ETA-UIPL-10-22.pdf

EMPLOYMENT AND TRAINING ADMINISTRATION

ADVISORY SYSTEM

U.S. DEPARTMENT OF LABOR

Washington, D.C. 20210

CLASSIFICATION

UI RESEA

CORRESPONDENCE SYMBOL

OUI/DL

DATE

January 21, 2022

RESCISSIONS

None

EXPIRATION DATE

Continuing

ADVISORY:

TO:

UNEMPLOYMENT INSURANCE PROGRAM LETTER NO. 10-22

STATE WORKFORCE AGENCIES

FROM: ANGELA HANKS

Acting Assistant Secretary

SUBJECT: Fiscal Year (FY) 2022 Funding Allotments and Operating Guidance for

Unemployment Insurance (UI) Reemployment Services and Eligibility

Assessment (RESEA) Grants

1. Purpose. To provide guidelines for the FY 2022 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; 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 2022 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 Monday, March 7, 2022.

3. Summary and Background.

a. Summary – This UIPL provides general operating guidance for the RESEA program for

FY 2022: (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 re quirements; (e) evidence-based interventions and evaluation requirements; and (f) the RESEA State Plan submission process.

https://www.grants.gov/ https://www.grants.gov

This UIPL is published concurrently as a Training and Employment Guidance Letter

(TEGL) No. 5-21. The joint UIPL/TEGL reflects the shared responsibilities across UI and workforce programs in conducting RESEA activities. The guidance documents are identical other than non-substantive changes to formatting.

b. Background – Since 2005, the Department and participating state UI agencies have leveraged the voluntary UI Reemployment and Eligibility Assessment (REA) program and its successor, the voluntary RESEA program, to address individual reemployment needs of unemployment compensation (UC) claimants and to prevent and detect UC improper payments. Because there is strong evidence that these types of reemployment programs and service delivery strategies are effective, they remain a high priority for the

Department.1

The purposes of the RESEA program are identified in Section 306(b) of the Social

Security Act (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 the alignment with the broader vision of WIOA of increased program integration and service delivery for job seekers, including UC claimants; and

(4) To establish reemployment services and eligibility assessments as an entry point for UC claimants into other workforce system partner programs.

The Bipartisan Budget Act of 2018, Public Law 115-123 (BBA), enacted on February 9, 2018, included amendments to SSA creating a permanent authorization for the RESEA program. The RESEA provisions are contained in Section 30206 of the BBA, enacting new Section 306 of the SSA. The permanent RESEA program includes phased implementation that spans several years, as explained in UIPL no. 13-21, Section 3.b.

Major implementation components are summarized in Attachment V to this UIPL.

The American Rescue Plan Act (ARPA) (Public Law (Pub. L.) 117-2) was enacted on

March 11, 2021. Section 9032, ARPA, creates a new Section 2118 of the Coronavirus

Aid, Relief, and Economic Security (CARES) Act (Pub. L. 116-136), as amended, and provides for a $2,000,000,000 appropriation for the Secretary of Labor to detect and

1 USDOL, CLEAR Reemployment Synthesis, November 2018; Abt Associates, November 2019, Evaluation of

Impacts of the Reemployment and Eligibility Assessment (REA) Program; IMPAQ International, March 2020, Low-Cost Randomized Control Trial Study of the Nevada Reemployment and Eligibility Assessment (REA)

Program. (https://clear.dol.gov/sites/default/files/ResearchSynthesis_Reemployment_0.pdf;

https://www.dol.gov/sites/dolgov/files/OASP/evaluation/pdf/REA%20Impact%20Study%20-

%20Final%20Report.pdf; and https://osf.io/rja28/) https://clear.dol.gov/sites/default/files/ResearchSynthesis_Reemployment_0.pdf https://www.dol.gov/sites/dolgov/files/OASP/evaluation/pdf/REA%20Impact%20Study%20-%20Final%20Report.pdf https://www.dol.gov/sites/dolgov/files/OASP/evaluation/pdf/REA%20Impact%20Study%20-%20Final%20Report.pdf https://osf.io/rja28/ https://osf.io/rja28 https://www.dol.gov/sites/dolgov/files/OASP/evaluation/pdf/REA%20Impact%20Study%20 https://clear.dol.gov/sites/default/files/ResearchSynthesis_Reemployment_0.pdf prevent fraud, to promote equitable access, and to ensure timely payment of benefits to eligible workers with respect to UI programs. Funds made available under this UIPL are provided in addition to the ARPA Fraud Prevention Grant 2021 made available with

