Planning Guidance for State Unified Plans and Unified Plan Modifications Submitted Under Section 501 of the Workforce Investment Act (WIA), 73730-73759 [E8-28406]
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Federal Register / Vol. 73, No. 233 / Wednesday, December 3, 2008 / Notices
DEPARTMENT OF LABOR
Employment and Training
Administration
Planning Guidance for State Unified
Plans and Unified Plan Modifications
Submitted Under Section 501 of the
Workforce Investment Act (WIA)
Employment and Training
Administration.
ACTION: Notice.
AGENCY:
SUMMARY: The purpose of this notice is
to provide interested parties with the
planning guidance for use by states in
submitting their Unified State Plans
under section 501 of the Workforce
Investment Act of 1998 as well as Plan
modifications. The Planning Guidance
provides a framework for the
collaboration of governors, local elected
officials, businesses and other partners
to continue the development of
workforce investment systems that
address customer needs, deliver
integrated user-friendly services, and
are accountable to the customers and
the public.
FOR FURTHER INFORMATION CONTACT: Ms.
Gay Gilbert, Administrator, Office of
Workforce Investment, U.S. Department
of Labor, 200 Constitution Ave., NW.,
Room S–4231, Washington, DC 20210.
Telephone: (202) 693–3980 (voice) (this
is not a toll free number) or (202) 693–
7755 (TTY).
SUPPLEMENTARY INFORMATION:
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Planning Guidance for State Unified
Plans and Unified Plan Modifications
Submitted Under Section 501 of the
Workforce Investment Act (WIA)
OMB Control Number 1205–0398.
Expiration Date: Nov 30, 2011.
Table of Contents
Part I. State Planning Instructions
A. Statement of Purpose
B. Background
C. Section 501 Programs and Activities
D. Submission of State Unified Plans
E. Federal Government Review and
Approval of Unified Plan
F. How to Use ‘‘Attachment B’’
G. Negotiated WIA and Wagner-Peyser Act
Performance Indicators
H. Modifications to State Plan
I. Inquiries
Part II. National Strategic Direction
A. Vision and Goals Related to WIA Title
I and Wagner-Peyser Act
B. Demand-Driven Workforce Investment
System Within a Regional Economic
Development Context
C. System Reform and Increased Focus on
Workforce Education and Training
D. Enhanced Integration Through the OneStop Delivery System with Improved
Service Delivery and Increased
Efficiencies
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E. Vision for Serving Youth Most In Need
F. Increased Economic and Workforce
Information Data Integration and
Analysis
G. Effective Utilization of Faith-based and
Community Based Organizations
H. Increased Use of Flexibility Provisions
in WIA
I. An Integrated and Enhanced
Performance Accountability System That
Provides Improved System Results
Part III. Unified Planning Instructions
A. State Vision and Priorities
B. One-Stop Delivery System
C. Plan Development and Implementation
D. Needs Assessment
E. State and Local Governance
F. Funding
G. Activities To Be Funded
H. Coordination and Non-Duplication
I. Special Populations and Other Groups
J. Professional Development and System
Improvement
K. Performance Accountability
L. Data Collection
M. Corrective Action
N. Waiver and Work-Flex Requests
Part IV. Certifications and Assurances
Attachments
A. ETA Regional Administrators (for
reference only)
B. Unified Plan Activities and Program
Checklist
C. Optional Table for WIA State
Performance Indicators and Goals
State Unified Plan Planning Guidance
Part I. State Planning Instructions
A. Statement of Purpose
The purpose of this document is to
provide guidance to States which
submit a State Unified Plan authorized
by title V, section 501 of the Workforce
Investment Act of 1998 (WIA). The State
Unified Plan Planning Guidance
facilitates the development and
submission of such a Plan, which
addresses two or more of the programs
or activities specified at WIA section
501(b)(2). This Planning Guidance
updates the requirements for the WIA/
Wagner-Peyser Act and Senior
Community Service Employment
Program (SCSEP) portions of the Unified
Plan. Options for programs funded by
the U.S. Department of Education that
are included in a Unified Plan also are
discussed in this notice. Minor
reference updates have been made for
other programs authorized to be
included in the Unified Plan.
An approved Strategic State Plan is
required in order for States to receive
formula allotments under WIA title I
and the Wagner-Peyser Act. The current
Plans expire June 30, 2009. States which
choose to submit the WIA title I/
Wagner-Peyser Plan as part of a Unified
Plan must comply with the
requirements of these guidelines.
Guidelines for the submission of a
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Stand-Alone WIA title I Plan are being
issued separately.
B. Background
The State Unified Plan Planning
Guidance provides a framework for the
collaboration of governors, local elected
officials, businesses and other partners
to design and build workforce
investment systems that address
customer needs; deliver integrated, userfriendly services; and are accountable to
the customers and the public. Unified
Planning Guidance provisions related to
the SCSEP and Perkins IV have
changed. There are only minor changes
to the Unified Planning Guidance items
that relate to WIA title I and WagnerPeyser Act Plan. The Unified Plan
requirements for other programs remain
the same as those outlined in the April
12, 2005, version of this document (70
Federal Register 19222).
Senior Community Service Employment
Program
On October 17, 2006, the President
signed into law the Older Americans
Act Amendments of 2006, Public Law
109–365, which authorizes SCSEP. The
purpose of SCSEP is to foster individual
economic self-sufficiency and promote
useful opportunities in community
service activities for unemployed lowincome persons who are age 55 or older,
particularly persons who have poor
employment prospects, and to increase
the number of persons who may enjoy
the benefits of unsubsidized
employment in both the public and
private sectors. The 2006 Amendments
instituted a number of program changes.
The amendments increased the
emphasis on placements into
unsubsidized employment; imposed a
time limit on enrollees’ program
participation; restricted fringe benefits
for participants; enabled grantees to
spend additional funds on training; and
mandated the adoption of core
indicators of performance aligned with
the Employment and Training
Administration (ETA)’s common
measures. The new law became effective
July 1, 2007. Each State SCSEP grantee
must prepare an application for funding
each year. This application is a
thorough explanation of how the project
will operate. A State that chooses to
include the SCSEP program in a Unified
Plan must prepare a separate grant
application according to SCSEP program
requirements.
Options for Programs Funded by the
U.S. Department of Education
With respect to the programs
authorized by the Adult Education and
Family Literacy Act (AEFLA), the U.S.
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Department of Education has already
issued guidance to States that discusses
the option of extending the existing
State plans with certain necessary
revisions, and requests for extending
plans were due April 1, 2008. Further,
the U.S. Department of Education
anticipates that the States will have the
option of extending their State plans
again in April 2009, in the absence of a
reauthorization of the AEFLA. This
option of extending the existing plan
applies as well to any subsections of a
Unified State Plan that are related to
programs under AEFLA. A State’s
request to extend subsections of a
unified plan must be submitted directly
to the U.S. Department of Education and
is due April 1, 2009, for AEFLA
programs. See Guide for the
Development of a State Plan under the
Adult Education and Family Literacy
Act (OMB Control Number 1830–0026).
The U.S. Department of Education
anticipates that States will choose the
option of extending their existing
subsections of the currently approved
Unified State Plans with only the
revisions discussed in the abovereferenced guidance. However, any
State that chooses to submit new
subsections related to AEFLA programs
in its Unified State Plan submitted in
accordance with this notice must fully
comply with all the planning, content,
and other requirements that applied
when the Unified Plan was originally
developed, adopted, and submitted.
These requirements are summarized
together with references to the
underlying statutory and regulatory
requirements in the second section of
this notice.
The U.S. Department of Education
issued a program memorandum and
guidance to States on March 12, 2007,
regarding their options for submission
of State plans under the newly
authorized Carl D. Perkins Career and
Technical Education Act of 2006
(Perkins IV), 20 U.S.C. 2301 et seq. as
amended by Public Law 109–270. States
were given the option of submitting a
one-year transitional plan (starting July
1, 2007), or a six-year full plan (starting
July 1, 2007). The guidance also
provided States direction for submitting
a Unified Plan under WIA. See Program
Memorandum Transmittal of the Carl D.
Perkins Career and Technical Education
Act of 2006 State Plan Guide and the
Guide for the Submission of State Plans
(OMB Control Number: 1830–0029) at:
https://www.ed.gov/policy/sectech/guid/
cte/perkinsiv/stateplanmemo.pdf or
https://www.ed.gov/policy/sectech/guid/
cte/perkinsiv/stateplan.doc.
The U.S. Department of Education
also issued a program memorandum on
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(phone); 202–245–7837 (fax); (E-mail:
Dale.king2@ed.gov).
• Tech-Prep Education (title II of
Perkins IV) Administered by
Department of Education, Office of
Vocational and Adult Education. Staff
Contact: Dale King: 202–245–7405
(phone); 202–245–7837 (fax); (E-mail:
Dale.king2@ed.gov).
• Activities authorized under title I,
Workforce Investment Systems
(Workforce Investment Activities for
Youth, or WIA title I Youth)
Administered by Department of Labor,
Employment and Training
Administration. Staff Contact: Gregg
Weltz: 202–693–3527 (phone); 202–
693–3861 (fax); (E-mail:
Weltz.Gregg@dol.gov).
• Activities authorized under title I,
Workforce Investment Systems
(Workforce Investment Activities for
Adults, and Dislocated Workers, or WIA
title I) Administered by Department of
Labor, Employment and Training
Administration. Staff Contact: Christine
D. Ollis: 202–693–3937 (phone); 202–
693–3015 (fax); (E-mail:
Ollis.Christine@dol.gov).
• Activities authorized under title II
of WIA, Adult Education and Family
Literacy (Adult Education and Family
Literacy Programs) Administered by
Department of Education, Office of
Vocational and Adult Education. Staff
Contact: Dale King: 202–245–7405
(phone); 202–245–7837 (fax); (E-mail:
Dale.king2@ed.gov).
• Food Stamp Employment and
Training Program (FSET) Administered
by USDA, Food and Nutrition Service.
Staff Contact: Micheal Atwell: 703–305–
C. Section 501 Programs and Activities 2449 (phone); 703–305–2486 (fax); (EBelow is a listing of the programs and mail: micheal.atwell@fns.usda.gov).
