance identified in UIPL No. 01-20. A. Existing evidence. The Department currently allows states to meet the requirements of Section 306 c SSA by applying evidence that demonstrates the effectiveness of three intervention categories the REA program High Causal Rating Job Search Assistance JSA Services Moderate Causal Rating and Profiling interventions Moderate Causal Rating . 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 intervention 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 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. B. Building future evidence to support whole program service delivery and components of service delivery. RESEA program components that were not evaluated in 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. 19 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 evaluations or to modify current evaluations to build causal evidence on specific RESEA components as well. The Department s expectation is for states to continue to build and develop the RESEA evidence base by identifying new interventions and service strategies or evaluating current interventions including those previously identified in REA studies. Given the dynamic nature of economic conditions and labor exchange activities evaluations represent a key component in continuous learning program improvements and evidence building. C. Evidence-Based Funding 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 an implementation timetable for the available RESEA evidence base. Attachment II of this UIPL 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 requirement. 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 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 RESEA 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 please contact the Department s RESEA Evaluation Technical Assistance Help Line at 20 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-range 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 specific 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 technical 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 UIPL 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 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 identifying fields relevant to service delivery and the evaluation and Support with meeting CLEAR s standards. 21 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. 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 State Plan Submission. This section discusses i the RESEA State Plan package ii what happens with disapproved State Plans iii available technical assistance during the grant submission process and iv the process for requesting a grant modification. For additional information on Uniform Guidance standard terms and conditions and other grant resources please visit ETA Grant Resources https www.dol.gov agencies eta grants resources. 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 8 2024. States are encouraged to coordinate with all those involved in completing the RESEA State Plan to ensure timely submission. 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 or submissions needing more clarification will be returned requesting additional information be provided. Clarification requests must be met as the RESEA State Plan is the application for FY 2024 RESEA grant awards and will also serve as part of the state s final grant agreement. States refusing to provide necessary clarification will be disapproved. i. RESEA State Plan Package. Each state s submission must consist of the following documents A. RESEA State Plan Template The State Plan Template was revised in FY 2023 and 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 22 funding to evidence-based components with a high or moderate causal rating as set forth in Section 306 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 2023 and the planned activities for FY 2024. 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 2023 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 2024. Attachment II to this UIPL the RESEA State Plan Template OMB Control No. 1205-0538 expiration date November 30 2025 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 November 30 2025 . See Attachment IV to this UIPL for instructions and guidance on how to complete the form. Additionally on the SF-424 each state must enter UIPL No. 08-24 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 UIPL. The budget numbers listed on the SF-424 must match those on the State Plan template element 5a and SF-424A. States will be required to submit a revised Budget Narrative SF-424 and SF-424A if the final award amount is different from the initial request. States submit a revised Budget Narrative through the appropriate ETA Regional Office and OUI.RESEA dol.gov. C. SF-424A Budget Information Non-Construction Programs OMB Control No. 4040-0006 expiration date 02 28 2025 . See Attachment IV to this UIPL for instructions. The budget numbers listed on the SF-424A must match those on the State Plan template element 5a and SF-424. States will be required to submit a revised Budget Narrative SF-424 and SF-424A if the final award amount is different from the initial request. States submit a revised Budget Narrative through the appropriate ETA Regional Office and OUI.RESEA dol.gov. 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 costs along with the amount of the base and the total 23 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-executive cost-price-determination-division. ii. Disapproved RESEA State Plans. Plans that do not meet the required elements will not be approved for RESEA grant funds. States with unapproved plans will receive notification within 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. Revisions identified by the Department are not optional and states must provide responses for the State Plan to be approved. States refusing to provide responses may be disapproved for FY 2024 RESEA grant awards. 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 support grants.gov. The Contact Center is open 24 hours a day seven days a week but closed on federal holidays. Attachment III to this UIPL provides more detailed instructions about submitting an application through https www.grants.gov . iv. Grant Modification Requests. 