[Federal Register: December 3, 2008 (Volume 73, Number 233)]
[Notices]
[Page 73729-73759]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr03de08-53]
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Part III
Department of Labor
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Employment and Training Administration
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Planning Guidance for State Unified Plans and Unified Plan
Modifications Submitted Under Section 501 of the Workforce Investment
Act (WIA); Notice
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DEPARTMENT OF LABOR
Employment and Training Administration
Planning Guidance for State Unified Plans and Unified Plan
Modifications Submitted Under Section 501 of the Workforce Investment
Act (WIA)
AGENCY: Employment and Training Administration.
ACTION: Notice.
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SUMMARY: The purpose of this notice is to provide interested parties
with the planning guidance for use by states in submitting their
Unified State Plans under section 501 of the Workforce Investment Act
of 1998 as well as Plan modifications. The Planning Guidance provides a
framework for the collaboration of governors, local elected officials,
businesses and other partners to continue the development of workforce
investment systems that address customer needs, deliver integrated
user-friendly services, and are accountable to the customers and the
public.
FOR FURTHER INFORMATION CONTACT: Ms. Gay Gilbert, Administrator, Office
of Workforce Investment, U.S. Department of Labor, 200 Constitution
Ave., NW., Room S-4231, Washington, DC 20210. Telephone: (202) 693-3980
(voice) (this is not a toll free number) or (202) 693-7755 (TTY).
SUPPLEMENTARY INFORMATION:
Planning Guidance for State Unified Plans and Unified Plan
Modifications Submitted Under Section 501 of the Workforce Investment
Act (WIA)
OMB Control Number 1205-0398.
Expiration Date: Nov 30, 2011.
Table of Contents
Part I. State Planning Instructions
A. Statement of Purpose
B. Background
C. Section 501 Programs and Activities
D. Submission of State Unified Plans
E. Federal Government Review and Approval of Unified Plan
F. How to Use ``Attachment B''
G. Negotiated WIA and Wagner-Peyser Act Performance Indicators
H. Modifications to State Plan
I. Inquiries
Part II. National Strategic Direction
A. Vision and Goals Related to WIA Title I and Wagner-Peyser Act
B. Demand-Driven Workforce Investment System Within a Regional
Economic Development Context
C. System Reform and Increased Focus on Workforce Education and
Training
D. Enhanced Integration Through the One-Stop Delivery System
with Improved Service Delivery and Increased Efficiencies
E. Vision for Serving Youth Most In Need
F. Increased Economic and Workforce Information Data Integration
and Analysis
G. Effective Utilization of Faith-based and Community Based
Organizations
H. Increased Use of Flexibility Provisions in WIA
I. An Integrated and Enhanced Performance Accountability System
That Provides Improved System Results
Part III. Unified Planning Instructions
A. State Vision and Priorities
B. One-Stop Delivery System
C. Plan Development and Implementation
D. Needs Assessment
E. State and Local Governance
F. Funding
G. Activities To Be Funded
H. Coordination and Non-Duplication
I. Special Populations and Other Groups
J. Professional Development and System Improvement
K. Performance Accountability
L. Data Collection
M. Corrective Action
N. Waiver and Work-Flex Requests
Part IV. Certifications and Assurances
Attachments
A. ETA Regional Administrators (for reference only)
B. Unified Plan Activities and Program Checklist
C. Optional Table for WIA State Performance Indicators and Goals
State Unified Plan Planning Guidance
Part I. State Planning Instructions
A. Statement of Purpose
The purpose of this document is to provide guidance to States which
submit a State Unified Plan authorized by title V, section 501 of the
Workforce Investment Act of 1998 (WIA). The State Unified Plan Planning
Guidance facilitates the development and submission of such a Plan,
which addresses two or more of the programs or activities specified at
WIA section 501(b)(2). This Planning Guidance updates the requirements
for the WIA/Wagner-Peyser Act and Senior Community Service Employment
Program (SCSEP) portions of the Unified Plan. Options for programs
funded by the U.S. Department of Education that are included in a
Unified Plan also are discussed in this notice. Minor reference updates
have been made for other programs authorized to be included in the
Unified Plan.
An approved Strategic State Plan is required in order for States to
receive formula allotments under WIA title I and the Wagner-Peyser Act.
The current Plans expire June 30, 2009. States which choose to submit
the WIA title I/Wagner-Peyser Plan as part of a Unified Plan must
comply with the requirements of these guidelines. Guidelines for the
submission of a Stand-Alone WIA title I Plan are being issued
separately.
B. Background
The State Unified Plan Planning Guidance provides a framework for
the collaboration of governors, local elected officials, businesses and
other partners to design and build workforce investment systems that
address customer needs; deliver integrated, user-friendly services; and
are accountable to the customers and the public. Unified Planning
Guidance provisions related to the SCSEP and Perkins IV have changed.
There are only minor changes to the Unified Planning Guidance items
that relate to WIA title I and Wagner-Peyser Act Plan. The Unified Plan
requirements for other programs remain the same as those outlined in
the April 12, 2005, version of this document (70 Federal Register
19222).
Senior Community Service Employment Program
On October 17, 2006, the President signed into law the Older
Americans Act Amendments of 2006, Public Law 109-365, which authorizes
SCSEP. The purpose of SCSEP is to foster individual economic self-
sufficiency and promote useful opportunities in community service
activities for unemployed low-income persons who are age 55 or older,
particularly persons who have poor employment prospects, and to
increase the number of persons who may enjoy the benefits of
unsubsidized employment in both the public and private sectors. The
2006 Amendments instituted a number of program changes. The amendments
increased the emphasis on placements into unsubsidized employment;
imposed a time limit on enrollees' program participation; restricted
fringe benefits for participants; enabled grantees to spend additional
funds on training; and mandated the adoption of core indicators of
performance aligned with the Employment and Training Administration
(ETA)'s common measures. The new law became effective July 1, 2007.
Each State SCSEP grantee must prepare an application for funding each
year. This application is a thorough explanation of how the project
will operate. A State that chooses to include the SCSEP program in a
Unified Plan must prepare a separate grant application according to
SCSEP program requirements.
Options for Programs Funded by the U.S. Department of Education
With respect to the programs authorized by the Adult Education and
Family Literacy Act (AEFLA), the U.S.
[[Page 73731]]
Department of Education has already issued guidance to States that
discusses the option of extending the existing State plans with certain
necessary revisions, and requests for extending plans were due April 1,
2008. Further, the U.S. Department of Education anticipates that the
States will have the option of extending their State plans again in
April 2009, in the absence of a reauthorization of the AEFLA. This
option of extending the existing plan applies as well to any
subsections of a Unified State Plan that are related to programs under
AEFLA. A State's request to extend subsections of a unified plan must
be submitted directly to the U.S. Department of Education and is due
April 1, 2009, for AEFLA programs. See Guide for the Development of a
State Plan under the Adult Education and Family Literacy Act (OMB
Control Number 1830-0026). The U.S. Department of Education anticipates
that States will choose the option of extending their existing
subsections of the currently approved Unified State Plans with only the
revisions discussed in the above-referenced guidance. However, any
State that chooses to submit new subsections related to AEFLA programs
in its Unified State Plan submitted in accordance with this notice must
fully comply with all the planning, content, and other requirements
that applied when the Unified Plan was originally developed, adopted,
and submitted. These requirements are summarized together with
references to the underlying statutory and regulatory requirements in
the second section of this notice.
The U.S. Department of Education issued a program memorandum and
guidance to States on March 12, 2007, regarding their options for
submission of State plans under the newly authorized Carl D. Perkins
Career and Technical Education Act of 2006 (Perkins IV), 20 U.S.C. 2301
et seq. as amended by Public Law 109-270. States were given the option
of submitting a one-year transitional plan (starting July 1, 2007), or
a six-year full plan (starting July 1, 2007). The guidance also
provided States direction for submitting a Unified Plan under WIA. See
Program Memorandum Transmittal of the Carl D. Perkins Career and
Technical Education Act of 2006 State Plan Guide and the Guide for the
Submission of State Plans (OMB Control Number: 1830-0029) at: http://
www.ed.gov/policy/sectech/guid/cte/perkinsiv/stateplanmemo.pdf or
http://www.ed.gov/policy/sectech/guid/cte/perkinsiv/stateplan.doc.
The U.S. Department of Education also issued a program memorandum
on October 30, 2007, that required each eligible agency that submitted
a one-year transition plan for the first program year to submit a five-
year State plan (starting July 1, 2008), covering the remaining program
years, that meet all the requirements of Perkins IV, as covered in the
March 2007 memo and guidance. See Program Memorandum Submission of
Five-Year State Plans under the Carl D. Perkins Career and Technical
Education Act of 2006 at http://www.ed.gov/policy/sectech/guid/cte/
perkinsiv/fiveyear-stateplan.pdf. All States, including the outlying
areas as defined in section 3(21) of Perkins IV, have submitted a five-
year plan, or will submit a five-year plan. No State has notified the
Department of Education that it plans to submit a Unified Plan under
WIA that includes Perkins IV requirements. These Perkins IV State plans
will remain in effect for five years once the U.S. Department of
Education approves these plans (starting July 1, 2008, or the date of
approval if later). If a State wishes to revise or amend its Perkins IV
State plan in the future to make it part of its State Unified Plan,
then the State would have to meet the requirements for revising or
amending its State plan that are in section 122(a)(2) of Perkins IV and
Department of Education Administrative Regulations (EDGAR) at 34 CFR
76.140, as well as the Department of Labor's requirements for amending
a Unified State Plan. Additionally, a State would have to satisfy the
requirements of section 501 of WIA with respect to State plans, e.g.
legislature approval to include secondary Perkins IV programs.
C. Section 501 Programs and Activities
Below is a listing of the programs and activities covered in
section 501 of WIA, along with the commonly used name. In this
document, we generally refer to the activities and programs by their
commonly used names. Should State staff need information on the
programs listed, a staff contact is provided here also.
Secondary Career and Technical Education programs (Perkins
IV/Secondary) Note that inclusion of this program in the Unified Plan
requires prior approval of State legislature. Administered by
Department of Education, Office of Vocational and Adult Education.
Staff Contact: Dale King: 202-245-7405 (phone); 202-245-7837 (fax); (E-
mail: Dale.king2@ed.gov).
Postsecondary Career and Technical Education programs
(Perkins IV/Postsecondary) Administered by Department of Education,
Office of Vocational and Adult Education. Staff Contact: Dale King:
202-245-7405 (phone); 202-245-7837 (fax); (E-mail: Dale.king2@ed.gov).
Tech-Prep Education (title II of Perkins IV) Administered
by Department of Education, Office of Vocational and Adult Education.
Staff Contact: Dale King: 202-245-7405 (phone); 202-245-7837 (fax); (E-
mail: Dale.king2@ed.gov).
Activities authorized under title I, Workforce Investment
Systems (Workforce Investment Activities for Youth, or WIA title I
Youth) Administered by Department of Labor, Employment and Training
Administration. Staff Contact: Gregg Weltz: 202-693-3527 (phone); 202-
693-3861 (fax); (E-mail: Weltz.Gregg@dol.gov).
Activities authorized under title I, Workforce Investment
Systems (Workforce Investment Activities for Adults, and Dislocated
Workers, or WIA title I) Administered by Department of Labor,
Employment and Training Administration. Staff Contact: Christine D.
Ollis: 202-693-3937 (phone); 202-693-3015 (fax); (E-mail:
Ollis.Christine@dol.gov).
Activities authorized under title II of WIA, Adult
Education and Family Literacy (Adult Education and Family Literacy
Programs) Administered by Department of Education, Office of Vocational
and Adult Education. Staff Contact: Dale King: 202-245-7405 (phone);
202-245-7837 (fax); (E-mail: Dale.king2@ed.gov).
Food Stamp Employment and Training Program (FSET)
Administered by USDA, Food and Nutrition Service. Staff Contact:
Micheal Atwell: 703-305-2449 (phone); 703-305-2486 (fax); (E-mail:
micheal.atwell@fns.usda.gov).
Activities authorized under chapter 2 of title II of the
Trade Act of 1974 (Trade Act Programs) Administered by Department of
Labor, Employment and Training Administration. Staff Contact: Terry
Clark: 202-693-3707 (phone); 202-693-3585 (fax); (E-mail:
Clark.Terry@dol.gov).
Programs authorized under the Wagner-Peyser Act
(Employment Service) Administered by Department of Labor, Employment
and Training Administration. Staff Contact: Maggie Ewell: 202-693-3160
(phone); 202-693-3787 (fax); (E-mail: Ewell.Maggie@dol.gov).
Programs authorized under Part B of title I of the
Rehabilitation Act of 1973, other than section 112 of such Act
(Vocational Rehabilitation) Administered by Department of Education,
Rehabilitation Services Administration. Staff Contact: Jerry Elliott:
202-245-7335 (phone); 202-
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245-7590 (fax); (E-mail: jerry.elliott@ed.gov).
Programs authorized under chapters 41 and 42 of Title 38,
USC, and 20 CFR 1001 and 1005 (Veterans Programs, including Veterans
Employment, Disabled Veterans' Outreach Program, and Local Veterans'
Employment Representative Program) Administered by Department of Labor,
Veterans' Employment and Training Service. Staff Contact: Patrick J.
Hecker: 202-693-4709 (phone); 202-693-4755 (fax); (E-mail:
Hecker.Patrick@dol.gov).
Programs authorized under State unemployment compensation
laws (Unemployment Insurance) Administered by Department of Labor,
Employment and Training Administration. Staff Contacts: Mary Vrany:
202-693-3357 (phone); 202-693-3975 (fax); (E-mail: Vrany.Mary@dol.gov);
or Delores Mackall: 202-693-3183 (phone); 202-693-3975; (E-mail:
Mackall.Delores@dol.gov).
Programs authorized under part A of title IV of the Social
Security Act (Temporary Assistance for Needy Families (TANF)
Administered by Health and Human Services, Administration for Children
and Families. Staff Contact: Robert M. Shelbourne: 202-401-5150
(phone); 202-401-5554 (fax); (E-mail: rshelbourne@acf.hhs.gov).
Programs authorized under title V of the Older Americans
Act of 1965 (Senior Community Service Employment Program, or SCSEP)
Administered by Department of Labor, Employment and Training
Administration. Staff Contact: Alexandra Kielty: 202-693-3730 (phone);
202-693-3587 (fax); (E-mail: Kielty.Alexandra@dol.gov).
Training activities funded by the Department of Housing
and Urban Development under the Community Development Block Grants
(CDBG) and Public Housing Programs. Staff Contact: Manuel Ochoa: 202-
708-2111; Fax: 202-708-3672; (E-mail: Manuel.T.Ochoa@hud.gov).
Programs authorized under the Community Services Block
Grant Act (CSBG) Administered by Health and Human Services,
Administration for Children and Families. Staff Contact: Brandy RayNor:
202-205-5926 (phone); 202-402-5718 (fax); (E-mail:
BRayNor@acf.hhs.gov).
While the statute specifies that States may submit a Unified Plan
that includes ``training activities'' carried out by the Department of
Housing and Urban Development (HUD), for a number of reasons, the
Federal Partners agree that the unique nature of HUD's training
activities warrants special treatment in a Unified Plan.
Accordingly, the Unified Plan guidance provides for informal
inclusion of HUD's programs. Since HUD programs are generally funded
and implemented through local communities, and HUD's relevant State
formula grant programs are not specifically employment and training
programs, States that follow the Unified Planning guidance will not
automatically receive funding for HUD's formula programs through their
Unified Plans. However, to encourage States to think strategically
about developing a comprehensive workforce investment system--including
how that system relates to the housing and workforce investment needs
of the population receiving housing assistance--the guidance includes
references to HUD customers and services, as well as local housing
agencies, in the overarching questions pertaining to the Unified Plan's
vision and goals, One-Stop service delivery, and needs assessment.
D. Submission of State Unified Plans
1. Requirements for Submission and Points of Contact:
States have the option of submitting a Unified Plan to meet the
requirements for submission of a State Plan.
a. AEFLA Extensions. A State's request to extend subsections of a
Unified Plan related to programs under AEFLA must be submitted directly
to the U.S. Department of Education and is due April 1, 2009 for AEFLA
programs. See Guide for the Development of a State Plan under the Adult
Education and Family Literacy Act (OMB Control number 1830-0026).
b. Federal Coordinator. To reduce the reporting and processing
burden, States have the option of submitting their Unified Plan to
either WIA.PLAN@DOL.GOV or to the designated Federal Coordinator for
Plan Review and Approval (hereafter, ``Federal Coordinator''),
depending upon the submission option chosen by the State (as discussed
below). The Federal Coordinator is Janet Sten, E-mail:
Sten.janet@dol.gov; phone: 202-693-3045.
c. Federal Departments. States also have the option of submitting
their Unified Plans directly to each Federal Department whose programs
are included in the Unified Plan, except for AEFLA simple extensions,
which must be submitted to the U.S. Department of Education as stated
above. States choosing this option are only required to send the Plan
to the designated Federal Departmental State Unified Plan Contact
(hereafter, ``Departmental Contact''). The Departmental Contact will be
responsible for ensuring that affected agencies and appropriate
Regional Offices in that Department receive copies of the Unified Plan.
For example, if a Unified Plan contains plans for both the Vocational
Rehabilitation and the Adult Education programs, both of which are
administered by different agencies within the United States Department
of Education, the State need only submit the Plan to the U.S.
Department of Education once, and it should be sent to the Departmental
Contact. E-mail addresses for the Departmental Contacts are as follows:
Department of Labor: Sten.janet@dol.gov
Department of Education: Jerry.Elliott@ed.gov
Department of Health and Human Services: rshelbourne@acf.hhs.gov
Department of Agriculture: Micheal.Atwell@fns.usda.gov
Department of Housing and Urban Development: Manuel.T.Ochoa@hud.gov
2. Submission Options--Electronic, CD-ROM or Hard Copy Format:
States have the option to submit Unified Plans in an electronic,
hard copy, or CD-ROM format. The Federal Government is encouraging
States to submit Unified Plans in electronic format to reduce the
reporting and process burden and to ensure timely receipt by each
Federal agency whose programs are included in the Unified Plan.
a. Electronic Submission. States can submit a Unified Plan
electronically either by posting it on an Internet Web site that is
accessible to the Department of Labor or by transmitting it through e-
mail to the Department. Unified Plan certifications with electronic
signatures are acceptable. If a State chooses not to use an electronic
signature, then the Plan Signature(s) Page (Attachment B) must be
submitted in hard copy.
i. Posting Unified Plans on an Internet Web Site. Under this
option, a State should post its Plan on an Internet Web site; inform
the Federal Coordinator through electronic mail of the URL and the
location of the document on the Web site; provide contact information
in the event of problems with accessing the Web site; and certify that
no changes will be made to the version of the Plan posted on the Web
site after it has been submitted to the Department, unless the Federal
Coordinator or Federal agency overseeing the portion to be changed
gives prior approval. The Federal Coordinator will ensure that Federal
agencies whose programs are included
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in the Unified Plan, and the appropriate DOL Regional Office, receive
the relevant information.
ii. Transmitting Unified Plans by E-Mail. Any State submitting its
Plan by e-mail should send it to WIA.PLAN@DOL.GOV. The Federal
Coordinator will ensure that Federal agencies whose programs are
included in the Unified Plan receive a copy. The Federal Coordinator
will also provide a copy to the appropriate DOL Regional Office. If a
State chooses to submit its Unified Plan by transmitting it through
electronic mail, the State must submit it in Microsoft Word or PDF
format.
b. Hard Copy or CD-ROM Submission. States choosing to submit a hard
copy should submit one copy of the Plan with an original signature to
Janet Sten, the Federal Coordinator for Plan Review and Approval, at
the following address: Division of Workforce System Support, Employment
and Training Administration, U.S. Department of Labor, 200 Constitution
Ave., NW, Room S-4231, Washington, DC 20210, ATTN: Janet Sten.
States submitting a Unified Plan on CD-ROM should submit one copy
of the Plan to Janet Sten, the Federal Coordinator for Plan Review and
Approval. The Federal Coordinator will ensure that each Federal agency
whose programs are included in the Unified Plan, and the appropriate
DOL Regional Office, receive copies of the Plan.
If the Plan on the CD-ROM does not include the signature of the
governor on the signature page, the State must submit separately an
electronic signature or a signature page in hard copy. Plans submitted
on a CD-ROM must be in Microsoft Word or PDF format.
States submitting a hard copy of their Plan are encouraged to
provide an unbound copy to facilitate duplication.
3. Table of Contents:
States are encouraged to include a table of contents at the
beginning of the State Unified Plan. This will provide easy reference
on the Plan's details to the public as well as aid the Federal
Government in the review of the Unified Plan.
