Workforce Investment Act: Revisions to the Workforce Investment Act Title I, Wagner Peyser Act and the Senior Community Service Employment Program Unified Planning Guidance; Notice, 19222-19252 [05-7175]
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Federal Register / Vol. 70, No. 69 / Tuesday, April 12, 2005 / Notices
DEPARTMENT OF LABOR
Employment and Training
Administration
Workforce Investment Act: Revisions
to the Workforce Investment Act Title
I, Wagner Peyser Act and the Senior
Community Service Employment
Program Unified Planning Guidance;
Notice
Employment and Training
Administration, Department of Labor.
ACTION: Notice.
AGENCY:
SUMMARY: The purpose of this notice is
to provide interested parties with the
revisions to portions of the ‘‘Workforce
Investment Act: Final Unified Planning
Guidance: Notice’’ related to title I of
the Workforce Investment Act of 1998,
the Wagner Peyser Act and the Senior
Community Service Employment
Program (SCSEP) under title V of the
Older Americans Act, for use by States.
The Department is anticipating the
reauthorization of the Workforce
Investment Act (WIA) within the next
two years. Therefore, the Employment
and Training Administration (ETA) is
requiring revisions to the Unified Plan
related to WIA and Wagner-Peyser only
for the first two years of the five-year
planning cycle. For SCSEP, States have
the option of submitting a two year plan
as well. ‘‘Options for programs funded
by the U.S. Department of Education
that are included in a State’s Five-year
Strategic Unified Plan also are discussed
in this notice.’’
The Unified Planning Guidance and
Instructions provide 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 Avenue,
NW., Room S4231, Washington, DC
20210. Telephone: (202) 693–3980
(voice) (This is not a toll free number)
or (202) 693–7755 (TTY). Information
may also be found at the Web site—
https://www.doleta.gov/usworkforce.
DATES: The effective date of this
document is April 12, 2005. Due date
for Plan submission is May 31, 2005.
SUPPLEMENTARY INFORMATION: The
Workforce Investment Act (WIA or Act),
Pub. L. 105–220 (August 7, 1998)
provides the framework for a reformed
public workforce investment system
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designed to meet the needs of the
nation’s employers, job seekers and
those who want to further their careers.
This document updates the DOL
provisions of the interagency planning
guidelines for the State Unified Plans
under sec. 501 of the Act, to provide
guidance for states which choose to
submit a Unified Plan to meet the WIA
title I State Plan requirements for PY
2005 and 2006. Options for programs
funded by the U.S. Department of
Education that are included in a State’s
Five-year Strategic Unified Plan also are
discussed in this notice.
In the context of the 21st century
innovation economy, the public
workforce investment system has a
critical role to play at every level—local,
State, and Federal—to ensure a skilled
and competitive workforce. To
effectively drive the economic growth of
our communities and the nation and to
provide the workers of this country with
the right skills and opportunities for
good jobs with good pay and career
pathways, the public investments in
workforce development need to be
strategic. Strategies for investment need
to embrace new methods of engagement
with strategic partners as well as new
service delivery paradigms that address
the ever-changing economy and labor
market. Innovation and technology are
continuously changing the nature of
work at an accelerated pace. Therefore,
the strategic planning process for
workforce investment must be dynamic,
fluid, and future oriented.
The Workforce Investment Act (WIA)
of 1998 created dramatic changes to the
workforce system. With the overarching
goal to streamline, consolidate, and
integrate a wide array of employment
and training programs, system changes
spanned every facet of operation
including governance, administration
and funding, and service delivery. The
vision is for an integrated workforce
investment system better able to
respond to the needs of its customers.
The framework of the Workforce
Investment Act embodies principles that
remain critical to the strategic planning
process in today’s economy.
Since the passage of WIA, the
workforce investment system broadly
has made great strides in implementing
the principles described above.
However, there remains significant
opportunity for States and local areas to
utilize the framework of WIA to realize
the vision these principles reflect. The
changes in the WIA State Planning
process reflected in this document are
intended to facilitate a realization of
that vision as well as to set the stage for
the planning process in the context of
the 21st century economy.
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The Department of Labor sees as one
of its primary roles providing leadership
and guidance to support a system that
meets the objectives of Title I of WIA,
and in which State and local partners
have flexibility to design systems and
deliver services in a manner designed to
achieve the goals for WIA based on their
particular needs. In the context of the
21st century innovation economy, the
workforce investment system has a
critical role to play at every level—local,
State, and Federal—to ensure a skilled
and competitive workforce. To
effectively drive the economic growth of
our communities and the nation and to
provide the workers of this country with
the right skills and opportunities for
good jobs with good pay and career
pathways, the public investments in
workforce development need to be
strategic. Strategies for investment need
to embrace new methods of engagement
with strategic partners as well as new
service delivery paradigms that address
the ever-changing economy and labor
market. Innovation and technology are
continuously changing the nature of
work at an accelerated pace. Therefore,
the strategic planning process for
workforce investment must be dynamic,
fluid, and future oriented.
Signed at Washington, DC, this 5th day of
April, 2005.
Emily Stover DeRocco,
Assistant Secretary of Labor, Employment
and Training Administration.
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. Modifications to State Plan
H. Inquiries
Part II. National Strategic Direction
A. Vision and Goals related to WIA Title
I and Wagner Peyser
B. Demand-driven Workforce Investment
System
C. System Reform and Increased Focus on
Training
D. Enhanced Integration through One-Stop
Delivery System
E. New Vision for Serving Youth Most In
Need
F. A Stronger Workforce Information
System
G. Effective Utilization of Faith-based and
Community Based Organizations
H. Increased Use of Flexibility Provisions
in WIA
I. Performance Accountability and
Implementation of Common Performance
Measures
Part III. United Planning Instructions
A. State Vision and Priorities
B. One-Stop Delivery System
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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
B. Unified Plan Activities and Program
Checklist
State Unified Plan Planning Guidance
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 SCSEP portions
of the Unified Plan. Options for
programs funded by the U.S.
Department of Education that are
included in a State’s Five-year Strategic
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. Therefore, States that choose to
update the WIA/Wagner Peyser and/or
SCSEP portions of a Unified Plan need
only submit the updated Plan meeting
the WIA/Wagner Peyser and/or SCSEP
requirements of this document. States
that choose to submit a new Unified
Plan for PYs 2005–2007 for programs
other than SCSEP, title I of WIA and the
Wagner Peyser Act, will continue to use
the guidance and instructions contained
in this document, which have not been
revised.
An approved Workforce Investment
Plan is required in order for States to
receive formula allotments under WIA
title I and the Wagner Peyser Act. The
current Workforce Investment Plans
expire June 30, 2005. The Department of
Labor is anticipating the reauthorization
of WIA within the next two years. To
meet the requirements of WIA and
Wagner Peyser that States must have
approved Plans in place to receive
allotments, the Employment and
Training Administration (ETA) is
requiring States to only develop a Plan
for the first two years of the five-year
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strategic planning cycle. This will allow
States to strategically approach their
workforce investment policies for the
immediate future, without requiring a
full five-year unified plan, in light of the
anticipated reauthorization of WIA.
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.
Options for programs funded by the
U.S. Department of Education. With
respect to the programs originally
authorized by the Carl D. Perkins
Vocational and Technical Education Act
of 1998 (Perkins III) and the Adult
Education and Family Literacy Act
(AEFLA), the U.S. Department of
Education already has issued guidance
to States that discusses the option of
extending the existing State plans with
certain necessary revisions. This option
of extending the existing plan applies as
well to any subsections of a unified
State plan that are related to programs
under either Perkins III or 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 15, 2005, for
Perkins III programs and April 1, 2005,
for AEFLA programs. See Program
Memorandum OVAE/DHSPCE FY
2005–03, Guidance for Submission of
State Plan Revisions, Budgets, and
Proposed Performance Levels for
Perkins Grant Awards (OMB Control
number 1830–0556), dated January 14,
2005, at the following Web site: https://
www.ed.gov/policy/sectech/guid/cte/
memo011405.doc See also 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 abovereferenced guidance. However, any
State that chooses to submit new
subsections related to the Perkins III or
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. With
respect to the Perkins III programs, for
example, these requirements include
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State consultation of required parties
and entities, public hearings, and
adoption of the new State plan by the
eligible agency, i.e., the State board that
is the sole State agency responsible for
the administration, or the supervision of
the administration, of the State’s
vocational and technical education
program. With respect to the AEFLA
program, for example, these
requirements include conducting a
needs assessment.
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, userfriendly services; and are accountable to
the customers and the public. Only
provisions related to the SCSEP, WIA
title I and Wagner Peyser Act Plan have
been changed. The Unified Plan
requirements for other programs remain
the same as those outlined in the
January 14, 2000 version of this
document (65 Federal Register 2464).
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 Vocational Education
programs (Perkins III/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: Jennifer Brianas: 202–245–7808
(phone); 202–245–7837 (fax); (E-mail:
Jennifer.brianas@ed.gov).
• Postsecondary Vocational
Education programs (Perkins III/
Postsecondary) Administered by
Department of Education, Office of
Vocational and Adult Education. Staff
Contact: Jennifer Brianas: 202–245–7808
(phone); 202–245–7837 (fax); (E-mail:
Jennifer.brianas@ed.gov).
• Tech-Prep Education (Title II of
Perkins III) Administered by
Department of Education, Office of
Vocational and Adult Education. Staff
Contact: Jennifer Brianas: 202–245–7808
(phone); 202–245–7837 (fax); (E-mail:
Jennifer.brianas@ed.gov).
• Activities authorized under title I,
Workforce Investment Systems
(Workforce Investment Activities for
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Adults, Dislocated Workers and Youth,
or WIA title I) Administered by
Department of Labor, Employment and
Training Administration. Staff Contact:
Christine D. Kulick: 202–693–3045
(phone); 202–693–3015 (fax); (E-mail:
kulick.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: Jennifer Brianas: 202–245–7808
(phone); 202–245–7837 (fax); (E-mail:
Jennifer.brianas@ed.gov).
• Food Stamp Employment and
Training Program, or 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:
Stephanie Cabell: 202–693–2784
(phone); 202–693–3015 (fax); (E-mail:
cabell.stephanie@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
Abbott: 202–245–7251 (phone); 202–
245–7590 (fax); (E-mail:
jerry.abbott@ed.gov)
• Programs authorized under chapters
41 and 42 of title 38, U.S.C., 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: Pamela Langley: 202–693–4708
(phone); 202–693–4755 (fax); (E-mail:
langley.pamela@dol.gov).
• Programs authorized under State
unemployment compensation laws
(Unemployment Insurance)
Administered by Department of Labor,
Employment and Training
Administration. Staff Contacts: William
Coyne; 202–693–3202 (phone); 202–
693–3975 (fax); (E-mail:
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coyne.william@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);
202–205–5887 (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: RiaMoore Benedict: 202–693–3198 (phone);
202–693–3817 (fax); (E-mail:
benedict.ria@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: Christopher Lord: 202–708–
1506; Fax: 202–708–2706 (E-mail:
Christopher_D._Lord@hud.gov).
• Programs authorized under the
Community Services Block Grant Act
(Community Services Block Grant, or
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 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 final 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 final
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 final
guidance includes references to HUD
customers and services, as well as local
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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. Submission—Time 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 Workforce
Investment Plan for Program Year 2005
and 2006. Due to the uncertainty
relating to possible reauthorization of
WIA, the Federal Government is only
requiring the submission of the first two
program years of the WIA/Wagner
Peyser portion of the five-year Unified
Plan. The due date for submission of a
Unified Plan covering the first two-year
period (July 1, 2005 through June 30,
2007) is Tuesday, May 31, 2005.
A State’s request to extend
subsections of a unified plan related to
programs under either Perkins III or
AEFLA must be submitted directly to
the U.S. Department of Education and is
due April 15, 2005, for Perkins III
programs and April 1, 2005, for AEFLA
programs. See Program Memorandum
OVAE/DHSPCE FY 2005–03, Guidance
for Submission of State Plan Revisions,
Budgets, and Proposed Performance
Levels for Perkins Grant Awards (OMB
Control number 1830–0556), dated
January 14, 2005, at the following Web
site: https://www.ed.gov/policy/sectech/
guid/cte/memo011405.doc. See also
Guide for the Development of a State
Plan under the Adult Education and
Family Literacy Act (OMB Control
number 1830–0026).
To reduce the reporting and
processing burden, States have the
option of submitting their WIA/WagnerPeyser or SCESP 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 Christine Kulick,
e-mail: kulick.christine@dol.gov; phone:
202–693–3045. Her postal address is:
Division of One-Stop Operations,
Employment and Training
Administration, U.S. Department of
Labor, 200 Constitution Ave., NW.,
Room S–4231, Washington, DC 20210,
ATTN: Ms. Christine Kulick.
States are encouraged to send a single
copy to WIA.PLAN@DOL.GOV (which is
managed by the Federal Coordinator) or
directly to the Federal Coordinator who
will be responsible for distributing the
Plan to each Federal agency whose
programs are included in the Unified
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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
grants prior approval. The Federal
Coordinator will ensure that Federal
agencies whose programs are included
in the Unified Plan, and the appropriate
DOL Regional Office, receive the
relevant information: the URL and the
location of the document on the Web
site; the contact information; and a copy
of the statement certifying that there
will be no changes.
Transmitting Unified Plans by
electronic mail. Any State submitting its
Plan by electronic mail should send it
to WIA.PLAN@DOL.GOV. The Federal
Coordinator, who manages this site, 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.
Other considerations when using
electronic submission. Unified Plan
certifications with electronic signatures
are acceptable. If a State chooses not to
use an electronic signature, then the
signature page must be submitted in
hard copy. 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.
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 Christine
Kulick, the Federal Coordinator for Plan
2. Submission Options—Electronic, CD– Review and Approval (the address is
ROM or Hard Copy Format
provided above). The Federal
Coordinator will ensure that Federal
States have the option to submit
agencies whose programs are included
Unified Plans in an electronic, hard
in the Unified Plan, and the appropriate
copy, or CD–ROM format. The Federal
DOL Regional Office, receive copies of
Government is encouraging States to
the Plan.
submit Unified Plans in electronic
States submitting a Unified Plan on
format to reduce the reporting and
CD–ROM should submit one copy of the
process burden and to ensure timely
Plan to Christine Kulick, the Federal
receipt by each Federal agency whose
Coordinator for Plan Review and
programs are included in the Unified
Approval. The Federal Coordinator will
Plan.
ensure that Federal agencies whose
Electronic submission. States can
programs are included in the Unified
submit a Unified Plan electronically
Plan, and the appropriate DOL Regional
either by posting it on an Internet Web
Office, receive copies of the Plan. If the
site that is accessible to the Department
Plan on the CD–ROM does not include
or by transmitting it through electronic
the signature of the Governor on the
mail to the Department.
signature page, the State must submit
Posting Unified Plans on an Internet
Web site. Under this option, a State need separately an electronic signature or a
signature page in hard copy. Plans
only post its Plan on an Internet Web
submitted on a CD–ROM must be in
site; inform the Federal Coordinator
Microsoft Word or PDF format.
through electronic mail of the URL and
Plan. The Federal Coordinator will also
provide a copy of the Plan to the
appropriate Department of Labor (DOL)
Regional Office.
States have the option, however, of
submitting their Unified Plans directly
to each Federal Department whose
programs are included in the Unified
Plan, except for Perkins III and 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 Postsecondary
Vocational 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. Electronic mail addresses for
the Departmental Contacts are as
follows:
Department of Labor:
kulick.christine@dol.gov
Department of Education:
jerry.abbott@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:
Christopher_D._Lord@hud.gov
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It is important that States recognize
that mail security requirements
implemented by the U.S. Postal Service
can result in delays in delivery of Plans
whereas Federal Express and United
Parcel Service deliveries have not been
impacted.