UIPL No. 22-21, the UI Equity Grant 2021 made available with UIPL No. 23-21, and the

UI Tiger Team Grant 2021 made available with UIPL No. 02-22. States are encouraged to leverage these combined resources. See Section 4.c.iii. of this UIPL for additional discussion about promoting program equity within the context of RESEA.

4. Guidance.

a. Definitions. To reflect the increased opportunity for innovation provided by the permanently authorized RESEA program, and assist states in conducting RESEA planning and performance reporting, several definitions were introduced in FY 2020 that will continue, unchanged, in FY 2022. These definitions identify minimum levels of service delivery. States are strongly encouraged to integrate a wide range of additional services that can identify and respond to the specific needs of each UC claimant.

Each definition includes information on how the item should be reported on the RESEA

State Plan and the ETA 9128 report. See Attachment II for the RESEA State Plan template, as well as further discussion in Section 4.f. of this UIPL. See Employment and

Training (ET) Handbook No. 401, 5th Edition for additional information on the ETA

9128, as well as discussion in Section 4.d.v.B. of this UIPL.

i. Initial RESEA – The term “initial RESEA” refers to the first meeting between a

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 Employment Service program;

(4) Support, to the extent needed, for the claimant in the development of an individual reemployment plan tailored to the claimant’s needs; and

(5) Referral and information provided for additional reemployment services, and other American Job Center services, resources, and trainings (as appropriate).

The above list identifies the minimum requirements for an initial RESEA.

States may add additional activities or services as part of their respective service delivery designs. This may include the addition of “subsequent

RESEA” sessions (see Section 4.a.ii. of this UIPL). 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 18, 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 Element 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 UI 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 effective method in making referrals to additional reemployment services.

B. Reporting instructions for RESEA State Plan. Report under Element 18, Total Number of RESEAs Projected to be Completed is the number of

RESEAs the State plans to complete. This element records both the initial and subsequent completed RESEA sessions.

C. Reporting instructions for ETA 9128. There is not a designated item on the

ETA 9128 to record subsequent RESEA sessions. States must report the scheduled, completed, and failure to report subsequent sessions in the comment section of the ETA 9128 report.

iii. Reemployment Services – States must develop processes to refer 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 134(c)(2), WIOA, and further detailed at 20 CFR 678.430.

Each state will identify the types and quantity of reemployment services provided, but must ensure that its respective RESEA program design and the services provided supplement, rather than supplant, federal, state, and local public funds that would otherwise be expended on reemployment services in the absence of a RESEA program.

Referrals to reemployment services resulting from RESEA are captured on the ETA

9128, elements 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 Employment Service program and other WIOA partners by RESEA.

A. Reporting instructions for RESEA State Plan. Report under the narrative sections describing service delivery and referral processes.

B. Reporting instructions for ETA 9128. Report under Element 4, Number reporting for reemployment services or training and Element 5, Number reporting for reemployment services. These elements 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 a 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 under Element 4, Number reporting for reemployment services or training, and Element 6, Number reporting for training require the number of claimants that report to training as a result of RESEA referral.

C. Other important items to note. Training activities resulting from RESEA referrals will be reported through the workforce program reporting structures for the training activities to which the claimant is referred.

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 appropriated FY 2022 funding level of $250,000,000. The projected funding level is distributed across three funding streams:

eighty-nine (89) percent ($222,500,000) awarded to states via the base-funding formula (see Section 4.b.i. of this UIPL);

ten (10) percent ($25,000,000) awarded to states for outcome payments (see Section

306(f)(2), SSA); and one (1) percent ($2,500,000) 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 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 allocation formula was published in the Federal

Register on August 8, 2019 (84 Fed. Reg. 39,018).

Attachment I provides projected 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 2022, each state will receive no less than an amount equal to at least 96 percent of its FY 2021 allotment.

