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Fiscal year 2023 RESEA grants and state plans
Summary ETA gave state agencies fiscal year 2023 grant amounts and operating rules for Reemployment Services and Eligibility Assessment programs. States seeking funds had to submit a state plan by April 10, 2023. The letter describes program design, reporting and evidence based service requirements for that year.
Document
Federal guidance
Agency
U.S. Department of Labor, Employment and Training Administration (ETA)
Document number
UIPL No. 02-23
Date issued
February 23, 2023
Status
Active
The letter states that it rescinds nothing and has a Continuing expiration designation. Its FY 2023 state plan deadline was April 10, 2023.
Status last verified October 24, 2026
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About this page: The full text below is the official document from U.S. Department of Labor, Employment and Training Administration (ETA). Ezel adds the plain-English summary and tracks the document's status. The official source linked on this page is authoritative for any reliance.
CLASSIFICATION
EMPLOYMENT AND TRAINING ADMINISTRATION Unemployment Insurance
ADVISORY SYSTEM CORRESPONDENCE SYMBOL
U.S. DEPARTMENT OF LABOR OUI/DL
Washington, D.C. 20210 DATE
February 23, 2023
ADVISORY: UNEMPLOYMENT INSURANCE PROGRAM LETTER NO. 02-23
TO: STATE WORKFORCE AGENCIES
FROM: BRENT PARTON
Acting Assistant Secretary
SUBJECT: Fiscal Year (FY) 2023 Funding Allotments and Operating Guidance for
Unemployment Insurance (UI) Reemployment Services and Eligibility
Assessment (RESEA) Grants
1. Purpose. To provide guidelines for the FY 2023 UI RESEA grants and to invite State
Workforce Agencies to submit a RESEA State Plan.
2. Action Requested. The U.S. Department of Labor’s (Department’s) Employment and
Training Administration (ETA) requests state agency administrators to provide information
contained in this 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 2023 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 10, 2023.
3. Summary and Background.
a. Summary – This UIPL provides general operating guidance for the RESEA program for
FY 2023: (a) definitions for RESEA-specific terms; (b) funding details, including the
base-funding formula for state grants, outcome payments, and evaluation set-aside costs;
(c) program design, including covered populations, promoting program equity, and a
discussion about remote and virtual service delivery; (d) program operations, including
the involvement of UI agency staff and performance reporting requirements; (e)
evidence-based interventions and evaluation requirements; and (f) the RESEA State Plan
submission process.
To support the ongoing implementation of the permanent RESEA program, ETA has
applied the following changes to required RESEA reports and the state plan template:
RESCISSIONS EXPIRATION DATE
None Continuing
• State Plan Template – The document is now a Word document to allow states to
describe and explain their program’s narratives without restriction. Moreover,
redundant sections were removed, and an evaluation chart was added to capture
evidence-based funding requirements under Section 303(c)(2) of the Social
Security Act (SSA) (See Attachment V of this UIPL for additional detail).
• Beginning in FY 2023, states must, as required by Section 303(c)(2), SSA,
dedicate a percentage of RESEA funding to evidence-based interventions with a
high or moderate causal evidence rating that improve employment and earnings
outcomes for RESEA participants. (See Attachment V of this UIPL for additional
detail.)
This UIPL is published concurrently as Training and Employment Guidance Letter
(TEGL) No. 08-22. The joint UIPL/TEGL reflects the shared responsibilities across UI
and workforce programs in conducting RESEA activities. The guidance documents are
identical other than non-substantive changes to formatting.
b. Background – Since 2005, the Department and participating state UI agencies have
leveraged the voluntary UI Reemployment and Eligibility Assessment (REA) program
and its successor, the voluntary RESEA program, to address individual reemployment
needs of unemployment compensation (UC) claimants and to prevent and detect UC
improper payments. Because there is strong evidence that these types of reemployment
programs and service delivery strategies are effective, they remain a high priority for the
Department.1
The purposes of the RESEA program are identified in Section 306(b), SSA:
(1) To improve employment outcomes of UC recipients and reduce the average
duration of UC receipt through employment;
(2) To strengthen program integrity and reduce improper UC payments 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.
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/)
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
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, the UI
Tiger Team Grant 2021 made available with UIPL No. 02-22, and the ARPA Navigator
Grant 2021 made available with UIPL No. 11-22. States are encouraged to leverage
these combined resources. See Section 4.c.iii. of this 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 to assist states in conducting RESEA
planning and performance reporting, several definitions were introduced in FY 2020 that
will continue, unchanged, in FY 2023. 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 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 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 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. There is not a designated item on the
ETA 9128 form to record subsequent RESEA sessions. States must report the
scheduled, completed, and failure to report subsequent sessions in the
comment section of the ETA 9128 report.
iii. Reemployment Services – States must develop processes to refer 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 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 Employment Service 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 appropriated FY 2023 funding level
of $375,000,000. The funding level is distributed across three funding streams:
• eighty-nine (89) percent ($333,750,000) awarded to states via the base-funding
formula (see Section 4.b.i. of this UIPL);
• ten (10) percent ($37,500,000) awarded to states for outcome payments (see Section
306(f)(2), SSA); and
• one (1) percent ($3,750,000) 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 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 2023, 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 threshold. Subject to a temporary modification for FY 2023
explained below, a state may carry over from its previous year’s grant award
up to 60 percent of the state’s previous year grant award. Amounts in excess
of 60 percent would be reduced from the state’s subsequent allocation.
D. Modifications to FY 2023 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 2023, the Department intends to continue the modified
implementation of the 30-percent carry-over threshold. In FY 2022, the
Department suspended the 30-percent carry-over limit and proposed to phase
in the requirement for FY 2023 grants at the modified level of 60 percent. For
all grant awards after FY 2023, the 30-percent limit will be applied. This
change was proposed in response to the COVID-19 pandemic’s continued
impact on RESEA operations. Congress was notified of this change on
October 25, 2021; it took effect on January 23, 2022. Formula allocations
provided in Attachment I do not include adjustments for the 60 percent carry-
over threshold. ETA will provide revised state-level allocations that reflect
application of the 60 percent carry-over threshold based on December 2022
financial reports provided in February 2023. States must account for carry-
over threshold as part of their RESEA State Plan activities.
Additionally, the Department modified the RESEA base funding formula
methodology to allow for subsequent base funding formula allocation(s) when
there are changes in the available base funding after the initial formula
allocation. Congress was notified of this change on September 6, 2022, and
this permanent change took effect on December 6, 2022. The Department
applied this change to allocate remaining FY 2022 base-funds that resulted
from several states requesting partial FY 2022 funding.
ii. RESEA Outcome Payments. The Department will award outcome payments to
states participating in the RESEA program that, in the previous fiscal year, met or
exceeded certain outcome goals. These outcome payments will increase the amount
otherwise awarded to a state in its base-funding allocation, in accordance with
Section 306(f)(2), SSA. See 86 Fed. Reg. 57,856, published on October 19, 2021, for
additional details. Moreover, the FY 2022 outcome payments timeline was extended
by appropriations acts and ETA will award FY 2022 outcome payments in March
2023.
iii. Allowable Use of Funds – When a state applies for RESEA funding, the state is
agreeing to integrate the RESEA program with other workforce partner programs,
including services funded under WIOA and the Wagner-Peyser Act, and to co-enroll
all RESEA participants into the 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 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 2023
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. 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 and outcome payment amount) to conduct or
commission evaluations of interventions and service delivery strategies used in
carrying out their RESEA programs. If a state finds that the evaluation funding from
a single year is insufficient to conduct a rigorous evaluation needed to build evidence-
based strategies, the state is encouraged to explore multi-year funding strategies,
and/or collaborate and pool its funds with other states. Additional detail is provided
in Section 4.e. of this UIPL. The evaluation costs must be reported quarterly in the
comment section of the ETA-9130 Financial Report, which is available at
https://www.dol.gov/agencies/eta/grants/management/reporting.