• Activities authorized under chapter
activities covered in section 501 of WIA,
along with the commonly used name. In 2 of title II of the Trade Act of 1974
this document, we generally refer to the (Trade Act Programs) Administered by
Department of Labor, Employment and
activities and programs by their
Training Administration. Staff Contact:
commonly used names. Should State
Terry Clark: 202–693–3707 (phone);
staff need information on the programs
202–693–3585 (fax); (E-mail:
listed, a staff contact is provided here
Clark.Terry@dol.gov).
also.
• Programs authorized under the
• Secondary Career and Technical
Wagner-Peyser Act (Employment
Education programs (Perkins IV/
Service) Administered by Department of
Secondary) Note that inclusion of this
Labor, Employment and Training
program in the Unified Plan requires
Administration. Staff Contact: Maggie
prior approval of State legislature.
Ewell: 202–693–3160 (phone); 202–693–
Administered by Department of
3787 (fax); (E-mail:
Education, Office of Vocational and
Ewell.Maggie@dol.gov).
Adult Education. Staff Contact: Dale
• Programs authorized under Part B
King: 202–245–7405 (phone); 202–245–
7837 (fax); (E-mail: Dale.king2@ed.gov). of title I of the Rehabilitation Act of
• Postsecondary Career and Technical 1973, other than section 112 of such Act
(Vocational Rehabilitation)
Education programs (Perkins IV/
Administered by Department of
Postsecondary) Administered by
Education, Rehabilitation Services
Department of Education, Office of
Administration. Staff Contact: Jerry
Vocational and Adult Education. Staff
Elliott: 202–245–7335 (phone); 202–
Contact: Dale King: 202–245–7405
October 30, 2007, that required each
eligible agency that submitted a oneyear transition plan for the first program
year to submit a five-year State plan
(starting July 1, 2008), covering the
remaining program years, that meet all
the requirements of Perkins IV, as
covered in the March 2007 memo and
guidance. See Program Memorandum
Submission of Five-Year State Plans
under the Carl D. Perkins Career and
Technical Education Act of 2006 at
https://www.ed.gov/policy/sectech/guid/
cte/perkinsiv/fiveyear-stateplan.pdf. All
States, including the outlying areas as
defined in section 3(21) of Perkins IV,
have submitted a five-year plan, or will
submit a five-year plan. No State has
notified the Department of Education
that it plans to submit a Unified Plan
under WIA that includes Perkins IV
requirements. These Perkins IV State
plans will remain in effect for five years
once the U.S. Department of Education
approves these plans (starting July 1,
2008, or the date of approval if later). If
a State wishes to revise or amend its
Perkins IV State plan in the future to
make it part of its State Unified Plan,
then the State would have to meet the
requirements for revising or amending
its State plan that are in section
122(a)(2) of Perkins IV and Department
of Education Administrative
Regulations (EDGAR) at 34 CFR 76.140,
as well as the Department of Labor’s
requirements for amending a Unified
State Plan. Additionally, a State would
have to satisfy the requirements of
section 501 of WIA with respect to State
plans, e.g. legislature approval to
include secondary Perkins IV programs.
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245–7590 (fax); (E-mail:
jerry.elliott@ed.gov).
• Programs authorized under chapters
41 and 42 of Title 38, USC, and 20 CFR
1001 and 1005 (Veterans Programs,
including Veterans Employment,
Disabled Veterans’ Outreach Program,
and Local Veterans’ Employment
Representative Program) Administered
by Department of Labor, Veterans’
Employment and Training Service. Staff
Contact: Patrick J. Hecker: 202–693–
4709 (phone); 202–693–4755 (fax); (Email: Hecker.Patrick@dol.gov).
• Programs authorized under State
unemployment compensation laws
(Unemployment Insurance)
Administered by Department of Labor,
Employment and Training
Administration. Staff Contacts: Mary
Vrany: 202–693–3357 (phone); 202–
693–3975 (fax); (E-mail:
Vrany.Mary@dol.gov); or Delores
Mackall: 202–693–3183 (phone); 202–
693–3975; (E-mail:
Mackall.Delores@dol.gov).
• Programs authorized under part A
of title IV of the Social Security Act
(Temporary Assistance for Needy
Families (TANF) Administered by
Health and Human Services,
Administration for Children and
Families. Staff Contact: Robert M.
Shelbourne: 202–401–5150 (phone);
202–401–5554 (fax); (E-mail:
rshelbourne@acf.hhs.gov).
• Programs authorized under title V
of the Older Americans Act of 1965
(Senior Community Service
Employment Program, or SCSEP)
Administered by Department of Labor,
Employment and Training
Administration. Staff Contact:
Alexandra Kielty: 202–693–3730
(phone); 202–693–3587 (fax); (E-mail:
Kielty.Alexandra@dol.gov).
• Training activities funded by the
Department of Housing and Urban
Development under the Community
Development Block Grants (CDBG) and
Public Housing Programs. Staff Contact:
Manuel Ochoa: 202–708–2111; Fax:
202–708–3672; (E-mail:
Manuel.T.Ochoa@hud.gov).
• Programs authorized under the
Community Services Block Grant Act
(CSBG) Administered by Health and
Human Services, Administration for
Children and Families. Staff Contact:
Brandy RayNor: 202–205–5926 (phone);
202–402–5718 (fax); (E-mail:
BRayNor@acf.hhs.gov).
While the statute specifies that States
may submit a Unified Plan that includes
‘‘training activities’’ carried out by the
Department of Housing and Urban
Development (HUD), for a number of
reasons, the Federal Partners agree that
the unique nature of HUD’s training
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activities warrants special treatment in
a Unified Plan.
Accordingly, the Unified Plan
guidance provides for informal
inclusion of HUD’s programs. Since
HUD programs are generally funded and
implemented through local
communities, and HUD’s relevant State
formula grant programs are not
specifically employment and training
programs, States that follow the Unified
Planning guidance will not
automatically receive funding for HUD’s
formula programs through their Unified
Plans. However, to encourage States to
think strategically about developing a
comprehensive workforce investment
system—including how that system
relates to the housing and workforce
investment needs of the population
receiving housing assistance—the
guidance includes references to HUD
customers and services, as well as local
housing agencies, in the overarching
questions pertaining to the Unified
Plan’s vision and goals, One-Stop
service delivery, and needs assessment.
D. Submission of State Unified Plans
1. Requirements for Submission and
Points of Contact:
States have the option of submitting a
Unified Plan to meet the requirements
for submission of a State Plan.
a. AEFLA Extensions. A State’s
request to extend subsections of a
Unified Plan related to programs under
AEFLA must be submitted directly to
the U.S. Department of Education and is
due April 1, 2009 for AEFLA programs.
See Guide for the Development of a
State Plan under the Adult Education
and Family Literacy Act (OMB Control
number 1830–0026).
b. Federal Coordinator. To reduce the
reporting and processing burden, States
have the option of submitting their
Unified Plan to either
WIA.PLAN@DOL.GOV or to the
designated Federal Coordinator for Plan
Review and Approval (hereafter,
‘‘Federal Coordinator’’), depending
upon the submission option chosen by
the State (as discussed below). The
Federal Coordinator is Janet Sten, Email: Sten.janet@dol.gov; phone: 202–
693–3045.
c. Federal Departments. States also
have the option of submitting their
Unified Plans directly to each Federal
Department whose programs are
included in the Unified Plan, except for
AEFLA simple extensions, which must
be submitted to the U.S. Department of
Education as stated above. States
choosing this option are only required
to send the Plan to the designated
Federal Departmental State Unified Plan
Contact (hereafter, ‘‘Departmental
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Contact’’). The Departmental Contact
will be responsible for ensuring that
affected agencies and appropriate
Regional Offices in that Department
receive copies of the Unified Plan. For
example, if a Unified Plan contains
plans for both the Vocational
Rehabilitation and the Adult Education
programs, both of which are
administered by different agencies
within the United States Department of
Education, the State need only submit
the Plan to the U.S. Department of
Education once, and it should be sent to
the Departmental Contact. E-mail
addresses for the Departmental Contacts
are as follows:
Department of Labor:
Sten.janet@dol.gov
Department of Education:
Jerry.Elliott@ed.gov
Department of Health and Human
Services: rshelbourne@acf.hhs.gov
Department of Agriculture:
Micheal.Atwell@fns.usda.gov
Department of Housing and Urban
Development:
Manuel.T.Ochoa@hud.gov
2. Submission Options—Electronic,
CD–ROM or Hard Copy Format:
States have the option to submit
Unified Plans in an electronic, hard
copy, or CD–ROM format. The Federal
Government is encouraging States to
submit Unified Plans in electronic
format to reduce the reporting and
process burden and to ensure timely
receipt by each Federal agency whose
programs are included in the Unified
Plan.
a. Electronic Submission. States can
submit a Unified Plan electronically
either by posting it on an Internet Web
site that is accessible to the Department
of Labor or by transmitting it through email to the Department. Unified Plan
certifications with electronic signatures
are acceptable. If a State chooses not to
use an electronic signature, then the
Plan Signature(s) Page (Attachment B)
must be submitted in hard copy.
i. Posting Unified Plans on an Internet
Web Site. Under this option, a State
should post its Plan on an Internet Web
site; inform the Federal Coordinator
through electronic mail of the URL and
the location of the document on the
Web site; provide contact information in
the event of problems with accessing the
Web site; and certify that no changes
will be made to the version of the Plan
posted on the Web site after it has been
submitted to the Department, unless the
Federal Coordinator or Federal agency
overseeing the portion to be changed
gives prior approval. The Federal
Coordinator will ensure that Federal
agencies whose programs are included
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in the Unified Plan, and the appropriate
DOL Regional Office, receive the
relevant information.
ii. Transmitting Unified Plans by EMail. Any State submitting its Plan by
e-mail should send it to
WIA.PLAN@DOL.GOV. The Federal
Coordinator will ensure that Federal
agencies whose programs are included
in the Unified Plan receive a copy. The
Federal Coordinator will also provide a
copy to the appropriate DOL Regional
Office. If a State chooses to submit its
Unified Plan by transmitting it through
electronic mail, the State must submit it
in Microsoft Word or PDF format.
b. Hard Copy or CD–ROM
Submission. States choosing to submit a
hard copy should submit one copy of
the Plan with an original signature to
Janet Sten, the Federal Coordinator for
Plan Review and Approval, at the
following address: Division of
Workforce System Support,
Employment and Training
Administration, U.S. Department of
Labor, 200 Constitution Ave., NW,
Room S–4231, Washington, DC 20210,
ATTN: Janet Sten.