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 timeline and other requirements. Completed modification requests must be sent to the appropriate ETA Regional Office and OUI.RESEA dol.gov. 24 Modification requests must provide 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 funding 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. Inquiries. 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 Budget Act of 2018 enacted February 9 2018 Pub. L. 115-123 Fiscal Responsibility Act of 2023 enacted June 3 2023 Pub. L. 118-5 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 680 Adult and Dislocated Worker Activities under Title I of the Workforce Innovation and Opportunity Act 20 CFR Part 683 Administrative Provisions under Title I of the Workforce Innovation and Opportunity Act 86 Fed. Reg. 57 856 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. 39 018 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 through the Federal Government issued January 20 2021 25 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 including 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 Program 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 Reemployment Services and Eligibility Assessment RESEA Grants issued January 19 2021 https wdr.doleta.gov directives corr doc.cfm DOCN 6686 https www.dol.gov agencies eta advisories training-and-employment-guidance- letter-no-12-20 UIPL No. 07-21 Performance Measures for Reemployment Services and Eligibility Assessments RESEA and Unemployment Insurance UI Participants issued December 17 2020 https wdr.doleta.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 https www.dol.gov agencies eta advisories training-and-employment-guidance- letter-no-06-19 UIPL No. 07-19 Fiscal Year FY 2019 Funding Allotments and Operating Guidance for Unemployment Insurance UI Reemployment Services and Eligibility Assessment RESEA Grants 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 26 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 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 ETA Handbook No. 401 5 th Edition Revised ET Handbook No. 401 Unemployment Insurance Reports Handbook https www.dol.gov sites dolgov files ETA handbooks 2017 ETHand401 5th.pdf TEN No. 07-23 State Performance Targets and Midyear Performance Assessment for Fiscal Year FY 2023 Unemployment Insurance UI Reemployment Services and Eligibility Assessments RESEA Outcome Payments issued October 6 2023 https www.dol.gov agencies eta advisories ten-07-23 TEN No. 23-22 Fiscal Year FY 2023 Reemployment Services and Eligibility Assessment Program RESEA Excess Carry-Over Base Funding Adjustments issued April 10 2023 https www.dol.gov agencies eta advisories ten-23-22 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 Evaluation of Impacts of the Reemployment and Eligibility Assessment REA Program published November 2019 available at https www.dol.gov sites dolgov files OASP evaluation pdf REA 20Impact 20 Study 20- 20Final 20Report.pdf Clearinghouse for Labor Evaluation and Research CLEAR RESEA Topic Area Tab available at https clear.dol.gov reemployment-services-and-eligibility- assessments-resea 27 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 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 ETA Grant Resources https www.dol.gov agencies eta grants resources RESEA State Plan package submission https www.grants.gov and CLEAR s contact page https clear.dol.gov about contact-us. 7. Attachments. Attachment I Maximum Fiscal Year FY 2024 Unemployment Insurance UI Reemployment Services and Eligibility Assessments RESEA Grant Awards by State Attachment II Elements of an Unemployment Insurance UI Reemployment Services and Eligibility Assessment RESEA Grant State Plan Attachment III Additional Grants.gov Submission Instructions Attachment IV Additional Guidance for Completing the SF-424 and SF-424A Attachment V Phased Implementation of RESEA Components Attachment VI Reemployment Services and Eligibility Assessments RESEA Program Evaluation Report Recommendations Attachment I I-1 Maximum Fiscal Year FY 2024 Unemployment Insurance UI Reemployment Services and Eligibility Assessment RESEA Grant Awards by State State FY 2023 Maximum Base Award FY 2024 Maximum Base Award Alaska 976 805 927 965 Alabama 1 331 818 1 486 062 Arkansas 1 833 366 1 741 698 Arizona 3 456 202 3 856 480 California 73 425 432 75 159 489 Colorado 4 245 787 4 904 982 Connecticut 4 747 346 5 160 870 District of Columbia 989 457 939 984 Delaware 781 725 797 435 Florida 8 590 888 8 534 144 Georgia 8 722 221 8 579 024 Hawaii 1 740 097 1 653 092 Iowa 2 286 673 2 368 497 Idaho 854 647 953 628 Illinois 14 257 704 16 471 336 Indiana 5 279 245 5 015 283 Kansas 1 503 927 1 428 731 Kentucky 2 148 222 2 040 811 Louisiana 3 416 566 3 245 738 Massachusetts 9 234 672 10 304 181 Maryland 4 737 192 4 500 332 Maine 1 047 196 1 055 349 Michigan 9 945 034 9 841 335 Minnesota 8 441 708 8 604 310 Missouri 3 434 033 3 415 702 Mississippi 1 637 413 1 555 542 Montana 883 962 986 338 North Carolina 5 241 037 4 978 985 North Dakota 498 400 499 696 Nebraska 676 165 754 475 New Hampshire 1 572 640 498 400 New Jersey 18 235 951 20 347 939 New Mexico 2 063 228 1 960 067 Attachment I I-2 State FY 2023 Maximum Base Award FY 2024 Maximum Base Award Nevada 3 950 240 3 752 728 New York 28 924 536 29 636 360 Ohio 7 201 459 8 035 493 Oklahoma 2 785 562 2 646 284 Oregon 5 587 257 5 577 831 Pennsylvania 15 444 142 16 334 610 Puerto Rico 3 162 902 3 653 970 Rhode Island 1 703 082 1 875 702 South Carolina 2 841 326 2 699 260 South Dakota 498 400 498 400 Tennessee 3 170 878 3 012 334 Texas 20 923 017 23 346 206 Utah 2 094 873 2 064 137 Virginia 4 062 585 3 859 456 Virgin Islands 498 400 498 400 Vermont 840 838 798 796 Washington 9 632 979 9 770 996 Wisconsin 5 563 197 5 285 037 West Virginia 1 441 667 1 567 700 Wyoming 498 400 498 400 Projected state funding allocations for FY 2024 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 Fed. Reg. 39 018 and described in Section 4.b.i. of this UIPL. In FYs 2021 and 2022 the Department under the Congressional notification process described in Section 306 g SSA changed the base funding formula to delay implementation of the carry- over provision to FY 2023 at a temporarily increased carry-over limit of 60 percent. Training and Employment Notice No. 23-22 further clarified that any reductions to state funding resulting from exceeding the carry-over limit occur in the year following the occurrence of the carry-over rather than concurrently. Lastly the Department informed Congress on December 11 2023 of additional permanent modifications to the Department s implementation of the carry-over limitation. This permanent modification clarifies that a state s carry-over will be assessed based on the expenditure of funds awarded the FY before the preceding FY. Applying the applicable formula changes described above any adjustments to FY 2024 allocations due to carry-over are based on initial FY 2021 RESEA state base fund awards that were carried-over into FY 2023 i.e. as of September 30 2023 exceeding 60 percent of the state s initial based funding award. Attachment I I-3 These provided projected funding allocations reflect the final formula including all applicable revisions identified above and represent the maximum funding a state may request to support its FY 2024 RESEA activities. 