4. Receipt Confirmation:
The Federal Coordinator, without regard to which option the State
uses for submission, will confirm receipt of the State Unified Plan
within two workdays of receipt and indicate the date for the start of
the review period. When a State submits an incomplete Plan, the period
for review will not start until all required components of the Unified
Plan have been received.
E. Federal Government Review and Approval of Unified Plan
Section 501(d)(2) of WIA states that a portion of a State Unified
Plan covering an activity or program is to be considered to be approved
by the appropriate Secretary at the end of the 90-day period beginning
on the day the appropriate Secretary receives the portion unless the
appropriate Secretary makes a written determination, during the 90-day
period, that the portion is not consistent with the requirements of the
Federal statute authorizing the activity or program or section
501(c)(3) of WIA.
The appropriate Secretary, or his/her representative, will advise
the State by letter, as soon as possible, that the portion of the
Unified Plan over which his/her agency exercises administrative
authority is approved or disapproved. If the Plan is not approved, the
appropriate Secretary, or his/her representative, will advise the State
by letter that the portion of the Unified Plan over which his/her
agency exercises administrative authority is not consistent with the
requirements of the Federal statute authorizing the activity or
program, or with section 501(c)(3) of WIA, and clearly indicate the
reasons for disapproval and specify what additional information is
required or what action needs to be taken for the Unified Plan to be
approved.
F. How To Use ``Attachment B''
1. Forms for State Use:
In Attachment B you will find three forms for use in submitting the
State Unified Plan. These forms are available for electronic download,
along with this entire guidance, at http://www.doleta.gov/usworkforce.
a. Unified Plan Activities and Programs Checklist: Please provide a
list of the section 501 programs and activities you have included in
the Plan. Use of this specific format is optional.
b. Contact Information: Please provide the contact information
requested for each of the Section 501 programs and activities that you
have included in the Plan. Programs and activities may be combined on
one form if they have the same contact information. Use of this
specific format is optional.
c. Plan Signature(s): Please provide the required signatures as
appropriate for the programs and activities you have included in the
State Unified Plan. Use of this specific format is optional, but the
wording on the signature page must be identical to that provided here.
2. Program Descriptions:
Please respond fully to the general questions in the program
descriptions section, as well as the additional questions that relate
to the programs and activities that are included in the State's Unified
Plan.
3. Certifications and Assurances:
By signing the signature page(s), you are assuring or certifying
those items in the Certifications and Assurances section that apply to
the programs and activities you have included in the State's Unified
Plan.
G. Negotiated WIA and Wagner-Peyser Act Performance Indicators
WIA allows considerable flexibility in system design and service
delivery, in exchange for both accountability for a key set of outcomes
and improving those outcomes over time. To accomplish this, the
Secretary of Labor and the governor of each State must reach agreement
on the State's negotiated performance levels for the core indicators of
performance, and for customer satisfaction indicators of employers' and
participants' satisfaction. These levels of performance become the
basis for sanctions for failed performance and, with additional
performance levels for WIA title II Adult Education and Family Literacy
Act programs and Carl D. Perkins Career and Technical Education Act of
2006 programs, the basis for incentive grants.
At a minimum, the State Plan should include proposed performance
goals for WIA and Wagner-Peyser Act programs for each of the
performance indicators for each program year covered by the Plan. While
the State Plan is under review, the ETA Regional Administrator and the
State will discuss the performance levels, and negotiate on them as
appropriate. The Department expects States to enter into preliminary
discussions with the Local Workforce Investment Boards and the ETA
Regional Administrators before submitting the State Plan. States are
expected to come to the negotiating table with support from their Local
Workforce Investment Boards for the proposed performance goals.
Entering into preliminary discussions prior to Plan submission will
maximize the time available to States, local areas, and the Department
to develop a shared set of goals. ETA Regional Administrators will
coordinate with other DOL program administrators, including the
Veterans' Employment and Training Service (VETS) Regional
Administrators, to assure comprehensive Departmental participation.
States should note that the proposed levels of performance are
subject to public review and comment requirements. States that have
completed negotiations with ETA
[[Page 73734]]
should include their agreed-upon levels of performance for each program
year covered by the Plan for the WIA and Wagner-Peyser Act programs.
In cases where final agreement on performance goals is reached
after the State Plan is submitted to ETA for review and approval, but
before ETA approval of the State Plan, the letter advising the States
of approval of the State Plan will include ETA's approval of the
agreed-upon goals.
In cases where final agreement on performance goals has not been
reached until after the State Plan has been approved, the ETA Regional
Administrator's letter advising the State of the agreed-upon goals will
constitute a modification to the State Plan. For subsequent revisions
to performance goals during the life of the State Plan, the ETA
Regional Administrator's letter advising the State of the agreed upon
goals will also constitute a modification to the State Plan. The State
must ensure that the agreed-upon goals are included in the State's
official copy of the State Plan, and that any published State Plan, on
the State's Web site or through other forums, includes the agreed-upon
goals. ETA will incorporate these performance goals into the Regional
and National Office copies of the State's Plan.
H. Modifications to State Plan
1. Reasons for Modifications:
Modifications may be needed in any number of areas to keep the
Unified Plan a viable, living document over its life span. WIA
regulations permit states to modify their Plan at any time and 20 CFR
652.212 and 661.230 outline the circumstances under which modifications
must be submitted. Modifications are required when:
a. Changes in Federal or State law or policy substantially change
the assumptions upon which the Plan is based.
b. There are changes in the statewide vision, strategies, policies,
performance indicators, the methodology used to determine local
allocation of funds, reorganizations which change the working
relationship with system employees, changes in organizational
responsibilities, changes to the membership structure of the State
Board or alternative entity and similar substantial changes to the
State's workforce investment system.
c. The State has failed to meet performance goals, and must adjust
service strategies.
The WIA regulations, at 20 CFR 652.212, which relate to the Wagner-
Peyser Act portions of the Plan, also require modifications when there
is any reorganization of the State agency designated to deliver
services under the Wagner-Peyser Act, any change in service delivery
strategy, any change in levels of performance when performance goals
are not met, or any change in services delivered by State merit-staff
employees. In general, it is substantial changes to the Unified Plan
that require a modification, i.e., any change that significantly
impacts the operation of the state's workforce investment system.
2. Submitting a Modification:
Plan modifications must be submitted to the Federal Coordinator,
who will ensure that Federal agencies whose programs are included in
the unified plan receive a copy, in accordance with the procedures of
the affected agency. Prior to submission of the modification for review
and approval by the Federal Government, the designated State agency
must circulate the modifications among the other State and/or local
agencies that may be affected by the changes. Inclusion of a program in
the State Unified Plan does not remove the statutory requirement for
certain programs to annually review the Plan and submit modifications
as needed.
Modifications to the Unified Plan are subject to the same public
review and comment requirements that apply to the development of the
original Plan. States wishing to submit a State Plan modification
should follow the submission guidelines listed in Section D
``Submission of Unified Plans.'' States should direct any questions
about the need to submit a Plan modification to the Federal
Coordinator, the Departmental Contacts listed above, or to the Regional
Administrator or Regional Commissioner who exercises administrative
authority over the activity or program(s) impacted by the modification.
I. Inquiries
General inquiries about the State Unified Plan process may be
directed to Janet Sten, the Federal Coordinator for Plan Review and
Approval. The electronic mail address for the Federal Coordinator is
Sten.Janet@dol.gov. The Federal Coordinator may be contacted by phone
at 202-693-3045. Inquiries related to specific activities and programs
can be directed to the staff contacts listed above.
Part II. National Strategic Direction
The purpose of Part II is to communicate ETA's national direction
and strategic priorities for the workforce investment system.
A. Vision and Goals Related to WIA Title I and Wagner-Peyser Act
The U.S. economy and its labor markets are undergoing changes of
historic proportion. Globalization has forced change in every region in
the country and impacted every aspect of our economy. While global
competition is typically seen as a national challenge, the front lines
of the battlefield are regional, where businesses create competitive
advantage by collaborating with researchers, entrepreneurs, and
government entities. That advantage stems from the ability to transform
new ideas and knowledge into advanced, high-quality products or
services--in other words, to innovate. Those regions that will be most
successful will connect three key elements: Talent, infrastructure, and
investment. In particular, they will connect workforce skills and
lifelong learning strategies; regional infrastructure and economic
development strategies; and investment and entrepreneurship strategies.
Entrepreneurship plays a critical role in fueling innovation, as
entrepreneurs account for more than half of all technological
innovation which powers America's competitiveness.
Maintaining America's competitive position in the global economy
requires a workforce with postsecondary education credentials, the
capacity to work in a high-technology environment, and the opportunity
to engage in lifelong learning to keep pace with change. Preparing
workers to be part of such a workforce is the role of our system. ETA
envisions that the workforce investment system will operate as a talent
development system; it is no longer defined only as a job training
system. A talent development system not only meets the needs of
industry, but contributes to economic prosperity by collaborating with
economic development to identify emerging industries that it can help
foster and grow. Its vision is an educated and prepared workforce that
is able to compete in the global economy.
Broadly, the ETA strategic priorities for the workforce investment
system for this planning cycle include:
Building a demand-driven system within a regional economic
development context;
Implementing system reform, with streamlined governance
and alignment of economic and workforce development regions;
Enhancing an integrated service delivery system that
focuses on functions and services rather than programs or funding
streams;
[[Page 73735]]
Advancing a vision for serving youth most in need;
Expanding the workforce information system as the
foundation for strategic planning and career guidance;
Strengthening partnerships with community and faith-based
organizations;
Increasing the use of flexibility provisions in WIA to
design innovative programs that fuel regional economic competitiveness
and create employment opportunities for career seeker customers; and
Utilizing an integrated and enhanced performance
accountability system.
B. Demand-Driven Workforce Investment System Within a Regional Economic
Development Context
In today's economy, the workforce investment system has an
opportunity to play a critical role in fueling competitiveness by
developing talent--one of the three key requirements for innovation. To
become a dynamic catalyst, the workforce investment system must evolve
beyond its current configuration and status. Ideally, the system will
be positioned to respond to a variety of economic conditions with
talent development strategies that range from retrofitting an economy
in an area where an entire industry is being reengineered, to building
new industries from the ground up, to building an entrepreneurial
culture that fosters job creation.
The challenge for the workforce investment system is to become
agile enough to serve an economy driven by innovation, recognizing the
reality that approximately two-thirds of all new jobs are created by
small businesses. Jobs in today's economy increasingly hinge on
specialized skills, as 90 percent of the fastest growing jobs require
education and training past high school.
Therefore, it is imperative that the system continue its
transformation as a catalyst in reshaping talent development strategies
in support of regional economic competitiveness. While the workforce
investment system has implemented a number of key strategies to become
increasingly demand-driven, new strategies are needed in the workforce
investment system to drive regional economic growth. The workforce
system must transform to be relevant in the 21st century economy.
Elements of transformation include:
(1) The workforce investment system operates as a talent
development system; it is no longer defined as a job training system.
Its goal is an educated and prepared workforce--on a U.S. or global
standard.
(2) Workforce investment system formula funds are transformed,
providing significantly increased opportunity for postsecondary
education for lifelong learning aligned with the region's talent
development strategy.
(3) The workforce investment system no longer operates as an array
of siloed programs and services.
(4) Workforce Investment Boards are structured and operate on a
regional basis and are composed of regional strategic partners who
drive investments by aligning spending with a regional economic vision
for talent development.
(5) Economic and workforce development activities within regions
are aligned, leading to the adoption of common and innovative policies
across the workforce, education, and economic development systems and
structures that support talent development and the regional economy.
(6) The workforce investment system is agile enough to serve the
innovation economy, recognizing the reality that two-thirds of all new
jobs are created by small businesses.
(7) The workforce investment system actively collaborates with
economic development, business, and education partners to gather and
analyze a wide array of current and real-time workforce and economic
data in order to create new knowledge about regional economies and
support strategic planning, routinely track economic conditions,
measure outcomes, and benchmark economic competitiveness in the global
marketplace.
C. System Reform and Increased Focus on Workforce Education and
Training
The needs of the 21st century labor market are radically different
from what we have known in the past, and for which most workers are
currently trained. As a result, the American economy is facing a
shortage of skilled workers which necessitates a talent development
system that cultivates an educated and prepared workforce committed to
life-long learning. The following strategies can help advance an
essential culture of life-long learning:
K-12 and alternative education curricula must be designed
to academically prepare students to successfully move into
postsecondary education as well as prepare students for success in the
workplace through a range of strategies.
Educational strategies for adult learners must offer more
entry and exit points in recognition that students will need to earn
and learn simultaneously. Such strategies may need to approach
education and career progression incrementally rather than on one
continuous path to a specific degree with the aim of moving the learner
to the workplace. This is particularly essential for incumbent workers
who need lifelong education to remain in economically self-sustaining
jobs.
New education models are needed to support the development
of cross-disciplinary learning that matches the expanding number of
cross-functional competencies and skill sets that are needed on the
job.
States have multiple ways to drive system transformation and
integration through policies, required practices, and investment of
State set-aside funds, among others. There are a number of key areas
the State may consider addressing in its Strategic Plan to respond to
the current challenges of maintaining a competitive advantage and
ensuring a prepared and educated workforce. These key areas may
include, but are not limited to, the following:
Aligning economic and workforce development strategies and
facilitating the adoption of common and innovative policies across the
workforce, education, and economic development systems and structures
that support talent development in a regional economy;
Reorganizing governance structures to operate on a
regional basis and in a way that reduces administrative costs,
streamlines service delivery systems, and increases flexibility to
address the needs of State and regional economies;
Promoting the engagement of strategic partners who drive
investments in economic regions and align spending within a regional
economic vision for talent development;
Using State set-aside funds to respond more efficiently to
economic trends and shocks, enabling State and Local Workforce
Investment Boards greater agility;
Increasing use of system resources for training through
targeted policies such as setting a specific percentage of WIA funding
that must be devoted to training and transforming the use of WIA
formula funds to postsecondary education and lifelong learning
opportunities aligned with the region's talent development strategy;
Promoting the use of Registered Apprenticeship as an
important talent development strategy and a critical postsecondary
education, employment and training opportunity as part of the suite of
options offered through the workforce system;
Developing statewide polices to guide the use of
assessments of
[[Page 73736]]
individuals to enhance service delivery for business and job seekers;
and
Developing comprehensive, user-friendly economic data and
skills information to enable informed decisions by the system, and its
customers and partners.
D. Enhanced Integration Through the One-Stop Delivery System With
Improved Service Delivery and Increased Efficiencies
The workforce investment system, as currently constituted,
struggles to meet the challenges of educating and training a workforce
that is prepared to compete in today's economy. This is partly due to
the lack of integration, which causes too much money to be spent on
competing bureaucracies, overhead costs, and unnecessary
infrastructure, and not enough on meaningful skills training that leads
to job growth and economic prosperity. The ultimate objective is a
workforce system that eliminates duplicative costs for physical
infrastructure, information systems, and administrative and managerial
personnel; this will enable the system to devote scarce resources to
more efficiently and effectively implement talent development
strategies across multiple programs.
In addition to infrastructure integration, integrated service
delivery remains essential to a demand-driven workforce system that
effectively serves businesses and individuals. The workforce investment
system must operate as a seamless system functionally organized around
service delivery rather than an array of separate programs with
separate processes. The objective is for ``customers'' to be seen as
customers of the workforce investment system, not of a particular
program. This goal is particularly important when focusing on targeted
populations such as veterans, individuals with disabilities, military
spouses, migrant and seasonal farm workers, older workers, and others.
All of these populations need access to all of the services in a One-
Stop Career Center.
Achieving the goal of integrated service delivery requires strong
State leadership to overcome administrative challenges and to foster a
policy environment conducive to the integration of funding, facilities,
and service delivery. The WIA State planning process offers a vehicle
for the governor and State Workforce Investment Board to set forth
policy expectations for integration and to help eliminate obstacles.
E. A Vision for Serving Youth Most in Need
Currently, there are nearly four million youth who are not in
school, do not have a diploma, and are not working. Over 30 percent of
our youth are dropping out of high school nationally, and the number is
closer to 50 percent in many urban areas. In an attempt to address this
problem, the U.S. Department of Labor has developed a Youth Vision
which proposes that the public workforce investment system serve the
neediest youth: youth aging out of foster care, those involved with the
juvenile justice system, children of incarcerated parents, migrant
youth, Native American youth, and youth with disabilities. Transforming
the system to meet this objective requires that the current capacity,
knowledge, and models in the workforce investment system be
strengthened. Transformation is also necessary if the system is to meet
new performance expectations and the specific performance measures for
out-of-school youth literacy and numeracy gains, diploma attainment,
and transition to postsecondary education.
Governors must continue to provide strong leadership in advancing
the vision for serving youth most in need. States should expand upon
existing efforts by aligning resources to address barriers and
challenges and increase opportunities to access postsecondary
education. States are encouraged to expand their cross-agency
partnerships to ensure the right set of agencies:
Are represented in the development of a coordinated
strategic plan;
Build upon State-level collaborative efforts by conducting
strategic planning sessions to better understand the range of issues
that impact their ability to serve the neediest youth;
Develop a comprehensive understanding of resources that
are available in the State for serving the neediest youth;
Conduct analyses that identify where gaps in services and
resource coordination exist; and
Develop new strategies for serving the neediest youth
through jointly funded solicitations.
States should also engage employers and civic leaders to identify
demand-driven workforce solutions that address the unique challenges
that out-of-school youth present. This includes building the capacity
of the workforce system to provide services to these youth in a
business solutions environment by identifying replicable models and
innovative business solutions which connect secondary and postsecondary
education, businesses and industry associations, and the workforce
system.
Recognizing the critical need to reconnect out-of-school youth with
high quality educational opportunities, the Youth Vision emphasizes the
development of academically rigorous alternative education pathways.
WIA-funded Youth programs should serve as a catalyst for increasing
both the quality and quantity of alternative learning environments and
connecting out-of-school youth with secondary and postsecondary
educational opportunities and high-growth employment opportunities. A
system for serving out-of-school youth should include high quality
educational programs that will meet the learning styles and needs of
youth who need to be reconnected to educational opportunities.
F. Increased Economic and Workforce Information Data Integration and
Analysis
ETA reaffirms and strengthens its message about the centrality of
workforce information for the workforce system leaders, and their
economic development, business, and education partners. To be
successful in its new role as a catalyst for leading talent
development, the workforce investment system needs to actively
collaborate with its partners to gather and analyze a wide array of
current and real-time workforce and economic data in order to compile
new knowledge about regional economies and support strategic planning,
routinely track economic conditions, measure outcomes, and benchmark
economic competitiveness in the global marketplace.
Not only is workforce information critical to support decisions of
the national State and local political leadership, economic developers,
business and industry, investors, and educators and to drive the
investments of the workforce investment system, it is also a
fundamental tool for guidance counselors, students, job seekers, and
workers. The provision of workforce information in an economic context,
through easy-to-use electronic tools will empower customers in career
planning and lifelong learning required by today's dynamic global
economy.
Fulfilling the mandate for leadership in workforce and economic
information can only occur by embracing a wide array of data sources,
greater integration of the data, more complex analysis, new strategies
for making it available to strategic partners engaged in developing
regional economic agendas and talent development strategies.
Accomplishing this requires collaboration among the owners of the data
and developing methods to leverage public and private
[[Page 73737]]
resources to produce the economic and workforce intelligence needed in
a regional economy.
G. Effective Utilization of Faith-Based and Community Organizations
In every community, including those facing high poverty rates and
other serious challenges, there are faith-based and community
organizations (FBCOs) working to improve their community. These
organizations can be valuable partners for the workforce investment
system. The Department of Labor (DOL) encourages States to build and
strengthen both monetary and non-monetary partnerships with FBCOs.
These partnerships can strengthen participant outcomes by expanding
access to services that complement those provided by the One-Stop
Career Center, including job readiness and life skills training and
niche and specialized services. These partnerships can also create new
``points of access'' to the One-Stop's electronic tools and job search
assistance in many struggling communities.
Two distinct activities are critical to utilizing fully the
complementary strengths of FBCOs. First, States must ensure compliance
with the DOL's equal treatment regulations 29 CFR part 2, subpart D.
Compliance includes taking the administrative steps necessary to create
a ``level playing field'' for all organizations willing to join with
the government in service, including faith-based groups and other non-
traditional community partners.
Second, States should actively cultivate FBCO partnerships to
expand the reach of the workforce investment system and to improve
outcomes for participants, including high-need individuals.
H. Increased Use of Flexibility Provisions in WIA
To fuel regional economic competitiveness and create employment
opportunities for workers, States should exercise their authority to
design and implement innovative strategies. States should take
advantage of flexibility provisions under current legislative
authority, including waivers and work-flex, to tailor service delivery
and program design to fit the unique characteristics of their workforce
areas.