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 2023
RESEA funds will be January 1, 2023, through September 30, 2024. FY 2023
funding must be obligated by September 30, 2024, and liquidated by December 31,
2024. In the event that a state needs additional time to obligate or liquidate their
funds, the state must seek approval to modify its grant request. Section 4.f.iv. of this
UIPL provides instructions for requesting grant modifications.
c. Program Design. The following section describes: (i) UC claimant populations that are
covered by the RESEA program; (ii) the intersection of the RESEA and Worker Profiling
and Reemployment Services (WPRS) programs; (iii) promoting program equity; (iv)
required RESEA services; (v) remote service delivery and virtual resources; (vi)
integration with WIOA, Wagner-Peyser, and other workforce-funded services; and (vii)
additional resources to support program implementation.
i. Covered Populations – States are strongly encouraged to increase the percentage of
UC claimants that are selected for RESEA. Section 306(a), SSA, requires RESEA-
funded activities to be targeted to claimants determined most likely to exhaust UC, in
accordance with Section 303(j), SSA. Refer to Section 4.c.ii. of this UIPL for
additional details on the population of UC claimants identified in accordance with
Section 303(j), SSA.
Since FY 2019, the Department’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. The Department anticipates that this flexibility will be continued during FY
2023.
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
2023, states may 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 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.2
Individuals receiving extended benefits or payments under temporary federal UI programs are not eligible for
RESEA services. As described in Section 7.b. of UIPL No. 13-21 (also issued as TEGL No. 12-20), states should
continue to leverage partnerships across available workforce partners to ensure other reemployment assistance is
made available to recipients and exhaustees of these temporary programs.
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 [email protected].
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;
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 [email protected].
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 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.
C. CLEAR's RESEA Topic Area Tab. The Department’s Clearinghouse for
Labor Evaluation and Research (CLEAR) finds, summarizes, and assigns
causal evidence ratings to studies in the reemployment evidence base as well
as to RESEA interventions. This public resource is updated periodically as
new evidence is available. CLEAR's RESEA Topic Area Tab can be found
here: https://clear.dol.gov/reemployment-services-and-eligibility-assessments-
resea
d. Program Operations. The following section describes: (i) the required engagement of
UI staff in RESEA program operations; (ii) claimant participation in RESEA activities
and rescheduling; (iii) the communication feedback loop with UI staff for adjudication
activities; (iv) the requirement that claimants be co-enrolled in the Employment Service
program; and (v) state performance 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 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 2023 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
12/31/2025. All RESEA-related performance reports are due on the 20th day
of the second month following the end of the reporting quarter.
A state UI staff member must review these reports for accuracy 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 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 in FY 2023 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 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 including3:
• 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. 4
ii. Evaluation and Evidence-Base Expectations for FYs 2023-2027 – States must
align their FY 2023 RESEA State Plans and program design with the evaluation and
evidence-based requirements and guidance identified in UIPL No. 01-20.
A. Adopting a “culture of evidence.” The successful implementation of
evidence-based requirements necessitates that all states operating RESEA
Additional approaches for developing RESEA evidence is described in DOL’s report Options for Building
Evidence on RESEA Program which was published in April 2022 and available at:
https://www.dol.gov/sites/dolgov/files/OASP/evaluation/pdf/resea/Options_for_Building_Evidence_on_RESEA_Pr
ograms_final_508c.pdf
Information about the current state of RESEA evidence is included in DOL’s Reemployment Services and
Eligibility Assessments (RESEA) Evidence Building and implementation Study published in June 2022 and available
at: https://www.dol.gov/agencies/oasp/evaluation/completedstudies/RESEA-Evidence-Building-Implementation-
Study
programs adopt and continually seek to foster a culture of evidence. In places
with a well-established culture of evidence, learning is valued and prioritized,
and evidence is recognized as an essential tool for supporting continuous
learning and program improvement. Building evidence is also perceived 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. With practical application, program managers within
a culture of evidence make decisions informed by strong evidence, consider
suggestive evidence, and continually build evidence to fill gaps. A culture of
evidence is best supported when evidence-building activities, such as
evaluation, are integrated during the early stages of program design and
continued throughout program operations as part of a continuous cycle of
learning and improvement.
A culture of evidence depends on a dynamic growing and changing evidence
base, rather a single study. The use of a dynamic evidence base may be
especially true within the RESEA program due to the need to frequently
modify services in response to changing economic conditions, new state UI
requirements, and innovations in service-delivery and technology. As part of
the RESEA evidence culture, the Department expects states to continue with
their continuous learning cycles, use current evaluations to inform and guide
future evidence building, as state evaluations will add to the national portfolio
of RESEA evidence. Additionally, states can apply studies from the entire
RESEA evidence base, including impact evaluations completed in other
states, to meet RESEA evidence requirements. The use of evidence across
states is intended to supplement rather than replace state-specific evidence,
and states are still expected to conduct their own evidence-building – and in
particular, their own impact studies – as part of RESEA participation.
B. Existing evidence. The Department currently 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, Job
Search Assistance (JSA) Services, and Profiling interventions.5 These
categories are discussed in more detail in Section 9 of UIPL No. 01-20.
The REA program was replaced by the RESEA program in FY 2015 (see
UIPL No. 13-15). Permission for states to rely on the REA 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
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. Additional information available at:
https://clear.dol.gov/reemployment-services-and-eligibility-assessments-resea
between the REA and RESEA programs and the inherently evolving nature of
an evidence-based culture, where programs continually adapt based on
available evidence to improve program results. The timeframe for the final
phasing-out of the REA intervention category will be announced in future
guidance.
C. Building future evidence to support whole program service delivery and
components of service delivery. RESEA program components that were not
evaluated previous impact studies should be under evaluation to develop the
evidence base necessary to satisfy future RESEA tiered-evidence program
requirements. To meet future evidence-based requirements, all states are
expected to continue to conduct the RESEA evaluations that were
implemented during FY 2021.6
To date, the majority of states have reported that they are pursuing whole
program evaluations of RESEA. The Department recognizes the value of
whole program evaluations and supports states’ ongoing efforts. Additionally,
causal evidence on RESEA program components will be necessary to meet
future RESEA requirements. Moving forward, the Department strongly
encourages states to develop new or to modify current evaluations to build
causal evidence on specific RESEA components as well.
D. Evidence-Based Funding requirements. Beginning in FY 2023, states must
devote at least 25 percent of their RESEA funds to interventions with a high
or moderate causal evidence rating that shows demonstrated capacity to
improve employment and earnings outcomes for program participants. The
minimum funding level is 25 percent during FY 2023 and FY 2024; 40
percent during FY 2025 and 2026; and 50 percent after FY 2026. The chart
below provides an implementation timetable for the available RESEA
evidence base. Attachment II of this UIPL, Elements of an Unemployment
Insurance (UI) Reemployment Services and Eligibility Assessment (RESEA)
Grant State Plan, has been revised to include a new Element 22i. that will be
used to capture information responding to this new requirement.
Implementation Timetable for RESEA Evidence-base by Fiscal Year
Fiscal Years Required Percentage of RESEA Funds Dedicated to
Program Components with a High or Moderate Causal
Evidence Rating
FY 2022 None
FYs 2023-2024 25% of RESEA award
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.
FYs 2025-2026 40% of RESEA award
After FY 2026 50% of RESEA award
iii. State Partnering on Impact Evaluations – As part of evaluation planning and
implementation, states are strongly encouraged to explore potential evaluation
partnerships with other states with a goal of conducting a single evaluation that would
answer research questions and build evidence on RESEA programs for all involved
states. These partnerships could allow for increased efficiencies, pooling of
resources, and larger sample sizes necessary to collect evidence at a program
component level. For assistance locating potential partner states, please contact
DOL’s RESEA Evaluation Technical Assistance Help Line at
[email protected].
iv. Evaluation Technical Assistance –The Department is committed to the ongoing
improvement of RESEA programs by generating evidence that can inform each
state’s program design and development. To assist each state with this evidence-
building process, ETA has been working closely with the Department’s Chief
Evaluation Office to provide a wide-range of evaluation technical assistance through
a combination of general resources, such as webinars and toolkits, and customized
technical assistance that is tailored to the unique needs of a specific state.