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. States that did not receive an increase from the FY 2023 allocations were subject to the formula s minimum funding provision. The funding for these states was increased from their formula- based allocations 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 answer 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 goals 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 each 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 expenses 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 the 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. 10a. 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 11 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 12 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 13 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 discusses 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 Yes No Check box Yes No If Yes then proceed to Element 16. Note RESEAs are considered statewide if operating in at least one location in each Workforce Innovation and Opportunity Act WIOA workforce 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 activities 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 RESEA-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 and 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 conditions requirements and benefits. Proper notifications must be in clear and simple language and include warnings to ensure selected individuals are fully aware of the consequences of noncompliance with the state s policies related to non-attendance and or nonfulfillment of UI work search requirements. Section 306 e 1 A i Social Security Act SSA . OMB Number 1205-0538 Expiration Date 11 30 2025 Attachment II II-9 18b. Do you assure that proper notification as described in Element 18a will be provided Yes No 18c. Insert description of notification process and attach template used for notifications. 19a. 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 19b. Insert a description of the reasonable scheduling accommodations provided. Please describe your rescheduling policies procedures and limitations for rescheduling. Be sure to identify which items have been automated versus in-person. 20a. UI Feedback Loop and Adjudication. Once selected for an initial or subsequent RESEA claimants are required to participate in all components of the RESEA. Failure to report or participate in any aspect of the RESEA must result in referral to the UI agency for adjudication under the applicable state law. States must include a description of the UI feedback loop and adjudication process. 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 UC 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 statutory 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 activities conform to purpose 1 as described in Element 21a 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 conform to purpose 2 as described in Element 21c. 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 claimants 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 Opportunity 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 21e 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 system 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 conform to purpose 4 as described in Element 21g 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 grant funds only for interventions and service delivery strategies designed to reduce the number of weeks for which program participants receive unemployment compensation by improving employment outcomes for participants including employment and earnings. States implementing RESEA interventions or service delivery strategies without a high or moderate causal rating must be under evaluation at the time of use. Section 306 e 1 B SSA . Do you assure that the state s RESEA program will satisfy the requirement to use grant funds only for interventions and service delivery strategies designed to reduce the number of weeks for which program participants receive unemployment compensation by improving employment outcomes for participants including employment and earnings Yes No 22b. Is your state using interventions that have received a High or Moderate RESEA causal rating 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 the 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-13 22d. 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-14 22h. 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-15 6. 7. 8. 9. 10. 