B. Minimum funding. No state will receive an amount equal to less than 0.28 percent of the total available funding for FY 2021 RESEA’s base funding level or $498,400.

C. Carry-over threshold. Subject to a temporary modification for FY 2022 and

FY 2023 explained below, a state may carry over from its previous year’s grant award up to 30 percent of the state’s previous year grant award.

Amounts in excess of 30 percent would be reduced from the state’s subsequent allocation.

D. Modifications to FY 2022 formula allocation. The Department may change the final allocation methodology in accordance with Section 306(g), SSA, upon providing a 90-day notification to Congress before the change may take effect. As described in Section 6 of UIPL No. 13-21, the Department implemented such a change to suspend the carry-over threshold for FY 2021 funds. This change was implemented to reflect program disruptions, including temporary program suspensions, resulting from COVID-19.

For FY 2022 and FY 2023, the Department intends to further modify implementation of the 30-percent carry-over threshold. Specifically, the

Department is proposing to suspend the 30-percent carry-over limit for FY

2022 grants and to phase in the requirement for FY 2023 grants at the modified level of 60 percent. For all grant awards after FY 2023, the 30-percent limit will be applied. This change is being proposed in response to the

COVID-19 pandemic’s continuing impact on RESEA operations. Congress was notified of this change on October 25, 2021; it will take effect on January

23, 2022.

ii. RESEA Outcome Payments. The Department will award outcome payments to states participating in the RESEA program that, in the previous fiscal year, met or exceeded certain outcome goals. These outcome payments will increase the amount otherwise awarded to a state in its base-funding allocation, in accordance with

Section 306(f)(2), SSA. See 86 Fed. Reg. 57,856, published on October 19, 2021, for additional details.

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 Employment Service program. RESEA funds must be used to support states in providing initial RESEAs, subsequent RESEAs (where determined appropriate by the state), and reemployment services (where determined appropriate by the state.

These funds must supplement the level of federal, state, and local public funds that are already expended to provide reemployment services and eligibility assessments to individuals receiving UC. Thus, only reemployment or other service costs that are a direct result of a claimant’s participation in the RESEA program may be reimbursed using RESEA funds.

RESEA funds may not supplant UI grant funds devoted to other state UI program enforcement or program eligibility review activities. This includes federal, state, or 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.

iv. Administrative Cost Limitations – Beginning in FY 2017, ETA limited RESEA administrative costs to a specific percentage of the each state’s annual grant award.

These limits were intended to align RESEA with other similarly-sized discretionary grants. FY 2022 RESEA grants are no longer subject to a specific administrative cost limit. 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 by increasing permanent RESEA staffing and supporting other resources necessary to increase 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 2022 RESEA state plans.

v. Evaluation Set-Aside Funds – Beginning in FY 2023, states must link a percentage of their RESEA funding to evidence-based components with a high or moderate causal rating that show a demonstrated capacity to improve employment and earnings outcomes for program participants. This percentage will incrementally increase through FY 2026. In anticipation of these forthcoming funding constraints, states must engage now in conducting such evaluations to build the necessary evidence to support a successful RESEA program in the future.

To support this forthcoming requirement, Section 306(d), SSA, allows states to use up to 10 percent of their RESEA grant funds (including the base grant and outcome payment amount) to conduct or commission evaluations of interventions and service delivery strategies used in carrying out the RESEA program. If a state finds that the evaluation funding is insufficient to conduct a rigorous evaluation needed to build evidence-based strategies, the state is encouraged to explore multi-year funding strategies, 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.

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, Staff and Administrative Costs for a Single Completed Initial RESEA and 10, Completed Initial RESEA Staffing and Time. If the state has subsequent

RESEAs, report under Element 11, Staff and Administrative Costs for

Subsequent RESEA and Element 12, Completed Subsequent RESEA Staffing and Time.

B. Reporting instructions for ETA 9128. Average costs of Initial and

Subsequent RESEAs is 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 2022

RESEA funds will be January 1, 2022, through September 30, 2023. FY 2022 funding must be obligated by September 30, 2023, and liquidated by December 31, 2023. 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.

https://www.dol.gov/agencies/eta/grants/management/reporting

Since FY 2019, the Department’s appropriation acts have contained a provision providing states discretion in identifying additional claimant populations among recipients of regular UC, thus removing the requirement that states target only those

UC claimants determined most likely to exhaust UC benefits under Section 303(j), SSA. It is anticipated that this flexibility will be continued during FY 2022.