States are encouraged to include a
table of contents at the beginning of its
State Unified Plan. This will facilitate
access by the public to its component
parts and aid the Federal Government in
its review of the Unified Plan. States
submitting a hard copy of their Plan are
encouraged to provide an unbound copy
to facilitate duplication.
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.
However, for Unified Plans that are
submitted by May 31, 2005, for the twoyear planning period, July 1, 2005
through June 30, 2007, the Department
of Labor is committed to completing its
review of those portions of the Unified
Plan related to WIA/W–P and SCSEP
within 30 days, to allow States
additional time to prepare the Plan.
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 Unified Plan, and clearly indicate
the reasons for disapproval and specify
what additional information is required
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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 your State
Unified Plan. These forms are available
for electronic download, along with this
entire guidance, at https://
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 your
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 your 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 your State Unified Plan. Use
of this specific format is optional, but
the wording on your 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 your
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 your
State’s Unified Plan.
G. Modifications
Modifications may be needed in any
number of areas to keep the Unified
Plan a viable, living document over its
two-year life. WIA regulations permit
states to modify their state workforce
investment plan at any time. 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.
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, or to appropriate
Federal agency, in accordance with the
procedures of the affected agency. Prior
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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 or
to revise a plan to reflect newly
negotiated performance levels.
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
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.
H. Inquiries
General inquiries about the State
Unified Plan process may be directed to
the Federal Coordinator for Plan Review
and Approval. The electronic mail
address for the Federal Coordinator
(Christine Kulick) is
kulick.christine@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.
II. National Strategic Direction
A. Vision and Goals Related to WIA
Title I and Wagner Peyser
1. The purpose of this portion of this
WIA and Wagner Peyser Unified
Planning Guidance is to communicate
national direction and strategic
priorities for the workforce investment
system. Broadly, the Federal goals for
the workforce investment system for
this planning cycle include:
a. Realizing the reforms envisioned by
the Workforce Investment Act
including:
i. Integrated, seamless service delivery
through comprehensive One-Stop
Career Centers;
ii. A demand-driven workforce system
governed by business-led Workforce
Investment Boards;
iii. Maximum flexibility in tailoring
service delivery and making strategic
investment in workforce development
activities to meet the needs of State and
local economies and labor markets;
iv. Customers making informed
choices based on quality workforce
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information and accessing quality
training providers;
v. Increased fiscal and performance
accountability; and
vi. A youth program targeting out-ofschool populations with increased
accountability for employment and/or
increased secondary and post-secondary
education outcomes.
b. Incorporating new statutory and
regulatory program requirements that
have evolved since the passage of WIA,
such as priority of service for veterans
as prescribed by the Jobs for Veterans
Act (Pub. L. 107–288), (38 U.S.C. 4215).
c. Providing the national strategic
priorities and direction in the following
areas:
i. Implementation of a demand-driven
workforce system;
ii. System reform to eliminate
duplicative administrative costs and to
enable increased training investments;
iii. Enhanced integration of service
delivery through One-Stop delivery
systems nationwide;
iv. A refocusing of the WIA youth
investments on out-of-school youth
populations, collaborative service
delivery across Federal programs, and
increased accountability;
v. Improved development and
delivery of workforce information to
support Workforce Investment Boards in
their strategic planning and
investments; providing tools and
products that support business growth
and economic development; and
providing quality career guidance
directly to students and job seekers and
their counselors through One-Stop
Career Centers;
vi. Faith-based and community-based
organizations playing an enhanced role
in workforce development;
vii. Enhanced use of waivers and
workflex provisions in WIA to provide
greater flexibility to States and local
areas in structuring their workforce
investment systems; and
viii. Reporting against common
performance measures across Federal
employment and training programs.
B. Demand-Driven Workforce
Investment System
1. The realities of today’s global
economy make it imperative that the
public workforce investment system be
demand-driven, providing services that
prepare workers to take advantage of
new and increasing job opportunities in
high growth/high demand and
economically vital industries and
sectors of the American economy. The
foundation of this effort is partnerships
that include the workforce system,
business and industry, and education
and training providers, that develop and
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implement a strategic vision for
economic development. Becoming
demand-driven represents a major
transformation of this system, which, for
40 years, has been primarily framed
around individuals needs for service
rather than focusing on both the needs
of job seekers and the business
community.
2. To be successful, the workforce
investment system must begin today to
prepare the workforce of tomorrow.
Each year, the United States invests
approximately $15 billion into the
workforce system. To ensure that this
large investment is used effectively, it is
imperative that all of the components of
the workforce system at the national,
State, and local levels become demanddriven and contribute to the economic
well-being of communities and the
nation by developing a qualified and
competitive workforce. Current job
opportunities must be known as well as
where the good jobs will be in the future
by (1) identifying the workforce needs
in high-growth, high-demand and
economically critical industries and the
necessary preparation required to
succeed in those occupations and (2)
understanding the workforce challenges
that must be addressed to ensure a
prepared and competitive workforce.
This requires all of the key players in
the State and local system, including
Governors and Local Elected Officials,
State and Local Workforce Investment
Boards (WIBs), State Workforce
Agencies, and One-Stop Career Centers
to:
a. Have a firm grasp of their State and
local economies;
b. Strategically invest and leverage
their resources;
c. Build partnerships between
industry leaders and educational
institutions that develop solutions to
workforce challenges; and
d. Allocate training dollars to provide
the skills and competencies necessary to
support industry now and in the future.
3. The workforce investment system is
a catalyst that links employers,
economic development organizations,
public agencies, and the education
community to build and deliver
innovative answers to workforce
challenges.
4. Development of a demand driven
strategic plan requires utilizing
economic information and analysis to
drive strategic investments, identifying
strategic partners, and designing
effective service delivery systems. Some
of the important elements of a demanddriven strategic plan include the
following:
a. Economic analysis is a fundamental
starting point for a demand-driven
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approach to workforce investment. A
wide array of workforce information and
data, including economic indicators,
labor market information, census data,
educational data, transactional data,
projections and data from the private
sector, and one-on-one interviews with
businesses needs to be collected and
analyzed.
b. Workforce strategies that target
industries that are high growth, high
demand and critical to the State and/or
local economy are most likely to
support economic growth and provide
individuals with the opportunities to get
good jobs with good pay and career
pathways.
c. Strategic partnerships among the
workforce investment system, targeted
businesses and industries, economic
development agencies, and education
and training providers (including K–12)
provide a strong foundation for
identifying workforce challenges and
developing and implementing
innovative workforce solutions focused
on a workforce with the right skills. The
workforce system must be the catalyst
for bringing these target partnerships
together.
d. A solutions-based approach that
brings the right strategic partners and
resources to the table promotes a
comprehensive analysis of workforce
challenges and also provides the
synergy for successful, innovative
workforce solutions and the opportunity
to effectively leverage workforce
investment resources.
e. A demand-driven workforce
investment system ensures that the full
array of assets available through the
One-Stop delivery system is available to
support individual workers as well as to
provide solutions to workforce issues
identified by business and industry.
f. Translating the demand for workers
with the skills businesses need into
demand-driven career guidance must be
one of the human resource solutions
provided broadly by the workforce
investment system.
5. The WIA and Wagner Peyser
related Unified Planning guidance
includes new language in support of
these principles which offers States an
opportunity, in the context of the State
Planning process, to formally articulate
demand-driven goals and strategies
tailored to the unique needs of the State.
C. System Reform and Increased Focus
on Training
1. Workforce training is one of the
major areas in which the President is
focusing reform efforts. In April 2004,
he challenged the workforce investment
system at the State and local levels to
eliminate unnecessary overhead costs
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and simplify administration in order to
preserve more resources for training.
The system currently spends
approximately 30% of appropriated
funds each year on infrastructure and
‘‘other’’ costs as currently reported by
States as part of their routine reporting
under WIA. Some of these funds are
wisely spent, but clearly more can be
made available for training. The
President has called for the system to
double the number of individuals
trained under major WIA grant
programs. Through WIA
reauthorization, additional reforms in
support of these goals are anticipated.
2. The WIA State Plan provides States
with a platform to promote greater
efficiencies in the workforce system by
articulating administrative policies for
State and local governance processes.
The State has multiple vehicles to
increase consolidation and integration
of the infrastructure through policies,
required practices, provision of
technical assistance and monitoring.
The State also can articulate its goals for
expenditures of resources for training in
industries and occupations critical to
the State’s economy.
D. Enhanced Integration Through OneStop Delivery System
1. One of the primary expectations of
the workforce system under the WIA
statutory framework is a seamless,
integrated One-Stop delivery system.
The expectation for an integrated
service delivery system remains firmly
embedded as a key principle of a
demand-driven workforce system.
2. The goal of integration is to ensure
that the full spectrum of community
assets is used in the service delivery
system, and to support human capital
solutions for businesses, industry and
individual customers. Different
programs fund different types of
services and serve different populations.
These unique program features in the
system provide both breadth and depth
to the human capital solutions offered to
businesses and industry. However, the
assets go beyond program funding, and
without integration of those assets, the
system limits its impact and success.
3. The workforce system has had a
vision of integration for over a decade,
supported with the Federal investment
in One-Stop Centers in the mid-1990s
and later realized in statute with the
passage of WIA. Despite many efforts,
the vision of seamless, integrated
service delivery remains unrealized in
many areas. It is still all too common to
visit local areas across the nation and
find a One-Stop office within blocks of
a separate ‘‘job service’’ or ‘‘affiliate’’
office or a comprehensive One-Stop
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Center where programs are co-located,
but with little integration. In addition,
there is often a lack of consistency in
policy and service delivery across
workforce investment areas within a
State, which causes customer confusion
and frustration. While there are real
challenges to achieving the vision of
integration, it is a vision that can be
realized. Due to strong leadership,
creativity, and hard work at the State
and local levels, a number of One-Stop
Centers have overcome turf issues and
administrative challenges to offer
integrated service delivery.
4. Strong State leadership has been
identified as one of the key success
factors in achieving integration in OneStop Centers. The WIA State Planning
process offers a unique opportunity for
the Governor and the State Workforce
Investment Board to clearly articulate
the State’s goals for integration and to
help remove any barriers. The
Employment and Training
Administration (ETA) is committed to
working with States to support
integration efforts.
E. New Vision for Serving Youth Most In
Need
1. The Administration is committed to
trying bold, innovative and flexible
initiatives to prepare the most at-risk
and neediest youth for jobs in our
changing economy. ETA, in
collaboration with the Departments of
Education, Health and Human Services,
and Justice, has developed a new
strategic vision to more effectively and
efficiently serve out-of-school and those
at risk of dropping out-of-school
(Training and Employment Guidance
Notice No. 3–04). Regional Youth
Forums were conducted in the fall of
2004 that brought together State youth
leaders to develop similar partnerships
at the State level, and to begin to
develop a common vision and action
plan for implementing cross-agency
State approaches for serving the
neediest youth.
2. Out-of-school youth (and those
most at risk of dropping out) are an
important part of the new workforce
supply pipeline needed by businesses to
fill job vacancies in a knowledge-based
economy. WIA-funded youth programs
should connect these youth with quality
secondary and post-secondary
educational opportunities and highgrowth and other employment
opportunities.
3. ETA’s new vision for serving youth
will present challenges for how State
and local WIA programs interact and
link with State and local education and
economic development systems. To
achieve this vision, States should
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consider this new strategic approach
and associated goals across four major
areas:
a. Alternative Education—Goal:
Provide leadership to ensure that youth
served in alternative education
programs will receive a high quality
education that adheres to the State
standards developed in response to the
No Child Left Behind (NCLB)
legislation.
b. Demand of Business—Goal: The
investment of WIA youth resources will
be demand-driven, assuring that youth
obtain the skills needed by businesses
so that they can succeed in the 21st
century economy.
c. Neediest Youth—Goal: Investments
will be prioritized to serve youth most
in need including out-of-school youth
(and those at risk of dropping out of
school), youth in foster care, those aging
out of foster care, youth offenders,
children of incarcerated parents,
homeless youth, and migrant and
seasonal farmworker youth.
d. Improved Performance—Goal: Key
initiatives will be implemented to
assure that programs are performancebased and focused on outcomes.
4. ETA has developed strategic
partnerships at the Federal level with
the Department of Education’s Office of
Vocational and Adult Education, the
Department of Health and Human
Services’ Administration for Children
and Families, and the Department of
Justice’s Office of Juvenile Justice and
Delinquency Prevention. Through the
State Planning process, Governors have
the opportunity to promote strategic
partnerships across State agencies
serving youth to enhance service
delivery and more effectively leverage
available resources. ETA encourages
Governors to play a key leadership role
in enhancing intra-State coordination
among these agencies and to develop
cross-agency approaches for serving
youth. The WIA State Planning process
is a vehicle for driving a Statewide
youth vision that ensures that
previously marginalized youth become
an important pipeline of workers.
F. A Stronger Workforce Information
System
1. As discussed previously, a strong
foundation of economic data and
workforce information, along with the
ability to analyze the data and transform
it into easily understood intelligence, is
one of the keys to effective strategic
planning for a demand-driven workforce
investment system. To achieve that
vision, the workforce system needs to
move beyond traditional labor market
information strategies and develop a
workforce information system that helps
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drive both economic development and
workforce investment for the State. In
their lead role, States need to embrace
a wide array of data sources, new
strategies for making it available to
customers, and consider alternative
ways to invest and leverage public and
private resources to build the State’s
workforce information system.
Workforce information is critical not
only for driving the investments of the
workforce system, but it is also a
fundamental decision tool for the
nation’s businesses, students, workers,
parents, guidance counselors, and
education institutions. The
development of workforce information
is the responsibility broadly of
Governors, State workforce agencies,
State agencies designated under WIA as
responsible for labor market
information, State economic
development agencies, and Local
Workforce Investment Boards.
G. Effective Utilization of Faith-Based
and Community-Based Organizations
1. President Bush signed Executive
Order 13198 on January 29, 2001, with
the goal of removing statutory,
regulatory, and procedural barriers that
prevent faith-based and community
organizations (FBCOs) from
participating in the provision of social
services. The Department of Labor
Center for Faith-based and Community
Initiatives, created under the Executive
Order has worked closely with ETA to
help increase the opportunities for
FBCOs to partner with the workforce
investment system. As legal and
regulatory barriers have been removed,
the Department of Labor has been
increasingly focusing on ways to
integrate FBCOs into the WIA system at
the local level including:
a. Expanding the access of faith-based
and community organizations’ clients
and customers to the training, job and
career services offered by the local OneStop Centers;
b. Increasing the number of faithbased and community organizations
serving as committed and active
partners in the One-Stop delivery
system.
2. By integrating the workforce system
with the resources available through
these organizations, the capacity of the
workforce investment system to serve
those most in need is significantly
expanded. Continuing to promote
integration of FBCOs remains a focal
point for the President and the
Department of Labor. States are
encouraged to incorporate strategies that
include FBCOs into their State Plans.
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H. Increased Use of Flexibility
Provisions in WIA
For the workforce system to be
successful in promoting business
prosperity and employment
opportunities for workers, States must
have the flexibility to design innovative
programs based on local need and labor
markets. WIA as it exists today provides
significant opportunities to States to
obtain waivers of statutory and
regulatory requirements that may
impede achieving the State’s workforce
goals. Therefore, one of the key focal
points as States move into a new
planning cycle is to encourage States to
utilize the full range of flexibility
offered under WIA’s waiver and
workflex provisions. The workflex
option has not been utilized by States
and may offer the greatest range of
opportunity for States. ETA is
committed to sharing the waiver
strategies States have utilized to date
and providing technical assistance to
States considering requesting waivers.