11. Totals Attachment III III-1 Additional Grants.gov Submission Instructions The following is provided as additional instructions beyond what is already available on the www.grants.gov website. If encountering a problem with www.grants.gov and no resolution is found 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 complete or has been accepted for review. Rather www.grants.gov only verifies the submission of certain parts of the application. Before you begin to write the application the U.S. Department of Labor Department strongly recommends initiating and completing the Get Registered registration steps at https www.grants.gov register. Before registering 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 an application. The www.grants.gov website also contains the Step-By-Step Guide to Organization Registration to help applicants walk through the process. The next step in the registration process is creating a username and password with www.grants.gov to become an Authorized Organizational Representative AOR . AORs will need to know the Unique Entity Identifier 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 register. After creating a profile on www.grants.gov the E-Biz Point of Contact E-Biz POC a representative from the applicant s organization who is the contact listed for System of Award Management SAM will receive an email to grant the AOR permission to submit applications on behalf of the organization. The E-Biz POC will then log into www.grants.gov and approve an individual as the AOR thereby giving the AOR permission to submit applications. To learn more about AOR Authorization visit https www.grants.gov applicants applicant-registration or to track AOR status visit https www.grants.gov applicants grant-applications track-my-application. An application submitted through www.grants.gov constitutes a submission as an electronically-signed application. The registration and account creation with www.grants.gov with E-Biz POC approval establishes an AOR. When an application is submitted through www.grants.gov the name of the AOR on file will be inserted into the signature line of the application. State Workforce Agencies must register the individual who is able to make legally binding commitments for the organization as the AOR. This step is often missed and it is crucial for valid submissions. Attachment III III-2 When a registered applicant submits an application with www.grants.gov an electronic time stamp is generated within the system when the application is successfully received by www.grants.gov. Within two business days of application submission www.grants.gov will send the applicant two email messages to provide the status of the application s progress through the system. The first email sent almost immediately will contain a tracking number and will confirm receipt of the application by www.grants.gov. The second email will indicate that the application either has been successfully validated or has been rejected due to errors. If the applicant s registration in SAM is expired www.grants.gov will reject the application. Only applications that have been successfully submitted in www.grants.gov by the deadline and subsequently successfully validated will be considered. It is the state s responsibility to ensure a timely submission. While it is not required that an application be successfully validated before the deadline for submission it is prudent to reserve time before the deadline in case it is necessary to resubmit an application that has not been successfully validated in www.grants.gov. Therefore adequate time should be allotted for submission two business days recommended and additional time to address any errors and requiring validation upon resubmission an additional two business days for each ensuing submission . To ensure consideration the components of the application must be saved as .doc .docx .xls .xlsx .rtf or .pdf files. If submitted in any other format the applicant bears the risk of compatibility or other issues preventing a state s application from being considered. The Department will not attempt to convert the document to an appropriate format or apply any other method to open the document. The Department will notify the state and request the components be resubmitted in one of the formats identified above. 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 applicants applicant-faqs. 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 connect manage-subscriptions . Attachment IV IV-1 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 Office of Management and Budget OMB Control No. 4040-0004 Grants.gov Expiration Date 11 30 2025. https www.grants.gov forms forms-repository sf-424- family Section 8 APPLICANT INFORMATION o Legal Name The legal name must match the name submitted with the System for Award Management SAM . Please refer to instructions at https www.sam.gov o Employer Tax Identification Number EIN TIN Input your correct 9-digit EIN and ensure that it is recorded within SAM. o Unique Entity Identifier Requirements o Effective 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 Services Administration GSA Unique Entity Identifier Update webpage. o If 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. o Please ensure that your state is registered with the SAM. Instructions for registering with SAM can be found at https www.sam.gov. Additionally the state must maintain an active SAM registration with current information at all times during which it has an active Federal award or an application under consideration. To remain registered in the SAM database after the initial registration there is a requirement to review and update the registration at least every 12 months from the date of initial registration or subsequently update the information in the SAM database to ensure it is current accurate and complete. Failure to register with SAM and maintain an active account will result in a rejection of your submission. Attachment IV IV-2 o Address Input the complete address including Zipcode 4 Example 20110-831. For look-up use link at https tools.usps.com go ZipLookupAction input.action o Organizational Unit Input appropriate Department Name and Division Name if applicable o Name and contact information of person to be contacted on matters involving this application. Provide complete and accurate contact information including telephone number and email address for the point of contact Section 9 Type of Applicant 1 Select Applicant Type Input State Government Section 10 Name of the Federal Agency Input Employment and Training Administration Section 11 Catalog of Federal Domestic Assistance Number include the accurate Catalog of Federal Domestic Assistance Number for the applicable Funding Opportunity Example 17.225 for Unemployment Insurance Section 12 Funding Opportunity Number and Title Input the appropriate funding opportunity number and Title Example UIPL No. 1-17 Health Coverage Tax Credit TEGL 17-15 WIOA Adult Dislocated Worker and Youth Activities Program Allotments Attachment V V-1 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 unemployment compensation UC 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 of Labor appropriations act for FY 2019. This provision was continued in all subsequent Department of Labor appropriations for RESEA and is anticipated to continue in FY 2024. 