States are encouraged to submit any technical assistance requests to the Department’s
RESEA Evaluation TA Help Line at [email protected]. An archive of previous
RESEA evaluation technical assistance webinars and related resources is maintained
on WorkforceGPS at
(https://rc.workforcegps.org/resources/2019/07/30/17/32/RESEA_Evaluation_Eviden
ce_Resources) and within the RESEA evaluation resource list, which is updated
periodically (current version is here: https://d2leuf3vilid4d.cloudfront.net/-
/media/A6426940848D42738AAE31B139CF1318.ashx?rev=74C2A83F4B39350106
A5A5E62F6A90E4). DOL’s Clearinghouse for Labor Evaluation and Research
(CLEAR) also includes resources that may be of interest, including its RESEA Topic
Area Tab (https://clear.dol.gov/reemployment-services-and-eligibility-assessments-
resea).
A. Ad-hoc customized RESEA evaluation technical assistance. States may
contact the Evaluation TA Help Line at [email protected] to request ad-
hoc customized evaluation technical assistance. Available customized
technical assistance includes but is not limited to:
• Technical advice on evaluation designs that meet CLEAR (See Section
4.e.1. of this UIPL) high or moderate evaluation standards;
• Technical and logistical advice on evaluation implementation, including
challenges that may occur after an evaluation begins;
• Tips for procuring an independent, third-party evaluator;
• Help with research questions and determining appropriated evaluation
design;
• Assistance in identifying other states interested in conducting multi-state
evaluations and assisting in laying the groundwork for those partnerships;
• Information on specific RESEA evaluation topics (e.g., how to implement
random assignments in your information systems, staff training on how to
implement random assignments, and more);
• Assistance with data-related questions and issues, such as data access or
quality issues, identifying fields relevant to service delivery and the
evaluation; and
• Support with meeting CLEAR’s standards.
B. Role of the Department’s Clearinghouse. As described in Section 6 of UIPL
No. 01-20, the Department will leverage CLEAR to identify evaluations in the
evidence base that are relevant to the RESEA program and determine which
impact studies have high, moderate, or low causal evidence ratings. As more
causal evidence becomes available, it is the Department’s intent that
CLEAR’s RESEA intervention categories will be updated and become more
precise over time, so states can use the best available evidence to improve
programs for their participants.
To facilitate this evolution, the Department anticipates that CLEAR will
conduct periodic systematic evidence reviews to find, summarize, and rate
reemployment studies and related RESEA interventions. To do this, it is
important that states and their independent evaluators make RESEA program
evaluation reports publicly available.7 States and their evaluators are invited
to notify CLEAR when and where new studies are publicly posted, by
contacting CLEAR at https://clear.dol.gov/about/contact-us.
f. RESEA State Plan Submission. This section discusses: (i) the RESEA State Plan
package; (ii) what happens with disapproved State Plans; (iii) available technical
assistance during the grant submission process; and (iv) the process for requesting a grant
modification.
Each state must submit a plan that outlines how the state intends to conduct its RESEA
program, as required under Section 306(e), SSA, to receive RESEA grant funds. Plans
must be submitted via https://www.grants.gov/ by April 10, 2023.
As part of the timely submission and review process, each state must provide all required
and correctly completed RESEA State Plan documents as described below. Incomplete
submissions will be returned for correction without review.
At a minimum, states should receive final reports from their independent evaluators. States may also wish to
receive and publicly post interim reports during the course of their program evaluations. Interim reports can provide
useful information for states needing to use that evidence to inform ongoing program decisions, and add timely
evidence to the growing RESEA evidence base. States and their evaluators may determine the frequency of
reporting that is appropriate and feasible.
i. RESEA State Plan Package. Each state’s submission must consist of the following
documents:
A. RESEA State Plan Template: This refers to the revised template that is a
Word document. The updated State Plan Template includes the addition of
elements to collect information specific to subsequent RESEA sessions, and an
evaluation chart to better support states in meeting the requirement to devote a
specific percentage of their RESEA funding to evidence-based components
with a high or moderate causal rating, as set forth in Section 303(c)(2), SSA.
When providing answers to each component, the state must include details and
contextual information regarding how the state modified its RESEA programs
during FY 2022 and the planned activities for FY 2023. This may include, but
is not limited to, information about unplanned RESEA changes, and any impact
those changes had or continue to have on the performance, staffing, and
operations of the state’s RESEA program. Moreover, if any FY 2022 RESEA
activities were modified or funding expenditures delayed, please provide a
timeline of resumed activity. Likewise, states are to provide a timeline for any
proposed modification of activities to occur in the FY 2023. Attachment II to
this UIPL, the RESEA State Plan Template (OMB Control No. 1205-0538,
expiration date 10/31/2022) can be found on
https://www.grants.gov/ and ETA’s Regional Offices.
B. SF-424: Application for Federal Assistance (OMB Control No. 4040-0004,
expiration date 12/31/2022). See Attachment IV to this UIPL for instructions
and guidance on how to complete the form.
Additionally, on the SF-424, each state must enter “UIPL 02-23” into “Section
#12 Funding Opportunity Number” of the application; the amount under
“Section #18 Estimated Funding” must not exceed the amount set out for the
state in Attachment I to this UIPL.
The budget numbers listed on the SF-424 must match those on the State Plan
template and SF-424A. States may be required to submit a revised Budget
Narrative, SF-424, and SF-424A if the final award amount is different from the
initial request.
C. SF-424A: Budget Information Non-Construction Programs (OMB Control No.
4040-0006, expiration date 02/28/2025). See Attachment IV to this UIPL for
instructions.
The budget numbers listed on the SF-424A must match those on the State Plan
template and SF-424. States may be required to submit a revised Budget
Narrative, SF-424, and SF-424A if the final award amount is different from
the initial request.
D. Indirect Costs: If the state is including indirect costs in the budget, it must
include either: (a) the approved indirect cost rate with a copy of the
Negotiated Indirect Cost Rate Agreement (NICRA), a description of the base
used to calculate indirect costs along with the amount of the base, and the total
indirect costs requested; OR (b) for those applicant states that meet the
requirements to use the 10 percent de minimis rate as described in 2 CFR
200.414(f), a description of the modified total direct cost base (see 2 CFR
200.68 for definition) used in the calculation along with the amount of the
base, and the total indirect costs requested based on the 10 percent de minimis
rate.
The Department’s information on NICRA is available at the following link:
https://www.dol.gov/agencies/oasam/centers-offices/office-of-the-senior-
procurement-executive/cost-price-determination-division.
ii. Disapproved RESEA State Plans. Plans that do not meet the required elements will
not be approved for RESEA grant funds. States with unapproved plans will receive
notification within 30 days of the Department’s receipt of the plan, and be given the
opportunity to submit a revised plan.
The revised plan is to address the deficient items provided in the written disapproval
notification, which will describe any portion(s) of the plan that was not approved, the
reason for the disapproval(s), and instructions for submitting a revised plan.
iii. Technical Assistance with the Grant Submission Process. The website
http://www.grants.gov provides additional general information about grant
requirements and the application process, including standard terms and conditions.
For technical issues encountered during application submission, applicants may call
800-518-4726 or 606-545-5035 to speak to a Customer Support Representative or
email [email protected]. The Contact Center is open 24 hours a day, seven days a
week, but closed on federal holidays.
Attachment III to this UIPL provides more detailed instructions about submitting an
application through https://www.grants.gov/.
iv. Grant Modification Requests. States that need to modify their approved grant
activities during their grant’s period of performance may request a modification to
their current grant.