Historically, states excluded from RESEA selection UC claimants who have a definite return-to-work date, who secure work only through a union hiring hall, or who are in approved training. These blanket exclusions were based on the assumption that participation in the RESEA program would not reduce the duration of

UC recipiency for such individuals. Beginning in FY 2020 and continuing into FY

2022, states are encouraged to consider expanding 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.

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.

Note: Individuals receiving extended benefits (EB) or payments under temporary federal UC programs are not eligible for RESEA services. As described in Section

7.b. of UIPL No. 13-21 (also issued as TEGL 12-20), states should continue to leverage partnerships across available workforce partners to ensure other reemployment assistance is made available to recipients and exhaustees of these temporary programs.

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

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. Having a strong data analytics model to identify claimants filing new UC claims who are most likely to exhaust UC from that claim 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 23, 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 mailto:OUI.RESEA@dol.gov are as effective as communications with others; (3) ensuring all communications are linguistically and culturally appropriate and that LEP individuals are effectively informed and able to participate in the RESEA program; and (4) ensuring that data is available to understand the impact, if any, of RESEA service delivery on the equitable access to UC for all eligible individuals.

Some questions that states may consider in this effort include:

What logistical supports are needed to best serve individuals selected for

RESEA participation in rural and urban communities?

Are there technology concerns that impact access?

Has the state regularly updated its selection process to reflect current economic conditions and other factors?

Are notifications and other information about RESEA and other reemployment services clear, 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:

(1) enhance the participants’ experience with RESEA services; (2) complement the resources and services provided during the initial RESEA or subsequent RESEA; and

(3) massively 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.

vi. Integration with WIOA, Employment Service, 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 so as 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

Employment Service program (co-enrollment is required with the Employment

Service program as described in Section 4.d.iv. of this UIPL), Trade Adjustment

Assistance, Dislocated Worker Grants, Registered Apprenticeship, Jobs for Veterans

State Grants, and the WIOA Adult and Dislocated Worker programs.

vii. Additional Resources to Support Program Implementation – States may leverage the 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.

d. Program Operations. The following section describes: (i) the required engagement of

UI staff in RESEA program operations; (ii) claimant participation in RESEA activities and rescheduling; (iii) the communication feedback loop with UI staff for adjudication activities; (iv) the requirement that claimants be co-enrolled in the Employment Service program; and (v) state performance reporting.

mailto:OUI.RESEA@dol.gov https://rc.workforcegps.org/resources/2021/05/28/13/29/RESEA_QSAP https://www.workforcegps.org/resources/2020/01/16/13/21/service-delivery-virtual-tools https://www.workforcegps.org/resources/2020/01/16/13/21/service-delivery-virtual-tools

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 they 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 to report potential eligibility issues.

iv. Required Co-Enrollment in Employment Service Program – The Department requires that RESEA participants be co-enrolled in the Wagner-Peyser Act-funded

Employment Service program as part of the initial RESEA. This is to promote the integrated service delivery described in Section 4.c.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 Employment Service case management and performance reporting systems as

“referred by RESEA.” Given the structure of the state’s workforce system, co-enrollment in WIOA Dislocated Worker or other available programs may also be appropriate but is not a requirement of this grant.

v. Performance Reporting – There are three mechanisms under which RESEA performance will be monitored. This includes RESEA performance reporting measures obtained from the WIPS, the state’s submission of their quarterly ETA 9128 and ETA 9129 reports, and the state’s Quarterly Narrative Progress Report (ETA

9178).

A. RESEA Performance Reporting. To support employment goals for UC claimants and the vision of WIOA for a set of primary indicators of 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 2nd quarter after program exit quarter for

RESEA program participants;

(2) Median earnings in the 2nd quarter after program exit quarter for RESEA participants; and

(3) Reemployment rate for all UC-eligible participants in the 2nd 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 2022 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

9/30/2022. All RESEA-related performance reports are due on the 20th day of the second month following the end of the reporting quarter.