The State planning process is a vehicle for identifying waiver
opportunities and formally requesting waivers, including extensions of
approved waivers, in concert with overall strategic planning. States
are strongly encouraged to think about flexibility in broad terms and
to utilize the flexibility provided by WIA to advance their strategic
goals. States have received waivers in multiple program areas, during
this and the previous five-year planning cycle, that have allowed them
to implement a wide range of innovations to transform their workforce
systems. States have received waivers that:
Increase training opportunities by permitting the use of a
portion of local area formula funds or funds reserved for rapid
response activities to provide incumbent worker training.
Decrease the amount that small and medium-sized businesses
need to invest in order to take advantage of WIA's provision for
customized and on-the-job training.
Allow States to choose the most appropriate mix of youth
services needed within each local and regional economy.
DOL provides technical assistance on waivers and work-flex and
provides information on the waiver strategies States have utilized to
date.
I. An Integrated and Enhanced Performance Accountability System That
Provides Improved System Results
In an effective accountability system, a clear link exists between
the State's program and service delivery design and the results
achieved. Further, the performance information should be available and
easily understood by all customers, stakeholders, and operators of the
workforce investment system.
While great strides have been made in our reporting system in
recent years, the accountability outcomes for the workforce investment
system have not yet reached all goals. In addition, various reporting
requirements for the multiple programs operated by the workforce
investment system impede the integrated service delivery system
required for the demand-driven workforce systems that support regional
economic competitiveness. To address this issue, DOL implemented a set
of common performance measures for many of its workforce programs,
including WIA title IB, the Wagner-Peyser Act, and the Trade Adjustment
Assistance Act. The common measures allow DOL to clearly state the core
purposes of all the programs operated by the workforce investment
system--helping people find jobs; stay employed; and improve earnings.
The common measures are the foundation of DOL's evolving
performance accountability system. DOL continues to collect from States
and grantees other information on program activities, participants, and
outcomes necessary for program management, including data that support
the existing WIA performance measures that are required to convey full
and accurate information on the performance of workforce programs to
policymakers and stakeholders.
Part III. Unified Planning Instructions
Note: The statutes cited in parentheses refer to the authorizing
legislation for each respective program. This Unified Planning
guidance only relates to planning requirements; it does not affect
the statutory and regulatory requirements relating to other aspects
of programs included in the Plan.
A. State Vision and Priorities
Describe the governor's vision for a statewide workforce investment
system. Provide a summary articulating the governor's vision for
utilizing the resources of the workforce investment system in support
of the State's economic development that addresses the issues and
questions below. States are encouraged to attach more detailed
documents to expand upon any aspect of the summary response if
available. (WIA Sec. 112(a) and (b)(4)(A-C).)
1. What are the State's economic development goals for attracting,
retaining and growing business and industry within the State? (Sec.
112(a) and (b)(4)(A-C).)
2. Given that a skilled workforce is a key to the economic success
of every business, what is the governor's vision for maximizing and
leveraging the broad array of Federal and State resources available for
workforce investment flowing through the State's cabinet agencies and/
or education agencies in order to ensure a skilled workforce for the
State's business and industry? (Sec. 112(a) and (b)(4)(A-C).)
3. Given the continuously changing skill needs that business and
industry have as a result of innovation and new technology, what is the
governor's vision for ensuring a continuum of education and training
opportunities that support a skilled workforce? (Sec. 112(a) and
(b)(4)(A-C).)
4. What is the governor's vision for bringing together the key
players in workforce development including business and industry,
economic development, education, and the workforce system to
continuously identify the workforce challenges facing the State and to
develop innovative strategies and solutions that effectively leverage
resources to address those challenges? (Sec. 112(b)(10).)
5. What is the governor's vision for ensuring that every youth has
the opportunity to develop and achieve career goals through education
and workforce training, including youth most in need, such as youth who
are:
[[Page 73738]]
Out of school, homeless, in foster care or aging out of foster care,
offenders, children of incarcerated parents, migrant and seasonal
farmworker youth, have disabilities, or are other youth at risk? (Sec.
112(a).)
6. Given the labor shortage that will continue to increase over the
next 25 years, describe the governor's vision for how it will ensure
that older individuals receive workforce training that will prepare
them to reenter the labor market and become a workforce solution for
employers. (Sec. 112(b)(17)(A)(iv).)
B. One-Stop Delivery System
1. Describe the State's comprehensive vision of an integrated
service delivery system, including the role each program incorporated
in the Unified Plan in the delivery of services through that system.
In answering this question, if the Unified Plan includes WIA title
I and Wagner-Peyser Act and/or Veterans Programs:
a. Identify how the State will use WIA title I funds to leverage
other Federal, State, local, and private resources in order to maximize
the effectiveness of such resources and to expand the participation of
business, employees, and individuals in the statewide workforce
investment system. (Sec. 112(b)(10).)
b. What strategies are in place to address the national strategic
direction discussed in Part II of this guidance, the governor's
priorities, and the workforce development issues identified through the
analysis of the State's economy and labor market? (Sec. 112(a) and
112(b)(4)(D).)
c. Based on the State's economic and labor market analysis, what
strategies has the State implemented or does the State plan to
implement to identify and target industries and occupations within the
State that are high growth, high demand, and vital to the State's
economy? (Sec. 112(a) and 112(b)(4)(A).) The State may want to
consider:
Industries projected to add a substantial number of new
jobs to the economy;
Industries that have a significant impact on the overall
economy;
Industries that impact the growth of other industries;
Industries that are being transformed by technology and
innovation that require new skill sets for workers; or
Industries that are new and emerging and are expected to
grow.
d. What strategies are in place to promote and develop ongoing and
sustained strategic partnerships that include business and industry,
economic development, the workforce system, and education partners (K-
12, community colleges, and others) for the purpose of continuously
identifying workforce challenges and developing solutions to targeted
industries' workforce challenges? (Sec. 112(b)(8).)
e. What State strategies are in place to ensure that sufficient
system resources are being spent to support training of individuals in
high growth/high demand industries? (Sec. 112(b)(4)(A) and
112(b)(17)(A)(i).)
f. What workforce strategies does the State have to support the
creation, sustainability, and growth of small businesses and support
for the workforce needs of small businesses as part of the State's
economic strategy? (Sec. 112(b)(4)(A) and 112(b)(17)(A)(i).)
g. How are the funds reserved for statewide activities used to
incent the entities that make up the State's workforce investment
system at the State and local levels to achieve the governor's vision
and address the national strategic direction identified in Part I of
this guidance? (Sec. 112(a).)
h. Describe the State's strategies to promote collaboration between
the workforce system, education, human services, juvenile justice, and
others to better serve youth that are most in need and have significant
barriers to employment, and to successfully connect them to education
and training opportunities that lead to successful employment. (Sec.
112(b)(18)(A).)
i. Describe the State's strategies to identify State laws,
regulations, and policies that impede successful achievement of
workforce development goals and strategies to change or modify them.
(Sec. 112(b)(2).)
j. Describe how the State will take advantage of the flexibility
provisions in WIA for waivers and the option to obtain approval as a
workflex State pursuant to Sec. 189(i) and Sec. 192.
2. Describe the actions the State has taken to ensure an integrated
One-Stop service delivery system statewide. (Sec. Sec. 112(b)(14) and
121).)
a. What State policies and procedures are in place to ensure the
quality of service delivery through One-Stop Career Centers such as
development of minimum guidelines for operating comprehensive One-Stop
Career Centers, competencies for One-Stop Career Center staff or
development of a certification process for One-Stop Career Centers?
(Sec. 112(b)(14).)
b. What policies or guidance has the State issued to support
maximum integration of service delivery through the One-Stop delivery
system for both business customers and individual customers? (Sec.
112(b)(14).)
c. What actions has the State taken to promote identifying One-Stop
infrastructure costs and developing models or strategies for local use
that support integration? (Sec. 112(b)(14).)
d. How does the State use the funds reserved for statewide
activities pursuant to Sec. Sec. 129(b)(2)(B) and 134(a)(2)(B)(v) to
assist in the establishment and operation of One-Stop delivery systems?
(Sec. 112(b)(14).)
e. How does the State ensure the full spectrum of assets in the
One-Stop delivery system support human capital solutions for businesses
and individual customers broadly? (Sec. 112(b)(14).)
C. Plan Development and Implementation
1. Describe the methods used for joint planning and coordination of
the programs and activities included in the Unified Plan. (WIA Sec.
501(c)(3)(A).)
The authorizing statutes for many of the programs that may be
included in a Unified Plan require that the State Plan be developed in
consultation with various public and private entities, as well as
members of the general public. Some statutes also require formal public
hearings. Depending upon the programs that a State chooses to include
in its Unified Plan, it may be possible for the State to satisfy many
of these consultation requirements through a single set of processes.
2. Describe the process used by the State to provide an opportunity
for public comment and participation for each of the programs covered
in the Unified Plan.
In addition, if the Unified Plan includes:
a. WIA Title I and Wagner-Peyser Act and/or Veterans Programs,
describe the process used by the State, consistent with section 111(g)
of WIA, to provide an opportunity for public comment, including
comments by representatives of business and representatives of labor
organizations, and input into development of the Plan, prior to
submission of the Plan.
b. AEFLA, describe the process that will be used for public
participation and comment with respect to the AEFLA portion of the
Unified Plan. (Sec. 224(b)(9).)
c. TANF, the State shall make available to the public a summary of
any Plan or Plan amendment submitted by the State under this section.
With respect to the TANF plan design, the State should describe how
local governments and private sector organizations have been consulted
regarding the plan and design of welfare services in the State so that
the services are provided in a manner appropriate to
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local populations; and have had at least 45 days to submit comments on
the plan and the design of such services. (Sec. 402(c).)
d. CSBG, provide evidence that the public participation
requirements were met, including documents which confirm that a
legislative public hearing on the State Plan was conducted as required
by subsection 675(b) and that the Plan was also made available for
public inspection and review as required by subsection 675(d)(2).
3. Describe the types of activities and outcomes that were
conducted to meet the consultation requirement. Demonstrate, as
appropriate, how comments were considered in the Plan development
process including specific information on how the various WIA agency
and program partners were involved in developing the unified State
Plan.
The following agencies, groups, or individuals must be consulted if
the Unified Plan includes:
a. WIA title I, Wagner-Peyser Act, or Veterans Programs: (Sec.
112(b)(1) and 112(b)(9))
The governor of the State
State Board
Local chief elected officials
Business community
Labor organizations
The following agencies, groups and individuals should also be
consulted for WIA title I, Wagner-Peyser, or Veterans Programs: Local
Boards and Youth Councils, educators, Vocational Rehabilitation
Agencies, service providers, welfare agencies, faith and community-
based organizations and the State Employment Security Agency.
In addition, describe the role of the State Board and Local Boards
in planning and coordination in the Unified Plan (Sec. 501(c)(3).)
Note: While WIA only requires the involvement of State Board and
Local Boards in the planning and coordination of the programs and
activities authorized under title I, the intent of the Unified Plan
approach is to enable all the relevant parties in an area, if they
so choose, to come together more readily to coordinate their
activities in the best interests of the population to be served.
However coordination is achieved, nothing in the Unified Plan or in
WIA itself permits a Board or any other entity to alter the
decisions made by another program grantee in accord with that
grantee's statutes.
b. AEFLA (Sec. 224(d)):
Governor of the State (any comments made by the governor
must be included in the Plan)
c. Vocational Rehabilitation (Sec. 101(a)(21)(A)(ii)(III.):
State Rehabilitation Council (include the response of the
designated State unit to such input and recommendations)
d. CSBG:
Low-income individuals
Community organizations
Religious organizations
Representatives of low-income individuals
e. TANF:
Local governments
Private sector organizations
States must consult local governments and private sector
organizations regarding the plan and design of services in the State so
that services are provided in a manner appropriate to local
populations. Local governments and private sector organizations must
have had at least 45 days to submit comments on the plan and the design
of such services.
D. Needs Assessment
1. Many of the programs that may be included in a Unified Plan
require a needs assessment. State agencies should fulfill these
assessment responsibilities collaboratively or, at a minimum, create a
planning process that promotes the sharing of needs assessment
information among all agencies involved in preparing the Unified Plan.
Sharing of assessment data can create a framework for the coordination
and integration of services that are to be provided through the One-
Stop delivery system. The State may organize the presentation of
assessment data in its Unified Plan in a manner it deems most
appropriate and useful for planning, such as on a program-by-program
basis, by geographic region, or by special population.
Describe the educational and job-training needs of individuals in
the overall State population and of relevant subgroups of all the
programs included in the Unified Plan.
In answering this question, if the Unified Plan includes:
a. WIA Title I and Wagner-Peyser Act and/or Veterans Programs,
identify the types and availability of workforce investment activities
currently in the State. (Sec. 112(b)(4)(A-D).)
b. AEFLA, objectively assess the adult education and literacy needs
of individuals, including an assessment of those most in need and
hardest to serve, including low income students, individuals with
disabilities, single parents, displaced homemakers, and individuals
with multiple barriers to educational enhancement (including
individuals with limited English proficiency, criminal offenders in
correctional institutions and other institutionalized individuals.)
(Sec. Sec. 224(b)(10) and 225).)
c. Food Stamp Employment and Training (E&T), explain the method
used to:
i. Estimate the number and characteristics of the expected pool of
work registrants during the fiscal year;
ii. Estimate the number of work registrants the State agency
intends to exempt from E&T, along with a discussion of the proposed
exemption criteria;
iii. Estimate the number of placements into E&T components during
the fiscal year;
iv. Estimate the number of ABAWDs (able-bodied adults without
dependents) in the State during the fiscal year;
v. Estimate the number of ABAWDs in both waived and unwaived area
of the State during the fiscal year;
vi. Estimate the average monthly number of ABAWDs included in the
State's 15 percent exemption allowance, along with a discussion of how
the State intends to apply the exemption;
vii. Estimate the number of qualifying education/training and
workfare opportunities for ABAWDs the State will create during the
fiscal year.
d. Vocational Rehabilitation:
i. Assess the needs of individuals with disabilities in the State,
particularly the vocational rehabilitation needs of individuals with
the most significant disabilities (including their need for supported
employment services), individuals with disabilities who have been
unserved or under-served by the vocational rehabilitation program, and
individuals with disabilities served through other components of the
statewide workforce investment system. (Sec. Sec. 101(a)(15)(A)(i)(I-
III) and 625(b)(2).)
ii. Include State estimates of the number of individuals in the
State who are eligible for services under title I of the Rehabilitation
Act, the number of such individuals who will receive services provided
with funds provided under part B of title I and under part B of title
VI (including, if the designated State agency uses an order of
selection, estimates of the number of individuals to be served under
each priority category within the order), and the costs of the services
provided (including, if the designated State agency uses an order of
selection, the service costs for each priority category within the
order.) (Sec. 101(a)(15)(B).)
iii. Provide an assessment of the need to establish, develop, or
improve community rehabilitation programs within the State. (Sec.
101(a)(15)(A)(ii).)
e. HUD Employment and Training Programs: Address the educational
and training needs of public housing
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residents and other families receiving housing assistance.
Reminder: this question is a suggestion for incorporating HUD
programs into the State's Unified Plan. However, following this
guidance will not trigger funding for HUD programs.
2. WIA Title I and Wagner-Peyser Act Economic and Labor Market
Analysis (Sec. 112(b)(4)): As a foundation for this Plan and to inform
the strategic investments and strategies that flow from this Plan,
provide a detailed analysis of the State's economy, the labor pool, and
the labor market context. Elements of the analysis should include the
following:
a. What is the current makeup of the State's economic base by
industry?
b. What industries and occupations are projected to grow and/or
decline in the short term and over the next decade?
c. In what industries and occupations is there a demand for skilled
workers and available jobs, both today and projected over the next
decade? Estimate projected demand.
d. What jobs/occupations are most critical to the State's economy?
e. What are the skill needs for the available, critical and
projected jobs?
f. What is the current and projected demographics of the available
labor pool (including the incumbent workforce) both now and over the
next decade?
g. Is the State experiencing any ``in migration'' or ``out
migration'' of workers that impact the labor pool?
h. Based on an analysis of both the projected demand for skills and
the available and projected labor pool, what skill gaps is the State
experiencing today and what skill gaps are projected over the next
decade?
i. Based on an analysis of the economy and the labor market, what
workforce development issues has the State identified?
j. What workforce development issues has the State prioritized as
being most critical to its economic health and growth?
E. State and Local Governance
1. What is the organization, structure, and role/function of each
State and local entity that will govern the activities of the Unified
Plan?
In answering this question, if the Unified Plan includes:
a. WIA Title I and Wagner-Peyser Act and/or Veterans Programs:
i. Organization of State agencies:
a. Provide an organizational chart that delineates the relationship
to the governor of the agencies involved in the workforce investment
system, including education and economic development and the required
and optional One-Stop partner programs managed by each agency.
b. In a narrative describe how the agencies involved in the public
workforce investment system interrelate on workforce and economic
development issues and the respective lines of authority.
ii. State Workforce Investment Board:
a. Describe the organization and structure of the State Board.
(Sec. 111.)
b. Include a description of the process by which State and Local
Boards were created.
c. Identify the organizations or entities represented on the State
Board. If you are using an alternative entity which does not contain
all the members required under section 111(b)(1), describe how each of
the entities required under this section will be involved in planning
and implementing the State's workforce investment system as envisioned
in WIA. How is the alternative entity achieving the State's WIA goals?
(Sec. Sec. 111(a-c), 111(e), and 112(b)(1).)
d. Describe the process the State used to identify the State Board
members. How did you select Board members, including business
representatives, who have optimum policy-making authority and who
represent diverse regions of the State as required under WIA? Describe
how the Board's membership enables you to achieve the vision described
above. (20 CFR 661.200)
e. Describe how the Board carries out its functions as required in
section 111(d) and 20 CFR 661.205. Include functions the Board has
assumed that are in addition to those required. Identify any functions
required in section 111(d) the Board does not perform and explain why.
f. How will the State Board ensure that the public (including
people with disabilities) has access to Board meetings and information
regarding State Board activities, including membership and meeting
minutes? (20 CFR 661.207).)
g. Identify the circumstances which constitute a conflict of
interest for any State or Local Workforce Investment Board member or
the entity that s/he represents, and any matter that would provide a
financial benefit to that member or his or her immediate family.
(Sec. Sec. 111(f), 112(b)(13), and 117(g).)
h. What resources does the State provide the Board to carry out its
functions, e.g., staff, funding, etc.?
iii. What is the structure/process for the State agencies and State
Board to collaborate and communicate with each other and with the local
workforce investment system (Sec. 112(b)(8)(A).):
a. Describe the steps the State will take to improve operational
collaboration of the workforce investment activities and other related
activities and programs outlined in section 112(b)(8)(A), at both the
State and local level (e.g., joint activities, memoranda of
understanding, planned mergers, coordinated policies, etc.). How will
the State Board and agencies eliminate any existing State-level
barriers to coordination? (Sec. Sec. 111(d)(2) and 112(b)(8)(A).)
b. Describe the lines of communication established by the governor
to ensure open and effective sharing of information among the State
agencies responsible for implementing the vision for the workforce
system and between the State agencies and the State Workforce
Investment Board.
c. Describe the lines of communication and mechanisms established
by the governor to ensure timely and effective sharing of information
between the State agencies/State Board and local workforce investment
areas and Local Boards. Include types of regularly issued guidance and
how Federal guidance is disseminated to Local Boards and One-Stop
Career Centers. (Sec. 112(b)(1).)
iv. Describe any cross-cutting organizations or bodies at the State
level designed to guide and inform an integrated vision for serving
youth in the State within the context of workforce investment, social
services, juvenile justice, and education. Describe the membership of
such bodies and the functions and responsibilities in establishing
priorities and services for youth? How is the State promoting a
collaborative cross-agency approach for both policy development and
service delivery at the local level for youth? (Sec. 112(b)(18)(A).)
v. Describe major State policies and requirements that have been
established to direct and support the development of a statewide
workforce investment system not described elsewhere in this Plan as
outlined below. (Sec. 112(b)(2).)
a. What State policies and systems are in place or planned to
support common data collection and reporting processes, information
management, integrated service delivery, and performance management?
(Sec. Sec. 111(d)(2) and 112(b)(8)(B).)
b. What State policies are in place that promote efficient use of
administrative resources such as requiring more co-location and fewer
affiliate sites in local One-Stop systems to eliminate duplicative
facility and operational costs or to require a single administrative
structure at the local level to support Local Boards and to be
[[Page 73741]]
the fiscal agent for WIA funds to avoid duplicative administrative
costs that could otherwise be used for service delivery and training?
Include any specific administrative cost controls, plans, reductions,
and targets for reductions, if the State has established them.