States must consult with their respective ETA Federal Project Officer (FPO) to
determine the appropriate type of modification, the applicable timeline, and other
requirements. Completed modification requests must be sent to the appropriate ETA
Regional Office and [email protected].
Generally, modification requests must provide the following information and should
be submitted 30 days prior to the requested change taking effect:
• Request for modification on grantee letterhead, dated and signed by the authorized
representative;
• Subject line of letter includes: modification type, grant name, grant number;
• Submission of revised statement of work, which outlines request and provides an
explanation/detail for each request; and
• New obligation deadline for funds, if applicable;
If a state is requesting additional funding, such as a Supplemental Budget Request,
then the modification request must also include a revised SF 424, SF 424A, and
updated budget narrative. The FPO will identify any additional requirements specific
to the state’s requested modification.
5. Inquiries. Please direct inquiries to the appropriate ETA Regional Office and copy
[email protected]. For technical questions about evaluations please contact
[email protected] and for questions about grants.gov to [email protected].
6. References.
• Sections 303(j) and 306, SSA, 42 U.S.C. 503(j) and 506;
• Bipartisan Budget Act of 2018, enacted February 9, 2018, Pub. L. 115-123;
• Workforce Innovation and Opportunity Act (WIOA), enacted July 22, 2014, Pub.
L. 113-128;
• 2 CFR Part 200, Uniform Administrative Requirements, Cost Principles, and Audit
Requirements for Federal Awards;
• 20 CFR Part 678, Description of the One-Stop Delivery System under Title I of the
Workforce Innovation and Opportunity Act;
• 20 CFR Part 680, Adult and Dislocated Worker Activities under Title I of the
Workforce Innovation and Opportunity Act;
• 20 CFR Part 683, Administrative Provisions under Title I of the Workforce
Innovation and Opportunity Act;
• 86 Fed. Reg. 57856, Notice Announcing the Methodology to Distribute Outcome
Payments to States for the Unemployment Insurance (UI) Reemployment Services
and Eligibility Assessments (RESEA) Program in Accordance with Title III,
Section 306(f)(2) of the Social Security Act (SSA), published October 19, 2021;
• 84 Fed. Reg. 39018, Allocating Grants to States for Reemployment Services and
Eligibility Assessments (RESEA) in Accordance with Title III, Section 306 of the
Social Security Act (SSA), published August 8, 2019;
• Executive Order 13985, 86 Fed. Reg. 7009, Advancing Racial Equity and Support
for Underserved Communities through the Federal Government, issued January 20,
2021;
• UIPL No. 02-22, Grant Opportunity to Support States Following a Consultative
Assessment for Fraud Detection and Prevention, Promoting Equitable Access, and
Ensuring the Timely Payment of Benefits, including Backlog Reduction, for all
Unemployment Compensation (UC) Programs, issued November 2, 2021,
https://wdr.doleta.gov/directives/corr_doc.cfm?DOCN=6683;
• UIPL No. 23-21 Change 1, Extension of Time to Submit Request for Funding
under Grant Opportunity Announced in Unemployment Insurance Program Letter
(UIPL) No. 23-21, issued November 1, 2021,
https://wdr.doleta.gov/directives/corr_doc.cfm?DOCN=4662;
• UIPL No. 23-21, Grant Opportunity for Promoting Equitable Access to
Unemployment Compensation (UC) Programs, issued August 17, 2021,
https://wdr.doleta.gov/directives/corr_doc.cfm?DOCN=7400;
• UIPL No. 22-21, Change 1, Extension of Time to Submit Request for Funding
under Grant Opportunity Announced in Unemployment Insurance Program Letter
(UIPL) No. 22-21, issued September 17, 2021,
https://wdr.doleta.gov/directives/corr_doc.cfm?docn=5369;
• UIPL No. 22-21, Grant Opportunity to Support States with Fraud Detection and
Prevention, Including Identity Verification and Overpayment Recovery Activities,
in All Unemployment Compensation (UC) Programs, issued August 11, 2021,
https://wdr.doleta.gov/directives/corr_doc.cfm?docn=4240;
• UIPL No. 13-21/ TEGL No. 12-20, Fiscal Year (FY) 2021 Funding Allotments and
Operating Guidance for Unemployment Insurance (UI) Reemployment Services
and Eligibility Assessment (RESEA) Grants, issued January 19, 2021,
https://wdr.doleta.gov/directives/corr_doc.cfm?DOCN=6686;
• UIPL No. 07-21, Performance Measures for Reemployment Services and
Eligibility Assessments (RESEA) and Unemployment Insurance (UI) Participants,
issued December 17, 2020,
https://wdr.doleta.gov/directives/corr_doc.cfm?DOCN=3854;
• UIPL No. 01-20/TEGL No. 06-19, Expectations for States Implementing the
Reemployment Service and Eligibility Assessment (RESEA) Program Requirements
for Conducting Evaluations and Building Program Evidence, issued October 31,
2019, https://wdr.doleta.gov/directives/corr_doc.cfm?DOCN=6691;
• UIPL No. 07-19, Fiscal Year (FY) 2019 Funding Allotments and Operating
Guidance for Unemployment Insurance (UI) Reemployment Services and
Eligibility Assessment (RESEA) Grants, issued January 11, 2019,
https://wdr.doleta.gov/directives/corr_doc.cfm?DOCN=8397;
• UIPL No. 05-19, Form ETA 9178 for Employment and Training Supplemental
Grant Reporting, issued December 19, 2018,
https://wdr.doleta.gov/directives/corr_doc.cfm?DOCN=4071;
• UIPL No. 02-16 Change 1, State Responsibilities for Ensuring Access to
Unemployment Insurance Benefits, Services, and Information, issued May 11,
2020, https://wdr.doleta.gov/directives/corr_doc.cfm?DOCN=5491;
• UIPL No. 02-16, State Responsibilities for Ensuring Access to Unemployment
Insurance Benefits, issued October 1, 2015,
https://wdr.doleta.gov/directives/corr_doc.cfm?DOCN=4233;
• UIPL No. 01-16, Change 1, Federal Requirements to Protect Claimant Rights in
State Unemployment Compensation Overpayment Prevention and Recovery
Procedures – Question and Answers, issued January 13, 2017,
https://wdr.doleta.gov/directives/corr_doc.cfm?DOCN=7706;
• UIPL No. 01-16, Federal Requirements to Protect Individual Rights in State
Unemployment Compensation Overpayment Prevention and Recovery Procedures,
issued October 1, 2015,
https://wdr.doleta.gov/directives/corr_doc.cfm?DOCN=5763;
• UIPL No. 13-15, Fiscal Year (FY) 2015 Unemployment Insurance (UI)
Reemployment Services and Eligibility Assessment (RESEA) Grants, issued March
27, 2015, https://wdr.doleta.gov/directives/corr_doc.cfm?DOCN=4482;
• UIPL No. 41-94, Unemployment Insurance Program Requirements for the Worker
Profiling and Reemployment Services System, issued August 16, 1994,
https://oui.doleta.gov/dmstree/uipl/uipl94/uipl_4194.htm;
• TEGL No. 20-19, Revised ETA-9130 Financial Report, Instructions, and
Additional Guidance, issued April 29, 2020,
https://wdr.doleta.gov/directives/corr_doc.cfm?DOCN=5804;
• ET Handbook No. 401, 5th Edition, Revised ET Handbook No. 401,
Unemployment Insurance Reports Handbook;
• TEN No. 37-15, Availability of Assistance Building Profiling Models to Identify
Unemployment Insurance Claimants Most Likely to Exhaust Benefits, issued June
3, 2016, https://wdr.doleta.gov/directives/corr_doc.cfm?DOCN=4113;
• Guidelines on Effectiveness of RESEA Interventions, published January 2021,
available at
https://clear.dol.gov/sites/default/files/CLEAR%20guidelines%20on%20effectiven
ess%20of%20reemployment%20interventions_final_Jan%202021.docx.pdf;
• Reemployment Services and Eligibility Assessment (RESEA) Evaluation Toolkit,
available at
https://www.dol.gov/sites/dolgov/files/OASP/evaluation/pdf/RESEA_Toolkit_Feb
ruary2021.pdf
• Low-Cost Randomized Control Trial Study of the Nevada Reemployment and
Eligibility Assessment (REA) Program, published March 2020, available at
https://osf.io/rja28/;
• Evaluation of Impacts of the Reemployment and Eligibility Assessment (REA)
Program, published November 2019, available at
https://clear.dol.gov/sites/default/files/ResearchSynthesis_Reemployment_0.pdf;
https://www.dol.gov/sites/dolgov/files/OASP/evaluation/pdf/REA%20Impact%20
Study%20-%20Final%20Report.pdf;
• Clearinghouse for Labor Evaluation and Research (CLEAR) RESEA Topic Area
Tab, available at https://clear.dol.gov/reemployment-services-and-eligibility-
assessments-resea;
• Quick Start Action Plan (QSAP) Tool, available at
https://rc.workforcegps.org/resources/2021/05/28/13/29/RESEA_QSAP;
• Service Delivery: Virtual Tools, available at
https://www.workforcegps.org/resources/2020/01/16/13/21/service-delivery-
virtual-tools;
• RESEA Evaluation and Evidence Resources, available at
https://rc.workforcegps.org/resources/2019/07/30/17/32/RESEA_Evaluation_Evid
ence_Resources;
• Office of the Assistant Secretary for Administration and Management Cost & Price
Determination Division, available at https://www.dol.gov/agencies/oasam/centers-
offices/office-of-the-senior-procurement-executive/cost-price-determination-
division;
• https://www.grants.gov/; and
• https://clear.dol.gov/about/contact-us.