States submitting a Unified Plan on
CD–ROM should submit one copy of the
Plan to Janet Sten, the Federal
Coordinator for Plan Review and
Approval. The Federal Coordinator will
ensure that each Federal agency whose
programs are included in the Unified
Plan, and the appropriate DOL Regional
Office, receive copies of the Plan.
If the Plan on the CD–ROM does not
include the signature of the governor on
the signature page, the State must
submit separately an electronic
signature or a signature page in hard
copy. Plans submitted on a CD–ROM
must be in Microsoft Word or PDF
format.
States submitting a hard copy of their
Plan are encouraged to provide an
unbound copy to facilitate duplication.
3. Table of Contents:
States are encouraged to include a
table of contents at the beginning of the
State Unified Plan. This will provide
easy reference on the Plan’s details to
the public as well as aid the Federal
Government in the review of the Unified
Plan.
4. Receipt Confirmation:
The Federal Coordinator, without
regard to which option the State uses for
submission, will confirm receipt of the
State Unified Plan within two workdays
of receipt and indicate the date for the
start of the review period. When a State
submits an incomplete Plan, the period
for review will not start until all
required components of the Unified
Plan have been received.
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E. Federal Government Review and
Approval of Unified Plan
Section 501(d)(2) of WIA states that a
portion of a State Unified Plan covering
an activity or program is to be
considered to be approved by the
appropriate Secretary at the end of the
90-day period beginning on the day the
appropriate Secretary receives the
portion unless the appropriate Secretary
makes a written determination, during
the 90-day period, that the portion is not
consistent with the requirements of the
Federal statute authorizing the activity
or program or section 501(c)(3) of WIA.
The appropriate Secretary, or his/her
representative, will advise the State by
letter, as soon as possible, that the
portion of the Unified Plan over which
his/her agency exercises administrative
authority is approved or disapproved. If
the Plan is not approved, the
appropriate Secretary, or his/her
representative, will advise the State by
letter that the portion of the Unified
Plan over which his/her agency
exercises administrative authority is not
consistent with the requirements of the
Federal statute authorizing the activity
or program, or with section 501(c)(3) of
WIA, and clearly indicate the reasons
for disapproval and specify what
additional information is required or
what action needs to be taken for the
Unified Plan to be approved.
F. How To Use ‘‘Attachment B’’
1. Forms for State Use:
In Attachment B you will find three
forms for use in submitting the State
Unified Plan. These forms are available
for electronic download, along with this
entire guidance, at 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 the Plan.
Use of this specific format is optional.
b. Contact Information: Please
provide the contact information
requested for each of the Section 501
programs and activities that you have
included in the Plan. Programs and
activities may be combined on one form
if they have the same contact
information. Use of this specific format
is optional.
c. Plan Signature(s): Please provide
the required signatures as appropriate
for the programs and activities you have
included in the State Unified Plan. Use
of this specific format is optional, but
the wording on the signature page must
be identical to that provided here.
2. Program Descriptions:
Please respond fully to the general
questions in the program descriptions
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section, as well as the additional
questions that relate to the programs
and activities that are included in the
State’s Unified Plan.
3. Certifications and Assurances:
By signing the signature page(s), you
are assuring or certifying those items in
the Certifications and Assurances
section that apply to the programs and
activities you have included in the
State’s Unified Plan.
G. Negotiated WIA and Wagner-Peyser
Act Performance Indicators
WIA allows considerable flexibility in
system design and service delivery, in
exchange for both accountability for a
key set of outcomes and improving
those outcomes over time. To
accomplish this, the Secretary of Labor
and the governor of each State must
reach agreement on the State’s
negotiated performance levels for the
core indicators of performance, and for
customer satisfaction indicators of
employers’ and participants’
satisfaction. These levels of performance
become the basis for sanctions for failed
performance and, with additional
performance levels for WIA title II Adult
Education and Family Literacy Act
programs and Carl D. Perkins Career and
Technical Education Act of 2006
programs, the basis for incentive grants.
At a minimum, the State Plan should
include proposed performance goals for
WIA and Wagner-Peyser Act programs
for each of the performance indicators
for each program year covered by the
Plan. While the State Plan is under
review, the ETA Regional Administrator
and the State will discuss the
performance levels, and negotiate on
them as appropriate. The Department
expects States to enter into preliminary
discussions with the Local Workforce
Investment Boards and the ETA
Regional Administrators before
submitting the State Plan. States are
expected to come to the negotiating
table with support from their Local
Workforce Investment Boards for the
proposed performance goals. Entering
into preliminary discussions prior to
Plan submission will maximize the time
available to States, local areas, and the
Department to develop a shared set of
goals. ETA Regional Administrators will
coordinate with other DOL program
administrators, including the Veterans’
Employment and Training Service
(VETS) Regional Administrators, to
assure comprehensive Departmental
participation.
States should note that the proposed
levels of performance are subject to
public review and comment
requirements. States that have
completed negotiations with ETA
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should include their agreed-upon levels
of performance for each program year
covered by the Plan for the WIA and
Wagner-Peyser Act programs.
In cases where final agreement on
performance goals is reached after the
State Plan is submitted to ETA for
review and approval, but before ETA
approval of the State Plan, the letter
advising the States of approval of the
State Plan will include ETA’s approval
of the agreed-upon goals.
In cases where final agreement on
performance goals has not been reached
until after the State Plan has been
approved, the ETA Regional
Administrator’s letter advising the State
of the agreed-upon goals will constitute
a modification to the State Plan. For
subsequent revisions to performance
goals during the life of the State Plan,
the ETA Regional Administrator’s letter
advising the State of the agreed upon
goals will also constitute a modification
to the State Plan. The State must ensure
that the agreed-upon goals are included
in the State’s official copy of the State
Plan, and that any published State Plan,
on the State’s Web site or through other
forums, includes the agreed-upon goals.
ETA will incorporate these performance
goals into the Regional and National
Office copies of the State’s Plan.
H. Modifications to State Plan
1. Reasons for Modifications:
Modifications may be needed in any
number of areas to keep the Unified
Plan a viable, living document over its
life span. WIA regulations permit states
to modify their Plan at any time and 20
CFR 652.212 and 661.230 outline the
circumstances under which
modifications must be submitted.
Modifications are required when:
a. Changes in Federal or State law or
policy substantially change the
assumptions upon which the Plan is
based.
b. There are changes in the statewide
vision, strategies, policies, performance
indicators, the methodology used to
determine local allocation of funds,
reorganizations which change the
working relationship with system
employees, changes in organizational
responsibilities, changes to the
membership structure of the State Board
or alternative entity and similar
substantial changes to the State’s
workforce investment system.
c. The State has failed to meet
performance goals, and must adjust
service strategies.
The WIA regulations, at 20 CFR
652.212, which relate to the WagnerPeyser Act portions of the Plan, also
require modifications when there is any
reorganization of the State agency
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designated to deliver services under the
Wagner-Peyser Act, any change in
service delivery strategy, any change in
levels of performance when
performance goals are not met, or any
change in services delivered by State
merit-staff employees. In general, it is
substantial changes to the Unified Plan
that require a modification, i.e., any
change that significantly impacts the
operation of the state’s workforce
investment system.
2. Submitting a Modification:
Plan modifications must be submitted
to the Federal Coordinator, who will
ensure that Federal agencies whose
programs are included in the unified
plan receive a copy, in accordance with
the procedures of the affected agency.
Prior to submission of the modification
for review and approval by the Federal
Government, the designated State
agency must circulate the modifications
among the other State and/or local
agencies that may be affected by the
changes. Inclusion of a program in the
State Unified Plan does not remove the
statutory requirement for certain
programs to annually review the Plan
and submit modifications as needed.
Modifications to the Unified Plan are
subject to the same public review and
comment requirements that apply to the
development of the original Plan. States
wishing to submit a State Plan
modification should follow the
submission guidelines listed in Section
D ‘‘Submission of Unified Plans.’’ States
should direct any questions about the
need to submit a Plan modification to
the Federal Coordinator, the
Departmental Contacts listed above, or
to the Regional Administrator or
Regional Commissioner who exercises
administrative authority over the
activity or program(s) impacted by the
modification.
I. Inquiries
General inquiries about the State
Unified Plan process may be directed to
Janet Sten, the Federal Coordinator for
Plan Review and Approval. The
electronic mail address for the Federal
Coordinator is Sten.Janet@dol.gov. The
Federal Coordinator may be contacted
by phone at 202–693–3045. Inquiries
related to specific activities and
programs can be directed to the staff
contacts listed above.
Part II. National Strategic Direction
The purpose of Part II is to
communicate ETA’s national direction
and strategic priorities for the workforce
investment system.
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A. Vision and Goals Related to WIA
Title I and Wagner-Peyser Act
The U.S. economy and its labor
markets are undergoing changes of
historic proportion. Globalization has
forced change in every region in the
country and impacted every aspect of
our economy. While global competition
is typically seen as a national challenge,
the front lines of the battlefield are
regional, where businesses create
competitive advantage by collaborating
with researchers, entrepreneurs, and
government entities. That advantage
stems from the ability to transform new
ideas and knowledge into advanced,
high-quality products or services—in
other words, to innovate. Those regions
that will be most successful will
connect three key elements: Talent,
infrastructure, and investment. In
particular, they will connect workforce
skills and lifelong learning strategies;
regional infrastructure and economic
development strategies; and investment
and entrepreneurship strategies.
Entrepreneurship plays a critical role in
fueling innovation, as entrepreneurs
account for more than half of all
technological innovation which powers
America’s competitiveness.