The State Unified Plan provides a
vehicle for the State to identify waiver
opportunities and to formally request
waivers in concert with overall strategic
planning. Waivers may be requested at
other times as well.
I. Performance Accountability and
Implementation of Common
Performance Measures
1. Improved performance
accountability for customer-focused
results is a central feature of WIA and
remains a strategic priority for the
President and the Department of Labor.
In an effective accountability system, a
clear link should exist between the
State’s program design and the results
achieved. The performance information
should be available to and easily
understood by all customers,
stakeholders, and operators of the
workforce investment system.
2. To enhance the management of the
workforce system and the usability of
performance information, the
Department, in collaboration with other
Federal agencies, has developed a set of
common performance measures for
Federally-funded training and
employment programs. The value of
common measures is the ability to
describe in a similar manner the core
purposes of the workforce system—did
people find jobs; did people stay
employed; and did earnings increase?
Standardizing the definitions of the
outcomes across programs simplifies
reporting. Coupled with valid and
accurate information, use of common
measures provides a greater ability to
compare and manage results.
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3. It is ETA’s intent to begin data
collection in support of common
measures effective July 1, 2005, for
Program Year 2005. This was recently
announced in Training and
Employment Guidance Letter 18–04,
‘‘Announcing the soon-to-be-published
Proposed Revisions to Existing
Performance Reporting Requirements
for the Implementation of Common
Measures for title I of the Workforce
Investment Act (WIA), the WagnerPeyser Act (Employment Service (ES)/
Labor Exchange), the Trade Adjustment
Assistance Reform Act (TAA), and title
38, chapter 41 Job Counseling, Training,
and Placement Service (Veterans’
Employment and Training Service
(VETS)).’’ Prior to the effective date,
ETA will publish proposed revisions to
reporting and recordkeeping
requirements in support of common
measures in a separate Federal Register
Notice.
4. The common measures are an
integral part of ETA’s performance
accountability system. ETA will
continue to collect from states and
grantees other data on program
activities, participants, and outcomes
necessary for program management,
including data that support the existing
WIA performance measures, and to
convey full and accurate information on
the performance of workforce programs
to policymakers and stakeholders.
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.
References to the Welfare-to-Work program
have been deleted due to the expiration of
that program.
A. Vision and Priorities
WIA/Wagner Peyser Plan
requirements:
1. 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 system in
support of the State’s economic
development that address 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 § 112(a) and
(b)(4)(A–C).)
2. What are the State’s economic
development goals for attracting,
retaining and growing business and
industry within the State? (§ 112(a) and
(b)(4)(A–C).)
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3. 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?
(§ 112(a) and (b)(4)(A–C).)
4. 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?
(§ 112(a) and (b)(4)(A–C).)
5. 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? (§ 112(b)(10).)
6. 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 the youth
most in need, such as out of school
youth, homeless youth, youth in foster
care, youth aging out of foster care,
youth offenders, children of
incarcerated parents, migrant and
seasonal farmworker youth, and other
youth at risk? (§ 112(a).)
7. 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. (§ 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 your
Unified Plan includes:
(a) WIA Title I and Wagner-Peyser Act
and/or Veterans Programs:
(i.) 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
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Statewide workforce investment
system? (§ 112(b)(10).)
(ii.) What strategies are in place to
address the national strategic direction
discussed in Part I of this guidance, the
Governor’s priorities, and the workforce
development issues identified through
the analysis of the State’s economy and
labor market? (§ 112(a) and
112(b)(4)(D).)
(iii.) Based on the State’s economic
and labor market analysis, what
strategies has the State implemented or
plans 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? (§ 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; or
• Industries that have a significant
impact on the overall economy; or
• Industries that impact the growth of
other industries; or
• 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.
(iv.) 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? (§ 112(b)(8).)
(v.) 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? (§ 112(b)(4)(A)
and 112(b)(17)(A)(i).)
(vi.) 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?
(§ 112(b)(4)(A) and 112(b)(17)(A)(i).)
(vii.) How are the funds reserved for
Statewide activities used to incent the
entities that make up the State’s
workforce 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? (§ 112(a).)
(viii.) 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
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and have significant barriers to
employment, and to successfully
connect them to education and training
opportunities that lead to successful
employment. (§ 112(b)(18)(A).)
(ix.) Describe the State’s strategies to
identify State laws, regulations, policies
that impede successful achievement of
workforce development goals and
strategies to change or modify them.
(§ 112(b)(2).)
(x.) 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 § 189(i) and § 192.
2. Describe the actions the State has
taken to ensure an integrated One-Stop
service delivery system Statewide.
(§§ 112(b)(14) and 121).)
a. What State policies and procedures
are in place to ensure the quality of
service delivery through One-Stop
Centers such as development of
minimum guidelines for operating
comprehensive One-Stop Centers,
competencies for One-Stop Career
Center staff or development of a
certification process for One-Stop
Centers? (§ 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? (§ 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? (§ 112(b)(14).)
d. How does the State use the funds
reserved for Statewide activities
pursuant to (§ 129(b)(2)(B) and
134(a)(2)(B)(v) to assist in the
establishment and operation of OneStop delivery systems? (§ 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? (§ 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 § 501(c)(3)(A).)
State Consultation with Local Areas
in Development of Plan: 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
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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. For example,
both WIA Title I and Perkins III require
that the business community be
involved in the development of the
State Plans for these programs. The
State may satisfy both of these
requirements by involving the business
community in the development of a
Unified Plan that includes the two
programs. Separate consultations are not
necessary.
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 your Unified Plan
includes:
(a) Perkins III, the eligible agency
must hold public hearings and include
a summary of the recommendations
made by all segments of the public and
interested organizations and groups and
the eligible agency’s response to the
recommendations in the State Plan.
(§ 122(a)(3).)
(b) 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.
(c) Adult Education and Family
Literacy, describe the process that will
be used for public participation and
comment with respect to the AEFLA
portion of the Unified Plan.
(§ 224(b)(9).)
(d) 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, 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
local populations; and have had at least
45 days to submit comments on the plan
and the design of such services.
(§ 402(c).)
(e) CSBG, provide evidence that the
public participation requirements were
met, including documents which
confirms 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 675(d)(2).
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3. This section should 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 your
Unified Plan includes:
(a) Perkins III: (§ 122(a)(3),(b)(1),
(c)(3), (e)(3).)
• Parents.
• Teachers.
• Students.
• Eligible Recipients.
• Representatives of special
populations in the State.
• Representatives of business and
industry in the State, including smalland medium-sized local businesses.
• Representatives of labor
organizations in the State.
• Interested community members.
• Governor of the State.
In addition, the eligible agency must
consult with the State agency
responsible for secondary education and
the State agency responsible for
supervision of community colleges,
technical institutes, or other 2-year post
secondary institutions primarily
engaged in providing postsecondary
vocational and technical education
concerning the amount and uses of
funds proposed to be reserved for adult
vocational and technical education,
postsecondary vocational and technical
education, tech-prep education, and
secondary vocational technical
education. Include any objections filed
by either agency and your response(s).
(§ 122(e)(3).)
(b) WIA Title I and Wagner-Peyser Act
and/or Veterans Programs: (§§ 112(b)(1)
and 112(b)(9).)
• The Governor of the State and State
Board.
• Local Chief elected officials.
• Business community.
• Labor organizations.
• The following agencies, groups and
individuals should also be consulted:
Local Boards and Youth Councils,
Educators, Vocational Rehabilitation
Agencies, Service providers, Welfare
agencies, Faith-based and Community
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 (§ 501(c)(3).)
Note: While WIA only requires the
involvement of State Board and Local Boards
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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.
(c) Adult Education and Family
Literacy:
• Governor of the State (any
comments made by the Governor must
be included in the Plan) (§ 224(d).)
(d) Vocational Rehabilitation:
• State Rehabilitation Council
(include the response of the designated
State unit to such input and
recommendations).
(§ 101(a)(21)(A)(ii)(III).)
(e) CSBG:
• Low-income individuals.
• Community organizations.
• Religious organizations.
• Representatives of low-income
individuals.
(f) TANF:
• With respect to the TANF plan
design, 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.
D. Needs Assessment
1. Describe the educational and jobtraining needs of individuals in the
overall State population and of relevant
subgroups of all the programs included
in the Unified Plan.
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 coordinated and integrated
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.
In answering the above question, if
your Unified Plan includes:
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(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. (§ 112(b)(4)(A–D).)
(b) Adult Education and Family
Literacy, 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.)
(§§ 224(b)(10) and 225).)
(c) Food Stamp Employment and
Training (E&T), provide an answer and
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 underserved by the vocational rehabilitation
program, and individuals with
disabilities served through other
components of the statewide workforce
investment system.
(§§ 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
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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.)
(§ 101(a)(15)(B).)
(iii) Provide an assessment of the need
to establish, develop, or improve
community rehabilitation programs
within the State. (§ 101(a)(15)(A)(ii).)
(e) HUD Employment and Training
Programs: (Reminder: the following is a
suggestion for incorporating HUD
programs into your State’s Unified Plan.
However, following this guidance will
not trigger funding for HUD programs):
(i) Address the educational and
training needs of public housing
residents and other families receiving
housing assistance.
2. WIA Title I and Wagner Peyser Act:
Economic and Labor Market Analysis
(§ 112(b)(4).): As a foundation for this
strategic 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? In what
numbers?
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
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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 the above question, if
your Unified Plan includes:
(a) Perkins III, describe the procedures
in place to develop the memoranda of
understanding outlined in Section
121(c) of the Workforce Investment Act
of 1998 concerning the provision of
services only for postsecondary students
and school dropouts. (§ 122(c)(21).)
(b) WIA Title I and Wagner-Peyser Act
and/or Veterans Programs:
(i) Organization of State agencies in
relation to the Governor:
1. Provide an organizational chart that
delineates the relationship to the
Governor of the agencies involved in the
public workforce investment system,
including education and economic
development and the required and
optional One-Stop partner programs
managed by each agency.
2. 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:
1. Describe the organization and
structure of the State Board. (§ 111).):
2. Include a description of the process
by which State and Local Boards were
created.
3. 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? (§§ 111(a–c), 111(e), and
112(b)(1).)
4. Describe the process your State
used to identify your 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 your vision described above. (20
CFR 661.200).)
5. 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
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are in addition to those required.
Identify any functions required in
Section 111(d) the Board does not
perform and explain why.
6. 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).)
7. 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.
(§§ 111(f), 112(b)(13), and 117(g).)
8. What resources does the State
provide the Board to carry out its
functions, i.e., 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 (§ 112(b)(8)(A).):
1. 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? (§§ 111(d)(2)
and 112(b)(8)(A).)
2. 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.
3. 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 OneStop Career Centers. (§ 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
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youth? How is the State promoting a
collaborative cross-agency approach for
both policy development and service
delivery at the local level for youth?
(§ 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. (§ 112(b)(2).)
1. 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? (§§ 111(d)(2) and
112(b)(8)(B).)
2. What State policies are in place that
promote efficient use of administrative
resources such as requiring more colocation 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
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. (§§ 111(d)(2) and 112(b)(8)(A).)
3. What State policies are in place to
promote universal access and
consistency of service Statewide?
(§ 112(b)(2).)
4. What policies support a demanddriven approach, as described in Part I.
‘‘Demand-driven Workforce Investment
System,’’ to workforce development—
such as training on the economy and
labor market data for Local Board and
One-Stop Career Center staff?
(§§ 112(b)(4) and 112(b)(17)(A)(iv).)
5. What policies are in place to ensure
that the resources available through the
Federal and/or State apprenticeship
programs, the Job Corps and the Senior
Community Service Employment
Program are fully integrated with the
State’s One-Stop delivery system?
(§§ 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 redesignating local areas pursuant to the
end of the subsequent designation
period for areas designated in the
previous Unified Plan. (§§ 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
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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
§ 116(a)(4). (§§ 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 § 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. (§§ 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.
(§§ 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):
1. What policy direction has the State
provided for ITAs?
2. 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.
3. Discuss the State’s plan for
committing all or part of WIA Title I
funds to training opportunities in highgrowth, high-demand, and economically
vital occupations.
4. Describe the State’s policy for
limiting ITAs (e.g., dollar amount or
duration).
5. Describe the State’s current or
planned use of WIA Title I funds for the
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provision of training through
apprenticeship.
6. Identify State policies developed in
response to changes to WIA regulations
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. (Note that the
Department of Labor provides Web
access to the equal treatment regulations
and other guidance for the workforce
investment system and faith-based and
community organizations at https://
www.dol.gov/cfbci/legalguidance.htm).
(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. (§ 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. (§ 112(b)(16).)
(c) 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).
(§ 101(a)(2)(A).)
(d) 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. (§ 402(a)(1)(B)(iii).)
F. Funding
1. 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 § 112(b)(10).) In answering the
above question, if your Unified Plan
includes:
(a) Perkins III:
(i) Describe the criteria that you will
use in approving applications by
eligible recipients for funds under
Perkins III. (§ 122(c)(1)(B).)
(ii) Describe how funds received
through the allotment made under
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section 111 will be allocated among
secondary school vocational and
technical education, or postsecondary
and adult vocational and technical
education, or both, including the
rationale for such allocation.
(§ 122(c)(4)(A).)
(iii) Describe how funds received
through the allotment made under
section 111 will be allocated among
consortia which will be formed among
secondary schools and eligible
institutions, and how funds will be
allocated among the members of the
consortia, including the rationale for
such allocation. (§ 122(c)(4)(B).)
(iv) If the eligible agency decides to
develop an alternative allocation
formula under the authority of sections
131(c) and/or 132(b), submit the
proposed formula and supporting
documentation to the Secretary of
Education for approval prior to the
submission of your State Plan or as a
part of the State Unified Plan. (§§ 131(c)
and 132(b).)
(b) Tech-Prep, describe how the
eligible agency will award tech-prep
funds in accordance with the
requirements of Sections 204(a) and
Section 205 of Perkins III, including
whether grants will be awarded on a
competitive basis or on the basis of a
formula determined by the State.
(c) WIA Title I and Wagner-Peyser Act
and/or Veterans Programs (§ 112(b)(12):
(i) If applicable, describe the methods
and factors (including weights assigned
to each factor) your State will use to
distribute funds to local areas for the
30% discretionary formula adult
employment and training funds and
youth funds pursuant to Sections
128(b)(3)(B) and 133(b)(3)(B).
(ii) 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.
(iii) Describe the State’s allocation
formula for dislocated worker funds
under 133(b)(2)(B).
(iv) 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.
(v) Describe the procedures and
criteria that are in place under 20 CFR
663.600 for the Governor and
appropriate Local Boards to direct OneStop 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
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training activities are determined to be
limited. (§§ 112(b)(17)(A)(iv) and
134(d)(4)(E).)
(vi) Specify how the State will use the
10 percent Wagner-Peyser Act funds
allotted to it under section 7(b) in
accordance with the three provisions of
allowable activities: performance
incentives; services for groups with
special needs; and extra costs of
exemplary service delivery models.
(§ 112(b)(7) and 20 CFR 652.204).)
(d) Adult Education and Family
Literacy:
(i) 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.
(§ 224(b).)
(ii) 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.
(§ 231(c).)
(iii) Describe how the eligible agency
will use funds made available under
Section 222(a)(2) for State leadership
activities. (§ 223(a).)