(Sec. Sec. 111(d)(2) and 112(b)(8)(A).)
c. What State policies are in place to promote universal access and
consistency of service statewide? (Sec. 112(b)(2).)
d. What policies support a demand-driven approach to workforce
development, as described in Part II ``Demand-Driven Workforce
Investment System within a Regional Economic Context,'' such as
training on the economy and labor market data for Local Board and One-
Stop Career Center staff? (Sec. Sec. 112(b)(4) and 112(b)(17)(A)(iv).)
e. What policies are in place to ensure that the resources
available through the Federal and/or State Registered Apprenticeship
programs, the Job Corps and SCSEP are fully integrated with the State's
One-Stop delivery system? (Sec. Sec. 112)(b)(17)(A)(iv) and
(b)(18)(C).)
vi. Local Area Designations--Identify the State's designated local
workforce investment areas and the date of the most recent area
designation, including whether the State is currently re-designating
local areas. (Sec. Sec. 112(b)(5).) Include a description of the
process used to designate such areas. Describe how the State considered
the extent to which such local areas are consistent with labor market
areas: geographic areas served by local and intermediate education
agencies, post-secondary education institutions and area vocational
schools; and all other criteria identified in section 116(a)(1) in
establishing area boundaries, to assure coordinated planning. Describe
the State Board's role, including all recommendations made on local
designation requests pursuant to Sec. 116(a)(4). (Sec. Sec. 112(b)(5)
and 116(a)(1).) Describe the appeals process used by the State to hear
appeals of local area designations referred to in Sec. 116(a)(5) and
112(b)(15).
vii. Local Workforce Investment Boards--Identify the criteria the
State has established to be used by the Chief Elected Official(s) in
the local areas for the appointment of Local Board members based on the
requirements of section 117. (Sec. Sec. 112(b)(6), 117(b).)
viii. Identify the circumstances which constitute a conflict of
interest for any State or Local Workforce Investment Board member or
the entity that s/he represents, and any matter that would provide a
financial benefit to that member or his or her immediate family.
(Sec. Sec. 111(f), 112(b)(13), and 117(g).)
ix. Identify the policies and procedures to be applied by local
areas for determining eligibility of local level training providers,
how performance information will be used to determine continuing
eligibility and the agency responsible for carrying out these
activities. Describe how the State solicited recommendations from Local
Boards and training providers and interested members of the public,
including representatives of business and labor organizations, in the
development of these policies and procedures.
x. Individual Training Accounts (ITAs):
a. What policy direction has the State provided for ITAs?
b. Describe innovative training strategies used by the State to
fill skills gaps. Include in the discussion the State's effort to
broaden the scope and reach of ITAs through partnerships with business,
education, economic development, and industry associations and how
business and industry involvement is used to drive this strategy.
c. Discuss the State's plan for committing all or part of WIA title
I funds to training opportunities in high-growth, high-demand, and
economically vital occupations.
d. Describe the State's policy for limiting ITAs (e.g., dollar
amount or duration).
e. Describe the State's current or planned use of WIA title I funds
for the provision of training through Registered Apprenticeship.
f. Identify State policies that permit the use of WIA title I
financial assistance to employ or train participants in religious
activities when the assistance is provided indirectly, such as through
an ITA.
xi. Identify the criteria to be used by Local Boards in awarding
grants for Youth activities, including criteria that the governor and
Local Boards will use to identify effective and ineffective Youth
activities and providers of such activities. (Sec. 112(b)(18)(B).)
xii. Describe the competitive and non-competitive processes that
will be used at the State level to award grants and contracts for
activities under title I of WIA, including how potential bidders are
being made aware of the availability of grants and contracts. (Sec.
112(b)(16).)
b. Vocational Rehabilitation, designate a State agency as the sole
State agency to administer the Plan, or to supervise the administration
of the Plan by a local agency, in accordance with section 101(a)(2)(A).
(Sec. 101(a)(2)(A).)
c. TANF, describe the objective criteria for the delivery of
benefits and the determination of eligibility and for fair and
equitable treatment, including an explanation of how the State will
provide opportunities for recipients who have been adversely affected
to be heard in a State administrative or appeal process. (Sec.
402(a)(1)(B)(iii).)
F. Funding
What criteria will the State use, subject to each program's
authorizing law, to allocate funds for each of the programs included in
the Unified Plan? Describe how the State will use funds the State
receives to leverage other Federal, State, local, and private
resources, in order to maximize the effectiveness of such resources,
and to expand the participation of business, employees, and individuals
in the statewide workforce investment system. (WIA Sec. 112(b)(10).)
In answering this question, if the Unified Plan includes:
1. WIA Title I and Wagner-Peyser Act and/or Veterans Programs
(Sec. 112(b)(12):
a. If applicable, describe the methods and factors (including
weights assigned to each factor) the State will use to distribute funds
to local areas for the 30 percent discretionary formula Adult
employment and training funds and Youth funds pursuant to sections
128(b)(3)(B) and 133(b)(3)(B).
b. Describe how the allocation methods and factors help ensure that
funds are distributed equitably throughout the State and that there
will be no significant shifts in funding levels to a local area on a
year-to-year basis.
c. Describe the State's allocation formula for dislocated worker
funds under 133(b)(2)(B).
d. Describe how the individuals and entities on the State Board
were involved in the development of the methods and factors, and how
the State consulted with Chief Elected Officials in local areas
throughout the State in determining such distribution.
e. Describe the procedures and criteria that are in place under 20
CFR 663.600 for the governor and appropriate Local Boards to direct
One-Stop operators to give priority of service to public assistance
recipients and other low-income individuals for intensive and training
services if funds allocated to a local area for adult employment and
training activities are determined to be limited. (Sec. Sec.
112(b)(17)(A)(iv) and 134(d)(4)(E).)
f. Specify how the State will use the 10 percent Wagner-Peyser Act
funds allotted to it under section 7(b) in
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accordance with the three provisions of allowable activities:
performance incentives; services for groups with special needs; and
extra costs of exemplary service delivery models. (Sec. 112(b)(7) and
20 CFR 652.204).)
2. Adult Education and Family Literacy:
a. Describe how the eligible agency will fund local activities in
accordance with the considerations described in section 231(e) and the
other requirements of title II of WIA. (Sec. 224(b).)
b. Describe the process to show that public notice was given of the
availability of Federal funds to eligible recipients and the procedures
for submitting applications to the State, including approximate time
frames for the notice and receipt of applications. (Sec. 231(c).)
c. Describe how the eligible agency will use funds made available
under section 222(a)(2) for State leadership activities. (Sec.
223(a).)
d. Describe the steps the eligible agency will take to ensure
direct and equitable access, as required in section 231(c). (Sec.
224(b)(12).)
3. Food Stamp Employment and Training: Estimate the total cost of
the State's E&T program and identify the source of funds according to
the format for Table 5, Planned Fiscal Year Costs, contained in the
most current release of ``The Handbook on Preparing State Plans for
Food Stamp Employment and Training Programs.''
4. TANF: Indicate the name, address, and EIN number of the TANF
administering agency and estimate for each quarter of the fiscal year
by percentage the amount of TANF grant that it wishes to receive.
5. Vocational Rehabilitation:
a. Describe how the State will utilize funds reserved for the
development and implementation of innovative approaches to expand and
improve the provision of vocational rehabilitation services to
individuals with disabilities under the State Plan, particularly
individuals with the most significant disabilities. (Sec.
101(a)(18)(B).)
b. Describe the quality, scope, and extent of supported employment
services authorized under the Act to be provided to individuals who are
eligible under the Act to receive the services. (Sec. 625(b)(3).)
c. In the event that vocational rehabilitation services cannot be
provided to all eligible individuals with disabilities in the State who
apply for services, indicate the order to be followed in selecting
eligible individuals to be provided vocational rehabilitation services
and provide the justification for the order. (Sec. 101(a)(5)(A)-(B).)
6. CSBG: Describe how the State intends to use discretionary funds
made available from the remainder of the grant or allotment described
in section 675C(b), including a description of how the local entity
will use the funds to support innovative community and neighborhood-
based initiatives.
G. Activities To Be Funded
For each of the programs in the Unified Plan, provide a general
description of the activities the State will pursue using the relevant
funding.
In answering the above question, if the Unified Plan includes:
1. WIA Title I and Wagner-Peyser Act and/or Veterans Programs:
Describe the approaches the State will use to provide direction and
support to Local Boards and the One-Stop Career Center delivery system
on the strategic priorities to guide investments, structure business
engagement, and inform service delivery approaches for all customers.
(Sec. 112(b)(17)(A).)
a. One-Stop Service Delivery Strategies: (Sec. 111(d)(2) and
112(b)(2).)
i. How will the services provided by each of the required and
optional One-Stop partners be coordinated and made available through
the One-Stop system? (Sec. 112(b)(8)(A).)
ii. How are Youth formula programs funded under Sec. 128(b)(2)(A)
integrated in the One-Stop system?
iii. What minimum service delivery requirements does the State
mandate in a comprehensive One-Stop Career Center or an affiliate site?
iv. What tools and products has the State developed to support
service delivery in all One-Stop Career Centers statewide?
v. What models/templates/approaches does the State recommend and/or
mandate for service delivery in the One-Stop Career Centers? For
example, do all One-Stop Career Centers have a uniform method of
organizing their service delivery to business customers? Is there a
common individual assessment process utilized in every One-Stop Career
Center? Are all One-Stop Career Centers required to have a resource
center that is open to anyone?
b. Workforce Information--A fundamental component of a demand-
driven workforce investment system is the integration and application
of the best available State and local workforce information including,
but not limited to, economic data, labor market information, Census
data, private sources of workforce information produced by trade
associations and others, educational data, job vacancy surveys,
transactional data from job boards, and information obtained directly
from businesses. (Sec. Sec. 111(d)(8), 112(b)(1), and 134(d)(2)(E).)
i. Describe how the State will integrate workforce information into
its planning and decision-making at the State and local level,
including State and Local Boards, One-Stop operations, and case manager
guidance.
ii. Describe the approach the State will use to disseminate
accurate and timely workforce information to businesses, job seekers,
and employment counselors, in easy to use formats that are readily
accessible within One-Stop Career Centers and at remote locations such
as libraries, schools, worksites, and at home.
iii. Describe how the activities funded through the Workforce
Information grants are aligned with other workforce investment
activities to ensure that the investments in core products and services
support the State's overall strategic direction for workforce
investment.
iv. Describe how State workforce information products and tools are
coordinated with the national electronic workforce information tools
including America's Career Information Network and Career Voyages.
c. Adults and Dislocated Workers
i. Core Services. (Sec. 112(b)(17)(a)(i).)
a. Describe State strategies and policies to ensure adults and
dislocated workers have universal access to the minimum required core
services as described in Sec. 134(d)(2).
b. Describe how the State will ensure the three-tiered service
delivery strategy for labor exchange services for job seekers and
employers authorized by the Wagner-Peyser Act includes (1) self-
service, (2) facilitated self-help service, and (3) staff-assisted
service, and is accessible and available to all customers at the local
level.
c. Describe how the State will integrate resources provided under
the Wagner-Peyser Act and WIA title I for adults and dislocated workers
as well as resources provided by required One-Stop partner programs, to
deliver core services.
ii. Intensive Services. Describe State strategies and policies to
ensure adults and dislocated workers who meet the criteria in Sec.
134(d)(3)(A) receive intensive services as defined.
iii. Training Services. Describe the governor's vision for
increasing training access and opportunities for individuals including
the investment of WIA title I funds and the leveraging of other funds
and resources.
iv. Eligible Training Provider List. Describe the State's process
for
[[Page 73743]]
providing broad customer access to the statewide list of eligible
training providers and their performance information including at every
One-Stop Career Center. (Sec. 112(b)(17)(A)(iii).)
v. On-the-Job (OJT) and Customized Training (Sec. 112(b)(17)(A)(i)
and 134(b).) Based on the outline below, describe the State's major
directions, policies and requirements related to OJT and customized
training.
a. Describe the governor's vision for increasing training
opportunities to individuals through the specific delivery vehicles of
OJT and customized training.
b. Describe how the State:
1. Identifies OJT and customized training opportunities;
2. Markets OJT and customized training as incentives to untapped
employer pools including new business to the State and employer groups;
3. Partners with high-growth, high-demand industries and
economically vital industries to develop potential OJT and customized
training strategies;
4. Taps business partners to help drive the strategy through joint
planning, competency and curriculum development; and determining
appropriate lengths of training, and
5. Leverages other resources through education, economic
development and industry associations to support OJT and customized
training ventures.
vi. Veterans' Priority of Service. What policies and strategies
does the State have in place to ensure that, pursuant to the Jobs for
Veterans Act (Pub. L. 107-288) (38 U.S.C. 4215), that priority of
service is provided to veterans and certain spouses who otherwise meet
the eligibility requirements for all employment and training programs
funded by the U.S. Department of Labor, in accordance with the
provisions of Training and Employment Guidance Letter 5-03 (9/16/03)?
vii. Rapid Response. Describe how the State provides Rapid Response
services with the funds reserved under section 133(a)(2).
a. Identify the entity responsible for providing Rapid Response
services. Describe how Rapid Response activities involve Local Boards
and Chief Elected Officials. If Rapid Response activities are shared
between the State and local areas, describe the functions of each and
how funds are allocated to the local areas.
b. Describe the process involved in carrying out Rapid Response
activities.
1. What methods are involved in receiving notice of impending
layoffs (include WARN Act notice as well as other sources)?
2. What efforts does the Rapid Response team make to ensure that
rapid response services are provided, whenever possible, prior to
layoff date, onsite at the company, and on company time?
3. What services are included in Rapid Response activities? Does
the Rapid Response team provide workshops or other activities in
addition to general informational services to affected workers? How do
you determine what services will be provided for a particular layoff
(including layoffs that may be trade-affected)?
4. How does the State ensure a seamless transition between Rapid
Response services and One-Stop activities for affected workers?
5. Describe how Rapid Response functions as a business service.
Include whether Rapid Response partners with economic development
agencies to connect employees from companies undergoing layoffs to
similar companies that are growing and need skilled workers. How does
Rapid Response promote the full range of services available to help
companies in all stages of the economic cycle, not just those available
during layoffs? How does the State promote Rapid Response as a
positive, proactive, business-friendly service, rather than only as a
reactive service?
6. What other partnerships does Rapid Response engage in to expand
the range and quality of services available to companies and affected
workers and to develop an effective early layoff warning network?
7. What systems does the Rapid Response team use to track its
activities? Does the State have a comprehensive, integrated Management
Information System that includes Rapid Response, Trade Act programs,
National Emergency Grants, and One-Stop activities?
8. Are Rapid Response funds used for other activities not described
above; e.g., the provision of additional assistance to local areas that
experience increased workers or unemployed individuals due to
dislocation events?
d. Veterans Programs. For the grant period FY 2005-FY 2009, States
submitted five year strategic plans to operate Disabled Veterans'
Outreach Programs (DVOP) and Local Veterans' Employment Representative
(LVER) programs under the Jobs for Veterans Act. These plans may be
incorporated by reference as part of a state's Unified Plan.
Modifications to these five year Jobs for Veterans Act plans will be
managed in accordance with policy guidance from the Veterans'
Employment and Training Service.
e. Youth. ETA's strategic vision identifies youth most in need,
such as youth who are: Out-of-school, at risk, in foster care or aging
out of foster care, offenders, children of incarcerated parents,
homeless, and migrant and seasonal farmworker youth as those most in
need of service. State programs and services should take a
comprehensive approach to serving these youth, including basic skills
remediation; helping youth stay in or return to school, employment, or
internships; and helping youth attain a high school diploma or GED,
post-secondary vocational training, Registered Apprenticeship, or
enrollment in community and four-year colleges. (Sec. 112(b)(18).)
i. Describe the State's strategy for providing comprehensive,
integrated services to eligible youth, including those most in need as
described above. Include any State requirements and activities to
assist youth who have special needs or barriers to employment,
including those who are pregnant, parenting, or have disabilities.
Include how the State will coordinate across State agencies responsible
for workforce investment, foster care, education, human services,
juvenile justice, and other relevant resources as part of the strategy.
(Sec. 112(b)(18).)
ii. Describe how coordination with Job Corps and other youth
programs will occur. (Sec. 112(b)(18)(C).)
iii. How does the State Plan to utilize the funds reserved for
statewide activities to support the State's vision for serving youth?
Examples of activities that would be appropriate investments of these
funds include:
a. Utilization of the funds to promote cross agency collaboration;
b. Demonstration of cross-cutting models of service delivery;
c. Development of new models of alternative education leading to
employment; or
d. Development of demand-driven models with business and industry
working collaboratively with the workforce investment system and
education partners to develop strategies for bringing these youth
successfully into the workforce pipeline with the right skills.
iv. Describe in general how the State will meet the Act's
provisions regarding Youth program design. (Sec. Sec. 112(b)(18) and
129(c).)
f. Business Services.
i. Describe how the needs of employers will be determined in the
local areas and on a statewide basis.
[[Page 73744]]
ii. Describe how integrated business services, including Wagner-
Peyser Act services, will be delivered to employers through the One-
Stop system.
iii. How will the system streamline administration of Federal tax
credit programs within the One-Stop system to maximize employer
participation (20 CFR 652.3(b), Sec. 112(b)(17)(A)(i).)
g. Innovative Service Delivery Strategies. Describe innovative
service delivery strategies the State has or is planning to undertake
to maximize resources, increase service levels, improve service
quality, achieve better integration or meet other key State goals.
Include in the description the initiative's general design, anticipated
outcomes, partners involved and funds leveraged (e.g., title I formula,
statewide reserve, employer contributions, education funds, non-WIA
State funds). (Sec. 112(b)(17)(A).)
h. Strategies for Faith-Based and Community Organizations
i. Describe those activities to be undertaken to:
a. Increase the opportunities for participation of faith-based and
community organizations as committed and active partners in the One-
Stop delivery system; and
b. Expand the access of faith-based and community organizations'
clients and customers to the services offered by the One-Stops in the
State.
ii. Outline those action steps designed to strengthen State
collaboration efforts with local workforce investment areas in
conducting outreach campaigns to educate faith-based and community
organizations about the attributes and objectives of the demand-driven
workforce investment system.
iii. Indicate how these resources can be strategically and
effectively leveraged in the State's workforce investment areas to help
meet the objectives of the Workforce Investment Act. (Sec.
112(b)(17)(i).)
2. Adult Education and Literacy Services, including workplace
literacy services:
a. Describe the State's family literacy services.
b. Describe the State's English literacy programs.
3. Food Stamp Employment and Training:
a. Describe the components of the State's E&T program.
b. Discuss the weekly/monthly hours of participation required of
each program component.
c. Describe planned combinations of components to meet the
statutory requirement of 20 hours of participation per week to qualify
as a work program for ABAWDS.
4. TANF: Outline how the State intends to:
a. Conduct a program, designed to serve all political subdivisions
in the State (not necessarily in a uniform manner), that provides
assistance to needy families with (or expecting) children and provides
parents with job preparation, work, and support services to enable them
to leave the program and become self-sufficient. (Sec.
402(a)(1)(A)(i).)
b. Require a parent or caretaker receiving assistance under the
program to engage in work (as defined by the State) once the State
determines the parent or caretaker is ready to engage in work, or once
the parent or caretaker has received assistance under the program for
24 months (whether or not consecutive), whichever is earlier,
consistent with section 407(e)(2). (Sec. 402(a)(1)(A)(ii).)
c. Ensure that parents and caretakers receiving assistance under
the program engage in work activities in accordance with section 407.
(Sec. 402(a)(1)(A)(iii).)
d. Take such reasonable steps as deemed necessary to restrict the
use and disclosure of information about individuals and families
receiving assistance under the program attributable to funds provided
by the Federal government. (Sec. 402(a)(1)(A)(iv).)
e. Describe the financial eligibility criteria and corresponding
benefits and services covered with State Maintenance of Effort (MOE)
funds. This description applies to State MOE funds that are used in the
State's TANF program or used to fund a separate State program.