Maintaining America’s competitive
position in the global economy requires
a workforce with postsecondary
education credentials, the capacity to
work in a high-technology environment,
and the opportunity to engage in
lifelong learning to keep pace with
change. Preparing workers to be part of
such a workforce is the role of our
system. ETA envisions that the
workforce investment system will
operate as a talent development system;
it is no longer defined only as a job
training system. A talent development
system not only meets the needs of
industry, but contributes to economic
prosperity by collaborating with
economic development to identify
emerging industries that it can help
foster and grow. Its vision is an
educated and prepared workforce that is
able to compete in the global economy.
Broadly, the ETA strategic priorities
for the workforce investment system for
this planning cycle include:
• Building a demand-driven system
within a regional economic
development context;
• Implementing system reform, with
streamlined governance and alignment
of economic and workforce
development regions;
• Enhancing an integrated service
delivery system that focuses on
functions and services rather than
programs or funding streams;
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• Advancing a vision for serving
youth most in need;
• Expanding the workforce
information system as the foundation
for strategic planning and career
guidance;
• Strengthening partnerships with
community and faith-based
organizations;
• Increasing the use of flexibility
provisions in WIA to design innovative
programs that fuel regional economic
competitiveness and create employment
opportunities for career seeker
customers; and
• Utilizing an integrated and
enhanced performance accountability
system.
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B. Demand-Driven Workforce
Investment System Within a Regional
Economic Development Context
In today’s economy, the workforce
investment system has an opportunity
to play a critical role in fueling
competitiveness by developing talent—
one of the three key requirements for
innovation. To become a dynamic
catalyst, the workforce investment
system must evolve beyond its current
configuration and status. Ideally, the
system will be positioned to respond to
a variety of economic conditions with
talent development strategies that range
from retrofitting an economy in an area
where an entire industry is being
reengineered, to building new industries
from the ground up, to building an
entrepreneurial culture that fosters job
creation.
The challenge for the workforce
investment system is to become agile
enough to serve an economy driven by
innovation, recognizing the reality that
approximately two-thirds of all new jobs
are created by small businesses. Jobs in
today’s economy increasingly hinge on
specialized skills, as 90 percent of the
fastest growing jobs require education
and training past high school.
Therefore, it is imperative that the
system continue its transformation as a
catalyst in reshaping talent development
strategies in support of regional
economic competitiveness. While the
workforce investment system has
implemented a number of key strategies
to become increasingly demand-driven,
new strategies are needed in the
workforce investment system to drive
regional economic growth. The
workforce system must transform to be
relevant in the 21st century economy.
Elements of transformation include:
(1) The workforce investment system
operates as a talent development
system; it is no longer defined as a job
training system. Its goal is an educated
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and prepared workforce—on a U.S. or
global standard.
(2) Workforce investment system
formula funds are transformed,
providing significantly increased
opportunity for postsecondary
education for lifelong learning aligned
with the region’s talent development
strategy.
(3) The workforce investment system
no longer operates as an array of siloed
programs and services.
(4) Workforce Investment Boards are
structured and operate on a regional
basis and are composed of regional
strategic partners who drive investments
by aligning spending with a regional
economic vision for talent development.
(5) Economic and workforce
development activities within regions
are aligned, leading to the adoption of
common and innovative policies across
the workforce, education, and economic
development systems and structures
that support talent development and the
regional economy.
(6) The workforce investment system
is agile enough to serve the innovation
economy, recognizing the reality that
two-thirds of all new jobs are created by
small businesses.
(7) The workforce investment system
actively collaborates with economic
development, business, and education
partners to gather and analyze a wide
array of current and real-time workforce
and economic data in order to create
new knowledge about regional
economies and support strategic
planning, routinely track economic
conditions, measure outcomes, and
benchmark economic competitiveness
in the global marketplace.
C. System Reform and Increased Focus
on Workforce Education and Training
The needs of the 21st century labor
market are radically different from what
we have known in the past, and for
which most workers are currently
trained. As a result, the American
economy is facing a shortage of skilled
workers which necessitates a talent
development system that cultivates an
educated and prepared workforce
committed to life-long learning. The
following strategies can help advance an
essential culture of life-long learning:
• K–12 and alternative education
curricula must be designed to
academically prepare students to
successfully move into postsecondary
education as well as prepare students
for success in the workplace through a
range of strategies.
• Educational strategies for adult
learners must offer more entry and exit
points in recognition that students will
need to earn and learn simultaneously.
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Such strategies may need to approach
education and career progression
incrementally rather than on one
continuous path to a specific degree
with the aim of moving the learner to
the workplace. This is particularly
essential for incumbent workers who
need lifelong education to remain in
economically self-sustaining jobs.
• New education models are needed
to support the development of crossdisciplinary learning that matches the
expanding number of cross-functional
competencies and skill sets that are
needed on the job.
States have multiple ways to drive
system transformation and integration
through policies, required practices, and
investment of State set-aside funds,
among others. There are a number of
key areas the State may consider
addressing in its Strategic Plan to
respond to the current challenges of
maintaining a competitive advantage
and ensuring a prepared and educated
workforce. These key areas may include,
but are not limited to, the following:
• Aligning economic and workforce
development strategies and facilitating
the adoption of common and innovative
policies across the workforce,
education, and economic development
systems and structures that support
talent development in a regional
economy;
• Reorganizing governance structures
to operate on a regional basis and in a
way that reduces administrative costs,
streamlines service delivery systems,
and increases flexibility to address the
needs of State and regional economies;
• Promoting the engagement of
strategic partners who drive investments
in economic regions and align spending
within a regional economic vision for
talent development;
• Using State set-aside funds to
respond more efficiently to economic
trends and shocks, enabling State and
Local Workforce Investment Boards
greater agility;
• Increasing use of system resources
for training through targeted policies
such as setting a specific percentage of
WIA funding that must be devoted to
training and transforming the use of
WIA formula funds to postsecondary
education and lifelong learning
opportunities aligned with the region’s
talent development strategy;
• Promoting the use of Registered
Apprenticeship as an important talent
development strategy and a critical
postsecondary education, employment
and training opportunity as part of the
suite of options offered through the
workforce system;
• Developing statewide polices to
guide the use of assessments of
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individuals to enhance service delivery
for business and job seekers; and
• Developing comprehensive, userfriendly economic data and skills
information to enable informed
decisions by the system, and its
customers and partners.
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D. Enhanced Integration Through the
One-Stop Delivery System With
Improved Service Delivery and
Increased Efficiencies
The workforce investment system, as
currently constituted, struggles to meet
the challenges of educating and training
a workforce that is prepared to compete
in today’s economy. This is partly due
to the lack of integration, which causes
too much money to be spent on
competing bureaucracies, overhead
costs, and unnecessary infrastructure,
and not enough on meaningful skills
training that leads to job growth and
economic prosperity. The ultimate
objective is a workforce system that
eliminates duplicative costs for physical
infrastructure, information systems, and
administrative and managerial
personnel; this will enable the system to
devote scarce resources to more
efficiently and effectively implement
talent development strategies across
multiple programs.
In addition to infrastructure
integration, integrated service delivery
remains essential to a demand-driven
workforce system that effectively serves
businesses and individuals. The
workforce investment system must
operate as a seamless system
functionally organized around service
delivery rather than an array of separate
programs with separate processes. The
objective is for ‘‘customers’’ to be seen
as customers of the workforce
investment system, not of a particular
program. This goal is particularly
important when focusing on targeted
populations such as veterans,
individuals with disabilities, military
spouses, migrant and seasonal farm
workers, older workers, and others. All
of these populations need access to all
of the services in a One-Stop Career
Center.
Achieving the goal of integrated
service delivery requires strong State
leadership to overcome administrative
challenges and to foster a policy
environment conducive to the
integration of funding, facilities, and
service delivery. The WIA State
planning process offers a vehicle for the
governor and State Workforce
Investment Board to set forth policy
expectations for integration and to help
eliminate obstacles.
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E. A Vision for Serving Youth Most in
Need
Currently, there are nearly four
million youth who are not in school, do
not have a diploma, and are not
working. Over 30 percent of our youth
are dropping out of high school
nationally, and the number is closer to
50 percent in many urban areas. In an
attempt to address this problem, the
U.S. Department of Labor has developed
a Youth Vision which proposes that the
public workforce investment system
serve the neediest youth: youth aging
out of foster care, those involved with
the juvenile justice system, children of
incarcerated parents, migrant youth,
Native American youth, and youth with
disabilities. Transforming the system to
meet this objective requires that the
current capacity, knowledge, and
models in the workforce investment
system be strengthened. Transformation
is also necessary if the system is to meet
new performance expectations and the
specific performance measures for outof-school youth literacy and numeracy
gains, diploma attainment, and
transition to postsecondary education.
Governors must continue to provide
strong leadership in advancing the
vision for serving youth most in need.
States should expand upon existing
efforts by aligning resources to address
barriers and challenges and increase
opportunities to access postsecondary
education. States are encouraged to
expand their cross-agency partnerships
to ensure the right set of agencies:
• Are represented in the development
of a coordinated strategic plan;
• Build upon State-level collaborative
efforts by conducting strategic planning
sessions to better understand the range
of issues that impact their ability to
serve the neediest youth;
• Develop a comprehensive
understanding of resources that are
available in the State for serving the
neediest youth;
• Conduct analyses that identify
where gaps in services and resource
coordination exist; and
• Develop new strategies for serving
the neediest youth through jointly
funded solicitations.
States should also engage employers
and civic leaders to identify demanddriven workforce solutions that address
the unique challenges that out-of-school
youth present. This includes building
the capacity of the workforce system to
provide services to these youth in a
business solutions environment by
identifying replicable models and
innovative business solutions which
connect secondary and postsecondary
education, businesses and industry
associations, and the workforce system.
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Recognizing the critical need to
reconnect out-of-school youth with high
quality educational opportunities, the
Youth Vision emphasizes the
development of academically rigorous
alternative education pathways. WIAfunded Youth programs should serve as
a catalyst for increasing both the quality
and quantity of alternative learning
environments and connecting out-ofschool youth with secondary and
postsecondary educational
opportunities and high-growth
employment opportunities. A system for
serving out-of-school youth should
include high quality educational
programs that will meet the learning
styles and needs of youth who need to
be reconnected to educational
opportunities.