(iv) Describe the steps the eligible
agency will take to ensure direct and
equitable access, as required in section
231(c). (§ 224(b)(12).)
(e) 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.’’
(f) 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.
(g) Vocational Rehabilitation:
(i) 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. (§ 101(a)(18)(B).)
(ii) 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.
(§ 625(b)(3).)
(iii) In the event that vocational
rehabilitation services cannot be
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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.
(§ 101(a)(5)(A)–(B).)
(h) 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
1. For each of the programs in your
Unified Plan, provide a general
description of the activities the State
will pursue using the relevant funding.
In answering the above question, if
your Unified Plan includes:
(a) Perkins III:
(i) Describe the vocational and
technical education activities to be
assisted that are designed to meet or
exceed the State adjusted levels of
performance. (§ 122(c)(1).)
(ii) Describe the secondary and
postsecondary vocational and technical
education programs to be carried out,
including programs that will be carried
out by the eligible agency to develop,
improve, and expand access to quality,
state-of-the-art technology in vocational
and technical education programs.
(§ 122(c)(1)(A).)
(iii) Describe how funds will be used
to improve or develop new vocational
and technical education courses and
effectively link secondary and
postsecondary education. (§ 122(c)(1)(D)
and 122(c)(19).)
(iv) Describe how the eligible agency
will improve the academic and
technical skills of students participating
in vocational and technical education
programs, including strengthening the
academic, and vocational and technical,
components of vocational and technical
education programs through the
integration of academics with vocational
and technical education to (1) Ensure
learning in the core academic,
vocational and technical subjects; (2)
provide students with strong experience
in, and understanding of, all aspects of
an industry; and (3) prepare students for
opportunities in post-secondary
education or entry into high skill and
high wage jobs in current and emerging
occupations. (§ 122(c)(1)(C) and (5)(A).)
(v) Describe how the eligible agency
will ensure that students who
participate in such vocational and
technical education programs are taught
to the same challenging academic
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proficiencies as are taught to all other
students. (§ 122(c)(5)(B).)
(vi) Describe how the eligible agency
will actively involve parents, teachers,
local businesses (including small- and
medium-sized businesses), and labor
organizations in the planning,
development, implementation and
evaluation of vocational and technical
education programs.
(b) Tech-Prep, describe how funds
will be used in accordance with the
requirements of section 204(c).
(c) WIA Title I and Wagner-Peyser Act
and/or Veterans Programs:
(i) Service Delivery—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.
(§ 112(b)(17)(A).)
1. One-Stop Service Delivery
Strategies: (§ 111(d)(2) and 112(b)(2).)
a. How will the services provided by
each of the required and optional OneStop partners be coordinated and made
available through the One-Stop system?
(§ 112(b)(8)(A).)
b. How are youth formula programs
funded under § 128(b)(2)(A) integrated
in the One-Stop system?
c. What minimum service delivery
requirements does the State mandate in
a comprehensive One-Stop Centers or
an affiliate site?
d. What tools and products has the
State developed to support service
delivery in all One-Stop Centers
Statewide?
e. What models/templates/approaches
does the State recommend and/or
mandate for service delivery in the OneStop Centers? For example, do all OneStop 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 Center? Are all OneStop Centers required to have a resource
center that is open to anyone?
2. Workforce Information—A
fundamental component of a demanddriven 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. (§§ 111(d)(8),
112(b)(1), and 134(d)(2)(E).)
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a. 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.
b. 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.
c. Describe how the State’s Workforce
Information Core Products and Services
Plan is aligned with the WIA State Plan
to ensure that the investments in core
products and services support the
State’s overall strategic direction for
workforce investment.
d. 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.
3. Adults and Dislocated Workers
a. Core Services. (§ 112(b)(17)(a)(i).)
(i) Describe State strategies and
policies to ensure adults and dislocated
workers have universal access to the
minimum required core services as
described in § 134(d)(2).
(ii) 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) selfservice, (2) facilitated self-help service,
and (3) staff-assisted service, and is
accessible and available to all customers
at the local level.
(iii) 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 OneStop partner programs, to deliver core
services.
b. Intensive Services. Describe State
strategies and policies to ensure adults
and dislocated workers who meet the
criteria in § 134(d)(3)(A) receive
intensive services as defined.
c. 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.
d. Eligible Training Provider List.
Describe the State’s process for
providing broad customer access to the
statewide list of eligible training
providers and their performance
information including at every One-Stop
Career Center. (§ 112(b)(17)(A)(iii).)
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e. On-the-Job (OJT) and Customized
Training (§ 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.
(i) Describe the Governor’s vision for
increasing training opportunities to
individuals through the specific
delivery vehicles of OJT and customized
training.
(ii) Describe how the State:
(a.) Identifies OJT and customized
training opportunities;
(b.) Markets OJT and customized
training as incentives to untapped
employer pools including new business
to the State and employer groups;
(c.) Partners with high-growth, highdemand industries and economically
vital industries to develop potential OJT
and customized training strategies;
(d.) Taps business partners to help
drive the strategy through joint
planning, competency and curriculum
development; and determining
appropriate lengths of training, and
(e.) Leverages other resources through
education, economic development and
industry associations to support OJT
and customized training ventures.
f. 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 TEGL 5–03 (9/16/
03/)?
g. Rapid Response. Describe how your
State provides Rapid Response services
with the funds reserved under Section
133(a)(2).
(i) 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.
(ii) Describe the process involved in
carrying out Rapid Response activities.
(a.) What methods are involved in
receiving notice of impending layoffs
(include WARN Act notice as well as
other sources)?
(b.) 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?
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(c.) 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 tradeaffected)?
(d.) How does the State ensure a
seamless transition between Rapid
Response services and One-Stop
activities for affected workers?
(e.) 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, not only a negative, reactive
service?
(f.) 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?
(g.) 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?
(h.) 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?
4. Veterans Programs. For the grant
period FY 2005—FY 2009, States
submitted a five year strategic plans to
operate the Local Veterans’ Employment
Representative (LVER) and Disabled
Veterans’ Outreach Programs (DVOP)
Specialist 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.
5. Youth. ETA’s strategic vision
identifies youth most in need, such as
out of school youth and those at risk,
youth in foster care, youth aging out of
foster care, youth offenders, children of
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incarcerated parents, homeless youth,
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,
internships, help with attaining a high
school diploma or GED, post-secondary
vocational training, apprenticeships and
enrollment in community and four-year
colleges. (§ 112(b)(18).)
a. Describe your 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. (§ 112(b)(18).)
b. Describe how coordination with Job
Corps and other youth programs will
occur. (§ 112(b)(18)(C).)
c. 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:
(i) utilizing the funds to promote cross
agency collaboration;
(ii) demonstration of cross-cutting
models of service delivery;
(iii) development of new models of
alternative education leading to
employment; or
(iv) 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 successful into
the workforce pipeline with the right
skills.
d. Describe in general, how your State
will meet the Act’s provisions regarding
youth program design. (§§ 112(b)(18)
and 129(c).)
6. Business Services.
a. Describe how the needs of
employers will be determined in the
local areas and on a statewide basis.
b. Describe how integrated business
services, including Wagner-Peyser Act
services, will be delivered to employers
through the One-Stop system.
c. 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), § 112(b)(17)(A)(i).)
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7. Innovative Service Delivery
Strategies. (§ 112(b)(17)(A).)
a. 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).
b. If your State is participating in the
ETA Personal Re-employment Account
(PRA) demonstration, describe your
vision for integrating PRAs as a service
delivery alternative as part of the State’s
overall strategy for workforce
investment.
8. Strategies for Faith-based and
Community Organizations
(§ 112(b)(17)(i).) Describe those
activities to be undertaken to: (1)
increase the opportunities for
participation of faith-based and
community organizations as committed
and active partners in the One-Stop
delivery system; and (2) expand the
access of faith-based and community
organizations’ clients and customers to
the services offered by the One-Stops in
the State. 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. 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.
(d) Adult Education and Literacy
Services, including workplace literacy
services:
(i) Family literacy services.
(ii) English literacy programs.
(e) Food Stamp Employment and
Training:
(i) Describe the components of the
State’s E&T program.
(ii) Discuss the weekly/monthly hours
of participation required of each
program component.
(iii) 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.
(f) TANF, outline how the State
intends to:
(i) Conduct a program, designed to
serve all political subdivisions in the
State (not necessarily in a uniform
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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.
(§ 402(a)(1)(A)(i).)
(ii) 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).
(§ 402(a)(1)(A)(ii).)
(iii) Ensure that parents and caretakers
receiving assistance under the program
engage in work activities in accordance
with section 407. (§ 402(a)(1)(A)(iii).)
(iv) 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. (§ 402(a)(1)(A)(iv).)
(v) 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.
(g) 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)
(i) Describe how the services
proposed support the State Senior
Employment Services Coordination
Plan.
(ii) Describe how recruitment and
selection of participants will be
achieved under TEGL 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.
(iii) Describe how participant income
will be recertified each year, including
where eligibility records will be
maintained.
(iv) Describe the arrangements that
will be made to offer physical
examinations as a required fringe
benefit.
(v) Describe the orientation
procedures for participants and host
agencies.
(vi) Describe the procedures for
assessing job aptitudes, job readiness,
and job preferences of participants and
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their potential for transition into
unsubsidized employment.
(vii) Describe how the assessment will
be used to develop the participant’s
Individual Employment Plan (IEP).
(viii) 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.
(ix) 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.
(x) Describe the supportive services
that will be offered to help participants
obtain and retain an unsubsidized job.
(xi) Describe arrangements that will
be made to provide transportation
assistance to participants.
(xii) 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.
(xiii) Describe any policy for
maximum duration of enrollment or
maximum time in community service.
(xiv) Describe procedures for
terminating a participant, including
Individual Employment Plan
terminations and the grievance
procedures that will address
termination from the program.
(xv) Describe the procedures for
addressing and resolving participant
complaints.
(xvi) Describe procedures for over
enrolling participants, including how
over enrollments will be balanced with
Equitable Distribution requirements.
(xvii) Describe steps that will be taken
to ensure compliance with the
Maintenance of Effort provision of
section 501(b)(1)(F).
(xviii) Describe payroll procedures
and how workers’ compensation
premiums are paid.
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(xix) Describe collaboration efforts
with the One-Stop System and with
other partner programs under the
Workforce Investment Act to maximize
opportunities for SCSEP participants.
(xx) Describe efforts to work with
local economic development offices in
rural locations.
(xxi) Describe current slot imbalances
and proposed steps to correct inequities
to achieve equitable distribution.
(xxii) 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.
(xxiii) 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.
(xxiv) Describe how the State will
manage its providers and how it will
transfer participants if new providers
are selected to serve in the State.
(xxv) 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
Older Worker Programs to set the
appropriate levels for the next two
years. At a minimum, States must
identify the performance indicators
required under 20 CFR 641.710, and, for
each indicator, the State must develop
an objective and quantifiable
performance goal for two program years.
The performance measures include:
placement rate; service level; service to
most in need; community service;
employment retention; customer
satisfaction of employers, participants,
and host agencies; and earning increase.
The requirements for reporting are
outlined in Older Worker Bulletin 04–
06 dated September 7, 2004.
(xxvi) Describe any request for an
increase in administrative costs
consistent with section 502(c)(3) of the
Older Americans Act.
(xxvii) Describe plans to provide a
copy of this section to Area Agencies on
Aging consistent with section 502(d) of
the Older American Act.
(h) CSBG, explain how the activities
funded will:
(i) 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
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under part A of title IV of the Social
Security Act.
(ii) Secure and retain meaningful
employment.
(iii) Attain an adequate education,
with particular attention toward
improving literacy skills of the lowincome families in the communities
involved, which may include carrying
out family literacy initiatives.
(iv) Make better use of available
income.
(v) Obtain and maintain adequate
housing and a suitable living
environment.
(vi) Obtain emergency assistance
through loans, grants, or other means to
meet immediate and urgent family and
individual needs.
(vii) 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.
(viii) 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 communitybased youth development programs that
have demonstrated success in
preventing or reducing youth crime.
(ix) 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
1. Describe how your 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
your Unified Plan includes:
(a) Perkins III, describe coordination
with the following agencies or
programs:
(i) Programs listed in Section
112(b)(8)(A) of the Workforce
Investment Act of 1998 (§ 122(c)(21).)
concerning the provision of services for
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postsecondary students and school
dropouts.
(ii) Other Federal education programs,
including any methods proposed for
joint planning and coordination.
(§ 122(c)(16).)
(b) WIA Title I and Wagner-Peyser Act
and/or Veterans Programs:
(i) Structure/Process for State agencies
and State Board to collaborate and
communicate with each other and with
the local workforce investment system
(§ 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? (§§ 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 OneStop Career Centers. (§ 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?
(§ 112(b)(18)(A).)
(c) 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. (§ 224(b)(11).)
(d) Vocational Rehabilitation:
(i) 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
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carried out by the Under Secretary for
Rural Development of the Department of
Agriculture and State use contracting
programs to the extent that such
agencies and programs are not carrying
out activities through the statewide
workforce investment system.
(§ 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. (§ 101(a)(11)(D).)
(c.) Private, non-profit vocational
rehabilitation service providers through
the establishment of cooperative
agreements. (§ 101(a)(24)(B).)
(d.) Other State agencies and
appropriate entities to assist in the
provision of supported employment
services. (§ 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. (§ 625(b)(5).)
(e) Unemployment Insurance,
summarize requests for any Federal
partner assistance (primarily nonfinancial) that would help the SWA
attain its goal.
(f) CSBG, describe how the State and
eligible entities will coordinate
programs to serve low-income residents
with other organizations, including:
(i) Religious organizations.
(ii) Charitable groups.
(iii) Community organizations.
I. Special Populations and Other Groups
1. Describe how your 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 your Unified Plan
includes any of the programs listed
below, please address the following
specific relevant populations:
(a) Perkins III:
(i) Each category of special
populations defined in Section 3(23) of
the Act. (§ 122(c)(7).)
(ii) Students in alternative education
programs, if appropriate. (§ 122(c)(13).)
(iii) Individuals in State correctional
institutions. (§ 122(c)(18).)
(i) Describe how funds will be used to
promote preparation for nontraditional
training and employment. (§ 122(c)(17).)
(ii) Describe how individuals who are
members of special populations will be
provided with equal access to activities
assisted under Title I of Perkins III and
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will not be discriminated against on the
basis of their status as members of
special populations. (§ 122(c)(8)(B).)
(b) WIA Title I and Wagner-Peyser Act
and/or Veterans Programs
(§ 112(b)(17)(A)(iv) and 112(b)(17)(B).):
(i) Service to Specific Populations.
(§ 112(b)(17)(A)(iv).)
(a.) 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, lowincome individuals such as migrants
and seasonal farmworkers, women,
minorities, individuals training for nontraditional employment, veterans,
public assistance recipients and
individuals with multiple barriers to
employment (including older
individuals, people with limited
English-speaking proficiency, and
people with disabilities.)
(§ 112(b)(17)(iv).)
(b.) 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.
(c.) Describe how the State
administers the unemployment
insurance work test and how feedback
requirements (under § 7(a)(3)(F) of the
Wagner-Peyser Act) for all UI claimants
are met.
(d.) 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 coenrollment for WIA and TAA?
(§ 112(b)(17)(A)(ii and iv).)
(e.) 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?
(f.) 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?
(g.) Describe the role LVER/DVOP
staff have in the One-Stop Delivery
System? How will the State ensure
adherence to the legislative
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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? (§§ 112(b)(7), 322, 38 U.S.C.
chapter 41 and 20 CFR 1001.120).)