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 2024. 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 B9F225BA8D0737F7 A0B93918524B5F13 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 were 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 . FY 2023 Continuation of the provisions from FY 2019 FY 2020 FY 2021 and FY 2022. 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.D. of this UIPL. V-2 FY 2024 Continuation of the implemented provisions in FY 2023 and previous FY provisions continued in FY 2023. No new statutory provision. Attachment VI VI-1 Reemployment Services and Eligibility Assessments RESEA Program Evaluation Report Recommendations to Support National Analyses State evaluation findings will be useful for program operators and policy makers. For this reason it s important that your RESEA program evaluation reports are well-documented and contain The interventions being tested The context of the evaluation and Impact and analysis results with well-documented statistical details. Complete consistent and high-quality program evaluation reports can enable various types of evidence syntheses and other secondary data analysis including meta-analyses that can empirically synthesize information from across multiple relevant evaluations. These types of syntheses can support RESEA evidence building by enabling a broader understanding of effective interventions which will improve CLEAR s ability to rate RESEA interventions for states use. Such analyses can also identify gaps in knowledge where states could stand up new studies and inform program operators and policy makers interested in continuous improvement of the RESEA program. The Department s ability to facilitate or conduct successful secondary analyses such as meta- analyses to benefit states is dependent on states program evaluation reports including consistent information about the key evaluation components described below. At a minimum each state must include the following information in their evaluation report as appropriate to their evaluation design. States are not limited to reporting on the below information and should work with their independent evaluator to ensure reports are reporting appropriate information based on the evaluation design used. STUDY CHARACTERISTICS AND CONTEXT What elements of the program that are being studied must if appropriate to the evaluation design be included to conduct a meta- analysis Intervention and Comparison Conditions What interventions program policy practice etc. does the study evaluate What specific services or activities did the intervention consist of Was there any adjustment or adaptation implemented in the study What services if any did the comparison group receive Setting Where did the study take place What are the key characteristics of the setting urban suburban or rural state etc. . In what years did the study take place Attachment VI VI-2 Study Sample Who participated in the study How were they selected and recruited What were the ages of participants What were the criteria for participation in the program or the intervention What are their socio-demographic characteristics STUDY DESIGN AND ANALYSIS The following are the elements that a meta-analysis would need to know about the program that are being studied the study s setting and the sample of study participants. Study Design What was the study s design e.g. randomized experiment quasi-experimental design descriptive If an impact evaluation how were the units e.g. individuals groups of individuals assigned to the program with a description of the control comparison condition e.g. random assignment matched comparison Measure Identify the measurement instrument if any and data source self-reports administrative data for the measures. Identify the timing of all measurements in the study including any pre-tests. Baseline Equivalence Provide information needed to assess baseline equivalence of program and comparison groups. Evaluators should provide information needed to assess baseline equivalence of program and comparison groups on demographics and on key characteristics that may predict the outcome s of interest. For outcomes such as earnings where pre-intervention measures are available and relevant equivalence should be shown on those measures. For analysis of employment evaluators should show equivalence on available measures of employment history and earnings. For analyses of unemployment compensation UC duration equivalence on UC profiling scores is important because that is a measure of expected risk of benefit exhaustion maximum UC duration . Equivalence on other measures related to pre-claim employment history and prior UC claims may be important as well. Methods of Data Analysis Describe the analytical models or methods used to estimate impacts. Attachment VI VI-3 Specify the variable if any that were included as controls in the analysis. Specify the unit of analysis e.g. cluster individual and if applicable how clustering was addressed. Missing Data How did the analysis account for missing data if any Specify the type of data baseline outcome or both for which missing data methods were used. IMPACT ANALYSIS RESULTS As appropriate to the evaluation design the evaluation must report the following for each outcome measure and each subgroup as available Sample size for the treatment group. Unadjusted control comparison group standard deviation. Unadjusted treatment group mean outcome. Impact estimate with information on how it was computed if other than raw difference in means and associated p-value. Unadjusted treatment group standard deviation. Standardized difference. Sample size for the control comparison group. Unadjusted control comparison group mean. If any information from unadjusted sample sizes group means standard deviations are missing the following should be documented from a study s report Coefficient from the impact estimation model. Standard error of the impact and if the standard error is unavailable the specific p-value associated with the impact estimate . For additional information on communicating and reporting study findings please see the Reemployment Services and Eligibility Assessment RESEA Toolkit on the WorkforceGPS site along with other evaluation technical assistance resources.