7. Attachments.
• Attachment I: Maximum Fiscal Year (FY) 2022 Unemployment Insurance (UI)
Reemployment Services and Eligibility Assessment (RESEA) Grant Awards by
State.
• Attachment II: Elements of an Unemployment Insurance (UI) Reemployment
Services and Eligibility Assessment (RESEA) Grant State Plan.
• Attachment III: Additional Grants.gov Submission Instructions.
• Attachment IV: Additional Guidance for Completing the SF-424 and SF-424A.
• Attachment V: Phased Implementation of RESEA Components.
Attachment I
Maximum Fiscal Year (FY) 2023 Unemployment Insurance (UI) Reemployment Services
and Eligibility Assessment (RESEA) Grant Awards by State
FY 2022 FY 2023
State Maximum Base Maximum Base
Award Award
Alaska $572,359 $976,805
Alabama $1,401,914 $1,331,818
Arkansas $999,072 $1,833,366
Arizona $2,075,673 $3,456,202
California $40,013,786 $73,425,432
Colorado $1,283,403 $4,245,787
Connecticut $3,280,972 $4,747,346
District of Columbia $790,077 $989,457
Delaware $742,056 $781,725
Florida $9,043,040 $8,590,888
Georgia $2,636,525 $8,722,221
Hawaii $1,761,828 $1,740,097
Iowa $2,118,372 $2,286,673
Idaho $896,580 $854,647
Illinois $4,309,773 $14,257,704
Indiana $5,557,100 $5,279,245
Kansas $1,349,315 $1,503,927
Kentucky $2,261,286 $2,148,222
Louisiana $3,534,609 $3,416,566
Massachusetts $7,261,972 $9,234,672
Maryland $3,274,034 $4,737,192
Maine $790,139 $1,047,196
Michigan $6,815,479 $9,945,034
Minnesota $4,244,327 $8,441,708
Missouri $2,198,089 $3,434,033
Mississippi $1,723,593 $1,637,413
Montana $816,247 $883,962
North Carolina $5,516,881 $5,241,037
North Dakota $498,400 $498,400
Nebraska $631,510 $676,165
New Hampshire $1,655,411 $1,572,640
New Jersey $6,094,175 $18,235,951
New Mexico $1,562,156 $2,063,228
FY 2022 FY 2023
State Maximum Base Maximum Base
Award Award
Nevada $4,158,147 $3,950,240
New York $24,617,275 $28,924,536
Ohio $5,600,429 $7,201,459
Oklahoma $1,875,335 $2,785,562
Oregon $5,881,323 $5,587,257
Pennsylvania $4,761,504 $15,444,142
Puerto Rico $956,072 $3,162,902
Rhode Island $1,407,186 $1,703,082
South Carolina $2,205,984 $2,841,326
South Dakota $498,400 $498,400
Tennessee $3,337,766 $3,170,878
Texas $16,860,815 $20,923,017
Utah $2,205,129 $2,094,873
Virginia $3,827,073 $4,062,585
Virgin Islands $498,400 $498,400
Vermont $885,093 $840,838
Washington $10,139,978 $9,632,979
Wisconsin $3,697,771 $5,563,197
West Virginia $877,767 $1,441,667
Wyoming $498,400 $498,400
Projected state funding allocations for FY 2023 include application of the hold harmless and
minimum funding provisions described in the final funding allocation methodology announced
in the Federal Register on August 8, 2019 (84 FR 39018) and described in Section 4.b.i. Base-
Funding Formula for State Grants of this UIPL. These projected allocations do not include
adjustments for the 60 percent carry-over threshold described in Section 4(b)(i)(D) of Training
and Employment Guidance Letter No. 5-21 and Section 4.b.i.D. of this UIPL. The Employment
and Training Administration will provide revised state-level allocations that reflect application of
the 60 percent carry-over threshold based on December 2022 financial reports provided in
February 2023. States must account for carry-over threshold as part of their RESEA State Plan
activities.
These funding allocations represent the maximum funding level a state may request to support its
FY 2023 RESEA actives. States are strongly encouraged to take advantage of available funding
to further build and expand their RESEA program capacity (see Section 4.b. of this UIPL for
additional information. However, the state may request a lesser amount based on capacity,
projected need, and other factors.
States that did not receive an increase from their FY 2022 allocation were subject to the
formula’s minimum funding provision. The funding for these states was increased from their
formula-based allocation to the minimum funding level of $498,400.
OMB Number: 1205-0538 Attachment II
Expiration Date: 11/30/2025
ELEMENTS OF AN UNEMPLOYMENT INSURANCE (UI)
REEMPLOYMENT SERVICES AND ELIGIBILITY ASSESSMENT (RESEA) GRANT
STATE PLAN
Instructions: All fields are required unless otherwise noted.
1. State Name:
2. State Agency Administrator: Name:
Title:
Address:
3. RESEA Program Lead(s)/Contact(s) Name:
The person(s) who can answer questions about the RESEA Telephone:
proposal.
E-mail:
4. UI Program Lead/Contact Name:
The person who can answer questions about the UI aspects of Telephone:
the RESEA proposal. This person may also be the RESEA
Program Lead/Contact. E-mail:
OMB Number: 1205-0538 Attachment II
Expiration Date: 11/30/2025
5a. Total Project Cost for Proposed State Plan RESEA $
The total amount of funds requested in this grant, which may Requesting less than full formula allotment
be up to the limit specified in annual RESEA operating
guidance.
5b. Element 5 Additional Space – Use this field to break out project costs. Please include a narrative describing determinations for
the current year and any issues that impacted the previous year’s expenditures. Be sure to discuss what this year’s project goals,
e.g., staffing up, improving program tools, etc.
6a. Carry-over: Total Funds from prior RESEA Grants FY $ TOTAL Dollar Amount
Projected to carry-over. Projected Obligation date: $
Please include expected date for full obligation and
expenditure of these remaining funds. Projected Expenditure date:
FY $
Projected Obligation date:
Projected Expenditure date:
6b. Element 6 Additional Space – Use the text box to provide details for each year’s carry-over funds. Please explain why there are
carry-over funds for each specific FY. Additionally, include how the funds will be used and a timeline for expenditure. If there is
‘Zero’ carry-over, please note this in the text field.