(h.) Department of Labor regulations
at 29 CFR part 37, require all recipients
of Federal financial assistance from DOL
to provide meaningful access to limited
English proficient (LEP) persons.
Federal financial assistance includes
grants, training, equipment usage,
donations of surplus property, and other
assistance. Sub-recipients are also
covered 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.
(i.) Describe the State’s strategies to
enhance and integrate service delivery
through the One-Stop delivery system
for migrant and seasonal farm workers
and agricultural employers. How will
the State ensure that migrant and
seasonal farm workers have equal access
to employment opportunities through
the State’s One-Stop delivery system?
Include the number of Migrant and
Seasonal Farmworkers (MSFWs) 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.
(c) Adult Education and Family
Literacy:
(i) Low income students
(§ 224(b)(10)(A).)
(ii) Individuals with disabilities
(§ 224(b)(10)(B).)
(iii) Single parents and displaced
homemakers (§ 224(b)(10)(C).)
(iv) Individuals with multiple barriers
to educational enhancement, including
individuals with limited English
proficiency (§ 224(b)(10)(D).)
(v) Criminal offenders in correctional
institutions and other institutionalized
individuals (§ 225).)
(d) TAA and NAFTA–TAA, describe
how rapid response and basic
readjustment services authorized under
other Federal laws will be provided to
trade-impacted workers.
(e) Vocational Rehabilitation:
(i) Minorities with most significant
disabilities. (§ 21(c).)
(f) TANF, indicate whether the State
intends to:
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(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,
shall include an overview of such
assistance. (§ 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.
(§ 401(a)(1)(A)(vi).)
(g) SCSEP (§ 3(a)(1).): Indicate how
the State will serve individuals age 60
and older as a priority (§ 516(2)), and
the following ‘‘preference’’ groups
(§ 502(b)(1)(M)):
(i) Minorities.
(ii) Limited English-speakers.
(iii) Indian eligible individuals.
(iv) Individuals with the greatest
economic need.
(h) CSBG:
(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.
(i) HUD Employment and Training
Programs: (Reminder: the following is a
suggestion for incorporating HUD
programs into your 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 your Plan includes Perkins III,
Tech-Prep, 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,
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disability, and age. (§ 427(b) General
Education Provisions Act.)
J. Professional Development and System
Improvement
1. How will your State develop
personnel to achieve the performance
indicators for the programs included in
your Plan?
In answering the above question, if
your Unified Plan includes:
(a) Perkins III:
(i) Describe how comprehensive
professional development (including
initial teacher preparation) for
vocational and technical, academic,
guidance, and administrative personnel
will be provided. (§ 122(c)(2).)
(ii) Describe how the eligible agency
will provide local educational agencies,
area vocational and technical education
schools, and eligible institutions in the
State with technical assistance.
(§ 122(c)(14).)
(b) WIA Title I and Wagner-Peyser Act
and/or Veterans Programs:
(i) How will your State build the
capacity of Local Boards to develop and
manage high performing local workforce
investment system? (§§ 111(d)(2) and
112(b)(14).)
(ii) 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, (§ 112(b)(2) and 20 CFR
661.350(a)(13)), including:
• What oversight of the local
planning process is provided, including
receipt and review of Plans and
negotiation of performance agreements?
and
• How does the local plan approval
process ensure that local plans are
consistent with State performance goals
and State strategic direction?
(iii) 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.
(§ 112(b)(14).)
(c) 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. (§ 101(a)(7).)
K. Performance Accountability
Nothing in this guidance shall relieve
a State of its responsibilities to comply
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with the accountability requirements of
WIA Title I and II and the Carl D.
Perkins Vocational and Technical
Education Act of 1998 (Perkins III),
including, for example, the
requirements to renegotiate performance
levels at statutorily defined points in the
5-year Unified Plan cycle. 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 your
Unified Plan includes:
(a) Perkins III and Tech-Prep:
(i) Identify and describe the core
indicators (§ 113(b)(2)(A)(i-iv).), a State
level of performance for each core
indicator of performance for the first
two program years covered by the State
Plan (§ 113(b)(3)(A)(ii).), any additional
indicators identified by the eligible
agency (§ 113(b)(1)(B).), and a State level
of performance for each additional
indicator (§ 113(b)(3)(B).)
(ii) Describe how the effectiveness of
vocational and technical education
programs will be evaluated annually.
(§ 122(c)(6).)
(iii) Describe how individuals who are
member of special populations will be
provided with programs designed to
enable the special populations to meet
or exceed State adjusted levels of
performance, and how it will prepare
special populations for further learning
and for high skill, high wage careers.
(§ 122(c)(8)(C).)
(iv) Describe what steps the eligible
agency will take to involve
representatives of eligible recipients in
the development of the State adjusted
levels of performance. (§ 122(c)(9).)
(b) WIA Title I and Wagner-Peyser Act
and/or Veterans Programs:
(i) Improved performance and
accountability for customer-focused
results are central features of WIA. To
improve, States need not only systems
in place to collect data and track
performance, but also systems to
analyze the information and modify
strategies to improve performance. (See
Training and Employment Guidance
Letter (TEGL) 15–03, Common Measures
Policy, December 10, 2003.) In this
section, describe how the State
measures the success of its strategies in
achieving its goals, and how the State
uses this data to continuously improve
the system.
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(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 Stateadjusted 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 two
years of the Plan. (§§ 112(b)(3) and
136(b)(3).)
(ii) Describe any targeted applicant
groups under WIA title I, the WagnerPeyser Act or title 38 chapters 41 and
42 (Veterans Employment and Training
Programs) that the State tracks.
(§§ 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 any actions the Governor
and State Board will take to ensure
collaboration with key partners and
continuous improvement of the
Statewide workforce investment system.
(§§ 111(d)(2) and 112(b)(1).)
(v) 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
system? (§§ 111(d)(2), 112(b)(1), and
112(b)(3).)
(vi) What steps, has the State taken to
prepare for implementation of new
reporting requirements against the
common performance measures as
described in Training and Employment
Guidance Letter (TEGL), 15–03,
December 10, 2003, Common Measures
Policy. Note: See TEGL 18–04 which
articulates ETA’s plans for future policy
guidance on negotiating performance
levels and common measures.
(vii) Include a proposed level for each
performance measure for each of the
program years covered by the Plan.
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While the Plan is under review, the
State will negotiate with the respective
ETA Regional Administrator to set the
appropriate levels for the next two
years. At a minimum, 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 two program years.
States are encouraged to address how
the performance goals for local
workforce investment areas and training
provides will help them attain their
Statewide performance goals.
(§§ 112(b)(3) and 136).)
(c) 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 (§ 212(b)(3)(A)(ii).), and any
additional indicators selected by the
eligible agency. (§ 212 (b)(2)(B).)
(iii) Describe how such performance
measures will be used to ensure the
improvement of Adult Education and
Family Literacy activities in the State or
outlying area. (§ 224(b)(4).)
(d) Unemployment Insurance:
(i) Submit a Plan to achieve an
enhanced goal in service delivery for
areas in which performance is not
deficient. Goals may be set at a State’s
own initiative or as the result of
negotiations initiated by the Regional
Office.
(ii) Identify milestones/intermediate
accomplishments that the SWA will use
to monitor progress toward the goals.
(e) 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, and establish
numerical goals for reducing the
illegitimacy ratio of the State for
calendar years 1996 through 2005.
(§ 402(a)(1)(A)(v).)
(f) SCSEP: Provisions on performance
are set forth in section G.1. (g)(xxv) of
these instructions.
(g) 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
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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 selfsufficiency, 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. (§ 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/subgrantees accountable?
In answering the above question, if
your Unified Plan includes:
(a) Perkins III and Tech-Prep:
(i) Describe how data will be reported
relating to students participating in
vocational and technical education in
order to adequately measure the
progress of the students, including
special populations. (§ 122(c)(12).)
(ii) Describe how the data reported to
the eligible agency from local
educational agencies and eligible
institutions under Perkins III and the
data you report to the Secretary are
complete, accurate, and reliable.
(§ 122(c)(20).)
(b) 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 (including
how your State accesses wage records),
and how the Statewide system will have
access to the information needed to
continuously improve. (§ 112(b)(8)(B).)
(c) 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 nonfinancial E&T reporting.
2. What common data elements and
reporting systems are in place to
promote integration of Unified Plan
activities?
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M. Corrective Action
1. Describe the corrective actions the
State will take for each program, as
applicable, if performance falls short of
expectations.
In answering the above question, if
your Unified Plan includes:
(a) 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:
(i) An evaluation of the extent to
which program goals were achieved and
a description of the strategies that
contributed to achieving the goals.
(ii) To the extent the goals were not
achieved, a description of the factors
that impeded that achievement.
(iii) An assessment of the performance
of the State on the standards and
indicators established pursuant to
section 106 of the Act.
(§ 101(a)(15)(E)(i).)
(b) Unemployment Insurance, explain
the reasons for the areas in which the
State’s performance is deficient. 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.
Identify steps to improve performance,
including an explanation of why the
actions now specified will be more
successful.
N. Waiver and Work-Flex Requests
1. Will your State be requesting
waivers as a part of this Unified Plan?
In answering the above question, the
following waiver provisions apply if
your Unified Plan includes:
(a) WIA Title I and Wagner-Peyser Act
and/or Veterans Programs, States may
submit a Workforce Flexibility (WorkFlex) 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 and planning guidelines
issued by the Department of Labor.
(b) 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
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request must be made in accordance
with the provisions of 34 CFR 361.26(b).
IV. Certifications and Assurances
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
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,
§ 501(c)(3)(B).)
In addition, if you submit your
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.
In addition, the following
certifications and assurances apply to
the extent that the programs and
activities are included in your State
Unified Plan.
3. Nonconstruction Programs. By
signing the Unified Plan signature page,
you are certifying that:
1. The grantee has filed the
Government-wide standard assurances
for nonconstruction programs (SF 424).
States can print SF 424 from https://
ocfo.ed.gov/grntinfo/appforms.htm.
EDGAR Certifications, Nonconstruction
Programs, Debarment, Drug-Free Work
Place and Lobbying Certifications
You must include the following
certifications for each of the State
agencies that administer one of these
programs: Perkins III, Tech-Prep, 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.
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)]
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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].
Debarment, Drug-Free Work Place, and
Lobbying
By signing the Unified Plan signature
page, you are certifying that:
1. The ED grantee has filed ED 80–
0013. This form also applies to AEFLA
and RSA. States can print ED 80–0013
from https://ocfo.ed.gov/grntinfo/
appforms.htm.
Perkins III
By signing the Unified Plan signature
page, the eligible agency is certifying
that:
1. The State Plan complies with the
requirements of title I of Perkins III and
the provisions of the State Plan,
including the provision of a financial
audit of funds received under this title
which may be included as part of an
audit of other Federal or State programs.
(§ 122(c)(10).)
2. None of the funds expended under
title I of Perkins III will be used to
acquire equipment (including computer
software) in any instance in which such
acquisition results in a direct financial
benefit to any organization representing
the interests of the purchasing entity,
the employees of the purchasing entity,
or any affiliate of such an organization.
(§ 122(c)(11).)
3. Section 501(b)(1) provides that
secondary vocational education
programs authorized under Perkins III
may only be included in a Unified Plan
‘‘with the prior approval of the
legislature of the State.’’ Documentation
of this approval is submitted with the
Unified Plan. State legislative approval
may be conferred by a resolution
adopted by votes of both houses of your
State legislature (unless your State has
a unicameral legislature) on any date
following July 28, 1998. The resolution
need not be freestanding; it may be
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included as an amendment to other
legislation. In either event, the
resolution should be specific and refer
to the requirements of section 501(b)(1)
and must clearly differentiate between
secondary and postsecondary vocational
education.
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. (§ 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). (§ 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. (§ 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. (§ 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.
(§ 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
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Administration has been developed and
implemented. (§ 188.).
9. The State assures that it will collect
and maintain data necessary to show
compliance with the nondiscrimination
provisions of section 188. (§ 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 Nonconstruction Programs.
(ii) 29 CFR part 37
—Nondiscrimination and Equal
Opportunity Assurance (and regulation)
29 CFR 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 WagnerPeyser Act-funded labor exchange
activities will be provided by meritbased 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.
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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 basis of race,
color and national origin; Section 504 of
the Rehabilitation Act of 1973, as
amended, which prohibits
discrimination against qualified
individuals with disabilities;
c. The Age Discrimination Act of
1975, as amended, which prohibits
discrimination on the basis of age; and
d. Title IX of the Education
Amendments of 1972, as amended,
which prohibits discrimination on the
basis of sex in educational programs.
e. 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.
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
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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.
(§ 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.
(§ 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.
(§ 224(b)(8).)
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
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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 interconnected 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.
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
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
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supplement that have not been
previously submitted to and approved
by the Commissioner of the
Rehabilitation Services Administration.
(§ 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. (§ 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.
(§ 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.
(§ 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. (§ 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
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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.
(§ 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.
(§ 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
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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. (§ 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. (§ 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
funds may be used in such areas if the
State notifies the Commissioner that the
State cannot provide the full nonFederal share without such funds.
(§ 101(a)(4).)
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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. (§ 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. (§ 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. (§ 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.
(§ 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
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identity of each individual.
(§ 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.
(§ 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. (§ 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. (§ 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. (§ 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.
(§ 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.
(§ 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
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are appropriately referred to Federal and
State programs, including other
components of the Statewide workforce
investment system in the State.
(§ 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. (§ 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. (§ 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. (§ 01(a)(9).)
29. Prior to providing any vocational
rehabilitation services, except:
a. Assessment for determining
eligibility and vocational rehabilitation
needs by qualified personnel, including,
if appropriate, an assessment by
personnel skilled in rehabilitation
technology;
b. 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;
c. Referral and other services to secure
needed services from other agencies
through agreements developed under
section 101(a)(11) of the Act, if such
services are not available under this
State Plan;
d. Job-related services, including job
search and placement assistance, job
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retention services, follow-up services,
and follow-along services;
e. Rehabilitation technology,
including telecommunications, sensory,
and other technological aids and
devices; and
f. 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.
(§ 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. (§ 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.
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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. (§ 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.
(§ 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.
(§ 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.
(§ 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. (§ 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. (§ 625(b)(6)(E).)
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37. To the extent job skills training is
provided, the training will be provided
on site. (§ 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. (§ 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. (§ 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.
(§ 625(b)(8).)
Unemployment Insurance
The Governor, by signing the Unified
Plan Signature Page, certifies that:
1. The SWA will comply with the
following assurances, and that the SWA
will institute plans or measures to
comply with the following
requirements. Because the Signature
Page incorporates the assurances by
reference into the Unified Plan, States
should not include written assurances
in their Unified Plan submittal. The
assurances are identified and explained
in Paragraphs (2)–(11) below.
2. Assurance of Equal Opportunity
(EO). As a condition to the award of
financial assistance from ETA:
(a) The State assures that it will
comply with the nondiscrimination
provisions of WIA section 188, and its
implementing regulations at 29 CFR part
37, including an assurance that a
Method of Administration has been
developed and implemented. (§§ 188
and 112(b)(17).);
(b) The State assures that it will
collect and maintain data necessary to
show compliance with the
nondiscrimination provisions of section
188, as provided in the regulations
implementing that section (§ 185).)