F. Increased Economic and Workforce
Information Data Integration and
Analysis
ETA reaffirms and strengthens its
message about the centrality of
workforce information for the workforce
system leaders, and their economic
development, business, and education
partners. To be successful in its new
role as a catalyst for leading talent
development, the workforce investment
system needs to actively collaborate
with its partners to gather and analyze
a wide array of current and real-time
workforce and economic data in order to
compile new knowledge about regional
economies and support strategic
planning, routinely track economic
conditions, measure outcomes, and
benchmark economic competitiveness
in the global marketplace.
Not only is workforce information
critical to support decisions of the
national State and local political
leadership, economic developers,
business and industry, investors, and
educators and to drive the investments
of the workforce investment system, it is
also a fundamental tool for guidance
counselors, students, job seekers, and
workers. The provision of workforce
information in an economic context,
through easy-to-use electronic tools will
empower customers in career planning
and lifelong learning required by today’s
dynamic global economy.
Fulfilling the mandate for leadership
in workforce and economic information
can only occur by embracing a wide
array of data sources, greater integration
of the data, more complex analysis, new
strategies for making it available to
strategic partners engaged in developing
regional economic agendas and talent
development strategies. Accomplishing
this requires collaboration among the
owners of the data and developing
methods to leverage public and private
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resources to produce the economic and
workforce intelligence needed in a
regional economy.
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G. Effective Utilization of Faith-Based
and Community Organizations
In every community, including those
facing high poverty rates and other
serious challenges, there are faith-based
and community organizations (FBCOs)
working to improve their community.
These organizations can be valuable
partners for the workforce investment
system. The Department of Labor (DOL)
encourages States to build and
strengthen both monetary and nonmonetary partnerships with FBCOs.
These partnerships can strengthen
participant outcomes by expanding
access to services that complement
those provided by the One-Stop Career
Center, including job readiness and life
skills training and niche and specialized
services. These partnerships can also
create new ‘‘points of access’’ to the
One-Stop’s electronic tools and job
search assistance in many struggling
communities.
Two distinct activities are critical to
utilizing fully the complementary
strengths of FBCOs. First, States must
ensure compliance with the DOL’s equal
treatment regulations 29 CFR part 2,
subpart D. Compliance includes taking
the administrative steps necessary to
create a ‘‘level playing field’’ for all
organizations willing to join with the
government in service, including faithbased groups and other non-traditional
community partners.
Second, States should actively
cultivate FBCO partnerships to expand
the reach of the workforce investment
system and to improve outcomes for
participants, including high-need
individuals.
H. Increased Use of Flexibility
Provisions in WIA
To fuel regional economic
competitiveness and create employment
opportunities for workers, States should
exercise their authority to design and
implement innovative strategies. States
should take advantage of flexibility
provisions under current legislative
authority, including waivers and workflex, to tailor service delivery and
program design to fit the unique
characteristics of their workforce areas.
The State planning process is a
vehicle for identifying waiver
opportunities and formally requesting
waivers, including extensions of
approved waivers, in concert with
overall strategic planning. States are
strongly encouraged to think about
flexibility in broad terms and to utilize
the flexibility provided by WIA to
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advance their strategic goals. States have
received waivers in multiple program
areas, during this and the previous fiveyear planning cycle, that have allowed
them to implement a wide range of
innovations to transform their workforce
systems. States have received waivers
that:
• Increase training opportunities by
permitting the use of a portion of local
area formula funds or funds reserved for
rapid response activities to provide
incumbent worker training.
• Decrease the amount that small and
medium-sized businesses need to invest
in order to take advantage of WIA’s
provision for customized and on-the-job
training.
• Allow States to choose the most
appropriate mix of youth services
needed within each local and regional
economy.
DOL provides technical assistance on
waivers and work-flex and provides
information on the waiver strategies
States have utilized to date.
I. An Integrated and Enhanced
Performance Accountability System
That Provides Improved System Results
In an effective accountability system,
a clear link exists between the State’s
program and service delivery design and
the results achieved. Further, the
performance information should be
available and easily understood by all
customers, stakeholders, and operators
of the workforce investment system.
While great strides have been made in
our reporting system in recent years, the
accountability outcomes for the
workforce investment system have not
yet reached all goals. In addition,
various reporting requirements for the
multiple programs operated by the
workforce investment system impede
the integrated service delivery system
required for the demand-driven
workforce systems that support regional
economic competitiveness. To address
this issue, DOL implemented a set of
common performance measures for
many of its workforce programs,
including WIA title IB, the WagnerPeyser Act, and the Trade Adjustment
Assistance Act. The common measures
allow DOL to clearly state the core
purposes of all the programs operated
by the workforce investment system—
helping people find jobs; stay employed;
and improve earnings.
The common measures are the
foundation of DOL’s evolving
performance accountability system.
DOL continues to collect from States
and grantees other information on
program activities, participants, and
outcomes necessary for program
management, including data that
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support the existing WIA performance
measures that are required to convey
full and accurate information on the
performance of workforce programs to
policymakers and stakeholders.
Part III. Unified Planning Instructions
Note: The statutes cited in parentheses
refer to the authorizing legislation for each
respective program. This Unified Planning
guidance only relates to planning
requirements; it does not affect the statutory
and regulatory requirements relating to other
aspects of programs included in the Plan.
A. State Vision and Priorities
Describe the governor’s vision for a
statewide workforce investment system.
Provide a summary articulating the
governor’s vision for utilizing the
resources of the workforce investment
system in support of the State’s
economic development that addresses
the issues and questions below. States
are encouraged to attach more detailed
documents to expand upon any aspect
of the summary response if available.
(WIA § 112(a) and (b)(4)(A–C).)
1. What are the State’s economic
development goals for attracting,
retaining and growing business and
industry within the State? (§ 112(a) and
(b)(4)(A–C).)
2. Given that a skilled workforce is a
key to the economic success of every
business, what is the governor’s vision
for maximizing and leveraging the broad
array of Federal and State resources
available for workforce investment
flowing through the State’s cabinet
agencies and/or education agencies in
order to ensure a skilled workforce for
the State’s business and industry?
(§ 112(a) and (b)(4)(A–C).)
3. Given the continuously changing
skill needs that business and industry
have as a result of innovation and new
technology, what is the governor’s
vision for ensuring a continuum of
education and training opportunities
that support a skilled workforce?
(§ 112(a) and (b)(4)(A–C).)
4. What is the governor’s vision for
bringing together the key players in
workforce development including
business and industry, economic
development, education, and the
workforce system to continuously
identify the workforce challenges facing
the State and to develop innovative
strategies and solutions that effectively
leverage resources to address those
challenges? (§ 112(b)(10).)
5. What is the governor’s vision for
ensuring that every youth has the
opportunity to develop and achieve
career goals through education and
workforce training, including youth
most in need, such as youth who are:
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Out of school, homeless, in foster care
or aging out of foster care, offenders,
children of incarcerated parents,
migrant and seasonal farmworker youth,
have disabilities, or are other youth at
risk? (§ 112(a).)
6. Given the labor shortage that will
continue to increase over the next 25
years, describe the governor’s vision for
how it will ensure that older individuals
receive workforce training that will
prepare them to reenter the labor market
and become a workforce solution for
employers. (§ 112(b)(17)(A)(iv).)
B. One-Stop Delivery System
1. Describe the State’s comprehensive
vision of an integrated service delivery
system, including the role each program
incorporated in the Unified Plan in the
delivery of services through that system.
In answering this question, if the
Unified Plan includes WIA title I and
Wagner-Peyser Act and/or Veterans
Programs:
a. Identify how the State will use WIA
title I funds to leverage other Federal,
State, local, and private resources in
order to maximize the effectiveness of
such resources and to expand the
participation of business, employees,
and individuals in the statewide
workforce investment system.
(§ 112(b)(10).)
b. What strategies are in place to
address the national strategic direction
discussed in Part II of this guidance, the
governor’s priorities, and the workforce
development issues identified through
the analysis of the State’s economy and
labor market? (§ 112(a) and
112(b)(4)(D).)
c. Based on the State’s economic and
labor market analysis, what strategies
has the State implemented or does the
State plan to implement to identify and
target industries and occupations within
the State that are high growth, high
demand, and vital to the State’s
economy? (§ 112(a) and 112(b)(4)(A).)
The State may want to consider:
• Industries projected to add a
substantial number of new jobs to the
economy;
• Industries that have a significant
impact on the overall economy;
• Industries that impact the growth of
other industries;
• Industries that are being
transformed by technology and
innovation that require new skill sets for
workers; or
• Industries that are new and
emerging and are expected to grow.
d. What strategies are in place to
promote and develop ongoing and
sustained strategic partnerships that
include business and industry,
economic development, the workforce
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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).)
e. What State strategies are in place to
ensure that sufficient system resources
are being spent to support training of
individuals in high growth/high
demand industries? (§ 112(b)(4)(A) and
112(b)(17)(A)(i).)
f. What workforce strategies does the
State have to support the creation,
sustainability, and growth of small
businesses and support for the
workforce needs of small businesses as
part of the State’s economic strategy?
(§ 112(b)(4)(A) and 112(b)(17)(A)(i).)
g. How are the funds reserved for
statewide activities used to incent the
entities that make up the State’s
workforce investment system at the
State and local levels to achieve the
governor’s vision and address the
national strategic direction identified in
Part I of this guidance? (§ 112(a).)
h. Describe the State’s strategies to
promote collaboration between the
workforce system, education, human
services, juvenile justice, and others to
better serve youth that are most in need
and have significant barriers to
employment, and to successfully
connect them to education and training
opportunities that lead to successful
employment. (§ 112(b)(18)(A).)
i. Describe the State’s strategies to
identify State laws, regulations, and
policies that impede successful
achievement of workforce development
goals and strategies to change or modify
them. (§ 112(b)(2).)
j. Describe how the State will take
advantage of the flexibility provisions in
WIA for waivers and the option to
obtain approval as a workflex State
pursuant to § 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
Career Centers such as development of
minimum guidelines for operating
comprehensive One-Stop Career
Centers, competencies for One-Stop
Career Center staff or development of a
certification process for One-Stop Career
Centers? (§ 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).)