OMB Number: 1205-0538 Attachment II
Expiration Date: 11/30/2025
7a. Total Service Delivery (Program) Cost $
Please include evaluation expenses in this element
7b. Element 7 Additional Space – Provide a breakout narrative listing the program costs, including a line for evaluation costs.
8a. Total Administrative Costs $
The total amount of funds requested for program
administrative costs. Please include a breakout of these costs.
Note: This entry includes information technology (IT) costs
8b. Element 8 Additional Space – Use the space to elaborate on the administrative costs. Please include changes to staffing; IT
expansion, other significant changes etc.
9a. Completed Initial RESEA Staffing and Time
Complete chart below on how specific required initial RESEA activities are staffed, the average time needed, and estimated costs.
Use Element 9’s additional space provided after the chart to explain any of the chart figures and information.
Activity Staff Individual/ In-Person, Average Staff Cost Per
(ES/WIOA/UI/ Other) Group Remote, Time Hour
Virtual (Minutes) (Dollars)
EXAMPLE LINE ES/WIOA Individual In-Person 20 minutes $70
Eligibility Review
Labor Market Information
Individual Reemployment Plan
OMB Number: 1205-0538 Attachment II
Expiration Date: 11/30/2025
Providing information and access
to American Job Center (AJC)
services including career services
Enrollment in Employment
Services
Providing support with individual
reemployment plan.
Referrals to other services
Other activities performed in
addition to required elements.
Please describe any additional
activities in element 9b.
Pre-work (Preparation for RESEA)
Post- work (casework notes etc.)
following RESEA
Totals
Note: please note that all eligibility determinations and redeterminations are funded through the regular UI funding for
non-monetary determinations and not through the RESEA grant.
9b. Element 9 Additional space to explain any notable changes from the previous year, automated services that have expenses,
‘Zeros,’ efforts to prevent fraud or chart information that may need an explanation.
10a. Completed Subsequent RESEA Staffing and Time
OMB Number: 1205-0538 Attachment II
Expiration Date: 11/30/2025
Complete chart below on how specific subsequent RESEA activities are staffed and the average time needed.
Activity Staff Individual/Group In-Person, Average Staff Cost Per
(ES/WIOA/UI/ Other) Remote, Virtual Time Hour
(Minutes) (Dollars)
EXAMPLE LINE ES Individual In-Person 10 minutes $78.96
Eligibility Review
Labor Market Information
Providing support with
individual reemployment plan.
Providing information and
access to AJC services
including career services
Referrals to other services
Other activities performed in
addition to required elements.
Please describe any additional
activities in element 10b.
Pre-work (Preparation for
RESEA)
Post- work (casework notes
etc.) following RESEA
Totals
Note: please note that all eligibility determinations and redeterminations are funded through the regular UI funding for
non-monetary determinations and not through the RESEA grant.
OMB Number: 1205-0538 Attachment II
Expiration Date: 11/30/2025
10b. Element 10 Additional Space – Use the text field for any fields requiring additional explanation.
11a. Total Number of RESEAs Projected to be Scheduled Initial to be Scheduled Subsequent to be Scheduled
11b. Element 11 Additional Space -- Please provide an explanation how the target number was determined. Including any
significant changes from the previous years.
12a. Total Number of RESEAs Projected to be Completed Initial to be Completed Subsequent to be Completed
12b. Element 12 Additional Space – Please provide an explanation how the target number was determined. Including any significant
changes from the previous year.
13a. Total Number of RESEAs Projected for which the Initial Fail to Report Subsequent Fail to Report
Claimant will fail to report
13b. Element 13 Additional Space – Please provide an explanation how the target number was determined. Including any significant
changes from the previous year.
14. Actions taken to reduce number of claimants failing to report.
OMB Number: 1205-0538 Attachment II
Expiration Date: 11/30/2025
Provide a brief narrative that discusses any actions in the past year(s) and/or plans to carry out any activities under the proposed
RESEA program to reduce the number of claimants failing to report, please identify and provide an analysis about the efforts.
15a. Is RESEA statewide Yes/No Check box
Yes No
If ‘Yes,’ then proceed to Element 16.
Note: RESEAs are considered statewide if operating in at least one location in each Workforce Innovation and Opportunity
Act [WIOA] workforce development area.
15b. Total number of RESEA Sites where
RESEAs will be conducted. If RESEA is not Number of sites providing Number of sites providing WPRS:
statewide and is provided at limited sites, list RESEAs:
the towns/cities or local workforce development
areas where RESEA activities will be
conducted. Additionally, if RESEA is not
available statewide, Worker Profiling and
Reemployment Services (WPRS) must be
provided in areas where RESEA is not
available.
15c. List RESEA locations if RESEA activities are not statewide:
OMB Number: 1205-0538 Attachment II
Expiration Date: 11/30/2025
15d. List WRPS locations if RESEA activities are not statewide:
16. Role of UI Staff
Briefly describe the role played by UI staff in program management.
Note: At a minimum, UI Staff must be involved with the following activities: Participating in the planning, administration,
and oversight of the RESEA program; Training -- Providing all appropriate staff training on unemployment compensation
(UC) eligibility requirements; Reports -- Ensuring accurate data are provided in the RESEA-required reports; and
Conducting eligibility determinations and redeterminations resulting from issues identified through RESEA participation.
17. Selection of RESEA Participants
Please describe the state’s methodology for selecting claimants to participate in the RESEA program and at what point in the claim
series selections are made. If a profiling or statistical model is used, please describe the model including factors used and when the
model was last updated/will be updated.
18a. Proper Notification – Please attach a copy of the template notification letter
All states participating in the RESEA program must provide both assurance that, and description of how, individuals selected to
participate in RESEA will receive proper notifications regarding the program’s eligibility conditions, requirements, and benefits.
Proper notifications must be in clear and simple language and include warnings to ensure selected individuals are fully aware of the
consequences of noncompliance with the state’s policies related to non-attendance and/or nonfulfillment of UI work search
requirements. (Section 306(e)(1)(A)(i), Social Security Act (SSA)).
OMB Number: 1205-0538 Attachment II
Expiration Date: 11/30/2025
18b. Do you assure that proper notification as described in Element (18a) will be provided?
Yes No
18c. Insert description of notification process and attach template used for notifications.
19a. Reasonable Scheduling Accommodations
To maximize participation in the RESEA program, the state must provide assurance that, and a description of how reasonable
scheduling accommodations are made available to individuals selected for RESEA (Section 306(e)(1)(A)(ii), SSA).
Do you assure that reasonable scheduling accommodations are available to RESEA participants?
Yes No
19b. Insert a description of the reasonable scheduling accommodations provided. Please describe your rescheduling policies,
procedures, and limitations for rescheduling. Be sure to identify which items have been automated versus in-person.
20a. UI Feedback Loop and Adjudication.
Once selected for an initial or subsequent RESEA, claimants are required to participate in all components of the RESEA. Failure to
report or participate in any aspect of the RESEA must result in referral to the UI agency for adjudication under the applicable state
law. States must include a description of the UI feedback loop and adjudication process. As described in Unemployment Insurance
Program Letter (UIPL) No. 14-18: Unemployment Insurance and the Workforce Innovation and Opportunity Act, an effective
feedback loop: advises UI staff whether the claimant reported as directed and participated in the eligibility assessment and/or
OMB Number: 1205-0538 Attachment II
Expiration Date: 11/30/2025
services, as appropriate; is in place for all reemployment service activities in which UI claimants are required to participate; and
includes a process for referral to UI adjudication any eligibility issues identified in an eligibility review.
Insert a brief description regarding the feedback loop from the RESEA provider to the UI system on whether the claimants reported
and participated in required activities as directed.
20b. Insert a brief description of the feedback loop established to refer any UC eligibility issues identified during the RESEA for
adjudication.