5. SCSEP: Provide a description of each project function or
activity and how the State will implement the project. The following
activities should be discussed separately: (title V of the Older
Americans Act, as amended.)
a. Describe how the services proposed support the State Senior
Employment Services Coordination Plan.
b. Describe how recruitment and selection of participants will be
achieved under Training and Employment Guidance Letter 13-04 and the
regulations at 20 CFR 641.500 and 641.525. Include a description of the
new recruitment strategies that will be used to reach the target
population.
c. Describe how participant income will be recertified each year,
including where eligibility records will be maintained.
d. Describe the arrangements that will be made to offer physical
examinations as a required fringe benefit.
e. Describe the orientation procedures for participants and host
agencies.
f. Describe the procedures for assessing job aptitudes, job
readiness, and job preferences of participants and their potential for
transition into unsubsidized employment.
g. Describe how the assessment will be used to develop the
participant's Individual Employment Plan (IEP).
h. Describe how the participant will be assigned to community
service including: The types of community service activity that will be
emphasized and how they were chosen; methods used to match participants
with community service training; the extent to which participants will
be placed in the administration of the project itself; the types of
host agencies used and the procedures and criteria for selecting the
assignments; the average number of hours in a participant's training
week; the average wage paid during training; the fringe benefits
offered (if any); procedures for ensuring adequate supervision.
i. Describe the training that will be provided during community
service training and any other types of training provided, including
linkages with local One-Stop Career Centers, the Registered
Apprenticeship Program, and the Disability Program Navigators.
j. Describe the supportive services that will be offered to help
participants obtain and retain an unsubsidized job.
k. Describe arrangements that will be made to provide
transportation assistance to participants.
l. Describe the steps that will be taken to move or place
participants into unsubsidized employment, including cooperative
measures that will be taken with the One-Stop Delivery System, and that
support the Administration's focus on high-growth industries. Any
grantee that failed to meet at least 20 percent unsubsidized placements
in program year 2004 must submit a corrective action plan.
m. Describe any policy for maximum duration of enrollment or
maximum time in community service.
n. Describe procedures for terminating a participant, including
Individual Employment Plan terminations and the grievance procedures
that will address termination from the program.
o. Describe the procedures for addressing and resolving participant
complaints.
p. Describe procedures for over enrolling participants, including
how over enrollments will be balanced with Equitable Distribution
requirements.
q. Describe steps that will be taken to ensure compliance with the
Maintenance of Effort provision of section 501(b)(1)(F).
[[Page 73745]]
r. Describe payroll procedures and how workers' compensation
premiums are paid.
s. Describe collaboration efforts with the One-Stop System and with
other partner programs under the Workforce Investment Act to maximize
opportunities for SCSEP participants.
t. Describe efforts to work with local economic development offices
in rural locations.
u. Describe current slot imbalances and proposed steps to correct
inequities to achieve equitable distribution.
v. List the cities and counties where the project and subprojects
will be conducted. Include the number of SCSEP authorized positions and
indicate where the positions changed from the prior year.
w. Describe the organizational structure of the project and how
subprojects will be managed, including assurances that adequate
resources for administrative costs will be provided. Also describe the
training that will be provided to local staff and describe how projects
will be monitored for program and financial compliance, including audit
plans.
x. Describe how the State will manage its providers and how it will
transfer participants if new providers are selected to serve in the
State.
y. Include a proposed level for each performance measure for each
of the program years covered by the Plan. While the Plan is under
review or through a subsequent modification, the State will negotiate
with the Division of Adult Services, Older Worker Unit to set the
appropriate levels for the next year. At a minimum, States must
identify the performance indicators required under the Interim Final
Rule for performance accountability published on June 29, 2007, and,
for each indicator, the State must develop an objective and
quantifiable performance goal for the next year. The performance
measures include: Entered employment, employment retention, average
earnings, service level, service to most in need, and community
service.
z. Describe any request for an increase in administrative costs
consistent with section 502(c)(3) of the Older Americans Act.
aa. Describe plans to provide a copy of this section to Area
Agencies on Aging consistent with section 502(d) of the Older American
Act.
6. CSBG, explain how the activities funded will:
a. Remove obstacles and solve problems that block the achievement
of self-sufficiency, including those families and individuals who are
attempting to transition off a State program carried out under part A
of title IV of the Social Security Act.
b. Secure and retain meaningful employment.
c. Attain an adequate education, with particular attention toward
improving literacy skills of the low-income families in the communities
involved, which may include carrying out family literacy initiatives.
d. Make better use of available income.
e. Obtain and maintain adequate housing and a suitable living
environment.
f. Obtain emergency assistance through loans, grants, or other
means to meet immediate and urgent family and individual needs.
g. Achieve greater participation in the affairs of the communities
involved, including the development of public and private grassroots
partnerships with local law enforcement agencies, local housing
authorities, private foundation, and other public and private partners.
h. Create youth development programs that support the primary role
of the family, give priority to the prevention of youth problems and
crime, and promote increased community coordination and collaboration
in meeting the needs of youth, and support development and expansion of
innovative community-based youth development programs that have
demonstrated success in preventing or reducing youth crime.
i. Provide supplies, services, nutritious foods, and related
services, as may be necessary to counteract conditions of starvation
and malnutrition among low-income individuals.
H. Coordination and Non-Duplication
Describe how the State will coordinate and integrate the services
provided through all of the programs identified in the Unified Plan in
order to meet the needs of its customers, ensure there is no overlap or
duplication among the programs, and ensure collaboration with key
partners and continuous improvement of the workforce investment system.
(States are encouraged to address several coordination requirements in
a single narrative, if possible.)
In answering the above question, if the Unified Plan includes:
1. WIA Title I and Wagner-Peyser Act and/or Veterans Programs
Structure/Process for State agencies and State Board to collaborate
and communicate with each other and with the local workforce investment
system. (Sec. 112(b)(8)(A).)
a. Describe the steps the State will take to improve operational
collaboration of the workforce investment activities and other related
activities and programs outlined in section 112(b)(8)(A), at both the
State and local level (e.g., joint activities, memoranda of
understanding, planned mergers, coordinated policies, etc.). How will
the State Board and agencies eliminate any existing State-level
barriers to coordination? (Sec. Sec. 111(d)(2) and 112(b)(8)(A).)
b. Describe the lines of communication and mechanisms established
by the governor to ensure timely and effective sharing of information
between the State agencies/State Board and local workforce investment
areas and Local Boards. Include types of regularly issued guidance and
how Federal guidance is disseminated to Local Boards and One-Stop
Career Centers. (Sec. 112(b)(1).)
c. Describe any cross-cutting organizations or bodies at the State
level designed to guide and inform an integrated vision for serving
youth in the State within the context of workforce investment, social
services, juvenile justice, and education. Describe the membership of
such bodies and the functions and responsibilities in establishing
priorities and services for youth. How is the State promoting a
collaborative cross-agency approach for both policy development and
service delivery at the local level for youth? (Sec. 112(b)(18)(A).)
2. Adult Education and Family Literacy, describe how the Adult
Education and Family Literacy activities that will be carried out with
any funds received under AEFLA will be integrated with other adult
education, career development, and employment and training activities
in the State or outlying area served by the eligible agency. (Sec.
224(b)(11).)
3. Vocational Rehabilitation:
Describe the State agency's plans, policies, and procedures for
coordination with the following agencies or programs:
a. Federal, State and local agencies and programs, including
programs carried out by the Under Secretary for Rural Development of
the Department of Agriculture and State use of contracting programs to
the extent that such agencies and programs are not carrying out
activities through the statewide workforce investment system. (Sec.
101(a)(11)(C).)
b. Education officials responsible for the public education of
students with disabilities, including a formal interagency agreement
with the State educational agency. (Sec. 101(a)(11)(D).)
[[Page 73746]]
c. Private, nonprofit vocational rehabilitation service providers
through the establishment of cooperative agreements. (Sec.
101(a)(24)(B).)
d. Other State agencies and appropriate entities to assist in the
provision of supported employment services. (Sec. 625(b)(4).)
e. Other public or nonprofit agencies or organizations within the
State, employers, natural supports, and other entities with respect to
the provision of extended services. (Sec. 625(b)(5).)
4. Unemployment Insurance, summarize requests for any Federal
partner assistance (primarily non-financial) that would help the SWA
attain its goal.
5. CSBG, describe how the State and eligible entities will
coordinate programs to serve low-income residents with other
organizations, including:
a. Religious organizations.
b. Charitable groups.
c. Community organizations.
I. Special Populations and Other Groups
1. Describe how the State will develop program strategies to target
and serve special populations. States may present information about
their service strategies for those special populations that are
identified by multiple Federal programs as they deem most appropriate
and useful for planning purposes, including by special population or on
a program-by-program basis.
In providing this description, if the Unified Plan includes any of
the programs listed below, please address the following specific
relevant populations:
a. WIA Title I and Wagner-Peyser Act and/or Veterans Programs
(Sec. 112(b)(17)(A)(iv) and 112(b)(17)(B)):
i. Describe the State's strategies to ensure that the full range of
employment and training programs and services delivered through the
State's One-Stop delivery system are accessible to and will meet the
needs of dislocated workers, displaced homemakers, low-income
individuals such as migrants and seasonal farmworkers, women,
minorities, individuals training for non-traditional employment,
veterans, public assistance recipients and individuals with multiple
barriers to employment (including older individuals, limited English
proficiency (LEP) individuals, and people with disabilities). (Sec.
112(b)(17)(iv).)
ii. Describe the reemployment services you will provide to
unemployment insurance claimants and the Worker Profiling services
provided to claimants identified as most likely to exhaust their
unemployment insurance benefits in accordance with section 3(c)(3) of
the Wagner-Peyser Act.
iii. Describe how the State administers the unemployment insurance
work test and how feedback requirements (under Sec. 7(a)(3)(F) of the
Wagner-Peyser Act) for all UI claimants are met.
iv. Describe the State's strategy for integrating and aligning
services to dislocated workers provided through the WIA rapid response,
WIA dislocated worker, and Trade Adjustment Assistance (TAA) programs.
Does the State have a policy supporting co-enrollment for WIA and TAA?
(Sec. 112(b)(17)(A)(ii and iv).)
v. How is the State's workforce investment system working
collaboratively with business and industry and the education community
to develop strategies to overcome barriers to skill achievement and
employment experienced by the populations listed above in section
(b)(i)(a.) of this section and to ensure they are being identified as a
critical pipeline of workers?
vi. Describe how the State will ensure that the full array of One-
Stop services are available to individuals with disabilities and that
the services are fully accessible.
vii. Describe the role LVER/DVOP staff have in the One-Stop
delivery system. How will the State ensure adherence to the legislative
requirements for veterans' staff? How will services under this Plan
take into consideration the agreement reached between the Secretary and
the State regarding veterans' employment programs? (Sec. Sec.
112(b)(7), 322, 38 U.S.C. Chapter 41 and 20 CFR 1001.120.)
viii. Department of Labor regulations at 29 CFR 37 require all
recipients of Federal financial assistance from DOL to provide
meaningful access to LEP individuals. Federal financial assistance
includes grants, training, equipment usage, donations of surplus
property, and other assistance. The regulations also apply to sub-
recipients when Federal DOL funds are passed through from one recipient
to a sub-recipient. Describe how the State will ensure access to
services through the State's One-Stop delivery system by persons with
limited English proficiency and how the State will meet the
requirements of ETA Training and Employment Guidance Letter (TEGL) 26-
02 (May 29, 2003) which provides guidance on methods of complying with
the Federal rule.
ix. Describe the State's strategies to enhance and integrate
service delivery through the One-Stop delivery system for migrant and
seasonal farmworkers and agricultural employers. How will the State
ensure that migrant and seasonal farmworkers have equal access to
employment opportunities through the State's One-Stop delivery system?
Include the number of migrant and seasonal farmworkers the State
anticipates reaching annually through outreach to increase their
ability to access core, intensive, and training services in the One-
Stop Career Center System.
b. Adult Education and Family Literacy:
i. Low income students (Sec. 224(b)(10)(A).)
ii. Individuals with disabilities (Sec. 224(b)(10)(B).)
iii. Single parents and displaced homemakers (Sec. 224(b)(10)(C).)
iv. Individuals with multiple barriers to educational enhancement,
including individuals with limited English proficiency (Sec.
224(b)(10)(D).)
v. Criminal offenders in correctional institutions and other
institutionalized individuals (Sec. 225.)
c. TAA and NAFTA-TAA, describe how rapid response and basic
readjustment services authorized under other Federal laws will be
provided to trade-impacted workers.
d. Vocational Rehabilitation:
i. Minorities with most significant disabilities. (Sec. 21(c).)
e. TANF: indicate whether the State intends to:
i. Treat families moving into the State from another State
differently than other families under the program, and if so, how the
State intends to treat such families under the program;
ii. Provide assistance under the program to individuals who are not
citizens of the United States, and if so, include an overview of such
assistance (Sec. 402(a)(1)(B) (i) and (ii)); and
iii. Outline how the State intends to conduct a program designed to
reach State and local law enforcement officials, the education system,
and relevant counseling services, that provides education and training
on the problem of statutory rape so that teenage pregnancy prevention
programs may be expanded in scope to include men. (Sec.
401(a)(1)(A)(vi).)
f. SCSEP (Sec. 3(a)(1).): Indicate how the State will meet the
priority for serving individuals age 65 and older and individuals
i. with a disability;
ii. with limited English proficiency or low literacy skills;
iii. who live in a rural area;
iv. who are veterans;
v. who have low employment prospects;
[[Page 73747]]
vi. who have failed to find employment after utilizing services
under WIA;
vii. who are homeless or at risk for homelessness.
g. CSBG: Please address the following specific relevant populations
in answering question 1:
i. Low-income families.
ii. Families and individuals receiving assistance under part A of
title IV of the Social Security Act (42 U.S.C. 601 et seq.).
iii. Homeless families and individuals.
iv. Migrant or seasonal farmworkers.
v. Elderly low-income individuals and families.
vi. Youth in low-income communities.
h. HUD Employment and Training Programs: (Reminder: The following
is a suggestion for incorporating HUD programs into the State's Unified
Plan. However, following this guidance will not trigger funding for HUD
programs):
i. Public housing residents.
ii. Homeless and other groups.
2. Identify the methods of collecting data and reporting progress
on the special populations described in question 1 of this section.
3. If the Plan includes Adult Education and Family Literacy or
Vocational Rehabilitation, describe the steps the eligible agency will
take to ensure equitable access to, and equitable participation in,
projects or activities carried out with the respective funds by
addressing the special needs of student, teachers, and other program
beneficiaries in order to overcome barriers to equitable participation,
including barriers based on gender, race, color, national origin,
disability, and age. (Sec. 427(b) General Education Provisions Act.)
J. Professional Development and System Improvement
How will the State develop personnel to achieve the performance
indicators for the programs included in the Plan?
In answering this question, if the Unified Plan includes:
1. WIA Title I and Wagner-Peyser Act and/or Veterans Programs:
a. Capacity of Local Boards--How will the State build the capacity
of Local Boards to develop and manage high performing local workforce
investment system? (Sec. Sec. 111(d)(2) and 112(b)(14).)
b. Local Planning Process--Describe the State mandated requirements
for local workforce areas' strategic planning. What assistance does the
State provide to local areas to facilitate this process, (Sec.
112(b)(2) and 20 CFR 661.350(a)(13)), including:
i. What oversight of the local planning process is provided,
including receipt and review of Plans and negotiation of performance
agreements? and
ii. How does the local plan approval process ensure that local
plans are consistent with State performance goals and State strategic
direction?
c. Oversight/Monitoring Process--Describe the monitoring and
oversight criteria and procedures the State utilizes to move the system
toward the State's vision and achieve the goals identified above, such
as the use of mystery shoppers, performance agreements. (Sec.
112(b)(14).)
2. Vocational Rehabilitation, describe the designated State
agency's policies, procedures and activities to establish and maintain
a comprehensive system of personnel development designed to ensure an
adequate supply of qualified State rehabilitation professional and
paraprofessional personnel for the designated State unit pursuant to
section 101(a)(7) of the Act. (Sec. 101(a)(7).)
K. Performance Accountability
Nothing in this guidance shall relieve a State of its
responsibilities to comply with the accountability requirements of WIA
titles I and II, including, for example, the requirements to
renegotiate performance levels at statutorily defined points. The
appropriate Secretary will negotiate adjusted levels of performance
with the State for these programs prior to approving the State Plan.
1. What are the State's performance methodologies, indicators and
goals in measurable, quantifiable terms for each program included in
the Unified Plan and how will each program contribute to achieving
these performance goals? (Performance indicators are generally set out
by each program's statute.)
In answering the above question, if the Unified Plan includes:
a. WIA Title I and Wagner-Peyser Act and/or Veterans Programs:
Improved performance and accountability for customer-focused
results are central features of WIA. To improve, States need not only
reporting systems in place to collect data and track outcomes based on
service delivery, but also performance management and accountability
systems to analyze the information and modify strategies to improve
performance. (See Training and Employment Guidance Letter (TEGL) 17-05,
Common Measures Policy for the Employment and Training Administration's
(ETA) Performance Accountability System and Related Performance Issues,
issued February 17, 2006.)
In this section, describe how the State measures the success of its
strategies in achieving its goals, and how the State uses these data to
continuously improve the system.
i. Describe the State's performance accountability system,
including any State-system measures and the State's performance goals
established with local areas. Identify the performance indicators and
goals the State has established to track its progress toward meeting
its strategic goals and implementing its vision for the workforce
investment system. For each of the core indicators, explain how the
State worked with Local Boards to determine the level of the
performance goals. Include a discussion of how the levels compare with
the State's previous outcomes as well as with the State-adjusted levels
of performance established for other States (if available), taking into
account differences in economic conditions, the characteristics of
participants when they entered the program and the services to be
provided. Include a description of how the levels will help the State
achieve continuous improvement over the life of the Plan. (Sec. Sec.
112(b)(3) and 136(b)(3).)
ii. Describe any targeted applicant groups, such as TANF
recipients, Veterans, ex-offenders, and migrant and seasonal
farmworkers, under WIA title I, the Wagner-Peyser Act or Title 38
Chapters 41 and 42 (Veterans Employment and Training Programs) that the
State tracks. (Sec. Sec. 111(d)(2), 112(b)(3) and 136(b)(2)(C).)
iii. Identify any performance outcomes or measures in addition to
those prescribed by WIA and what process is the State using to track
and report them.
iv. Describe the State's common data system and reporting processes
in place to track progress. Describe what performance information will
be collected from the various One-Stop partners (beyond that required
by DOL), use of quarterly wage records, and how the statewide system
will have access to the information needed to continuously improve.
(Sec. 112(b)(8)(B).)
v. Describe any actions the governor and State Board will take to
ensure collaboration with key partners and continuous improvement of
the statewide workforce investment system. (Sec. Sec. 111(d)(2) and
112(b)(1).)
vi. How do the State and Local Boards evaluate performance? What
corrective actions (including sanctions and technical assistance) will
the State take if performance falls short of expectations? How will the
State and Local Boards use the review process to reinforce the
strategic direction of the
[[Page 73748]]
system? (Sec. Sec. 111(d)(2), 112(b)(1), and 112(b)(3).)
vii. Include a proposed level for each performance measure for each
program year covered by the Plan. While the Plan is under review, the
State will negotiate with the respective ETA Regional Administrator to
set the appropriate levels for the applicable year. States must
identify the performance indicators required under section 136, and,
for each indicator, the State must develop an objective and
quantifiable performance goal for each program year covered by the
Plan. States are encouraged to address how the performance goals for
local workforce investment areas and training providers will help them
attain their statewide performance goals. (Sec. Sec. 112(b)(3) and
136).)
b. Adult Education and Family Literacy:
i. Include a description of how the eligible agency will evaluate
annually the effectiveness of the Adult Education and Family Literacy
activities, such as a comprehensive performance accountability system,
based on the performance measures in section 212.
ii. Identify levels of performance for the core indicators of
performance described in section 212(b)(2)(A) for the first three
program years covered by the Plan (Sec. 212(b)(3)(A)(ii).), and any
additional performance indicators selected by the eligible agency.
(Sec. 212 (b)(2)(B).)
iii. Describe how such performance indicators or measures will be
used to ensure the improvement of Adult Education and Family Literacy
activities in the State or outlying area. (Sec. 224(b)(4).)
c. TANF, outline how the State intends to establish goals and take
action to prevent and reduce the incidence of out of wedlock
pregnancies, with special emphasis on teenage pregnancies. (Sec.
402(a)(1)(A)(v).)
d. SCSEP: Provisions on performance are set forth in section G.1.
(g)(xxv) of these instructions.
e. CSBG:
i. Describe how the State and all eligible entities in the State
will participate in the Results Oriented Management and Accountability
System, a performance measure system pursuant to section 678E(b) of the
Act, or an alternative system for measuring performance and results
that meets the requirements of that section, and a description of
outcome measures to be used to measure eligible entity performance in
promoting self-sufficiency, family stability, and community
revitalization.
ii. Describe the standards and procedures that the State will use
to monitor activities carried out in furtherance of the Plan and will
use to ensure long-term compliance with requirements of the programs
involved, including the comprehensive planning requirements. (Sec.
91.330)
2. Has the State developed any common performance goals applicable
to multiple programs? If so, describe the goals and how they were
developed.
L. Data Collection
1. What processes does the State have in place to collect and
validate data to track performance and hold providers/operators/sub-
grantees accountable?
In answering the above question, if the Unified Plan includes:
a. WIA Title I and Wagner-Peyser Act and/or Veterans Programs,
describe the State's common data system and reporting processes in
place to track progress. Describe what data will be collected from the
various One-Stop partners (beyond that required by DOL), use of
quarterly wage records, and how the statewide system will have access
to the information needed to continuously improve. (Sec.