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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).)
The authorizing statutes for many of
the programs that may be included in a
Unified Plan require that the State Plan
be developed in consultation with
various public and private entities, as
well as members of the general public.
Some statutes also require formal public
hearings. Depending upon the programs
that a State chooses to include in its
Unified Plan, it may be possible for the
State to satisfy many of these
consultation requirements through a
single set of processes.
2. Describe the process used by the
State to provide an opportunity for
public comment and participation for
each of the programs covered in the
Unified Plan.
In addition, if the Unified Plan
includes:
a. WIA Title I and Wagner-Peyser Act
and/or Veterans Programs, describe the
process used by the State, consistent
with section 111(g) of WIA, to provide
an opportunity for public comment,
including comments by representatives
of business and representatives of labor
organizations, and input into
development of the Plan, prior to
submission of the Plan.
b. AEFLA, describe the process that
will be used for public participation and
comment with respect to the AEFLA
portion of the Unified Plan.
(§ 224(b)(9).)
c. TANF, the State shall make
available to the public a summary of any
Plan or Plan amendment submitted by
the State under this section. With
respect to the TANF plan design, the
State should describe how local
governments and private sector
organizations have been consulted
regarding the plan and design of welfare
services in the State so that the services
are provided in a manner appropriate to
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local populations; and have had at least
45 days to submit comments on the plan
and the design of such services.
(§ 402(c).)
d. CSBG, provide evidence that the
public participation requirements were
met, including documents which
confirm that a legislative public hearing
on the State Plan was conducted as
required by subsection 675(b) and that
the Plan was also made available for
public inspection and review as
required by subsection 675(d)(2).
3. Describe the types of activities and
outcomes that were conducted to meet
the consultation requirement.
Demonstrate, as appropriate, how
comments were considered in the Plan
development process including specific
information on how the various WIA
agency and program partners were
involved in developing the unified State
Plan.
The following agencies, groups, or
individuals must be consulted if the
Unified Plan includes:
a. WIA title I, Wagner-Peyser Act, or
Veterans Programs: (§ 112(b)(1) and
112(b)(9))
• The governor of the State
• State Board
• Local chief elected officials
• Business community
• Labor organizations
The following agencies, groups and
individuals should also be consulted for
WIA title I, Wagner-Peyser, or Veterans
Programs: Local Boards and Youth
Councils, educators, Vocational
Rehabilitation Agencies, service
providers, welfare agencies, faith and
community-based organizations and the
State Employment Security Agency.
In addition, describe the role of the
State Board and Local Boards in
planning and coordination in the
Unified Plan (§ 501(c)(3).)
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Note: While WIA only requires the
involvement of State Board and Local Boards
in the planning and coordination of the
programs and activities authorized under
title I, the intent of the Unified Plan approach
is to enable all the relevant parties in an area,
if they so choose, to come together more
readily to coordinate their activities in the
best interests of the population to be served.
However coordination is achieved, nothing
in the Unified Plan or in WIA itself permits
a Board or any other entity to alter the
decisions made by another program grantee
in accord with that grantee’s statutes.
b. AEFLA (§ 224(d)):
• Governor of the State (any
comments made by the governor must
be included in the Plan)
c. Vocational Rehabilitation
(§ 101(a)(21)(A)(ii)(III.):
• State Rehabilitation Council (include
the response of the designated State
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unit to such input and
recommendations)
d. CSBG:
• Low-income individuals
• Community organizations
• Religious organizations
• Representatives of low-income
individuals
e. TANF:
• Local governments
• Private sector organizations
States must consult local governments
and private sector organizations
regarding the plan and design of
services in the State so that services are
provided in a manner appropriate to
local populations. Local governments
and private sector organizations must
have had at least 45 days to submit
comments on the plan and the design of
such services.
D. Needs Assessment
1. Many of the programs that may be
included in a Unified Plan require a
needs assessment. State agencies should
fulfill these assessment responsibilities
collaboratively or, at a minimum, create
a planning process that promotes the
sharing of needs assessment information
among all agencies involved in
preparing the Unified Plan. Sharing of
assessment data can create a framework
for the coordination and integration of
services that are to be provided through
the One-Stop delivery system. The State
may organize the presentation of
assessment data in its Unified Plan in a
manner it deems most appropriate and
useful for planning, such as on a
program-by-program basis, by
geographic region, or by special
population.
Describe the educational and jobtraining needs of individuals in the
overall State population and of relevant
subgroups of all the programs included
in the Unified Plan.
In answering this question, if the
Unified Plan includes:
a. WIA Title I and Wagner-Peyser Act
and/or Veterans Programs, identify the
types and availability of workforce
investment activities currently in the
State. (§ 112(b)(4)(A–D).)
b. AEFLA, objectively assess the adult
education and literacy needs of
individuals, including an assessment of
those most in need and hardest to serve,
including low income students,
individuals with disabilities, single
parents, displaced homemakers, and
individuals with multiple barriers to
educational enhancement (including
individuals with limited English
proficiency, criminal offenders in
correctional institutions and other
institutionalized individuals.)
(§§ 224(b)(10) and 225).)
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c. Food Stamp Employment and
Training (E&T), explain the method
used to:
i. Estimate the number and
characteristics of the expected pool of
work registrants during the fiscal year;
ii. Estimate the number of work
registrants the State agency intends to
exempt from E&T, along with a
discussion of the proposed exemption
criteria;
iii. Estimate the number of
placements into E&T components
during the fiscal year;
iv. Estimate the number of ABAWDs
(able-bodied adults without dependents)
in the State during the fiscal year;
v. Estimate the number of ABAWDs in
both waived and unwaived area of the
State during the fiscal year;
vi. Estimate the average monthly
number of ABAWDs included in the
State’s 15 percent exemption allowance,
along with a discussion of how the State
intends to apply the exemption;
vii. Estimate the number of qualifying
education/training and workfare
opportunities for ABAWDs the State
will create during the fiscal year.
d. Vocational Rehabilitation:
i. Assess the needs of individuals
with disabilities in the State,
particularly the vocational rehabilitation
needs of individuals with the most
significant disabilities (including their
need for supported employment
services), individuals with disabilities
who have been unserved or 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
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: Address the educational and
training needs of public housing
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residents and other families receiving
housing assistance.
Reminder: this question is a
suggestion for incorporating HUD
programs into the State’s Unified Plan.
However, following this guidance will
not trigger funding for HUD programs.
2. WIA Title I and Wagner-Peyser Act
Economic and Labor Market Analysis
(§ 112(b)(4)): As a foundation for this
Plan and to inform the strategic
investments and strategies that flow
from this Plan, provide a detailed
analysis of the State’s economy, the
labor pool, and the labor market context.
Elements of the analysis should include
the following:
a. What is the current makeup of the
State’s economic base by industry?
b. What industries and occupations
are projected to grow and/or decline in
the short term and over the next decade?
c. In what industries and occupations
is there a demand for skilled workers
and available jobs, both today and
projected over the next decade?
Estimate projected demand.
d. What jobs/occupations are most
critical to the State’s economy?
e. What are the skill needs for the
available, critical and projected jobs?
f. What is the current and projected
demographics of the available labor pool
(including the incumbent workforce)
both now and over the next decade?
g. Is the State experiencing any ‘‘in
migration’’ or ‘‘out migration’’ of
workers that impact the labor pool?
h. Based on an analysis of both the
projected demand for skills and the
available and projected labor pool, what
skill gaps is the State experiencing
today and what skill gaps are projected
over the next decade?
i. Based on an analysis of the
economy and the labor market, what
workforce development issues has the
State identified?
j. What workforce development issues
has the State prioritized as being most
critical to its economic health and
growth?
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E. State and Local Governance
1. What is the organization, structure,
and role/function of each State and local
entity that will govern the activities of
the Unified Plan?
In answering this question, if the
Unified Plan includes:
a. WIA Title I and Wagner-Peyser Act
and/or Veterans Programs:
i. Organization of State agencies:
a. Provide an organizational chart that
delineates the relationship to the
governor of the agencies involved in the
workforce investment system, including
education and economic development
and the required and optional One-Stop
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partner programs managed by each
agency.
b. In a narrative describe how the
agencies involved in the public
workforce investment system interrelate
on workforce and economic
development issues and the respective
lines of authority.
ii. State Workforce Investment Board:
a. Describe the organization and
structure of the State Board. (§ 111.)
b. Include a description of the process
by which State and Local Boards were
created.
c. Identify the organizations or
entities represented on the State Board.
If you are using an alternative entity
which does not contain all the members
required under section 111(b)(1),
describe how each of the entities
required under this section will be
involved in planning and implementing
the State’s workforce investment system
as envisioned in WIA. How is the
alternative entity achieving the State’s
WIA goals? (§§ 111(a–c), 111(e), and
112(b)(1).)
d. Describe the process the State used
to identify the State Board members.
How did you select Board members,
including business representatives, who
have optimum policy-making authority
and who represent diverse regions of the
State as required under WIA? Describe
how the Board’s membership enables
you to achieve the vision described
above. (20 CFR 661.200)
e. Describe how the Board carries out
its functions as required in section
111(d) and 20 CFR 661.205. Include
functions the Board has assumed that
are in addition to those required.
Identify any functions required in
section 111(d) the Board does not
perform and explain why.
f. How will the State Board ensure
that the public (including people with
disabilities) has access to Board
meetings and information regarding
State Board activities, including
membership and meeting minutes? (20
CFR 661.207).)
g. Identify the circumstances which
constitute a conflict of interest for any
State or Local Workforce Investment
Board member or the entity that s/he
represents, and any matter that would
provide a financial benefit to that
member or his or her immediate family.
(§§ 111(f), 112(b)(13), and 117(g).)
h. What resources does the State
provide the Board to carry out its
functions, e.g., staff, funding, etc.?
iii. What is the structure/process for
the State agencies and State Board to
collaborate and communicate with each
other and with the local workforce
investment system (§ 112(b)(8)(A).):
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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 established by the
governor to ensure open and effective
sharing of information among the State
agencies responsible for implementing
the vision for the workforce system and
between the State agencies and the State
Workforce Investment Board.
c. Describe the lines of
communication and mechanisms
established by the governor to ensure
timely and effective sharing of
information between the State agencies/
State Board and local workforce
investment areas and Local Boards.