A state UI staff member must review these reports for accuracy each calendar quarter and prior to submission, in addition to being reviewed by the RESEA program lead (if a different staff member).

Additional information about these reports is provided in Employment and

Training (ET) Handbook No. 401, 5th Edition. The Department is currently soliciting comments concerning a proposed revision to these reports; see notice published in the Federal Register on November 23, 2021 (86 Fed. Reg.

66,593).

C. Quarterly Narrative Progress Report (ETA 9178). States must complete the

Quarterly Narrative Progress Report (ETA 9178); OMB Control No. 1205-

0517, expiration date 7/31/2024. States must submit the ETA 9178 to their

ETA Regional Office no later than 45 days after the end of each reporting quarter. Additional information about the ETA 9178 is provided in UIPL No.

05-19.

e. Evidence-Based Interventions and Strategies and Evaluation Requirements.

Interventions and service delivery strategies funded by RESEA grant funds must demonstrate the 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 may 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 in FY 2022 and future years; (iii) opportunities for states to partner on impact evaluations; (iv) leveraging evidence across states; and (v) additional technical assistance available to states.

i. Tiered Evidence Approach – The phrase “tiered evidence” refers to a policy tool that allows agencies to tie 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 goal of this approach is 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; and (2) evaluates its RESEA interventions and service delivery strategies to determine their effectiveness in achieving these goals.

ETA provided preliminary guidance with regard to 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 Clearinghouse for Labor Evaluation and Research (CLEAR);

the standards for rating 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 2022-2027 – States must align their FY 2022 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 demonstrated the effectiveness of three intervention categories: the REA program, Job

Search Assistance (JSA) Services, and Profiling interventions.2 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 REA studies or other research should be under evaluation to develop the evidence base necessary to satisfy future 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 2021.3

2 Currently, these are the three interventions CLEAR has found to have achieved “high” or “moderate” intervention effectiveness ratings. In recent state plans, most states have used the REA intervention and its evidence to show their RESEA programs are evidence-based.

3 Currently, the Department uses a vote-counting strategy to rate RESEA intervention effectiveness. Criteria for

RESEA intervention effectiveness ratings are described in UIPL No. 01-20 (also published as TEGL No. 06-19), and CLEAR’s technical guidelines for operationalizing rating RESEA intervention effectiveness may be found here:

https://clear.dol.gov/sites/default/files/CLEAR%20guidelines%20on%20effectiveness%20of%20reemployment%20 interventions_final_Jan%202021.docx.pdf.

https://clear.dol.gov/sites/default/files/CLEAR%20guidelines%20on%20effectiveness%20of%20reemployment%20interventions_final_Jan%202021.docx.pdf https://clear.dol.gov/sites/default/files/CLEAR%20guidelines%20on%20effectiveness%20of%20reemployment%20interventions_final_Jan%202021.docx.pdf

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 state’s ongoing efforts. Additionally, causal evidence on RESEA program components will be necessary to meet future RESEA requirements. Moving forward, the Department strongly encourages states to develop new or modify current evaluations to help build causal evidence on specific RESEA components.

C. Forthcoming funding requirements. Beginning in FY 2023, states must devote at least 25 percentage of their RESEA funds for 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;

increasing to 40 percent during FY 2025 and 2026; and increasing to 50 percent after FY 2026. The chart below provides a tentative implementation timetable for the available RESEA evidence base.

Tentative 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 toward the 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

DOL’s RESEA Evaluation Technical Assistance Help Line at

RESEA@abtassoc.com.

iv. Evaluation Technical Assistance – Specialized RESEA evaluation technical assistance remains available, and 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 on the Clearinghouse for Labor Evaluation and Research mailto:RESEA@abtassoc.com mailto:RESEA@abtassoc.com https://rc.workforcegps.org/resources/2019/07/30/17/32/RESEA_Evaluation_Evidence_Resources https://rc.workforcegps.org/resources/2019/07/30/17/32/RESEA_Evaluation_Evidence_Resources

(CLEAR) RESEA Topic Area Tab (https://clear.dol.gov/reemployment-services-and-eligibility-assessments-resea).

A. Role of the Department’s Clearinghouse.