3. Assurance of Administrative
Requirements and Allowable Cost
Standards. The SWA will 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 (Audit
Requirements), 29 CFR part 97 (Uniform
Administrative Requirements for Grants
and Cooperative Agreements to State
and Local Governments), and OMB
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Circular A–87 (Revised), 60 FR 26484
(May 17, 1995), further amended at 62
FR 45934 (August 29, 1997) (Cost
Principles for State, Local, and Indian
Tribal Governments), and with
administrative requirements for
debarment and suspension applicable to
subgrants or contracts as specified in 29
CFR part 98 (Debarment and
Suspension). The cost of State staff
travel to regional and national meetings
and training sessions is included in the
grant funds. It is assured that State staff
will attend mandatory meetings and
training sessions, or unused funds will
be returned.
States that have subawards to
organizations covered by audit
requirements of OMB Circular A–133
(Revised) (Audit Requirements of
Institutions of Higher Education and
Other Non-Profits) 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.
(a) The SWA also assures that it will
comply with the following specific
administrative requirements.
(i). Administrative Requirements.
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
may 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.
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.
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, and in 29 CFR
97.31 to the extent amortized with UI
grants.
Equipment Acquired with Reed Act
Funds. The requirements for equipment
acquired with Reed Act or other non-
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19247
Federal funds and amortized with UI
grants are in UIPL 39–97, dated
September 12, 1997, and in 29 CFR
97.31 to the extent amortized with UI
grants.
Real Property, Equipment, and
Supplies. 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.
For super-microcomputer 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.
Standard Form 272, Federal Cash
Transactions Report. In accordance with
29 CFR 97.41(c), SESAs are required to
submit a separate SF 272 for each subaccount under the Department of Health
and Human Services (DHHS) Payment
Management System. However, SESAs
are exempt from the requirement to
submit the SF 272A, Continuation
Sheet.
(ii). 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 SESAs:
—Employee Fringe Benefits. As an
exception to OMB Circular A–87
(Revised) with respect to personnel
benefit costs incurred on behalf of
SESA 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 SESA fringe benefit plans
are allowable, provided that:
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
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.
For all SESA fringe benefit plans
other than retirement plans, if the
Secretary granted a time extension after
October 1, 1983, to the existing approval
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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. For retirement
plans and all other fringe benefit plans
covered above, any additional costs
resulting from improvements to the
plans made after October 1, 1983, are
not chargeable to UI grant funds.
—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:
Any court appeal from an
administrative or judicial decision
favorable in whole or in part for the
claimant;
Any court appeal by a claimant from
a decision which reverses a prior
decision in his/her favor;
Any court appeal by a claimant from
a decision denying or reducing benefits
awarded under a prior administrative or
judicial decision;
Any court appeal as a result of which
the claimant is awarded benefits;
Any court appeal by a claimant from
a decision by a tribunal, board of
review, or court which was not
unanimous; and
Any court appeal by a claimant where
the court finds that a reasonable basis
exists for the appeal.
Reed Act. Payment from the SESA’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:
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 real
property (as defined in 29 CFR 97.3);
and
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.
Prior Approval of Equipment
Purchases. As provided for in OMB
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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 SESA Administrator.
4. Assurance of Management Systems,
Reporting, and Record Keeping. The
SESA assures that:
—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).)
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.
It will submit reports to ETA as
required in instructions issued by ETA
and in the format ETA prescribes.
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.
5. Assurance of Program Quality. The
SESA 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 Tier I measures, Tier II
measures, program reviews, and the
administration of the UI BAM, BTQ
measures, and TPS program
requirements.
6. Assurance on Use of Unobligated
Funds. The SESA assures that nonautomation funds will be obligated by
December 31 of the following fiscal
year, and liquidated (expended) 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.
7. Assurance of Disaster Recovery
Capability. The SESA assures that it will
maintain a Disaster Recovery Plan.
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8. Assurance of Conformity and
Compliance. The SESA 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.
9. Assurance of Participation in UI
PERFORMS. The SESA assures that it
will participate in the annual UI
PERFORMS State Quality Service
Planning process by submitting any
Corrective Action Plans (CAPs) required
under UI PERFORMS as part of the State
Quality Service Planning process.
10. Assurance of Financial Reports
and Planning Forms. The SESA assures
that it will submit financial reports and
financial planning forms as required by
the Department of Labor to support the
annual allocation of administrative
grants.
11. Assurance of Prohibition of
Lobbying Costs (29 CFR part 93). The
SESA 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. (k). Drug-Free Workplace
(29 CFR part 98). The SESA assures and
certifies that it will comply with the
requirements at this part.
Temporary Assistance for Needy
Families (TANF)
By signing the Unified Plan signature
page, you are certifying that:
1. During the fiscal year, the State will
operate a child support enforcement
program under the State Plan approved
under part D. (§ 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. (§ 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.
(§ 402(a)(4).)
4. That, during the fiscal year, the
State will provide each member of an
Indian tribe, who is domiciled in the
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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 (§ 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. (§ 402(a)(6).)
6. (Optional) that the State has
established and is enforcing standards
and procedures to:
Screen and identify individuals
receiving assistance under this part with
a history of domestic violence while
maintaining the confidentiality of such
individuals;
Refer such individuals to counseling
and supportive services; and
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. (§ 402(a)(7)(A)(i), (ii),
(iii).)
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:
• General Administrative
Requirements:
—29 CFR part 97—Uniform
Administrative Requirements for State
and Local Governments (as amended
by the Act).
—29 CFR part 96 (as amended by OMB
Circular A–133)—Single Audit Act.
—OMB Circular A–87—Cost Principles
(as amended by the Act).
• Assurances and Certifications:
—SF 424—Application for Federal
Assistance.
—SF 424A—Budget Information—Nonconstruction Programs.
—SF 424 B—Assurances for Nonconstruction Programs.
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—Hatch Act Notices must be placed in
all work locations.
—Privacy Statement must be provided
to all participants.
—ETA–5140—Quarterly Progress
Report.
—ETA–8705—Equitable Distribution
Report.
By signing the Unified Plan signature
page, you are certifying that you will
abide by the following special clauses:
• Web site contact information must
be updated on a regular basis.
• Attendance is required at any
significant training to be held during the
program year.
• Any recipient that did not meet the
20 percent performance goal for
unsubsidized placements in Program
Year 2003 or 2004 must attach a
corrective action plan unless the
recipient has already achieved this goal
in Program Year 2004 at the time of
application.
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—
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 lowincome individuals and families, and a
description of how such activities will
enable the families and individuals—
To remove obstacles and solve
problems that block the achievement of
self-sufficiency (including selfsufficiency 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;
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;
To make better use of available
income;
To obtain and maintain adequate
housing and a suitable living
environment;
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
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19249
grassroots partnerships with local law
enforcement agencies, local housing
authorities, private foundations, and
other public and private partners to—
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 communitybased youth development programs that
have demonstrated success in
preventing or reducing youth crime,
such as—
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
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 description of the service delivery
system, for services provided or
coordinated with funds made available
through grants made under Section
675C(a), targeted to low-income
individuals and families in
communities within the State;
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;
A description of how funds made
available through grants made under
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section 675C(a) will be coordinated with
other public and private resources; and
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 lowincome individuals, to be inadequately
represented on the board (or other
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mechanism) of the eligible entity to
petition for adequate representation.
12. 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 lowincome individuals, to be inadequately
represented on the board (or other
mechanism) of the eligible entity to
petition for adequate representation.
13. 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.
14. 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 selfsufficiency, family stability, and
community revitalization.
15. The information describing how
the State will carry out the assurances
is described in this subsection.
Attachment A
ETA Regional Administrators
January 2005
Region 1—Boston/New York
Douglas Small, Regional Administrator,
U.S. Department of Labor/ETA, JFK
Federal Building, Room E–350,
Boston, Massachusetts 02203, (617)
788–0170, FAX: 617–788–0101,
Small.Douglas@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
19106–3315, (215) 861–5205, FAX:
215–861–5260, Jacobssimmons.lenita@dol.gov.
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Region 3—Atlanta
Helen Parker, Regional Administrator,
U.S. Department of Labor/ETA,
Atlanta Federal Center Rm. 6M12, 61
Forsyth Street, SW., Atlanta, Georgia
30303, (404) 562–2092, FAX: 404–
562–2149, parker.helen@dol.gov.
Region 4—Dallas/Denver
Joseph C. Juarez, Regional
Administrator, U.S. Department of
Labor/ETA, Federal Building, Rm.
317, 525 Griffin Street, Dallas, Texas
75202, (214) 767–8263, FAX: 214–
767–5113, Juarez.joseph@dol.gov.
Region 5—Chicago/Kansas City
Byron Zuidema, Regional
Administrator, U.S. Department of
Labor/ETA, 230 S. Dearborn Street,
Rm. 628, Chicago, Illinois 60604,
(312) 596–5400, FAX: 312–596–5401,
Zuidema.byron@dol.gov.
Region 6—San Francisco/Seattle
Richard Trigg, Regional Administrator,
U.S. Department of Labor/ETA, 71
Stevenson Street, Rm. 830, San
Francisco, California 94119–3767,
(415) 975–4610. FAX: 415–975–4612,
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 your State or
Commonwealth is including in this
Unified Plan.
The State Unified Plan shall cover one
or more of the following programs and
activities:
llSecondary vocational education
programs (Perkins III/Secondary).
Note that inclusion of this program
requires prior approval of State
legislature. (Carl D. Perkins
Vocational and Technical Education
Act of 1998 (20 U.S.C. 2301 et seq.)
llPostsecondary vocational education
programs (Perkins III/Postsecondary).
Note that for the purposes of what the
State Unified Plan shall cover, Perkins
III/Secondary and Perkins III/
Postsecondary count as one program.
(Carl D. Perkins Vocational and
Technical Education Act of 1998 (20
U.S.C. 2301 et seq.))
llActivities authorized under title I,
Workforce Investment Systems
(Workforce Investment Activities for
Adults, Dislocated Workers and
Youth, or WIA title I, and the Wagner-
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Federal Register / Vol. 70, No. 69 / Tuesday, April 12, 2005 / Notices
Peyser Act) (Workforce Investment
Act of 1998 (29 U.S.C. 2801 et seq.))
llActivities 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:
llFood Stamp Employment and
Training Program, or FSET (7 U.S.C.
2015(d))
llActivities authorized under chapter
2 of title II of the Trade Act of 1974
(Trade Act Programs) (19 U.S.C. 2271
et seq.)
llPrograms 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)
llActivities authorized under
chapters 41 & 42 of title 38, U.S.C.,
and 20 CFR 1001 and 1005 (Veterans
Programs, including Veterans
Employment, Disabled Veterans’
Outreach Program, and Local
Veterans’ Employment Representative
Program)
llPrograms 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)
llPrograms authorized under part A
of title IV of the Social Security Act
(Temporary Assistance for Needy
Families (TANF).
llPrograms authorized under title V
of the Older Americans Act of 1965
(Senior Community Service
Employment Program (SCSEP).) (42
U.S.C. 3056 et seq.) 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
your State Unified Plan if the State is
the funds recipient, and approval of
the Unified Plan will not trigger
funding for these programs.
llCommunity Development Block
Grants
llPublic Housing
llPrograms authorized under the
Community Services Block Grant Act
(Community Services Block Grant, or
CSBG) (42 U.S.C. 9901 et seq.)
VerDate jul<14>2003
17:06 Apr 11, 2005
Jkt 205001
2. Contact Information
Please complete one copy for EACH of
the separate activities and programs
included in your State Unified Plan.
Program: llllllllllllll
State Name for Program/Activity: lll
Name of Grant Recipient Agency for
Program/Activity: llllllllll
Address: llllllllllllll
Telephone Number: lllllllll
Facsimile Number: lllllllll
E-mail Address: lllllllllll
Name of State Administrative Agency (if
different from the Grant Recipient): ll
Address: llllllllllllll
Telephone Number: lllllllll
Facsimile Number: lllllllll
E-mail Address: lllllllllll
Name of Signatory Official: lllll
Address: llllllllllllll
Telephone Number: lllllllll
Facsimile Number: lllllllll
E-mail Address: lllllllllll
Name of Liaison: llllllllll
Address: llllllllllllll
Telephone Number: lllllllll
Facsimile Number: lllllllll
E-mail Address: lllllllllll
3. Plan Signature(s)
Governor (if Applicable)
As the Governor, I certify that for the
State/Commonwealth of llll, 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.
llllllllllllllllll
l
Typed Name and Signature of Governor
Date llllllllllllllll
Responsible State Official for Eligible
Agency for Vocational Education (if
Applicable)
I certify that for the State/
Commonwealth of llll, 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
PO 00000
Frm 00031
Fmt 4701
Sfmt 4703
19251
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.
llllllllllllllllll
l
Typed Name, Title, and Agency of
Responsible State Official for Vocational
Education
Signature llllllllllllll
Date llllllllllllllll
Responsible State Official for Eligible
Agency for Vocational Rehabilitation (if
Applicable)
I certify that for the State/
Commonwealth of llll, 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.
llllllllllllllllll
l
Typed Name, Title, and Agency of
Responsible State Official for Vocational
Rehabilitation
Signature llllllllllllll
Date llllllllllllllll
Responsible State Official for Eligible
Agency for Adult Education (if
Applicable)
I certify that for the State/
Commonwealth of llll, 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
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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.
VerDate jul<14>2003
17:06 Apr 11, 2005
Jkt 205001
lllllllllllllllll Date llllllllllllllll
Typed Name, Title, and Agency of Re- [FR Doc. 05–7175 Filed 4–11–05; 8:45 am]
sponsible State Official for Adult EduBILLING CODE 4510–30–P
cation lllllllllllllll
Signature llllllllllllll
PO 00000
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]]>Agencies
[Federal Register Volume 70, Number 69 (Tuesday, April 12, 2005)]
[Notices]
[Pages 19222-19252]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 05-7175]
[[Page 19221]]
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Part IV
Department of Labor
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Employment and Training Administration
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Workforce Investment Act: Revisions to the Workforce Investment Act
Title I, Wagner Peyser Act and the Senior Community Service Employment
Program Unified Planning Guidance; Notice
Federal Register / Vol. 70, No. 69 / Tuesday, April 12, 2005 /
Notices
[[Page 19222]]
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DEPARTMENT OF LABOR
Employment and Training Administration
Workforce Investment Act: Revisions to the Workforce Investment
Act Title I, Wagner Peyser Act and the Senior Community Service
Employment Program Unified Planning Guidance; Notice
AGENCY: Employment and Training Administration, Department of Labor.
ACTION: Notice.
-----------------------------------------------------------------------
SUMMARY: The purpose of this notice is to provide interested parties
with the revisions to portions of the ``Workforce Investment Act: Final
Unified Planning Guidance: Notice'' related to title I of the Workforce
Investment Act of 1998, the Wagner Peyser Act and the Senior Community
Service Employment Program (SCSEP) under title V of the Older Americans
Act, for use by States. The Department is anticipating the
reauthorization of the Workforce Investment Act (WIA) within the next
two years. Therefore, the Employment and Training Administration (ETA)
is requiring revisions to the Unified Plan related to WIA and Wagner-
Peyser only for the first two years of the five-year planning cycle.
For SCSEP, States have the option of submitting a two year plan as
well. ``Options for programs funded by the U.S. Department of Education
that are included in a State's Five-year Strategic Unified Plan also
are discussed in this notice.''
The Unified Planning Guidance and Instructions provide 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
Avenue, NW., Room S4231, Washington, DC 20210. Telephone: (202) 693-
3980 (voice) (This is not a toll free number) or (202) 693-7755 (TTY).
Information may also be found at the Web site--https://www.doleta.gov/
usworkforce.
DATES: The effective date of this document is April 12, 2005. Due date
for Plan submission is May 31, 2005.