Include types of regularly issued
guidance and how Federal guidance is
disseminated to Local Boards and 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
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).)
a. What State policies and systems are
in place or planned to support common
data collection and reporting processes,
information management, integrated
service delivery, and performance
management? (§§ 111(d)(2) and
112(b)(8)(B).)
b. What State policies are in place that
promote efficient use of administrative
resources such as requiring more 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
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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).)
c. What State policies are in place to
promote universal access and
consistency of service statewide?
(§ 112(b)(2).)
d. What policies support a demanddriven approach to workforce
development, as described in Part II
‘‘Demand-Driven Workforce Investment
System within a Regional Economic
Context,’’ such as training on the
economy and labor market data for
Local Board and One-Stop Career Center
staff? (§§ 112(b)(4) and
112(b)(17)(A)(iv).)
e. What policies are in place to ensure
that the resources available through the
Federal and/or State Registered
Apprenticeship programs, the Job Corps
and SCSEP are fully integrated with the
State’s One-Stop delivery system?
(§§ 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. (§§ 112(b)(5).)
Include a description of the process
used to designate such areas. Describe
how the State considered the extent to
which such local areas are consistent
with labor market areas: geographic
areas served by local and intermediate
education agencies, post-secondary
education institutions and area
vocational schools; and all other criteria
identified in section 116(a)(1) in
establishing area boundaries, to assure
coordinated planning. Describe the State
Board’s role, including all
recommendations made on local
designation requests pursuant to
§ 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
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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):
a. What policy direction has the State
provided for ITAs?
b. Describe innovative training
strategies used by the State to fill skills
gaps. Include in the discussion the
State’s effort to broaden the scope and
reach of ITAs through partnerships with
business, education, economic
development, and industry associations
and how business and industry
involvement is used to drive this
strategy.
c. Discuss the State’s plan for
committing all or part of WIA title I
funds to training opportunities in highgrowth, high-demand, and economically
vital occupations.
d. Describe the State’s policy for
limiting ITAs (e.g., dollar amount or
duration).
e. Describe the State’s current or
planned use of WIA title I funds for the
provision of training through Registered
Apprenticeship.
f. Identify State policies that permit
the use of WIA title I financial
assistance to employ or train
participants in religious activities when
the assistance is provided indirectly,
such as through an ITA.
xi. Identify the criteria to be used by
Local Boards in awarding grants for
Youth activities, including criteria that
the governor and Local Boards will use
to identify effective and ineffective
Youth activities and providers of such
activities. (§ 112(b)(18)(B).)
xii. Describe the competitive and noncompetitive 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).)
b. Vocational Rehabilitation,
designate a State agency as the sole
State agency to administer the Plan, or
to supervise the administration of the
Plan by a local agency, in accordance
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with section 101(a)(2)(A).
(§ 101(a)(2)(A).)
c. TANF, describe the objective
criteria for the delivery of benefits and
the determination of eligibility and for
fair and equitable treatment, including
an explanation of how the State will
provide opportunities for recipients
who have been adversely affected to be
heard in a State administrative or appeal
process. (§ 402(a)(1)(B)(iii).)
F. Funding
What criteria will the State use,
subject to each program’s authorizing
law, to allocate funds for each of the
programs included in the Unified Plan?
Describe how the State will use funds
the State receives to leverage other
Federal, State, local, and private
resources, in order to maximize the
effectiveness of such resources, and to
expand the participation of business,
employees, and individuals in the
statewide workforce investment system.
(WIA § 112(b)(10).)
In answering this question, if the
Unified Plan includes:
1. WIA Title I and Wagner-Peyser Act
and/or Veterans Programs (§ 112(b)(12):
a. If applicable, describe the methods
and factors (including weights assigned
to each factor) the State will use to
distribute funds to local areas for the 30
percent discretionary formula Adult
employment and training funds and
Youth funds pursuant to sections
128(b)(3)(B) and 133(b)(3)(B).
b. Describe how the allocation
methods and factors help ensure that
funds are distributed equitably
throughout the State and that there will
be no significant shifts in funding levels
to a local area on a year-to-year basis.
c. Describe the State’s allocation
formula for dislocated worker funds
under 133(b)(2)(B).
d. Describe how the individuals and
entities on the State Board were
involved in the development of the
methods and factors, and how the State
consulted with Chief Elected Officials in
local areas throughout the State in
determining such distribution.
e. Describe the procedures and criteria
that are in place under 20 CFR 663.600
for the governor and appropriate Local
Boards to direct One-Stop operators to
give priority of service to public
assistance recipients and other lowincome individuals for intensive and
training services if funds allocated to a
local area for adult employment and
training activities are determined to be
limited. (§§ 112(b)(17)(A)(iv) and
134(d)(4)(E).)
f. Specify how the State will use the
10 percent Wagner-Peyser Act funds
allotted to it under section 7(b) in
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accordance with the three provisions of
allowable activities: performance
incentives; services for groups with
special needs; and extra costs of
exemplary service delivery models.
(§ 112(b)(7) and 20 CFR 652.204).)
2. Adult Education and Family
Literacy:
a. Describe how the eligible agency
will fund local activities in accordance
with the considerations described in
section 231(e) and the other
requirements of title II of WIA.
(§ 224(b).)
b. Describe the process to show that
public notice was given of the
availability of Federal funds to eligible
recipients and the procedures for
submitting applications to the State,
including approximate time frames for
the notice and receipt of applications.
(§ 231(c).)
c. Describe how the eligible agency
will use funds made available under
section 222(a)(2) for State leadership
activities. (§ 223(a).)
d. Describe the steps the eligible
agency will take to ensure direct and
equitable access, as required in section
231(c). (§ 224(b)(12).)
3. Food Stamp Employment and
Training: Estimate the total cost of the
State’s E&T program and identify the
source of funds according to the format
for Table 5, Planned Fiscal Year Costs,
contained in the most current release of
‘‘The Handbook on Preparing State
Plans for Food Stamp Employment and
Training Programs.’’
4. TANF: Indicate the name, address,
and EIN number of the TANF
administering agency and estimate for
each quarter of the fiscal year by
percentage the amount of TANF grant
that it wishes to receive.
5. Vocational Rehabilitation:
a. Describe how the State will utilize
funds reserved for the development and
implementation of innovative
approaches to expand and improve the
provision of vocational rehabilitation
services to individuals with disabilities
under the State Plan, particularly
individuals with the most significant
disabilities. (§ 101(a)(18)(B).)
b. Describe the quality, scope, and
extent of supported employment
services authorized under the Act to be
provided to individuals who are eligible
under the Act to receive the services.
(§ 625(b)(3).)
c. In the event that vocational
rehabilitation services cannot be
provided to all eligible individuals with
disabilities in the State who apply for
services, indicate the order to be
followed in selecting eligible
individuals to be provided vocational
rehabilitation services and provide the
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justification for the order.
(§ 101(a)(5)(A)–(B).)
6. CSBG: Describe how the State
intends to use discretionary funds made
available from the remainder of the
grant or allotment described in section
675C(b), including a description of how
the local entity will use the funds to
support innovative community and
neighborhood-based initiatives.
G. Activities To Be Funded
For each of the programs in the
Unified Plan, provide a general
description of the activities the State
will pursue using the relevant funding.
In answering the above question, if
the Unified Plan includes:
1. WIA Title I and Wagner-Peyser Act
and/or Veterans Programs:
Describe the approaches the State will
use to provide direction and support to
Local Boards and the One-Stop Career
Center delivery system on the strategic
priorities to guide investments,
structure business engagement, and
inform service delivery approaches for
all customers. (§ 112(b)(17)(A).)
a. One-Stop Service Delivery
Strategies: (§ 111(d)(2) and 112(b)(2).)
i. 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).)
ii. How are Youth formula programs
funded under § 128(b)(2)(A) integrated
in the One-Stop system?
iii. What minimum service delivery
requirements does the State mandate in
a comprehensive One-Stop Career
Center or an affiliate site?
iv. What tools and products has the
State developed to support service
delivery in all One-Stop Career Centers
statewide?
v. What models/templates/approaches
does the State recommend and/or
mandate for service delivery in the OneStop Career Centers? For example, do all
One-Stop Career Centers have a uniform
method of organizing their service
delivery to business customers? Is there
a common individual assessment
process utilized in every One-Stop
Career Center? Are all One-Stop Career
Centers required to have a resource
center that is open to anyone?
b. Workforce Information—A
fundamental component of a 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
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surveys, transactional data from job
boards, and information obtained
directly from businesses. (§§ 111(d)(8),
112(b)(1), and 134(d)(2)(E).)
i. Describe how the State will
integrate workforce information into its
planning and decision-making at the
State and local level, including State
and Local Boards, One-Stop operations,
and case manager guidance.
ii. Describe the approach the State
will use to disseminate accurate and
timely workforce information to
businesses, job seekers, and
employment counselors, in easy to use
formats that are readily accessible
within One-Stop Career Centers and at
remote locations such as libraries,
schools, worksites, and at home.
iii. Describe how the activities funded
through the Workforce Information
grants are aligned with other workforce
investment activities to ensure that the
investments in core products and
services support the State’s overall
strategic direction for workforce
investment.
iv. Describe how State workforce
information products and tools are
coordinated with the national electronic
workforce information tools including
America’s Career Information Network
and Career Voyages.
c. Adults and Dislocated Workers
i. Core Services. (§ 112(b)(17)(a)(i).)
a. Describe State strategies and
policies to ensure adults and dislocated
workers have universal access to the
minimum required core services as
described in § 134(d)(2).
b. Describe how the State will ensure
the three-tiered service delivery strategy
for labor exchange services for job
seekers and employers authorized by
the Wagner-Peyser Act includes (1) selfservice, (2) facilitated self-help service,
and (3) staff-assisted service, and is
accessible and available to all customers
at the local level.
c. Describe how the State will
integrate resources provided under the
Wagner-Peyser Act and WIA title I for
adults and dislocated workers as well as
resources provided by required OneStop partner programs, to deliver core
services.
ii. Intensive Services. Describe State
strategies and policies to ensure adults
and dislocated workers who meet the
criteria in § 134(d)(3)(A) receive
intensive services as defined.
iii. Training Services. Describe the
governor’s vision for increasing training
access and opportunities for individuals
including the investment of WIA title I
funds and the leveraging of other funds
and resources.
iv. Eligible Training Provider List.