112(b)(8)(B).)
b. Food Stamp Employment & Training, describe how employment and
training data will be compiled and where responsibility for employment
and training reporting is organizationally located at the State level.
Include the department, agency, and telephone number for the person(s)
responsible for both financial and non-financial employment & training
(E&T) reporting.
2. What common data elements and reporting systems are in place to
promote integration of Unified Plan activities?
M. Corrective Action
Describe the corrective actions the State will take for each
program, as applicable, if performance does not meet expectations.
In answering the above question, if the Unified Plan includes:
1. Vocational Rehabilitation, include the results of an evaluation
of the effectiveness of the vocational rehabilitation program, and a
report jointly developed with the State Rehabilitation Council (if the
State has a Council) on the progress made in improving effectiveness
from the previous year including:
a. An evaluation of the extent to which program goals were achieved
and a description of the strategies that contributed to achieving the
goals.
b. To the extent the goals were not achieved, a description of the
factors that impeded that achievement.
c. An assessment of the performance of the State on the standards
and indicators established pursuant to section 106 of the Act. (Sec.
101(a)(15)(E)(i).)
2. Unemployment Insurance,
a. Explain the reason(s) for the measurement areas in which the
State's performance is deficient.
b. Include a description of the actions/activities which will be
undertaken to improve performance.
c. If a Corrective Action Plan was in place the previous fiscal
year, provide an explanation of why the actions contained in that Plan
were not successful in improving performance, and an explanation of why
the actions now specified will be more successful.
d. Describe plans for monitoring and assessing accomplishments of
planned actions and for controlling quality after achieving performance
goals.
N. Waiver and Work-Flex Requests
Will the State be requesting waivers as a part of this Unified
Plan?
In answering this question, the following waiver provisions apply
if the Unified Plan includes:
1. WIA Title I and Wagner-Peyser Act and/or Veterans Programs:
States may submit a Workforce Flexibility (Work-Flex) Plan under WIA
section 192 and/or a General Statutory Waiver Plan under WIA section
189(i) as part of the WIA title I Plan. These Waiver Plans may also be
submitted separately, in which case they must identify related
provisions in the State's title I Plan. State Waiver Plans should be
developed in accordance with planning requirements at Subpart D of 20
CFR Part 661.420.
2. Vocational Rehabilitation: If a State requests a waiver of the
statewide requirement identified in assurance number 13 for the
vocational rehabilitation program in Section III of this Unified
Planning guidance, the request must be made in accordance with the
provisions of 34 CFR 361.26(b).
Part IV. Certifications and Assurances
The following certifications and assurances apply to the extent
that the programs and activities are included in the State Unified
Plan.
A. General Certifications and Assurances
By signing the Unified Plan signature page, you are certifying
that:
1. The methods used for joint planning and coordination of the
programs and activities included in the
[[Page 73749]]
Unified Plan included an opportunity for the entities responsible for
planning or administering such programs and activities to review and
comment on all portions of the Unified Plan. (WIA, Sec. 501(c)(3)(B).)
If you submit the Unified Plan by posting it on an Internet Web
site, you are certifying that:
2. The content of the submitted Plan will not be changed after it
is submitted. Plan modifications must be approved by the reviewing
State agency. It is the responsibility of the designated agency to
circulate the modifications among the other agencies that may be
affected by the changes.
B. Non-Construction Programs
By signing the Unified Plan signature page, you are certifying that
the grantee has filed the Government-wide standard assurances for non-
construction programs (SF 424). States can print SF 424 from http://
ocfo.ed.gov/grntinfo/appforms.htm.
C. EDGAR Certifications
You must include the following certifications for each of the State
agencies that administer one of these programs: Adult Education and
Literacy or Vocational Rehabilitation. A State may satisfy the EDGAR
requirement by having all responsible State agency officials sign a
single set of EDGAR certifications.
By signing the Unified Plan signature page, you are certifying
that:
1. The Plan is submitted by the State agency that is eligible to
submit the Plan. [34 CFR 76.104(a)(1).]
2. The State agency has authority under State law to perform the
functions of the State under the program. [34 CFR 76.104(a)(2)]
3. The State legally may carry out each provision of the Plan. [34
CFR 76.104(a)(3)]
4. All provisions of the Plan are consistent with State law. [34
CFR 76.104(a)(4)]
5. A State officer, specified by title in the certification, has
authority under State law to receive, hold, and disburse Federal funds
made available under the Plan. [34 CFR 76.104(a)(5)]
6. The State officer who submits the Plan, specified by title in
the certification, has authority to submit the Plan. [34 CFR
76.104(a)(6)]
7. The agency that submits the Plan has adopted or otherwise
formally approved the Plan. [34 CFR 76.104(a)(7)]
8. The Plan is the basis for State operation and administration of
the program. [34 CFR 76.104(a)(8)]
9. A copy of the State Plan was submitted into the State
Intergovernmental Review Process. [Executive Order 12372]
D. Debarment, Drug-Free Work Place, and Lobbying Certification
By signing the Unified Plan signature page, you are certifying that
the Department of Education grantee has filed ED 80-0013. This form
also applies to AEFLA and RSA. States can print ED 80-0013 from http://
ocfo.ed.gov/grntinfo/appforms.htm.
E. WIA Title I/Wagner-Peyser Act/Veterans Programs
By signing the Unified Plan signature page, you are certifying
that:
1. The State assures that it will establish, in accordance with
section 184 of the Workforce Investment Act, fiscal control and fund
accounting procedures that may be necessary to ensure the proper
disbursement of, and accounting for, funds paid to the State through
the allotments made under sections 127 and 132. (Sec. 112(b)(11).)
2. The State assures that it will comply with section 184(a)(6),
which requires the governor to, every two years, certify to the
Secretary, that--
a. The State has implemented the uniform administrative
requirements referred to in section 184(a)(3);
b. The State has annually monitored local areas to ensure
compliance with the uniform administrative requirements as required
under section 184(a)(4); and
c. The State has taken appropriate action to secure compliance
pursuant to section 184(a)(5). (Sec. 184(a)(6).)
3. The State assures that the Adult and Youth funds received under
the Workforce Investment Act will be distributed equitably throughout
the State, and that no local areas will suffer significant shifts in
funding from year to year during the period covered by this Plan.
(Sec. 112(b)(12)(B).)
4. The State assures that veterans will be afforded employment and
training activities authorized in section 134 of the Workforce
Investment Act, and the activities authorized in chapters 41 and 42 of
Title 38 U.S. code. The State assures that it will comply with the
veterans priority established in the Jobs for Veterans Act. (38 U.S.C.
4215.)
5. The State assures that the governor shall, once every two years,
certify one Local Board for each local area in the State. (Sec.
117(c)(2).)
6. The State assures that it will comply with the confidentiality
requirements of section 136(f)(3).
7. The State assures that no funds received under the Workforce
Investment Act will be used to assist, promote, or deter union
organizing. (Sec. 181(b)(7).)
8. The State assures that it will comply with the nondiscrimination
provisions of section 188, including an assurance that a Methods of
Administration has been developed and implemented. (Sec. 188.)
9. The State assures that it will collect and maintain data
necessary to show compliance with the nondiscrimination provisions of
section 188. (Sec. 185.)
10. The State assures that it will comply with the grant procedures
prescribed by the Secretary (pursuant to the authority at section
189(c) of the Act) which are necessary to enter into grant agreements
for the allocation and payment of funds under the Act. The procedures
and agreements will be provided to the State by the ETA Office of
Grants and Contract Management and will specify the required terms and
conditions and assurances and certifications, including, but not
limited to, the following:
a. General Administrative Requirements:
i. 29 CFR part 97--Uniform Administrative Requirements for State
and Local Governments (as amended by the Act).
ii. 29 CFR part 96 (as amended by OMB Circular A-133)--Single Audit
Act.
iii. OMB Circular A-87--Cost Principles (as amended by the Act).
b. Assurances and Certifications:
i. SF 424 B--Assurances for Non-construction Programs.
ii. 29 CFR part 37--Nondiscrimination and Equal Opportunity
Assurance (and regulation) 29 CFR Sec. 37.20.
iii. CFR part 93--Certification Regarding Lobbying (and
regulation).
iv. 29 CFR part 98--Drug Free Workplace and Debarment and
Suspension Certifications (and regulation).
c. Special Clauses/Provisions: Other special assurances or
provisions as may be required under Federal law or policy, including
specific appropriations legislation, the Workforce Investment Act, or
subsequent Executive or Congressional mandates.
11. The State certifies that the Wagner-Peyser Act Plan, which is
part of this document, has been certified by the State Employment
Security Administrator.
12. The State certifies that veterans' services provided with
Wagner-Peyser Act funds will be in compliance with 38 U.S.C. Chapter 41
and 20 CFR part 1001.
13. The State certifies that Wagner-Peyser Act-funded labor
exchange activities will be provided by merit-
[[Page 73750]]
based public employees in accordance with DOL regulations.
14. The State assures that it will comply with the MSFW significant
office requirements in accordance with 20 CFR part 653.
15. The State certifies it has developed this Plan in consultation
with local elected officials, Local Workforce Boards, the business
community, labor organizations and other partners.
16. As a condition to the award of financial assistance from the
Department of Labor under title I of WIA, the grant applicant assures
that it will comply fully with the nondiscrimination and equal
opportunity provisions of the following laws:
a. Section 188 of the Workforce Investment Act of 1998 (WIA), which
prohibits discrimination against all individuals in the United States
on the basis of race, color, religion, sex, national origin, age,
disability, political affiliation or belief, and against beneficiaries
on the basis of either citizenship/status as a lawfully admitted
immigrant authorized to work in the United States or participation in
any WIA title I financially-assisted program or activity;
b. Title VI of the Civil Rights Act of 1964, as amended, which
prohibits discrimination on the bases of race, color and national
origin;
c. Section 504 of the Rehabilitation Act of 1973, as amended, which
prohibits discrimination against qualified individuals with
disabilities;
d. The Age Discrimination Act of 1975, as amended, which prohibits
discrimination on the basis of age; and
e. Title IX of the Education Amendments of 1972, as amended, which
prohibits discrimination on the basis of sex in educational programs.
f. The grant applicant also assures that it will comply with 29 CFR
part 37 and all other regulations implementing the laws listed above.
This assurance applies to the grant applicant's operation of the WIA
title I financially-assisted program or activity, and to all agreements
the grant applicant makes to carry out the WIA title I financially-
assisted program or activity. The grant applicant understands that the
United States has the right to seek judicial enforcement of this
assurance.
17. The State assures that funds will be spent in accordance with
the Workforce Investment Act and the Wagner-Peyser Act and their
regulations, written Department of Labor Guidance implementing these
laws, and all other applicable Federal and State laws.
F. Adult Education and Family Literacy
By signing the Unified Plan signature page, you are certifying
that:
1. The eligible agency will award not less than one grant to an
eligible provider who offers flexible schedules and necessary support
services (such as child care and transportation) to enable individuals,
including individuals with disabilities, or individuals with other
special needs, to participate in Adult Education and Literacy
activities, which eligible provider shall attempt to coordinate with
support services that are not provided under this subtitle prior to
using funds for Adult Education and Literacy activities provided under
AEFLA for support services. (Sec. 224(b)(5).)
2. The funds received under subtitle A of title II of WIA will not
be expended for any purpose other than for activities under subtitle A
of title II of WIA. (Sec. 224(b)(6).)
3. The eligible agency will expend the funds under subtitle A of
title II of WIA only in a manner consistent with fiscal requirements in
section 241. (Sec. 224(b)(8).)
G. Food Stamp Employment and Training (FSET)
By signing the Unified Plan signature page, you are certifying
that:
1. Federal funds allocated by the Department of Agriculture to the
State under section 16(h)(1) of the Food Stamp Act of 1977 (the Act),
or provided to the State as reimbursements under sections 16(h)(2) and
16(h)(3) of the Act will be used only for operating an employment and
training program under section 6(d)(4) of the Act.
2. The State will submit to the Food and Nutrition Service (FNS)
annual updates to its Employment and Training Plan for the coming
fiscal year. The updates are due by August 15 of each year. The annual
update must include any changes the State anticipates making in the
basic structure or operation of its program. At a minimum, the annual
update must contain revisions to Tables 1 (Estimated Participant
Levels), 2 (Estimated E&T Placement Levels), 4 (Operating Budget), and
5 (Funding Categories).
3. If significant changes are to be made to its E&T program during
the fiscal year, the State will submit to FNS a request to modify its
Plan. FNS must approve the modification request before the proposed
change is implemented. The State may be liable for costs associated
with implementation prior to approval. See ``The Handbook on Preparing
State Plans for Food Stamp Employment and Training Programs'' for
additional information.
4. The State will submit a quarterly E&T report, FNS-583. Reports
are due no later than 45 days after the end of each Federal fiscal
quarter. The information required on the FNS-583 is listed in Exhibit 3
of the ``The Handbook on Preparing State Plans for Food Stamp
Employment and Training Programs.''
5. The State will submit E&T program financial information on the
SF-269, Financial Status Report. It must include claims for the 100
percent Federal grant, 50 percent matched funding, and participant
reimbursements. The SF-269 is due 30 days after the end of each Federal
fiscal quarter.
6. The State will deliver each component of its E&T program through
the One-Stop delivery system, an inter-connected strategy for providing
comprehensive labor market and occupational information to job seekers,
employers, core services providers, other workforce employment activity
providers, and providers of workforce education activities. If the
component is not available locally through such a system, the State may
use another source.
H. Vocational Rehabilitation
By signing the Unified Plan signature page, you are certifying
that:
1. As a condition for the receipt Federal funds under title I, part
B of the Rehabilitation Act for the provision of vocational
rehabilitation services, the designated State agency agrees to operate
and administer the State Vocational Rehabilitation Services Program in
accordance with provisions of this title I State Plan, the Act and all
applicable regulations, policies and procedures established by the
Secretary. Funds made available under section 111 of the Act are used
solely for the provision of vocational rehabilitation services under
title I and the administration of the title I State Plan.
2. As a condition of the receipt of Federal funds under title VI,
part B of the Act for supported employment services, the designated
State agency agrees to operate and administer the State Supported
Employment Services Program in accordance with the provisions of the
supplement to this State Plan, the Act, and all applicable regulations,
policies, and procedures established by the Secretary. Funds made
available under title VI, part B are used solely for the provision of
supported employment services and the administration of the supplement
to the title I State Plan.
3. The designated State agency or designated State unit is
authorized to submit this State Plan under title I of the
[[Page 73751]]
Act and its supplement under title VI, part B of the Act.
4. The State submits only those policies, procedures, or
descriptions required under this State Plan and its supplement that
have not been previously submitted to and approved by the Commissioner
of the Rehabilitation Services Administration. (Sec. 101(a)(1)(B).)
5. The State submits to the Commissioner at such time and in such
manner as the Secretary determines to be appropriate, reports
containing annual updates of the information relating to the:
comprehensive system of personnel development; assessments, estimates,
goals and priorities, and reports of progress; innovation and expansion
activities; and requirements under title I, part B or title VI, part B
of the Act. (Sec. 101(a)(23).)
6. The State Plan and its supplement are in effect subject to the
submission of such modifications as the State determines to be
necessary or as the Commissioner may require based on a change in State
policy, a change in Federal law, including regulations, an
interpretation of the Act by a Federal court or the highest court of
the State, or a finding by the Commissioner of State noncompliance with
the requirements of the Act, until the State submits and receives
approval of a new State Plan or Plan supplement. (Sec. 101(a)(1)(C).)
7. The State has an acceptable plan for carrying out part B of
title VI of the Act, including the use of funds under that part to
supplement funds made available under part B of title I of the Act to
pay for the cost of services leading to supported employment. (Sec.
101(a)(22).)
8. The designated State agency, prior to the adoption of any
policies or procedures governing the provision of vocational
rehabilitation services under the State Plan and supported employment
services under the supplement to the State Plan, including making any
amendment to such policies and procedures, conducts public meetings
throughout the State after providing adequate notice of the meetings,
to provide the public, including individuals with disabilities, an
opportunity to comment on the policies or procedures, and actively
consults with the Director of the client assistance program, and, as
appropriate, Indian tribes, tribal organizations, and Native Hawaiian
organizations on the policies or procedures. (Sec. 101(a)(16)(A).)
9. The designated State agency takes into account, in connection
with matters of general policy arising in the administration of the
Plan, the views of individuals and groups of individuals who are
recipients of vocational rehabilitation services, or in appropriate
cases, the individual's representatives; personnel working in programs
that provide vocational rehabilitation services to individuals with
disabilities; providers of vocational rehabilitation services to
individuals with disabilities; the Director of the client assistance
program; and the State Rehabilitation Council, if the State has such a
Council. (Sec. 101(a)(16)(B))
10. The designated State agency (or, as appropriate, agencies) is a
State agency that is:
a.---- Primarily concerned with vocational rehabilitation, or
vocational and other rehabilitation, of individuals with disabilities;
or
b.---- not primarily concerned with vocational rehabilitation, or
vocational and other rehabilitation, of individuals with disabilities,
and includes within the State agency a vocational rehabilitation
bureau, or division, or other organizational unit that: Is primarily
concerned with vocational rehabilitation, or vocational and other
rehabilitation, of individuals with disabilities, and is responsible
for the designated State agency's vocational rehabilitation program;
has a full-time director; has a staff, all or substantially all of whom
are employed full time on the rehabilitation work of the organizational
unit; and is located at an organizational level and has an
organizational status within the designated State agency comparable to
that of other major organizational units of the designated State
agency. (Sec. 101(a)(2)(B).)
11. The designated State agency (or, as appropriate, agencies):
a.---- Is an independent commission that is responsible under State
law for operating, or overseeing the operation of, the vocational
rehabilitation program in the State; is consumer-controlled by persons
who are individuals with physical or mental impairments that
substantially limit major life activities; and represent individuals
with a broad range of disabilities, unless the designated State unit
under the direction of the commission is the State agency for
individuals who are blind; includes family members, advocates, or other
representatives, of individuals with mental impairments; and undertakes
the functions set forth in section 105(c)(4) of the Act; or
b.---- has established a State Rehabilitation Council that meets
the criteria set forth in section 105 of the Act and the designated
State unit: Jointly with the Council develops, agrees to, and reviews
annually State goals and priorities, and jointly submits annual reports
of progress with the Council, in accordance with the provisions of
section 101(a)(15) of the Act; regularly consults with the Council
regarding the development, implementation, and revision of State
policies and procedures of general applicability pertaining to the
provision of vocational rehabilitation services; includes in the State
Plan and in any revision to the State Plan, a summary of input provided
by the Council, including recommendations from the annual report of the
Council described in section 105(c)(5) of the Act, the review and
analysis of consumer satisfaction described in section 105(c)(4), and
other reports prepared by the Council, and the response of the
designated State unit to such input and recommendations, including
explanations for rejecting any input or recommendation; and transmits
to the Council all Plans, reports, and other information required under
this title to be submitted to the Secretary; all policies, and
information on all practices and procedures, of general applicability
provided to or used by rehabilitation personnel in carrying out this
title; and copies of due process hearing decisions issued under this
title, which shall be transmitted in such a manner as to ensure that
the identity of the participants in the hearings is kept confidential.
(Sec. 101(a)(21).)
12. The State provides for financial participation, or if the State
so elects, by the State and local agencies, to provide the amount of
the non-Federal share of the cost of carrying out title I, part B of
the Act. (Sec. 101(a)(3).)
13. The Plan is in effect in all political subdivisions of the
State, except that in the case of any activity that, in the judgment of
the Commissioner, is likely to assist in promoting the vocational
rehabilitation of substantially larger numbers of individuals with
disabilities or groups of individuals with disabilities, the
Commissioner may waive compliance with the requirement that the Plan be
in effect in all political subdivisions of the State to the extent and
for such period as may be provided in accordance with regulations
prescribed by the Commissioner, but only if the non-Federal share of
the cost of the vocational rehabilitation services involved is met from
funds made available by a local agency (including funds contributed to
such agency by a private agency, organization, or individual); and in a
case in which earmarked funds are used toward the non-Federal share and
such funds are earmarked for particular geographic areas within the
State, the earmarked
[[Page 73752]]
funds may be used in such areas if the State notifies the Commissioner
that the State cannot provide the full non-Federal share without such
funds. (Sec. 101(a)(4).)
14. The State agency employs methods of administration found by the
Commissioner to be necessary for the proper and efficient
administration of the State Plan. (Sec. 101(a)(6)(A).)
15. The designated State agency and entities carrying out community
rehabilitation programs in the State, who are in receipt of assistance
under title I of the Act, take affirmative action to employ and advance
in employment qualified individuals with disabilities covered under and
on the same terms and conditions as set forth in section 503 of the
Act. (Sec. 101(a)(6)(B).)