SUPPLEMENTARY INFORMATION: The Workforce Investment Act (WIA or Act),
Pub. L. 105-220 (August 7, 1998) provides the framework for a reformed
public workforce investment system designed to meet the needs of the
nation's employers, job seekers and those who want to further their
careers. This document updates the DOL provisions of the interagency
planning guidelines for the State Unified Plans under sec. 501 of the
Act, to provide guidance for states which choose to submit a Unified
Plan to meet the WIA title I State Plan requirements for PY 2005 and
2006. Options for programs funded by the U.S. Department of Education
that are included in a State's Five-year Strategic Unified Plan also
are discussed in this notice.
In the context of the 21st century innovation economy, the public
workforce investment system has a critical role to play at every
level--local, State, and Federal--to ensure a skilled and competitive
workforce. To effectively drive the economic growth of our communities
and the nation and to provide the workers of this country with the
right skills and opportunities for good jobs with good pay and career
pathways, the public investments in workforce development need to be
strategic. Strategies for investment need to embrace new methods of
engagement with strategic partners as well as new service delivery
paradigms that address the ever-changing economy and labor market.
Innovation and technology are continuously changing the nature of work
at an accelerated pace. Therefore, the strategic planning process for
workforce investment must be dynamic, fluid, and future oriented.
The Workforce Investment Act (WIA) of 1998 created dramatic changes
to the workforce system. With the overarching goal to streamline,
consolidate, and integrate a wide array of employment and training
programs, system changes spanned every facet of operation including
governance, administration and funding, and service delivery. The
vision is for an integrated workforce investment system better able to
respond to the needs of its customers. The framework of the Workforce
Investment Act embodies principles that remain critical to the
strategic planning process in today's economy.
Since the passage of WIA, the workforce investment system broadly
has made great strides in implementing the principles described above.
However, there remains significant opportunity for States and local
areas to utilize the framework of WIA to realize the vision these
principles reflect. The changes in the WIA State Planning process
reflected in this document are intended to facilitate a realization of
that vision as well as to set the stage for the planning process in the
context of the 21st century economy.
The Department of Labor sees as one of its primary roles providing
leadership and guidance to support a system that meets the objectives
of Title I of WIA, and in which State and local partners have
flexibility to design systems and deliver services in a manner designed
to achieve the goals for WIA based on their particular needs. In the
context of the 21st century innovation economy, the workforce
investment system has a critical role to play at every level--local,
State, and Federal--to ensure a skilled and competitive workforce. To
effectively drive the economic growth of our communities and the nation
and to provide the workers of this country with the right skills and
opportunities for good jobs with good pay and career pathways, the
public investments in workforce development need to be strategic.
Strategies for investment need to embrace new methods of engagement
with strategic partners as well as new service delivery paradigms that
address the ever-changing economy and labor market. Innovation and
technology are continuously changing the nature of work at an
accelerated pace. Therefore, the strategic planning process for
workforce investment must be dynamic, fluid, and future oriented.
Signed at Washington, DC, this 5th day of April, 2005.
Emily Stover DeRocco,
Assistant Secretary of Labor, Employment and Training Administration.
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. Modifications to State Plan
H. Inquiries
Part II. National Strategic Direction
A. Vision and Goals related to WIA Title I and Wagner Peyser
B. Demand-driven Workforce Investment System
C. System Reform and Increased Focus on Training
D. Enhanced Integration through One-Stop Delivery System
E. New Vision for Serving Youth Most In Need
F. A Stronger Workforce Information System
G. Effective Utilization of Faith-based and Community Based
Organizations
H. Increased Use of Flexibility Provisions in WIA
I. Performance Accountability and Implementation of Common
Performance Measures
Part III. United Planning Instructions
A. State Vision and Priorities
B. One-Stop Delivery System
[[Page 19223]]
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
B. Unified Plan Activities and Program Checklist
State Unified Plan Planning Guidance
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 SCSEP portions of the Unified Plan.
Options for programs funded by the U.S. Department of Education that
are included in a State's Five-year Strategic 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.
Therefore, States that choose to update the WIA/Wagner Peyser and/or
SCSEP portions of a Unified Plan need only submit the updated Plan
meeting the WIA/Wagner Peyser and/or SCSEP requirements of this
document. States that choose to submit a new Unified Plan for PYs 2005-
2007 for programs other than SCSEP, title I of WIA and the Wagner
Peyser Act, will continue to use the guidance and instructions
contained in this document, which have not been revised.
An approved Workforce Investment Plan is required in order for
States to receive formula allotments under WIA title I and the Wagner
Peyser Act. The current Workforce Investment Plans expire June 30,
2005. The Department of Labor is anticipating the reauthorization of
WIA within the next two years. To meet the requirements of WIA and
Wagner Peyser that States must have approved Plans in place to receive
allotments, the Employment and Training Administration (ETA) is
requiring States to only develop a Plan for the first two years of the
five-year strategic planning cycle. This will allow States to
strategically approach their workforce investment policies for the
immediate future, without requiring a full five-year unified plan, in
light of the anticipated reauthorization of WIA. 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.
Options for programs funded by the U.S. Department of Education.
With respect to the programs originally authorized by the Carl D.
Perkins Vocational and Technical Education Act of 1998 (Perkins III)
and the Adult Education and Family Literacy Act (AEFLA), the U.S.
Department of Education already has issued guidance to States that
discusses the option of extending the existing State plans with certain
necessary revisions. This option of extending the existing plan applies
as well to any subsections of a unified State plan that are related to
programs under either Perkins III or 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 15, 2005, for Perkins III
programs and April 1, 2005, for AEFLA programs. See Program Memorandum
OVAE/DHSPCE FY 2005-03, Guidance for Submission of State Plan
Revisions, Budgets, and Proposed Performance Levels for Perkins Grant
Awards (OMB Control number 1830-0556), dated January 14, 2005, at the
following Web site: https://www.ed.gov/policy/sectech/guid/cte/
memo011405.doc See also 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 the Perkins III or 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. With respect to the
Perkins III programs, for example, these requirements include State
consultation of required parties and entities, public hearings, and
adoption of the new State plan by the eligible agency, i.e., the State
board that is the sole State agency responsible for the administration,
or the supervision of the administration, of the State's vocational and
technical education program. With respect to the AEFLA program, for
example, these requirements include conducting a needs assessment.
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. Only provisions
related to the SCSEP, WIA title I and Wagner Peyser Act Plan have been
changed. The Unified Plan requirements for other programs remain the
same as those outlined in the January 14, 2000 version of this document
(65 Federal Register 2464).
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 Vocational Education programs (Perkins III/
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:
Jennifer Brianas: 202-245-7808 (phone); 202-245-7837 (fax); (E-mail:
Jennifer.brianas@ed.gov).
Postsecondary Vocational Education programs (Perkins III/
Postsecondary) Administered by Department of Education, Office of
Vocational and Adult Education. Staff Contact: Jennifer Brianas: 202-
245-7808 (phone); 202-245-7837 (fax); (E-mail:
Jennifer.brianas@ed.gov).
Tech-Prep Education (Title II of Perkins III) Administered
by Department of Education, Office of Vocational and Adult Education.
Staff Contact: Jennifer Brianas: 202-245-7808 (phone); 202-245-7837
(fax); (E-mail: Jennifer.brianas@ed.gov).
Activities authorized under title I, Workforce Investment
Systems (Workforce Investment Activities for
[[Page 19224]]
Adults, Dislocated Workers and Youth, or WIA title I) Administered by
Department of Labor, Employment and Training Administration. Staff
Contact: Christine D. Kulick: 202-693-3045 (phone); 202-693-3015 (fax);
(E-mail: kulick.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: Jennifer Brianas: 202-245-7808
(phone); 202-245-7837 (fax); (E-mail: Jennifer.brianas@ed.gov).
Food Stamp Employment and Training Program, or 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: Stephanie Cabell: 202-693-
2784 (phone); 202-693-3015 (fax); (E-mail: cabell.stephanie@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 Abbott:
202-245-7251 (phone); 202-245-7590 (fax); (E-mail: jerry.abbott@ed.gov)
Programs authorized under chapters 41 and 42 of title 38,
U.S.C., 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: Pamela
Langley: 202-693-4708 (phone); 202-693-4755 (fax); (E-mail:
langley.pamela@dol.gov).
Programs authorized under State unemployment compensation
laws (Unemployment Insurance) Administered by Department of Labor,
Employment and Training Administration. Staff Contacts: William Coyne;
202-693-3202 (phone); 202-693-3975 (fax); (E-mail:
coyne.william@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); 202-205-5887 (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: Ria-Moore Benedict: 202-693-3198
(phone); 202-693-3817 (fax); (E-mail: benedict.ria@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: Christopher Lord:
202-708-1506; Fax: 202-708-2706 (E-mail: Christopher--D.--
Lord@hud.gov).
Programs authorized under the Community Services Block
Grant Act (Community Services Block Grant, or 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 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 final 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 final 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
final 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. Submission--Time 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 Workforce Investment Plan for
Program Year 2005 and 2006. Due to the uncertainty relating to possible
reauthorization of WIA, the Federal Government is only requiring the
submission of the first two program years of the WIA/Wagner Peyser
portion of the five-year Unified Plan. The due date for submission of a
Unified Plan covering the first two-year period (July 1, 2005 through
June 30, 2007) is Tuesday, May 31, 2005.
A State's request to extend subsections of a unified plan related
to programs under either Perkins III or AEFLA must be submitted
directly to the U.S. Department of Education and is due April 15, 2005,
for Perkins III programs and April 1, 2005, for AEFLA programs. See
Program Memorandum OVAE/DHSPCE FY 2005-03, Guidance for Submission of
State Plan Revisions, Budgets, and Proposed Performance Levels for
Perkins Grant Awards (OMB Control number 1830-0556), dated January 14,
2005, at the following Web site: https://www.ed.gov/policy/sectech/guid/
cte/memo011405.doc. See also Guide for the Development of a State Plan
under the Adult Education and Family Literacy Act (OMB Control number
1830-0026).
To reduce the reporting and processing burden, States have the
option of submitting their WIA/Wagner-Peyser or SCESP 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 Christine Kulick, e-mail:
kulick.christine@dol.gov; phone: 202-693-3045. Her postal address is:
Division of One-Stop Operations, Employment and Training
Administration, U.S. Department of Labor, 200 Constitution Ave., NW.,
Room S-4231, Washington, DC 20210, ATTN: Ms. Christine Kulick.
States are encouraged to send a single copy to WIA.PLAN@DOL.GOV
(which is managed by the Federal Coordinator) or directly to the
Federal Coordinator who will be responsible for distributing the Plan
to each Federal agency whose programs are included in the Unified
[[Page 19225]]
Plan. The Federal Coordinator will also provide a copy of the Plan to
the appropriate Department of Labor (DOL) Regional Office.
States have the option, however, of submitting their Unified Plans
directly to each Federal Department whose programs are included in the
Unified Plan, except for Perkins III and 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 Postsecondary Vocational 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. Electronic mail addresses for the Departmental Contacts are as
follows:
Department of Labor: kulick.christine@dol.gov
Department of Education: jerry.abbott@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: Christopher--D.--
Lord@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.
Electronic submission. States can submit a Unified Plan
electronically either by posting it on an Internet Web site that is
accessible to the Department or by transmitting it through electronic
mail to the Department.
Posting Unified Plans on an Internet Web site. Under this option, a
State need only 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
grants prior approval. The Federal Coordinator will ensure that Federal
agencies whose programs are included in the Unified Plan, and the
appropriate DOL Regional Office, receive the relevant information: the
URL and the location of the document on the Web site; the contact
information; and a copy of the statement certifying that there will be
no changes.
Transmitting Unified Plans by electronic mail. Any State submitting
its Plan by electronic mail should send it to WIA.PLAN@DOL.GOV. The
Federal Coordinator, who manages this site, 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.
Other considerations when using electronic submission. Unified Plan
certifications with electronic signatures are acceptable. If a State
chooses not to use an electronic signature, then the signature page
must be submitted in hard copy. 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.
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
Christine Kulick, the Federal Coordinator for Plan Review and Approval
(the address is provided above). The Federal Coordinator will ensure
that Federal agencies whose programs are included in the Unified Plan,
and the appropriate DOL Regional Office, receive copies of the Plan.
States submitting a Unified Plan on CD-ROM should submit one copy
of the Plan to Christine Kulick, the Federal Coordinator for Plan
Review and Approval. The Federal Coordinator will ensure that Federal
agencies 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.
It is important that States recognize that mail security
requirements implemented by the U.S. Postal Service can result in
delays in delivery of Plans whereas Federal Express and United Parcel
Service deliveries have not been impacted.
States are encouraged to include a table of contents at the
beginning of its State Unified Plan. This will facilitate access by the
public to its component parts and aid the Federal Government in its
review of the Unified Plan. States submitting a hard copy of their Plan
are encouraged to provide an unbound copy to facilitate duplication.
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. However, for Unified Plans that are submitted by May
31, 2005, for the two-year planning period, July 1, 2005 through June
30, 2007, the Department of Labor is committed to completing its review
of those portions of the Unified Plan related to WIA/W-P and SCSEP
within 30 days, to allow States additional time to prepare the Plan.
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 Unified Plan, and clearly
indicate the reasons for disapproval and specify what additional
information is required
[[Page 19226]]
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
your State Unified Plan. These forms are available for electronic
download, along with this entire guidance, at https://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
your 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 your 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 your
State Unified Plan. Use of this specific format is optional, but the
wording on your 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 your 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 your State's Unified
Plan.
G. Modifications
Modifications may be needed in any number of areas to keep the
Unified Plan a viable, living document over its two-year life. WIA
regulations permit states to modify their state workforce investment
plan at any time. 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.
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, or to appropriate Federal agency, 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 or to
revise a plan to reflect newly negotiated performance levels.
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 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.
H. Inquiries
General inquiries about the State Unified Plan process may be
directed to the Federal Coordinator for Plan Review and Approval. The
electronic mail address for the Federal Coordinator (Christine Kulick)
is kulick.christine@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.
II. National Strategic Direction
A. Vision and Goals Related to WIA Title I and Wagner Peyser
1. The purpose of this portion of this WIA and Wagner Peyser
Unified Planning Guidance is to communicate national direction and
strategic priorities for the workforce investment system. Broadly, the
Federal goals for the workforce investment system for this planning
cycle include:
a. Realizing the reforms envisioned by the Workforce Investment Act
including:
i. Integrated, seamless service delivery through comprehensive One-
Stop Career Centers;
ii. A demand-driven workforce system governed by business-led
Workforce Investment Boards;
iii. Maximum flexibility in tailoring service delivery and making
strategic investment in workforce development activities to meet the
needs of State and local economies and labor markets;
iv. Customers making informed choices based on quality workforce
information and accessing quality training providers;
v. Increased fiscal and performance accountability; and
vi. A youth program targeting out-of-school populations with
increased accountability for employment and/or increased secondary and
post-secondary education outcomes.
b. Incorporating new statutory and regulatory program requirements
that have evolved since the passage of WIA, such as priority of service
for veterans as prescribed by the Jobs for Veterans Act (Pub. L. 107-
288), (38 U.S.C. 4215).
c. Providing the national strategic priorities and direction in the
following areas:
i. Implementation of a demand-driven workforce system;
ii. System reform to eliminate duplicative administrative costs and
to enable increased training investments;
iii. Enhanced integration of service delivery through One-Stop
delivery systems nationwide;
iv. A refocusing of the WIA youth investments on out-of-school
youth populations, collaborative service delivery across Federal
programs, and increased accountability;
v. Improved development and delivery of workforce information to
support Workforce Investment Boards in their strategic planning and
investments; providing tools and products that support business growth
and economic development; and providing quality career guidance
directly to students and job seekers and their counselors through One-
Stop Career Centers;
vi. Faith-based and community-based organizations playing an
enhanced role in workforce development;
vii. Enhanced use of waivers and workflex provisions in WIA to
provide greater flexibility to States and local areas in structuring
their workforce investment systems; and
viii. Reporting against common performance measures across Federal
employment and training programs.
