UIPL 08-24.pdf

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.

https://www.grants.gov/

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 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, 5th 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) 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 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 20th 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 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 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 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’ 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 the ir 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 https://www.dol.gov/agencies/eta/grants/management/reporting https://www.dol.gov/sites/dolgov/files/OASP/evaluation/pdf/RESEA_Toolkit_February2021.pdf

(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; (v i) 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 https://www.dol.gov/sites/dolgov/files/OASP/evaluation/pdf/RESEA_Toolkit_February2021.pdf https://rc.workforcegps.org/resources/2016/10/03/06/29/~/link.aspx?_id=472F42AAE3FD4A159CBCC374AAA36CCB&_z=z 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

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;

mailto:OUI.RESEA@dol.gov 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.

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 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 https://clear.dol.gov/reemployment-services-and-eligibility-assessments-resea 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 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 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 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.

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.

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.

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.