16. Facilities used in connection with the delivery of services
assisted under the State Plan comply with the provisions of the Act
entitled ``An Act to insure that certain buildings financed with
Federal funds are so designed and constructed as to be accessible to
the physically handicapped,'' approved on August 12, 1968 (commonly
known as the ``Architectural Barriers Act of 1968''), with section 504
of the Act and with the Americans with Disabilities Act of 1990. (Sec.
101(a)(6)(C).)
17. If, under special circumstances, the State Plan includes
provisions for the construction of facilities for community
rehabilitation programs--
a. The Federal share of the cost of construction for the facilities
for a fiscal year will not exceed an amount equal to 10 percent of the
State's allotment under section 110 for such year;
b. The provisions of section 306 (as in effect on the day before
the date of enactment of the Rehabilitation Act Amendments of 1998)
shall be applicable to such construction and such provisions shall be
deemed to apply to such construction; and
c. There shall be compliance with regulations the Commissioner
shall prescribe designed to assure that no State will reduce its
efforts in providing other vocational rehabilitation services (other
than for the establishment of facilities for community rehabilitation
programs) because the Plan includes such provisions for construction.
(Sec. 101(a)(17).)
18. The designated State unit submits, in accordance with section
101(a)(10) of the Act, reports in the form and level of detail and at
the time required by the Commissioner regarding applicants for and
eligible individuals receiving services under the State Plan and the
information submitted in the reports provides a complete count, unless
sampling techniques are used, of the applicants and eligible
individuals in a manner that permits the greatest possible cross-
classification of data and ensures the confidentiality of the identity
of each individual. (Sec. 101(a)(10)(A) and (F).)
19. The designated State agency has the authority to enter into
contracts with for-profit organizations for the purpose of providing,
as vocational rehabilitation services, on-the-job training and related
programs for individuals with disabilities under part A of title VI of
the Act, upon the determination by the designated State agency that
such for-profit organizations are better qualified to provide such
vocational rehabilitation services than non-profit agencies and
organizations. (Sec. 101(a)(24)(A).)
20. The designated State agency has cooperative agreements with
other entities that are components of the statewide workforce
investment system of the State in accordance with section 101(a)(11)(A)
of the Act and replicates these cooperative agreements at the local
level between individual offices of the designated State unit and local
entities carrying out activities through the statewide workforce
investment system. (Sec. 101(a)(11)(A) and (B).)
21. The designated State unit, the Statewide Independent Living
Council established under section 705 of the Act, and the independent
living centers described in part C of title VII of the Act within the
State have developed working relationships and coordinate their
activities. (Sec. 101(a)(11)(E).)
22. If there is a grant recipient in the State that receives funds
under part C of the Act, the designated State agency has entered into a
formal agreement that meets the requirements of section 101(a)(11)(F)
of the Act with each grant recipient. (Sec. 101(a)(11)(F).)
23. Except as otherwise provided in part C of title I of the Act,
the designated State unit provides vocational rehabilitation services
to American Indians who are individuals with disabilities residing in
the State to the same extent as the designated State agency provides
such services to other significant populations of individuals with
disabilities residing in the State. (Sec. 101(a)(13).)
24. No duration of residence requirement is imposed that excludes
from services under the Plan any individual who is present in the
State. (Sec. 101(a)(12).)
25. The designated State agency has implemented an information and
referral system that is adequate to ensure that individuals with
disabilities are provided accurate vocational rehabilitation
information and guidance, using appropriate modes of communication, to
assist such individuals in preparing for, securing, retaining, or
regaining employment, and are appropriately referred to Federal and
State programs, including other components of the statewide workforce
investment system in the State. (Sec. 101(a)(20).)
26. In the event that vocational rehabilitation services cannot be
provided to all eligible individuals with disabilities in the State who
apply for the services, individuals with the most significant
disabilities, in accordance with criteria established by the State for
the order of selection, will be selected first for the provision of
vocational rehabilitation services and eligible individuals, who do not
meet the order of selection criteria, shall have access to services
provided through the information and referral system implemented under
section 101(a)(20) of the Act. (Sec. 101(a)(5)(C) and (D).)
27. Applicants and eligible individuals, or, as appropriate, the
applicants' representatives or the individuals' representatives, are
provided information and support services to assist the applicants and
eligible individuals in exercising informed choice throughout the
rehabilitation process, consistent with the provisions of section
102(d) of the Act. (Sec. 101(a)(19).)
28. An individualized plan for employment meeting the requirements
of section 102(b) of the Act will be developed and implemented in a
timely manner for an individual subsequent to the determination of the
eligibility of the individual for services, except that in a State
operating under an order of selection, the Plan will be developed and
implemented only for individuals meeting the order of selection
criteria; services under this Plan will be provided in accordance with
the provisions of the individualized plan for employment. (Sec.
01(a)(9).)
29. Prior to providing any vocational rehabilitation services,
except:
Assessment for determining eligibility and vocational
rehabilitation needs by qualified personnel, including, if appropriate,
an assessment by personnel skilled in rehabilitation technology;
Counseling and guidance, including information and support
services to assist an individual in exercising informed choice
consistent with the provisions of section 102(d) of the Act;
Referral and other services to secure needed services from
other agencies through agreements developed under section 101(a)(11) of
the Act, if such
[[Page 73753]]
services are not available under this State Plan;
Job-related services, including job search and placement
assistance, job retention services, follow-up services, and follow-
along services;
Rehabilitation technology, including telecommunications,
sensory, and other technological aids and devices; and
Post-employment services consisting of the services listed
under subparagraphs (a) through (e), to an eligible individual, or to
members of the individual's family, the State unit determines whether
comparable services and benefits exist under any other program and
whether those services and benefits are available to the individual
unless the determination of the availability of comparable services and
benefits under any other program would interrupt or delay:
Progress of the individual toward achieving the employment
outcome identified in the individualized plan for employment;
An immediate job placement; or
Provision of such service to any individual who is
determined to be at extreme medical risk, based on medical evidence
provided by an appropriate qualified medical professional. (Sec.
101(a)(8)(A).)
30. The governor of the State in consultation with the designated
State vocational rehabilitation agency and other appropriate agencies
ensures that there is an interagency agreement or other mechanism for
interagency coordination that meets the requirements of section
101(a)(8)(B)(i)-(iv) of the Act between any appropriate public entity,
including the State Medicaid program, public institution of higher
education, and a component of the statewide workforce investment
system, and the designated State unit so as to ensure the provision of
the vocational rehabilitation services identified in section 103(a) of
the Act, other than the services identified as being exempt from the
determination of the availability of comparable services and benefits,
that are included in the individualized plan for employment of an
eligible individual, including the provision of such services during
the pendency of any dispute that may arise in the implementation of the
interagency agreement or other mechanism for interagency coordination.
(Sec. 101(a)(8)(B).)
31. The State agency conducts an annual review and reevaluation of
the status of each individual with a disability served under this State
Plan who has achieved an employment outcome either in an extended
employment setting in a community rehabilitation program or any other
employment under section 14(c) of the Fair Labor Standards Act (29
U.S.C. 214(c)) for 2 years after the achievement of the outcome (and
annually thereafter if requested by the individual or, if appropriate,
the individual's representative), to determine the interests,
priorities, and needs of the individual with respect to competitive
employment or training for competitive employment; provides for the
input into the review and reevaluation, and a signed acknowledgment
that such review and reevaluation have been conducted, by the
individual with a disability, or, if appropriate, the individual's
representative; and makes maximum efforts, including the identification
and provision of vocational rehabilitation services, reasonable
accommodations, and other necessary support services, to assist such
individuals in engaging in competitive employment. (Sec. 101(a)(14).)
32. Funds made available under title VI, part B of the Act will
only be used to provide supported employment services to individuals
who are eligible under this part to receive the services. (Sec.
625(b)(6)(A).)
33. The comprehensive assessments of individuals with significant
disabilities conducted under section 102(b)(1) of the Act and funded
under title I will include consideration of supported employment as an
appropriate employment outcome. (Sec. 625(b)(6)(B).)
34. An individualized plan for employment, as required by section
102 of the Act, will be developed and updated using funds under title I
in order to specify the supported employment services to be provided;
specify the expected extended services needed; and identify the source
of extended services, which may include natural supports, or to the
extent that it is not possible to identify the source of extended
services at the time the individualized plan for employment is
developed, a statement describing the basis for concluding that there
is a reasonable expectation that such sources will become available.
(Sec. 625(b)(6)(C).)
35. The State will use funds provided under title VI, part B only
to supplement, and not supplant, the funds provided under title I, in
providing supported employment services specified in the individualized
plan for employment. (Sec. 625(b)(6)(D).)
36. Services provided under an individualized plan for employment
will be coordinated with services provided under other individualized
plans established under other Federal or State programs. (Sec.
625(b)(6)(E).)
37. To the extent job skills training is provided, the training
will be provided on site. (Sec. 625(b)(6)(F).)
38. Supported employment services will include placement in an
integrated setting for the maximum number of hours possible based on
the unique strengths, resources, priorities, concerns, abilities,
capabilities, interests, and informed choice of individuals with the
most significant disabilities. (Sec. 625(b)(G).)
39. The State will expend not more than 5 percent of the allotment
of the State under title VI, part B for administrative costs of
carrying out this part. (Sec. 625(b)(7).)
40. The supported employment supplement to the title I State Plan
contains such other information and be submitted in such manner as the
Commissioner of the Rehabilitation Services Administration may require.
(Sec. 625(b)(8).)
I. Unemployment Insurance (UI)
By signing the Unified Plan/SQSP Signature Page, the State
administrator is certifying that the State will comply with the
following assurances, and that the State will institute plans or
measures to comply with the following requirements. The assurances are
identified and explained below:
A. Assurance of Equal Opportunity (EO). As a condition to the award
of financial assistance from ETA, the State must assure that the
operation of its program, and all agreements or arrangements to carry
out the programs for which assistance is awarded, will comply with the
following laws:
Title VI of the Civil Rights Act of 1964, as amended;
Sections 504 and 508(f) of the Rehabilitation Act of 1973,
as amended;
Age Discrimination Act (ADA) of 1975, as amended,
Section 188 of the Workforce Investment Act; and
Title IX of the Education Amendments of 1972, as amended.
Further, the State must assure that it will establish and adhere to
Methods of Administration that give a reasonable guarantee of
compliance with the above equal opportunity and nondiscrimination laws
and regulations regarding the program services it provides and in its
employment practices. These Methods of Administration must, at a
minimum, include the following:
1. Designation of an Equal Opportunity Officer. The state must
designate a senior-level individual to coordinate its EO
responsibilities. The
[[Page 73754]]
person designated must report to the top official on equal opportunity
and nondiscrimination matters and be assigned sufficient staff and
resources to ensure the capability to fulfill the agency's equal
opportunity and nondiscrimination obligations.
2. Equal Opportunity Notice and Communication. The state must take
affirmative steps to prominently display the Equal Opportunity is the
Law poster in all of its facilities and inform applicants for programs,
participants, applicants for employment, and employees:
a. that the state does not discriminate in admission, access,
treatment, or employment; and
b. of their right to file a complaint and how to do so.
Other than the Equal Opportunity is the Law poster, methods of
notification of this information may include placement of notices in
offices and publication of notices in newsletters, newspapers, or
magazines.
3. Assurances. The state must develop and implement procedures for
transferring nondiscrimination and EO obligations in sub-contracts and
sub-agreements.
4. Universal Access. The state must take appropriate steps to
ensure that they are providing universal access to their programs.
These steps should include reasonable efforts to include members of
both sexes, various racial and ethnic groups, individuals with
disabilities and individuals in differing age groups.
5. Compliance with Section 504. The state must take the necessary
measures to ensure access to its programs and facilities for persons
with disabilities, as well as make certain communication with persons
with disabilities is as effective as that with others.
6. Data Collection and Recordkeeping. The state must collect such
data and maintain such records in accordance with procedures prescribed
by the Director of the U.S. Department of Labor's Civil Rights Center.
These characteristics data (e.g., race, sex, national origin, age,
disability) are utilized to determine whether the state and its local
office are in compliance with Federal nondiscrimination and equal
opportunity statutes and regulations.
7. Monitoring. The state must establish a system for periodically
monitoring the delivery of program services for compliance.
8. Discrimination Complaint Procedures. The state must develop and
follow procedures for handling complaints of discrimination covering
all of the regulations applicable to it as a recipient of Federal
financial assistance.
9. Corrective Actions and Sanctions. The state must establish
procedures for taking prompt corrective action regarding any
noncompliance finding relating to the administration, management, and
operation of its programs and activities.
B. Assurance of Administrative Requirements and Allowable Cost
Standards. The State must comply with administrative requirements and
cost principles applicable to grants and cooperative agreements as
specified in 20 CFR part 601 (Administrative Procedure), 29 CFR part 93
(Lobbying Prohibitions), 29 CFR part 96 and part 99 (Audit
Requirements), 29 CFR part 97 (Uniform Administrative Requirements for
Grants and Cooperative Agreements to State and Local Governments), and
OMB Circular A-87 (Revised), 2 CFR 225, (Cost Principles for State,
Local, and Indian Tribal Governments), and with administrative
requirements for debarment and suspension applicable to sub-grants or
contracts as specified in 29 CFR part 98 (Debarment and Suspension).
The state assures that state staff will attend mandatory meetings and
training sessions, or return unused funds.
States that have subawards to organizations covered by audit
requirements of 29 CFR Part 99 (Audit of States, Local Governments, and
Non-Profit Organizations) must (1) ensure that such subrecipients meet
the requirements of that circular, as applicable, and (2) resolve audit
findings, if any, resulting from such audits, relating to the UI
program.
The state also assures that it will comply with the following
specific administrative requirements:
1. Administrative Requirements.
a. Program Income. Program income is defined in 29 CFR 97.25 as
gross income received by a grantee or subgrantee directly generated by
a grant supported activity, or earned only as a result of the grant
agreement during the grant period. States may deduct costs incidental
to the generation of UI program income from gross income to determine
net UI program income. UI program income shall be added to the funds
committed to the grant by ETA. The program income must be used only as
necessary for the proper and efficient administration of the UI
program. Any rental income or user fees obtained from real property or
equipment acquired with grant funds from prior awards shall be treated
as program income under this grant.
b. Budget Changes. Except as specified by terms of the specific
grant award, ETA, in accordance with the regulations, waives the
requirements in 29 CFR 97.30(c)(1)(ii) that states obtain prior written
approval for certain types of budget changes.
c. Real Property Acquired with Reed Act Funds. The requirements for
real property acquired with Reed Act or other non-Federal funds and
amortized with UI grants are in UIPL 39-97, dated September 12, 1997,
29 CFR 97.31 to the extent amortized with UI grants; and in TEGL 7-04,
Issues Related to Real Property Used for ETA Program Purposes.
d. Equipment Acquired with Reed Act Funds. The requirements for
equipment acquired with Reed Act or other non-Federal funds and
amortized with UI grants are in UIPL 39-97, and UIPL 39-97 Changes 1
and 2, and in 29 CFR 97.31, to the extent amortized with UI grants.
e. Real Property, Equipment, and Supplies.
(1) Real property, equipment, and supplies acquired under prior
awards are transferred to this award and are subject to the relevant
regulations at 29 CFR part 97.
(2) For computer systems and all associated components which were
installed in states for the purpose of Regular Reports, Benefits
Accuracy Measurement, and other UI Activities, the requirements of 29
CFR part 97 apply. The National Office reserves the right to transfer
title and issue disposition instructions in accordance with paragraph
(g) of Federal regulations at 29 CFR 97.32. States also will certify an
inventory list of system components which will be distributed annually
by ETA.
2. Exceptions and Expansions to Cost Principles. The following
exceptions or expansions to the cost principles of OMB Circular No. A-
87 (Revised) are applicable to states:
a. Employee Fringe Benefits. As an exception to OMB Circular A-87
(Revised) with respect to personnel benefit costs incurred on behalf of
state employees who are members of fringe benefit plans which do not
meet the requirements of OMB Circular No. A-87 (Revised), Attachment B,
item 11, the costs of employer contributions or expenses incurred for
state fringe benefit plans are allowable, provided that:
(1) For retirement plans, all covered employees joined the plan
before October 1, 1983; the plan is authorized by state law; the plan
was previously approved by the Secretary; the plan is insured by a
private insurance carrier
[[Page 73755]]
which is licensed to operate this type of plan in the applicable state;
and any dividends or similar credits because of participation in the
plan are credited against the next premium falling due under the
contract.
(2) For all state fringe benefit plans other than retirement plans,
if the Secretary granted a time extension after October 1, 1983, to the
existing approval of such a plan, costs of the plan are allowable until
such time as the plan is comparable in cost and benefits to fringe
benefit plans available to other similarly employed state employees. At
such time as the cost and benefits of an approved fringe benefit plan
are equivalent to the cost and benefits of plans available to other
similarly employed state employees, the time extension will cease and
the cited requirements of OMB Circular A-87 (Revised) will apply.
(3) For retirement plans and all other fringe benefit plans covered
in (1) and (2) of this paragraph, any additional costs resulting from
improvements to the plans made after October 1, 1983, are not
chargeable to UI grant funds.
b. UI Claimant's Court Appeals Costs. To the extent authorized by
state law, funds may be expended for reasonable counsel fees and
necessary court costs, as fixed by the court, incurred by the claimant
on appeals to the courts in the following cases:
(1) Any court appeal from an administrative or judicial decision
favorable in whole or in part for the claimant;
(2) Any court appeal by a claimant from a decision which reverses a
prior decision in his/her favor;
(3) Any court appeal by a claimant from a decision denying or
reducing benefits awarded under a prior administrative or judicial
decision;
(4) Any court appeal as a result of which the claimant is awarded
benefits;
(5) Any court appeal by a claimant from a decision by a tribunal,
board of review, or court which was not unanimous;
(6) Any court appeal by a claimant where the court finds that a
reasonable basis exists for the appeal.
c. Reed Act. Payment from the state's UI grant allocations, made
into a state's account in the Unemployment Trust Fund for the purpose
of reducing charges against Reed Act funds (section 903(c)(2) of the
Social Security Act, as amended (42 U.S.C. 1103(c)(2)), are allowable
costs provided that:
(1) The charges against Reed Act funds were for amounts
appropriated, obligated, and expended for the acquisition of automatic
data processing installations or for the acquisition or major
renovation of state-owned buildings, but not land;
(2) With respect to each acquisition or improvement of property,
the payments are accounted for as credit against equivalent amounts of
Reed Act funds previously withdrawn under the respective appropriation.
d. Prior Approval of Equipment Purchases. As provided for in OMB
Circular No. A-87 (Revised), Attachment B, item 19, the requirement
that grant recipients obtain prior approval from the Federal grantor
agency for all purchases of equipment (as defined in 29 CFR 97.3) is
waived and approval authority is delegated to the state administrator.
e. Federal Cash Transaction Report. The state is exempt from
submission of the SF 272, Federal Transactions Report, and the SF 272A,
Continuation Sheet, per 29 CFR 97.41 (c) discretion.
C. Assurance of Management Systems, Reporting, and Record Keeping.
The state assures that:
1. Financial systems provide fiscal control and accounting
procedures sufficient to permit timely preparation of required reports,
and the tracing of funds to a level of expenditure adequate to
establish that funds have not been expended improperly (29 CFR 97.20).
2. The financial management system and the program information
system provide Federally-required reports and records that are uniform
in definition, accessible to authorized Federal and state staff, and
verifiable for monitoring, reporting, audit, and evaluation purposes.
3. It will submit reports to ETA as required in instructions issued
by ETA and in the format ETA prescribes.
4. It will retain all financial and programmatic records,
supporting documents, and other required records at least three years
as specified in 29 CFR 97.42(b).
5. The financial management system provides for methods to insure
compliance with the requirements applicable to procurement and grants
as specified in 29 CFR part 98 (Debarment and Suspension), and for
obtaining the required certifications under 29 CFR 98.510(b) regarding
debarment, suspension, ineligibility, and voluntary exclusions for
lower tier covered transactions.
D. Assurance of Program Quality. The state assures that it will
administer the UI program in a manner that ensures proper and efficient
administration. ``Proper and efficient administration'' includes
performance measured by ETA through Core measures, Management
Information measures, program reviews, and the administration of the UI
BAM, BTQ, Data Validation (DV), and TPS program requirements.
E. Assurance on Use of Unobligated Funds. The state assures that
non-automation funds will be obligated by December 31 of the following
fiscal year, and liquidated within 90 days thereafter. ETA may extend
the liquidation date upon written request. Automation funds must be
obligated by the end of the 3rd fiscal year, and liquidated within 90
days thereafter. ETA may extend the liquidation date upon written
request. Failure to comply with this assurance may result in disallowed
costs from audits or review findings.
Note. Travel costs for state agency personnel are considered
obligated when the travel is actually performed.