21. Activities Supporting RESEA’s Statutory Purposes
Each state must provide assurance that, and description of how, the planned RESEA program will conform to the four statutory
purposes identified below (Section 306(e)(1)(B), SSA).
21a. Purpose 1: To improve employment outcomes of individuals that receive unemployment compensation and to reduce the
average duration of receipt of such compensation through unemployment.
Do you assure that the proposed RESEA program design and planned activities conform to purpose 1 as described in Element 21a?
Yes No
21b. Insert brief description of specific RESEA program elements and/or activities that support purpose 1.
21c. Purpose 2: To strengthen program integrity and reduced improper payments of unemployment compensation by states through
the detection and prevention of such payments to individuals who are not eligible for such compensation.
Do you assure that the proposed RESEA program design and planned activities conform to purpose 2 as described in Element 21c.?
OMB Number: 1205-0538 Attachment II
Expiration Date: 11/30/2025
Yes No
21d. Insert brief description of specific RESEA program elements and/or activities that support purpose 2.
21e. Purpose 3: To promote alignment with the broader vision of the Workforce Innovation and Opportunity Act (WIOA) (29
U.S.C. 3101 et seq.) of increased program integration and service delivery for job seekers, including claimants for
unemployment compensation. (Note: Additional information about the vision of WIOA is provided in Training and
Employment Guidance Letter No. 19-14, Vision for the Workforce System and Initial Implementation of the Workforce
Innovation and Opportunity Act and additional information specific State UI programs is provided in UIPL No.14-18,
Unemployment Insurance and the Workforce Innovation and Opportunity Act).
Do you assure that the proposed RESEA program design and planned activities conform to purpose 3 as described in Element 21e?
Yes No
21f. Insert brief description of specific RESEA program elements and/or activities that support purpose 3 including information
about how RESEA has been integrated into the State’s workforce system and network of AJCs.
21g. Purpose 4: To establish reemployment service and eligibility assessment as an entry point for individuals receiving
unemployment compensation into other workforce system partner programs.
Do you assure that the proposed RESEA program design and planned activities conform to purpose 4 as described in Element 21g?
Yes No
21h. Insert brief description of specific RESEA program elements and/or activities that support purpose 4.
OMB Number: 1205-0538 Attachment II
Expiration Date: 11/30/2025
22a. Evidence-based Standards and Evaluation Requirements
Each state must provide assurances and a description of how the state’s RESEA program will satisfy the requirement to use grant
funds only for interventions and service delivery strategies designed to reduce the number of weeks for which program participants
receive unemployment compensation by improving employment outcomes for participants, including employment and earnings.
States implementing RESEA interventions or service delivery strategies without a high or moderate causal rating must be under
evaluation at the time of use. (Section 306(e)(1)(B), SSA).
Do you assure that the state’s RESEA program will satisfy the requirement to use grant funds only for interventions and service
delivery strategies designed to reduce the number of weeks for which program participants receive unemployment compensation by
improving employment outcomes for participants, including employment and earnings?
Yes No
22b. Is your state using interventions that have received a ‘High’ or ‘Moderate’ RESEA causal rating in the Clearinghouse for
Labor Education and Research (CLEAR)?
Yes No
22c. Insert a description of the evidence-based interventions and service delivery strategies the State plans to use to speed
reemployment, including specific references to the evidence relied upon.
Describe which interventions your state is using that have received ‘High’ or ‘Moderate’ ratings in CLEAR. Be sure to cite the
specific name of the study of an intervention and when the report was published.
Description of Intervention High/Moderate Name of Study Study
Rating in published
CLEAR (MM/YYYY)
OMB Number: 1205-0538 Attachment II
Expiration Date: 11/30/2025
22d. Insert an explanation of how such interventions and service delivery strategies are appropriate to the population served.
22e. Do you assure that the planned RESEA interventions or service delivery strategies that do not have a high or moderate causal
rating are under evaluation at the time of use?
Yes No Not Applicable (all interventions have a high or moderate causal rating)
If “Not Applicable” please advance to 22g.
22f. Insert, a description of the evaluation structure the State plans to use for interventions and service delivery strategies without at
least a moderate or high causal evidence rating. This evaluation structure may include a whole program evaluation, evaluation of
specific program components/interventions, or national evaluations conducted by the U.S. Department of Labor (USDOL) or by
other entities.
• Explain what the intervention that your state is planning to evaluate, and how it is being implemented within the RESEA
program.
• Describe the type of evaluation being planned by your state, e.g., impact study using random assignment or quasi-
experimental design.
22g. Total funds that will be set aside to conduct or cause to be $
conducted evaluations of interventions used in carrying out the
RESEA Program. This amount is limited to 10 percent of grant
award (Section 306(d)(2), SSA).
OMB Number: 1205-0538 Attachment II
Expiration Date: 11/30/2025
22h. Insert a description of any evaluations of reemployment interventions and service delivery strategies conducted in the prior
fiscal and any data collected on:
1. Characteristics of program participants;
2. Number of weeks for which program participants receive unemployment compensation; and
3. Employment and other outcomes for program participants consistent with State performance accountability measures
provided by the State unemployment compensation program and performance outcome measures as defined in section
116(b) of the Workforce Innovation and Opportunity Act (29 U.S.C. 3141(b)).
Examples: In addition to information from formal evaluations, states may include information from other forms of analyses such as
reviews of administrative data or analysis of quarterly reporting provided to USDOL.
22i. Complete below chart providing additional information about RESEA component/activities, their causal rating, the costs
associated with that component/activity, and what percentage it is of the current grant.
EVIDENCE BASED FUNDING
RESEA Component/Activity Causal Rating (Moderate; RESEA Cost of Percentage of Current Grant
High) Component/Activity
(a) (d)
(b) (c)
1. $
2. $
3. $
4. $
5. $
OMB Number: 1205-0538 Attachment II
Expiration Date: 11/30/2025
6. $
7. $
8. $
9. $
10. $
11. Totals $ %
Attachment III
Additional Grants.gov Submission Instructions
The following is provided as additional instructions beyond what is already available on the
www.grants.gov website. In the event you encounter a problem with www.grants.gov and do
not find a resolution in any of the other resources, call 1-800-518-4726 or 606-545-5035 to
speak to a Customer Support Representative, or email [email protected].
States are strongly advised to initiate the application submission and validation process via
www.grants.gov as soon as possible and to plan for time to resolve technical problems.
Please note that validation does not mean the State’s application has been accepted as
complete or has been accepted for review. Rather, www.grants.gov only verifies the
submission of certain parts of the application.
Before you begin to write the application, the U.S. Department of Labor (Department)
strongly recommends that you initiate and complete the “Get Registered” registration steps at
https://www.grants.gov/web/grants/register.html.
Before registering, you should read through the registration process carefully. These steps
can take as many as four weeks to complete, and this time should be factored into plans for
timely electronic submission to avoid unexpected delays that could result in the rejection of
your application. The www.grants.gov website also contains the Step-By-Step Guide to
Organization Registration to help applicants walk through the process.
The next step in the registration process is creating a username and password with
www.grants.gov to become an Authorized Organizational Representative (AOR). AORs will
need to know the Unique Entity Identifier (UEI) number of the organization for which they
will be submitting applications to complete this process. To read more detailed instructions
for creating a profile on www.grants.gov visit
https://www.grants.gov/web/grants/applicants/registration.html.
After creating a profile on www.grants.gov, the E-Biz Point of Contact (E-Biz POC), a
representative from your organization who is the contact listed for System of Award
Management (SAM), will receive an email to grant the AOR permission to submit
applications on behalf of their organization. The E-Biz POC will then log into
www.grants.gov and approve an individual as the AOR, thereby giving him or her
permission to submit applications. To learn more about AOR Authorization visit
https://www.grants.gov/web/grants/applicants/registration/authorize-roles.html or to track
AOR status visit https://www.grants.gov/web/grants/applicants/registration/track-role-
status.html.