B. Demand-Driven Workforce Investment System
1. The realities of today's global economy make it imperative that
the public workforce investment system be demand-driven, providing
services that prepare workers to take advantage of new and increasing
job opportunities in high growth/high demand and economically vital
industries and sectors of the American economy. The foundation of this
effort is partnerships that include the workforce system, business and
industry, and education and training providers, that develop and
[[Page 19227]]
implement a strategic vision for economic development. Becoming demand-
driven represents a major transformation of this system, which, for 40
years, has been primarily framed around individuals needs for service
rather than focusing on both the needs of job seekers and the business
community.
2. To be successful, the workforce investment system must begin
today to prepare the workforce of tomorrow. Each year, the United
States invests approximately $15 billion into the workforce system. To
ensure that this large investment is used effectively, it is imperative
that all of the components of the workforce system at the national,
State, and local levels become demand-driven and contribute to the
economic well-being of communities and the nation by developing a
qualified and competitive workforce. Current job opportunities must be
known as well as where the good jobs will be in the future by (1)
identifying the workforce needs in high-growth, high-demand and
economically critical industries and the necessary preparation required
to succeed in those occupations and (2) understanding the workforce
challenges that must be addressed to ensure a prepared and competitive
workforce. This requires all of the key players in the State and local
system, including Governors and Local Elected Officials, State and
Local Workforce Investment Boards (WIBs), State Workforce Agencies, and
One-Stop Career Centers to:
a. Have a firm grasp of their State and local economies;
b. Strategically invest and leverage their resources;
c. Build partnerships between industry leaders and educational
institutions that develop solutions to workforce challenges; and
d. Allocate training dollars to provide the skills and competencies
necessary to support industry now and in the future.
3. The workforce investment system is a catalyst that links
employers, economic development organizations, public agencies, and the
education community to build and deliver innovative answers to
workforce challenges.
4. Development of a demand driven strategic plan requires utilizing
economic information and analysis to drive strategic investments,
identifying strategic partners, and designing effective service
delivery systems. Some of the important elements of a demand-driven
strategic plan include the following:
a. Economic analysis is a fundamental starting point for a demand-
driven approach to workforce investment. A wide array of workforce
information and data, including economic indicators, labor market
information, census data, educational data, transactional data,
projections and data from the private sector, and one-on-one interviews
with businesses needs to be collected and analyzed.
b. Workforce strategies that target industries that are high
growth, high demand and critical to the State and/or local economy are
most likely to support economic growth and provide individuals with the
opportunities to get good jobs with good pay and career pathways.
c. Strategic partnerships among the workforce investment system,
targeted businesses and industries, economic development agencies, and
education and training providers (including K-12) provide a strong
foundation for identifying workforce challenges and developing and
implementing innovative workforce solutions focused on a workforce with
the right skills. The workforce system must be the catalyst for
bringing these target partnerships together.
d. A solutions-based approach that brings the right strategic
partners and resources to the table promotes a comprehensive analysis
of workforce challenges and also provides the synergy for successful,
innovative workforce solutions and the opportunity to effectively
leverage workforce investment resources.
e. A demand-driven workforce investment system ensures that the
full array of assets available through the One-Stop delivery system is
available to support individual workers as well as to provide solutions
to workforce issues identified by business and industry.
f. Translating the demand for workers with the skills businesses
need into demand-driven career guidance must be one of the human
resource solutions provided broadly by the workforce investment system.
5. The WIA and Wagner Peyser related Unified Planning guidance
includes new language in support of these principles which offers
States an opportunity, in the context of the State Planning process, to
formally articulate demand-driven goals and strategies tailored to the
unique needs of the State.
C. System Reform and Increased Focus on Training
1. Workforce training is one of the major areas in which the
President is focusing reform efforts. In April 2004, he challenged the
workforce investment system at the State and local levels to eliminate
unnecessary overhead costs and simplify administration in order to
preserve more resources for training. The system currently spends
approximately 30% of appropriated funds each year on infrastructure and
``other'' costs as currently reported by States as part of their
routine reporting under WIA. Some of these funds are wisely spent, but
clearly more can be made available for training. The President has
called for the system to double the number of individuals trained under
major WIA grant programs. Through WIA reauthorization, additional
reforms in support of these goals are anticipated.
2. The WIA State Plan provides States with a platform to promote
greater efficiencies in the workforce system by articulating
administrative policies for State and local governance processes. The
State has multiple vehicles to increase consolidation and integration
of the infrastructure through policies, required practices, provision
of technical assistance and monitoring. The State also can articulate
its goals for expenditures of resources for training in industries and
occupations critical to the State's economy.
D. Enhanced Integration Through One-Stop Delivery System
1. One of the primary expectations of the workforce system under
the WIA statutory framework is a seamless, integrated One-Stop delivery
system. The expectation for an integrated service delivery system
remains firmly embedded as a key principle of a demand-driven workforce
system.
2. The goal of integration is to ensure that the full spectrum of
community assets is used in the service delivery system, and to support
human capital solutions for businesses, industry and individual
customers. Different programs fund different types of services and
serve different populations. These unique program features in the
system provide both breadth and depth to the human capital solutions
offered to businesses and industry. However, the assets go beyond
program funding, and without integration of those assets, the system
limits its impact and success.
3. The workforce system has had a vision of integration for over a
decade, supported with the Federal investment in One-Stop Centers in
the mid-1990s and later realized in statute with the passage of WIA.
Despite many efforts, the vision of seamless, integrated service
delivery remains unrealized in many areas. It is still all too common
to visit local areas across the nation and find a One-Stop office
within blocks of a separate ``job service'' or ``affiliate'' office or
a comprehensive One-Stop
[[Page 19228]]
Center where programs are co-located, but with little integration. In
addition, there is often a lack of consistency in policy and service
delivery across workforce investment areas within a State, which causes
customer confusion and frustration. While there are real challenges to
achieving the vision of integration, it is a vision that can be
realized. Due to strong leadership, creativity, and hard work at the
State and local levels, a number of One-Stop Centers have overcome turf
issues and administrative challenges to offer integrated service
delivery.
4. Strong State leadership has been identified as one of the key
success factors in achieving integration in One-Stop Centers. The WIA
State Planning process offers a unique opportunity for the Governor and
the State Workforce Investment Board to clearly articulate the State's
goals for integration and to help remove any barriers. The Employment
and Training Administration (ETA) is committed to working with States
to support integration efforts.
E. New Vision for Serving Youth Most In Need
1. The Administration is committed to trying bold, innovative and
flexible initiatives to prepare the most at-risk and neediest youth for
jobs in our changing economy. ETA, in collaboration with the
Departments of Education, Health and Human Services, and Justice, has
developed a new strategic vision to more effectively and efficiently
serve out-of-school and those at risk of dropping out-of-school
(Training and Employment Guidance Notice No. 3-04). Regional Youth
Forums were conducted in the fall of 2004 that brought together State
youth leaders to develop similar partnerships at the State level, and
to begin to develop a common vision and action plan for implementing
cross-agency State approaches for serving the neediest youth.
2. Out-of-school youth (and those most at risk of dropping out) are
an important part of the new workforce supply pipeline needed by
businesses to fill job vacancies in a knowledge-based economy. WIA-
funded youth programs should connect these youth with quality secondary
and post-secondary educational opportunities and high-growth and other
employment opportunities.
3. ETA's new vision for serving youth will present challenges for
how State and local WIA programs interact and link with State and local
education and economic development systems. To achieve this vision,
States should consider this new strategic approach and associated goals
across four major areas:
a. Alternative Education--Goal: Provide leadership to ensure that
youth served in alternative education programs will receive a high
quality education that adheres to the State standards developed in
response to the No Child Left Behind (NCLB) legislation.
b. Demand of Business--Goal: The investment of WIA youth resources
will be demand-driven, assuring that youth obtain the skills needed by
businesses so that they can succeed in the 21st century economy.
c. Neediest Youth--Goal: Investments will be prioritized to serve
youth most in need including out-of-school youth (and those at risk of
dropping out of school), youth in foster care, those aging out of
foster care, youth offenders, children of incarcerated parents,
homeless youth, and migrant and seasonal farmworker youth.
d. Improved Performance--Goal: Key initiatives will be implemented
to assure that programs are performance-based and focused on outcomes.
4. ETA has developed strategic partnerships at the Federal level
with the Department of Education's Office of Vocational and Adult
Education, the Department of Health and Human Services' Administration
for Children and Families, and the Department of Justice's Office of
Juvenile Justice and Delinquency Prevention. Through the State Planning
process, Governors have the opportunity to promote strategic
partnerships across State agencies serving youth to enhance service
delivery and more effectively leverage available resources. ETA
encourages Governors to play a key leadership role in enhancing intra-
State coordination among these agencies and to develop cross-agency
approaches for serving youth. The WIA State Planning process is a
vehicle for driving a Statewide youth vision that ensures that
previously marginalized youth become an important pipeline of workers.
F. A Stronger Workforce Information System
1. As discussed previously, a strong foundation of economic data
and workforce information, along with the ability to analyze the data
and transform it into easily understood intelligence, is one of the
keys to effective strategic planning for a demand-driven workforce
investment system. To achieve that vision, the workforce system needs
to move beyond traditional labor market information strategies and
develop a workforce information system that helps drive both economic
development and workforce investment for the State. In their lead role,
States need to embrace a wide array of data sources, new strategies for
making it available to customers, and consider alternative ways to
invest and leverage public and private resources to build the State's
workforce information system.
Workforce information is critical not only for driving the
investments of the workforce system, but it is also a fundamental
decision tool for the nation's businesses, students, workers, parents,
guidance counselors, and education institutions. The development of
workforce information is the responsibility broadly of Governors, State
workforce agencies, State agencies designated under WIA as responsible
for labor market information, State economic development agencies, and
Local Workforce Investment Boards.
G. Effective Utilization of Faith-Based and Community-Based
Organizations
1. President Bush signed Executive Order 13198 on January 29, 2001,
with the goal of removing statutory, regulatory, and procedural
barriers that prevent faith-based and community organizations (FBCOs)
from participating in the provision of social services. The Department
of Labor Center for Faith-based and Community Initiatives, created
under the Executive Order has worked closely with ETA to help increase
the opportunities for FBCOs to partner with the workforce investment
system. As legal and regulatory barriers have been removed, the
Department of Labor has been increasingly focusing on ways to integrate
FBCOs into the WIA system at the local level including:
a. Expanding the access of faith-based and community organizations'
clients and customers to the training, job and career services offered
by the local One-Stop Centers;
b. Increasing the number of faith-based and community organizations
serving as committed and active partners in the One-Stop delivery
system.
2. By integrating the workforce system with the resources available
through these organizations, the capacity of the workforce investment
system to serve those most in need is significantly expanded.
Continuing to promote integration of FBCOs remains a focal point for
the President and the Department of Labor. States are encouraged to
incorporate strategies that include FBCOs into their State Plans.
[[Page 19229]]
H. Increased Use of Flexibility Provisions in WIA
For the workforce system to be successful in promoting business
prosperity and employment opportunities for workers, States must have
the flexibility to design innovative programs based on local need and
labor markets. WIA as it exists today provides significant
opportunities to States to obtain waivers of statutory and regulatory
requirements that may impede achieving the State's workforce goals.
Therefore, one of the key focal points as States move into a new
planning cycle is to encourage States to utilize the full range of
flexibility offered under WIA's waiver and workflex provisions. The
workflex option has not been utilized by States and may offer the
greatest range of opportunity for States. ETA is committed to sharing
the waiver strategies States have utilized to date and providing
technical assistance to States considering requesting waivers. The
State Unified Plan provides a vehicle for the State to identify waiver
opportunities and to formally request waivers in concert with overall
strategic planning. Waivers may be requested at other times as well.
I. Performance Accountability and Implementation of Common Performance
Measures
1. Improved performance accountability for customer-focused results
is a central feature of WIA and remains a strategic priority for the
President and the Department of Labor. In an effective accountability
system, a clear link should exist between the State's program design
and the results achieved. The performance information should be
available to and easily understood by all customers, stakeholders, and
operators of the workforce investment system.
2. To enhance the management of the workforce system and the
usability of performance information, the Department, in collaboration
with other Federal agencies, has developed a set of common performance
measures for Federally-funded training and employment programs. The
value of common measures is the ability to describe in a similar manner
the core purposes of the workforce system--did people find jobs; did
people stay employed; and did earnings increase? Standardizing the
definitions of the outcomes across programs simplifies reporting.
Coupled with valid and accurate information, use of common measures
provides a greater ability to compare and manage results.
3. It is ETA's intent to begin data collection in support of common
measures effective July 1, 2005, for Program Year 2005. This was
recently announced in Training and Employment Guidance Letter 18-04,
``Announcing the soon-to-be-published Proposed Revisions to Existing
Performance Reporting Requirements for the Implementation of Common
Measures for title I of the Workforce Investment Act (WIA), the Wagner-
Peyser Act (Employment Service (ES)/Labor Exchange), the Trade
Adjustment Assistance Reform Act (TAA), and title 38, chapter 41 Job
Counseling, Training, and Placement Service (Veterans' Employment and
Training Service (VETS)).'' Prior to the effective date, ETA will
publish proposed revisions to reporting and recordkeeping requirements
in support of common measures in a separate Federal Register Notice.
4. The common measures are an integral part of ETA's performance
accountability system. ETA will continue to collect from states and
grantees other data on program activities, participants, and outcomes
necessary for program management, including data that support the
existing WIA performance measures, and to convey full and accurate
information on the performance of workforce programs to policymakers
and stakeholders.
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. References to the Welfare-to-Work
program have been deleted due to the expiration of that program.
A. Vision and Priorities
WIA/Wagner Peyser Plan requirements:
1. 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 system in support of the
State's economic development that address 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).)
2. 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).)
3. 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).)
4. 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).)
5. 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).)
6. 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 the youth most in need, such as out
of school youth, homeless youth, youth in foster care, youth aging out
of foster care, youth offenders, children of incarcerated parents,
migrant and seasonal farmworker youth, and other youth at risk? (Sec.
112(a).)
7. 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 your Unified Plan includes:
(a) WIA Title I and Wagner-Peyser Act and/or Veterans Programs:
(i.) 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
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Statewide workforce investment system? (Sec. 112(b)(10).)
(ii.) What strategies are in place to address the national
strategic direction discussed in Part I 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).)
(iii.) Based on the State's economic and labor market analysis,
what strategies has the State implemented or plans 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; or
Industries that have a significant impact on the overall
economy; or
Industries that impact the growth of other industries; or
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.
(iv.) 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).)
(v.) 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).)
(vi.) 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).)
(vii.) How are the funds reserved for Statewide activities used to
incent the entities that make up the State's workforce 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).)
(viii.) 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).)
(ix.) Describe the State's strategies to identify State laws,
regulations, policies that impede successful achievement of workforce
development goals and strategies to change or modify them. (Sec.
112(b)(2).)
(x.) 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 Centers such as
development of minimum guidelines for operating comprehensive One-Stop
Centers, competencies for One-Stop Career Center staff or development
of a certification process for One-Stop 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. 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).)
State Consultation with Local Areas in Development of Plan: The
authorizing statutes for