F. Assurance of Prohibition of Lobbying Costs (29 CFR Part 93). The
state assures and certifies that, in accordance with the DOL
Appropriations Act, no UI grant funds will be used to pay salaries or
expenses related to any activity designed to influence legislation or
appropriations pending before the Congress of the United States.
G. Drug-Free Workplace (29 CFR Part 98). The state assures and
certifies that it will comply with the requirements at this part. (29
CFR part 93)
H. Assurance of Disaster Recovery Capability. The state assures
that it will maintain a Disaster Recovery plan.
I. Assurance of Conformity and Compliance. The state assures that
the state law will conform to, and its administrative practice will
substantially comply with, all Federal UI law requirements, and that it
will adhere to DOL directives.
J. Assurance of Automated Information Systems Security. The state
assures that its automated information systems have security
protections commensurate with the risk and magnitude of harm.
K. Assurance of Confidentiality. The state will keep confidential
any business information, as defined at 29 CFR 90.33 and any successor
provision(s), it obtains or receives in the course of administering the
Trade Adjustment Assistance or Alternative Trade Adjustment Assistance
programs under this Agreement. The state shall not disclose such
information to any person, organization, or other entity except as
authorized by applicable state and Federal laws.
J. Temporary Assistance for Needy Families (TANF)
By signing the Unified Plan signature page, you are certifying
that:
[[Page 73756]]
1. During the fiscal year, the State will operate a child support
enforcement program under the State Plan approved under part D. (Sec.
402(a)(2).)
2. During the fiscal year, the State will operate a foster care and
adoption assistance program under the State Plan approved under part E,
and that the State will take such actions as are necessary to ensure
that children receiving assistance under such part are eligible for
medical assistance under the State Plan under title XIX. (Sec.
402(a)(3).)
3. Which State agency or agencies will administer and supervise the
TANF program for the fiscal year, which shall include assurances that
local governments and private sector organizations have been consulted
regarding the plan and design of welfare services in the State so that
services are provided in a manner appropriate to local populations; and
have had at least 45 days to submit comments on the Plan and the design
of such services. (Sec. 402(a)(4).)
4. That, during the fiscal year, the State will provide each member
of an Indian tribe, who is domiciled in the State and is not eligible
for assistance under a tribal family assistance plan approved under
section 412, with equitable access to Federally-funded assistance under
the State's TANF program (Sec. 402(a)(5).)
5. That the State has established and is enforcing standards and
procedures to ensure against program fraud and abuse, including
standards and procedures concerning nepotism, conflicts of interest
among individuals responsible for the administration and supervision of
the State program, kickbacks, and the use of political patronage.
(Sec. 402(a)(6).)
6. (Optional) that the State has established and is enforcing
standards and procedures to:
a. Screen and identify individuals receiving assistance under this
part with a history of domestic violence while maintaining the
confidentiality of such individuals;
b. Refer such individuals to counseling and supportive services;
and
c. Waive, pursuant to a determination of good cause, other program
requirements such as time limits (for so long as necessary) for
individuals receiving assistance, residency requirements, child support
cooperation requirements, and family cap provisions, in cases where
compliance with such requirements would make it more difficult for
individuals receiving assistance under this part to escape domestic
violence or unfairly penalize such individuals who are or have been
victimized by such violence, or individuals who are at risk of further
domestic violence. (Sec. 402(a)(7)(A)(i), (ii), (iii).)
K. Senior Community Service Employment Program (SCSEP)
By signing this Unified Plan you also certify that the State agrees
to meet the requirements of or submit the following documents as
applicable, in addition to the general ETA requirements for receipt of
Federal funds:
1. General Administrative Requirements:
a. 29 CFR part 97--Uniform Administrative Requirements for State
and Local Governments (as amended by the Act).
b. 29 CFR part 96 (as amended by OMB Circular A-133)--Single Audit
Act.
c. OMB Circular A-87--Cost Principles (as amended by the Act).
2. Assurances and Certifications:
a. SF 424--Application for Federal Assistance.
b. SF 424A--Budget Information--Non-construction Programs.
c. SF 424 B--Assurances for Non-construction Programs.
d. Hatch Act Notices must be placed in all work locations.
e. Privacy Statement must be provided to all participants.
f. ETA-8705--Equitable Distribution Report.
L. Community Services Block Grant (CSBG)
By signing the Unified Plan signature page, you are certifying
that:
1. Funds made available through the grant or allotment will be
used--
a. To support activities that are designed to assist low-income
families and individuals, including families and individuals receiving
assistance under part A of title IV of the Social Security Act (42
U.S.C. 601 et seq. ), homeless families and individuals, migrant or
seasonal farmworkers, and elderly low-income individuals and families,
and a description of how such activities will enable the families and
individuals:
b. To remove obstacles and solve problems that block the
achievement of self-sufficiency (including self-sufficiency for
families and individuals who are attempting to transition off a State
program carried out under part A of title IV of the Social Security
Act); to secure and retain meaningful employment;
c. To attain an adequate education, with particular attention
toward improving literacy skills of the low-income families in the
communities involved, which may include carrying out family literacy
initiatives;
d. To make better use of available income;
e. To obtain and maintain adequate housing and a suitable living
environment;
f. To obtain emergency assistance through loans, grants, or other
means to meet immediate and urgent family and individual needs; and to
achieve greater participation in the affairs of the communities
involved, including the development of public and private grassroots
partnerships with local law enforcement agencies, local housing
authorities, private foundations, and other public and private partners
to:
g. Document best practices based on successful grassroots
intervention in urban areas, to develop methodologies for widespread
replication; and strengthen and improve relationships with local law
enforcement agencies, which may include participation in activities
such as neighborhood or community policing efforts.
2. The needs of youth in low-income communities are being met
through youth development programs that support the primary role of the
family, give priority to the prevention of youth problems and crime,
and promote increased community coordination and collaboration in
meeting the needs of youth, and support development and expansion of
innovative community-based youth development programs that have
demonstrated success in preventing or reducing youth crime, such as--
a. Programs for the establishment of violence-free zones that would
involve youth development and intervention models (such as models
involving youth mediation, youth mentoring, life skills training, job
creation, and entrepreneurship programs); and
b. After-school child care programs. There is an effective use of,
and to coordinate, other programs related to the purposes of this
subtitle (including State welfare reform efforts).
3. There is an effective use of, and to coordinate with, other
programs related to the purposes of this subtitle (including State
welfare reform efforts).
4. A description is provided on how the State intends to use
discretionary funds made available from the remainder of the grant or
allotment described in section 675C(b) in accordance with this
subtitle, including a description of how the State will support
innovative community and neighborhood-based initiatives related to the
purposes of this subtitle.
5. Information is provided by eligible entities in the State,
containing--
a. A description of the service delivery system, for services
provided or coordinated with funds made available through grants made
under section
[[Page 73757]]
675C(a), targeted to low-income individuals and families in communities
within the State;
b. A description of how linkages will be developed to fill
identified gaps in the services, through the provision of information,
referrals, case management, and follow-up consultations;
c. A description of how funds made available through grants made
under section 675C(a) will be coordinated with other public and private
resources; and
d. A description of how the local entity will use the funds to
support innovative community and neighborhood-based initiatives related
to the purposes of this subtitle, which may include fatherhood
initiatives and other initiatives with the goal of strengthening
families and encouraging effective parenting.
6. Eligible entities in the State will provide, on an emergency
basis, for the provision of such supplies and services, nutritious
foods, and related services, as may be necessary to counteract
conditions of starvation and malnutrition among low-income individuals.
7. The State and the eligible entities in the State will
coordinate, and establish linkages between, governmental and other
social services programs to assure the effective delivery of such
services to low-income individuals and to avoid duplication of such
services, and a description of how the State and the eligible entities
will coordinate the provision of employment and training activities, as
defined in section 101 of such Act, in the State and in communities
with entities providing activities through statewide and local
workforce investment systems under the Workforce Investment Act of
1998.
8. The State will ensure coordination between antipoverty programs
in each community in the State, and ensure, where appropriate, that
emergency energy crisis intervention programs under title XXVI
(relating to low-income home energy assistance) are conducted in such
community.
9. The State will permit and cooperate with Federal investigations
undertaken in accordance with section 678D.
10. Any eligible entity in the State that received funding in the
previous fiscal year through a community services block grant made
under this subtitle will not have its funding terminated under this
subtitle, or reduced below the proportional share of funding the entity
received in the previous fiscal year unless, after providing notice and
an opportunity for a hearing on the record, the State determines that
cause exists for such termination or such reduction, subject to review
by the Secretary as provided in section 678C(b).
11. The State will require each eligible entity in the State to
establish procedures under which a low-income individual, community
organization, or religious organization, or representative of low-
income individuals that considers its organization, or low-income
individuals, to be inadequately represented on the board (or other
mechanism) of the eligible entity to petition for adequate
representation.
12. The State will secure from each eligible entity in the State,
as a condition to receipt of funding by the entity through a community
services block grant made under this subtitle for a program, a
community action plan (which shall be submitted to the Secretary, at
the request of the Secretary, with the State Plan) that includes a
community-needs assessment for the community served, which may be
coordinated with community-needs assessments conducted for other
programs.
13. The State and all eligible entities in the State will
participate in the Results Oriented Management and Accountability
System, another performance measure system for which the Secretary
facilitated development pursuant to Section 678E(b), or an alternative
system for measuring performance and results that meets the
requirements of that section, and a description of outcome measures to
be used to measure eligible entity performance in promoting self-
sufficiency, family stability, and community revitalization.
14. The information describing how the State will carry out the
assurances is described in this subsection.
M. OMB Burden Statement
These reporting instructions have been approved under the Paperwork
Reduction Act of 1995. Persons are not required to respond to this
collection of information unless it displays a valid OMB control
number. Public reporting burden for this collection of information
includes the time for reviewing instructions, searching existing data
sources, gathering and maintaining the data needed, and completing and
reviewing the collection of information. Submission is required by the
Workforce Investment Act section 112(a). Send comments regarding this
burden estimate or any other aspect of this collection of information,
including suggestions for reducing this burden, to the U.S. Department
of Labor, Office of Workforce Investment, Room S-4231, 200 Constitution
Ave., NW., Washington, DC 20210.
Attachment A
ETA REGIONAL ADMINISTRATORS
November 2008
REGION 1--BOSTON
Grace Kilbane, Regional Administrator, U.S. Department of Labor/ETA,
JFK Building, Room E-350, Boston, Massachusetts 02203, (617) 788-
0170, FAX: 617-788-0101, Kilbane.Grace@dol.gov.
REGION 2--PHILADELPHIA
Lenita Jacobs-Simmons, Regional Administrator, U.S. Department of
Labor/ETA, The Curtis Center, 170 South Independence Mall West,
Suite 825 East, Philadelphia, Pennsylvania 19106, (215) 861-5205,
FAX: 215-861-5260, Jacobs-Simmons.Lenita@dol.gov.
REGION 3--ATLANTA
Helen N. Parker, Regional Administrator, U.S. Department of Labor/
ETA, Sam Nunn Atlanta Federal Center Rm. 6M12, 61 Forsyth Street,
S.W., Atlanta, Georgia 30303, (404) 302-5300, FAX: (404) 302-5382,
Parker.Helen@dol.gov.
REGION 4--DALLAS
Joseph C. Juarez, Regional Administrator, U.S. Department of Labor/
ETA, A. Maceo Smith Fed. Bldg, Rm317, 525 Griffin Street, Dallas,
Texas 75202, (972) 850-4600, FAX: (972) 850-4605,
Juarez.Joseph@dol.gov.
REGION 5--CHICAGO
Byron Zuidema, Regional Administrator, U.S. Department of Labor/ETA,
John Kluczynski Building, 230 S. Dearborn Street, Rm. 638, Chicago,
Illinois 60604, (312) 596-5400, FAX: (312)596-5401,
Zuidema.Byron@dol.gov.
REGION 6--SAN FRANCISCO
Richard Trigg, Regional Administrator, U.S. Department of Labor/ETA,
George W. Bush Federal Building, 90 7th Street, Suite 17-300, San
Francisco, California 94103, (415) 625-7900, FAX: 415-625-7903,
Trigg.Richard@dol.gov.
Attachment B
1. Unified Plan Activities and Programs Checklist
Under section 501 of the Workforce Investment Act, the following
activities or programs may be included in a State's Unified Plan.
From the list below, please place a check beside the programs and
activities the State or Commonwealth is including in this Unified
Plan.
The State Unified Plan shall cover one or more of the following
programs and activities:
---- a. Secondary vocational education programs (Perkins IV/
Secondary). Note that inclusion of this program requires prior
approval of State legislature. (Carl D. Perkins Career and Technical
Education Act of 2006 (20 U.S.C. 2301 et seq.)
----b. Postsecondary vocational education programs (Perkins IV/
Postsecondary). Note that for the purposes of what the State Unified
Plan shall cover, Perkins IV/Secondary and Perkins IV/Postsecondary
count as one program. (Carl D. Perkins
[[Page 73758]]
Career and Technical Education Act of 2006 (20 U.S.C. 2301 et seq.))
----c. Activities authorized under title I, Workforce Investment
Systems (Workforce Investment Activities for Adults, Dislocated
Workers and Youth, or WIA title I, and the Wagner-Peyser Act)
(Workforce Investment Act of 1998 (29 U.S.C. 2801 et seq.))
----d. Activities authorized under title II, Adult Education and
Family Literacy (Adult Education and Family Literacy Programs)
(Workforce Investment Act of 1998 (20 U.S.C. 9201 et seq.))
The State Unified Plan may cover one or more of the following
programs and activities:
----a. Food Stamp Employment and Training Program, or FSET (7 U.S.C.
2015(d))
----b. Activities authorized under chapter 2 of title II of the
Trade Act of 1974 (Trade Act Programs) (19 U.S.C. 2271 et seq.)
----c. Programs authorized under Part B of title I of the
Rehabilitation Act of 1973 (29 U.S.C. 720 et seq.), other than
section 112 of such Act (29 U.S.C. 732) (Vocational Rehabilitation)
----d. Activities authorized under chapters 41 & 42 of Title 38,
USC, and 20 CFR 1001 and 1005 (Veterans Programs, including Veterans
Employment, Disabled Veterans' Outreach Program, and Local Veterans'
Employment Representative Program)
----e. Programs authorized under State unemployment compensation
laws (Unemployment Insurance) (in accordance with applicable Federal
law which is authorized under title III, title IX and Title XII of
the Social Security Act and the Federal Unemployment Tax Act)
----f. Programs authorized under part A of title IV of the Social
Security Act (Temporary Assistance for Needy Families (TANF)).
----g. Programs authorized under title V of the Older Americans Act
of 1965 (Senior Community Service Employment Program (SCSEP).) (42
U.S.C. 3056 et seq.)
----h. Training activities funded by the Department of Housing and
Urban Development under the Community Development Block Grants
(CDBG) and Public Housing Programs). Note that programs funded by
the CDBG and Public Housing programs can only be included in the
State Unified Plan if the State is the funds recipient, and approval
of the Unified Plan will not trigger funding for these programs.
----i. Community Development Block Grants
----j. Public Housing
----k. Programs authorized under the Community Services Block Grant
Act (Community Services Block Grant, or CSBG) (42 U.S.C. 9901 et
seq.)
2. Contact Information
Please complete one copy for EACH of the separate activities and
programs included in the State Unified Plan.
Program:---------------------------------------------------------------
State Name for Program/Activity:
-----------------------------------------------------------------------
Name of Grant Recipient Agency for Program/Activity:
-----------------------------------------------------------------------
Address:---------------------------------------------------------------
Telephone Number:------------------------------------------------------
Facsimile Number:------------------------------------------------------
E-mail Address:--------------------------------------------------------
Name of State Administrative Agency (if different from the Grant
Recipient):
-----------------------------------------------------------------------
Address:---------------------------------------------------------------
Telephone Number:------------------------------------------------------
Facsimile Number:------------------------------------------------------
E-mail Address:--------------------------------------------------------
Name of Signatory Official:
-----------------------------------------------------------------------
Address:---------------------------------------------------------------
Telephone Number:------------------------------------------------------
Facsimile Number:------------------------------------------------------
E-mail Address:--------------------------------------------------------
Name of Liaison:-------------------------------------------------------
Address:---------------------------------------------------------------
Telephone Number:------------------------------------------------------
Facsimile Number:------------------------------------------------------
E-mail Address:--------------------------------------------------------
3. Plan Signature(s)
Governor (if Applicable)
As the Governor, I certify that for the State/Commonwealth of --
----------, for those activities and programs included in this Plan
that are under my jurisdiction, the agencies and officials
designated above under ``Contact Information'' have been duly
designated to represent the State/Commonwealth in the capacities
indicated for the programs and activities indicated. I will provide
subsequent changes in the designation of officials to the designated
program or activity contact as such changes occur.
I further certify that, for those activities and programs
included in this Plan that are under my jurisdiction, we will
operate the workforce development programs included in this Unified
Plan in accordance with this Unified Plan and the assurances
described in Section III of this Unified Plan.
-----------------------------------------------------------------------
Typed Name and Signature of Governor
Date-------------------------------------------------------------------
Responsible State Official for Eligible Agency for Career and Technical
Education (if Applicable)
I certify that for the State/Commonwealth of ------------, for
those activities and programs included in this Plan that are under
my jurisdiction, the agencies and officials designated above under
``Contact Information'' have been duly designated to represent the
State/Commonwealth in the capacities indicated for the programs and
activities indicated. I will provide subsequent changes in the
designation of officials to the designated program or activity
contact as such changes occur.
I further certify that, for those activities and programs
included in this Plan that are under my jurisdiction, we will
operate the programs included in this Unified Plan in accordance
with this Unified Plan and the applicable assurances described in
Section III of this Unified Plan.
-----------------------------------------------------------------------
Typed Name, Title, and Agency of Responsible State Official for
Career and Technical Education
Signature--------------------------------------------------------------
Date-------------------------------------------------------------------
Responsible State Official for Eligible Agency for Vocational
Rehabilitation (if Applicable)
I certify that for the State/Commonwealth of ------------, for
those activities and programs included in this Plan that are under
my jurisdiction, the agencies and officials designated above under
``Contact Information'' have been duly designated to represent the
State/Commonwealth in the capacities indicated for the programs and
activities indicated. I will provide subsequent changes in the
designation of officials to the designated program or activity
contact as such changes occur.
I further certify that we will operate those activities and
programs included in this Unified Plan that are under my
jurisdiction in accordance with this Unified Plan and the assurances
described in Section III of this Unified Plan.
-----------------------------------------------------------------------
Typed Name, Title, and Agency of Responsible State Official for
Vocational Rehabilitation
Signature--------------------------------------------------------------
Date-------------------------------------------------------------------
Responsible State Official for Eligible Agency for Adult Education (if
applicable)
I certify that for the State/Commonwealth of ------------, for
those activities and programs included in this Plan that are under
my jurisdiction, the agencies and officials designated above under
``Contact Information'' have been duly designated to represent the
State/Commonwealth in the capacities indicated for the programs and
activities indicated. I will provide subsequent changes in the
designation of officials to the designated program or activity
contact as such changes occur.
I further certify that, for those activities and programs
included in this Plan that are under my jurisdiction, we will
operate the programs included in this Unified Plan in accordance
with this Unified Plan and the applicable assurances described in
Section III of this Unified Plan.
-----------------------------------------------------------------------
Typed Name, Title, and Agency of Responsible State Official for
Adult Education
Signature--------------------------------------------------------------
Date-------------------------------------------------------------------
Attachment C
[[Page 73759]]
Optional Table for WIA State Performance Indicators and Goals
------------------------------------------------------------------------
Previous year Performance
WIA requirement at section 136(b) performance goal
------------------------------------------------------------------------
Adults:
Entered Employment Rate.........
Employment Retention Rate.......
Average Six-Months Earnings.....
Certificate Rate................
Dislocated Workers:
Entered Employment Rate.........
Employment Retention Rate.......
Average Six-Months Earnings.....
Certificate Rate................
Youth Aged 19-21:
Entered Employment Rate.........
Employment Retention Rate.......
Six-Months Earnings Change......
Certificate Rate................
Youth 14-18:
Skill Attainment Rate...........
Diploma or Equivalent Attainment
Rate...........................
Retention Rate..................
Youth Common Measures: \1\
Placement in Employment or
Education......................
Attainment of a Degree or
Certificate....................
Literacy and Numeracy Gains.....
Participant Customer Satisfaction...
Employer Customer Satisfaction......
Additional State-Established
Measures ..........................
------------------------------------------------------------------------
\1\ Goals are negotiated for these measures by states reporting common
performance measure outcomes only.
Dated: November 24, 2008.
Gay M. Gilbert,
Administrator, Office of Workforce Investment, Employment and Training
Administration.
[FR Doc. E8-28406 Filed 12-2-08; 8:45 am]
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