An application submitted through www.grants.gov constitutes a submission as an
electronically signed application. The registration and account creation with
www.grants.gov, with E-Biz POC approval, establishes an AOR. When an application is
submitted through www.grants.gov, the name of the AOR on file will be inserted into the
signature line of the application. State Workforce Agencies must register the individual
who is able to make legally binding commitments for their organizations as the AOR.
This step is often missed, and it is crucial for valid submissions.
When a registered applicant submits an application with www.grants.gov, an electronic time
stamp is generated within the system when the application is successfully received by
www.grants.gov. Within two business days of application submission, www.grants.gov will
send the applicant two email messages to provide the status of the application’s progress
through the system.
• The first email, sent almost immediately, will contain a tracking number and will
confirm receipt of the application by www.grants.gov.
• The second email will indicate that the application either has been successfully
validated or has been rejected due to errors.
If the applicant’s registration in SAM is expired, www.grants.gov will reject the application.
Only applications that have been successfully submitted in www.grants.gov by the deadline
and subsequently successfully validated will be considered. It is the State’s responsibility to
ensure a timely submission. While it is not required that an application be successfully
validated before the deadline for submission, it is prudent to reserve time before the deadline
in case it is necessary to resubmit an application that has not been successfully validated in
www.grants.gov. Therefore, adequate time should be allotted for submission (two business
days recommended) and additional time to address any errors and requiring validation upon
resubmission (an additional two business days for each ensuing submission).
To ensure consideration, the components of the application must be saved as .doc, .docx, .xls,
.xlsx, .rtf or .pdf files. If submitted in any other format, the applicant bears the risk of
compatibility or other issues preventing a state’s application from being considered. The
Department will attempt to open the document but will not take any additional measures in
the event of problems with opening it (e.g., conversions of any kind).
The Department strongly advises applicants to use the various tools and documents,
including Frequently Asked Questions, which are available on the “Applicant Resources”
page at https://www.grants.gov/web/grants/applicants/applicant-faqs.html.
To receive updated information about critical issues, new tips for users, and other time
sensitive updates, you may subscribe to www.grants.gov updates at
https://www.grants.gov/web/grants/manage-subscriptions.html.
Attachment IV
Additional Guidance for Completing the SF-424 and SF-424A
I. Application for Federal Assistance (SF-424)
• Use the current version of the form for submission. Expired forms will not be accepted.
SF-424, Expiration Date 12/31/2022, Office of Management and Budget (OMB) Control
No. 4040-0004 (Grants.gov). https://www.grants.gov/web/grants/forms/sf-424-
family.html
• Section # 8, APPLICANT INFORMATION:
o Legal Name: The legal name must match the name submitted with the System for
Award Management (SAM). Please refer to instructions at https://www.sam.gov
o Employer/Tax Identification Number (EIN/TIN): Input your correct 9-digit EIN
andensure that it is recorded within SAM.
o Unique Entity Identifier Requirements
o Effective on April 4, 2022, the DUNS Number was replaced by a new, non-
proprietary identifier requested in and assigned by SAM.gov. This new identifier
is called the Unique Entity Identifier (UEI), or the Entity ID. To learn more about
SAM’s rollout of the UEI, please visit the U.S. General Service Administration
(GSA), Unique Entity Identifier Update webpage.
o If the grant award or cooperative agreement recipient is authorized to make
subawards under this award, then the recipient:
1. Must notify potential subrecipients that no entity (see definitions below)
may receive a subaward from the grant award recipient until the entity has
provided its UEI to the recipient.
2. May not make a subaward to an entity unless the entity has provided its
UEI to the grant or cooperative agreement recipient. Subrecipients are not
required to obtain an active SAM registration but must obtain a UEI.
o Please ensure that your state is registered with the SAM. Instructions for
registering with SAM can be found at https://www.sam.gov. Additionally, the
state must maintain an active SAM registrationwith current information at all
times during which it has an active Federal award or an application under
consideration. To remain registered in the SAM database after the initial
registration, there is a requirement to review and update the registration at least
every 12 months from the date of initial registration or subsequently update the
information in the SAM database to ensure it is current, accurate, and complete.
Failureto register with SAM and maintain an active account will result in a
rejection of your submission.
o Address: Input your complete address including Zipcode+4; Example: 20110-831.
Forlookup, use link at https://tools.usps.com/go/ZipLookupAction!input.action
o Organizational Unit: Input appropriate Department Name and Division Name, if
applicable
o Name and contact information of person to be contacted on matters involving this
application. Provide complete and accurate contact information including
telephonenumber and email address for the point of contact
• Section # 9, Type of Applicant 1: Select Applicant Type: Input “State Government”
• Section # 10, Name of the Federal Agency: Input “Employment and Training
Administration”
• Section # 11, Catalog of Federal Domestic Assistance Number: include the accurate
Catalogof Federal Domestic Assistance Number for the applicable Funding Opportunity;
Example: 17.225 for Unemployment Insurance
• Section # 12, Funding Opportunity Number and Title: Input the appropriate funding
opportunity number and Title; Example: UIPL No. 1-17 – Health Coverage Tax Credit;
TEGL 17-15 – WIOA Adult, Dislocated Worker and Youth Activities Program
Allotments
Attachment V
Phased Implementation of RESEA Components
Year Description
FY • Application of requirement that RESEA funds be used for interventions (i.e.,
2019 service delivery strategies) demonstrated to reduce the average number of weeks
participants receive benefits by improving participant employment outcomes, as
required by Section 306(c)(1), SSA.
• Ability to expand the pool of RESEA participants from those most likely to
exhaust UC to include up to all UC claimants, as provided in the Department’s
appropriations act for FY 2019. This provision was continued in all subsequent
RESEA appropriations and is anticipated to continue in FY 2022. See Section
4.c.i. of this UIPL.
FY • In response to the COVID-19 pandemic, the Department approved additional
2020 flexibility allowing states to provide the full range of RESEA services using
remote and virtual service-delivery. This provision continues in FY 2022. See
Section 4.c.v. of this UIPL.
FY • Implementation of a formula to allocate RESEA base funds as required by Section
2021 306(f)(1)(A), SSA. The final RESEA allocation formula was published in the
Federal Register on August 8, 2019 (84 Fed. Reg. 39,018). See Section 4.b.i. of
this UIPL.
• Submission of a Congressional Report identifying promising reemployment
assistance interventions (https://d2leuf3vilid4d.cloudfront.net/-
/media/F0F359D1000345A99FCCB91EF934D2F1.ashx?rev=B9F225BA8D0737
F7A0B93918524B5F13)
• Implementation of new RESEA performance measures that align with the primary
indicators of performance under WIOA. See UIPL No. 07-21.
• Implementation of RESEA performance-based outcome payments as required by
Section 306(f)(2), SSA. The final methodology was published in the Federal
Register on October 19, 2021 (86 Fed. Reg. 57,856). See Section 4.b.ii. of this
UIPL.
FY • Continuation of the provisions implemented in FY 2019, FY 2020, and FY 2021.
2022 • State Plan Template updated to account for expanding RESEA programs. The
final template changes was published in the Federal Register on April 14, 2022
(87 Fed. Reg. 22,234).
• ETA 9128 updated to record additional RESEA meetings, which are called
“subsequent meetings.” The update was published in the Federal Register on
November 23, 2021 (86 Fed. Reg. 66,593).
• Implementation Study suite of reports are available at
(https://www.dol.gov/agencies/oasp/evaluation/completedstudies/RESEA-
Evidence-Building-Implementation-Study). Additional information See TEN
No. 03-22.
FY • Application of requirement that states directly link a percentage of their RESEA
2023 funding to evidence-based components with a high or moderate causal rating that
show a demonstrated capacity to improve employment and earnings outcomes for
program participants, as required by Section 306(c)(2), SSA. This percentage will
incrementally increase through FY 2026. See Section 4.e.ii.C of this UIPL.
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