Describe the State’s process for
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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).)
v. 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.
a. Describe the governor’s vision for
increasing training opportunities to
individuals through the specific
delivery vehicles of OJT and customized
training.
b. Describe how the State:
1. Identifies OJT and customized
training opportunities;
2. Markets OJT and customized
training as incentives to untapped
employer pools including new business
to the State and employer groups;
3. Partners with high-growth, highdemand industries and economically
vital industries to develop potential OJT
and customized training strategies;
4. Taps business partners to help
drive the strategy through joint
planning, competency and curriculum
development; and determining
appropriate lengths of training, and
5. Leverages other resources through
education, economic development and
industry associations to support OJT
and customized training ventures.
vi. Veterans’ Priority of Service. What
policies and strategies does the State
have in place to ensure that, pursuant to
the Jobs for Veterans Act (Pub. L. 107–
288) (38 U.S.C. 4215), that priority of
service is provided to veterans and
certain spouses who otherwise meet the
eligibility requirements for all
employment and training programs
funded by the U.S. Department of Labor,
in accordance with the provisions of
Training and Employment Guidance
Letter 5–03 (9/16/03)?
vii. Rapid Response. Describe how the
State provides Rapid Response services
with the funds reserved under section
133(a)(2).
a. Identify the entity responsible for
providing Rapid Response services.
Describe how Rapid Response activities
involve Local Boards and Chief Elected
Officials. If Rapid Response activities
are shared between the State and local
areas, describe the functions of each and
how funds are allocated to the local
areas.
b. Describe the process involved in
carrying out Rapid Response activities.
1. What methods are involved in
receiving notice of impending layoffs
(include WARN Act notice as well as
other sources)?
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2. What efforts does the Rapid
Response team make to ensure that
rapid response services are provided,
whenever possible, prior to layoff date,
onsite at the company, and on company
time?
3. What services are included in
Rapid Response activities? Does the
Rapid Response team provide
workshops or other activities in
addition to general informational
services to affected workers? How do
you determine what services will be
provided for a particular layoff
(including layoffs that may be tradeaffected)?
4. How does the State ensure a
seamless transition between Rapid
Response services and One-Stop
activities for affected workers?
5. Describe how Rapid Response
functions as a business service. Include
whether Rapid Response partners with
economic development agencies to
connect employees from companies
undergoing layoffs to similar companies
that are growing and need skilled
workers. How does Rapid Response
promote the full range of services
available to help companies in all stages
of the economic cycle, not just those
available during layoffs? How does the
State promote Rapid Response as a
positive, proactive, business-friendly
service, rather than only as a reactive
service?
6. What other partnerships does Rapid
Response engage in to expand the range
and quality of services available to
companies and affected workers and to
develop an effective early layoff
warning network?
7. What systems does the Rapid
Response team use to track its activities?
Does the State have a comprehensive,
integrated Management Information
System that includes Rapid Response,
Trade Act programs, National
Emergency Grants, and One-Stop
activities?
8. Are Rapid Response funds used for
other activities not described above; e.g.,
the provision of additional assistance to
local areas that experience increased
workers or unemployed individuals due
to dislocation events?
d. Veterans Programs. For the grant
period FY 2005–FY 2009, States
submitted five year strategic plans to
operate Disabled Veterans’ Outreach
Programs (DVOP) and Local Veterans’
Employment Representative (LVER)
programs under the Jobs for Veterans
Act. These plans may be incorporated
by reference as part of a state’s Unified
Plan. Modifications to these five year
Jobs for Veterans Act plans will be
managed in accordance with policy
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guidance from the Veterans’
Employment and Training Service.
e. Youth. ETA’s strategic vision
identifies youth most in need, such as
youth who are: Out-of-school, at risk, in
foster care or aging out of foster care,
offenders, children of incarcerated
parents, homeless, and migrant and
seasonal farmworker youth as those
most in need of service. State programs
and services should take a
comprehensive approach to serving
these youth, including basic skills
remediation; helping youth stay in or
return to school, employment, or
internships; and helping youth attain a
high school diploma or GED, postsecondary vocational training,
Registered Apprenticeship, or
enrollment in community and four-year
colleges. (§ 112(b)(18).)
i. Describe the State’s strategy for
providing comprehensive, integrated
services to eligible youth, including
those most in need as described above.
Include any State requirements and
activities to assist youth who have
special needs or barriers to employment,
including those who are pregnant,
parenting, or have disabilities. Include
how the State will coordinate across
State agencies responsible for workforce
investment, foster care, education,
human services, juvenile justice, and
other relevant resources as part of the
strategy. (§ 112(b)(18).)
ii. Describe how coordination with
Job Corps and other youth programs will
occur. (§ 112(b)(18)(C).)
iii. How does the State Plan to utilize
the funds reserved for statewide
activities to support the State’s vision
for serving youth? Examples of activities
that would be appropriate investments
of these funds include:
a. Utilization of the funds to promote
cross agency collaboration;
b. Demonstration of cross-cutting
models of service delivery;
c. Development of new models of
alternative education leading to
employment; or
d. Development of demand-driven
models with business and industry
working collaboratively with the
workforce investment system and
education partners to develop strategies
for bringing these youth successfully
into the workforce pipeline with the
right skills.
iv. Describe in general how the State
will meet the Act’s provisions regarding
Youth program design. (§§ 112(b)(18)
and 129(c).)
f. Business Services.
i. Describe how the needs of
employers will be determined in the
local areas and on a statewide basis.
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ii. Describe how integrated business
services, including Wagner-Peyser Act
services, will be delivered to employers
through the One-Stop system.
iii. How will the system streamline
administration of Federal tax credit
programs within the One-Stop system to
maximize employer participation (20
CFR 652.3(b), § 112(b)(17)(A)(i).)
g. Innovative Service Delivery
Strategies. Describe innovative service
delivery strategies the State has or is
planning to undertake to maximize
resources, increase service levels,
improve service quality, achieve better
integration or meet other key State
goals. Include in the description the
initiative’s general design, anticipated
outcomes, partners involved and funds
leveraged (e.g., title I formula, statewide
reserve, employer contributions,
education funds, non-WIA State funds).
(§ 112(b)(17)(A).)
h. Strategies for Faith-Based and
Community Organizations
i. Describe those activities to be
undertaken to:
a. Increase the opportunities for
participation of faith-based and
community organizations as committed
and active partners in the One-Stop
delivery system; and
b. Expand the access of faith-based
and community organizations’ clients
and customers to the services offered by
the One-Stops in the State.
ii. Outline those action steps designed
to strengthen State collaboration efforts
with local workforce investment areas
in conducting outreach campaigns to
educate faith-based and community
organizations about the attributes and
objectives of the demand-driven
workforce investment system.
iii. Indicate how these resources can
be strategically and effectively leveraged
in the State’s workforce investment
areas to help meet the objectives of the
Workforce Investment Act.
(§ 112(b)(17)(i).)
2. Adult Education and Literacy
Services, including workplace literacy
services:
a. Describe the State’s family literacy
services.
b. Describe the State’s English literacy
programs.
3. Food Stamp Employment and
Training:
a. Describe the components of the
State’s E&T program.
b. Discuss the weekly/monthly hours
of participation required of each
program component.
c. Describe planned combinations of
components to meet the statutory
requirement of 20 hours of participation
per week to qualify as a work program
for ABAWDS.
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4. TANF: Outline how the State
intends to:
a. Conduct a program, designed to
serve all political subdivisions in the
State (not necessarily in a uniform
manner), that provides assistance to
needy families with (or expecting)
children and provides parents with job
preparation, work, and support services
to enable them to leave the program and
become self-sufficient.
(§ 402(a)(1)(A)(i).)
b. Require a parent or caretaker
receiving assistance under the program
to engage in work (as defined by the
State) once the State determines the
parent or caretaker is ready to engage in
work, or once the parent or caretaker
has received assistance under the
program for 24 months (whether or not
consecutive), whichever is earlier,
consistent with section 407(e)(2).
(§ 402(a)(1)(A)(ii).)
c. Ensure that parents and caretakers
receiving assistance under the program
engage in work activities in accordance
with section 407. (§ 402(a)(1)(A)(iii).)
d. Take such reasonable steps as
deemed necessary to restrict the use and
disclosure of information about
individuals and families receiving
assistance under the program
attributable to funds provided by the
Federal government. (§ 402(a)(1)(A)(iv).)
e. Describe the financial eligibility
criteria and corresponding benefits and
services covered with State
Maintenance of Effort (MOE) funds.
This description applies to State MOE
funds that are used in the State’s TANF
program or used to fund a separate State
program.
5. SCSEP: Provide a description of
each project function or activity and
how the State will implement the
project. The following activities should
be discussed separately: (title V of the
Older Americans Act, as amended.)
a. Describe how the services proposed
support the State Senior Employment
Services Coordination Plan.
b. Describe how recruitment and
selection of participants will be
achieved under Training and
Employment Guidance Letter 13–04 and
the regulations at 20 CFR 641.500 and
641.525. Include a description of the
new recruitment strategies that will be
used to reach the target population.
c. Describe how participant income
will be recertified each year, including
where eligibility records will be
maintained.
d. Describe the arrangements that will
be made to offer physical examinations
as a required fringe benefit.
e. Describe the orientation procedures
for participants and host agencies.
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f. Describe the procedures for
assessing job aptitudes, job readiness,
and job preferences of participants and
their potential for transition into
unsubsidized employment.
g. Describe how the assessment will
be used to develop the participant’s
Individual Employment Plan (IEP).
h. Describe how the participant will
be assigned to community service
including: The types of community
service activity that will be emphasized
and how they were chosen; methods
used to match participants with
community service training; the extent
to which participants will be placed in
the administration of the project itself;
the types of host agencies used and the
procedures and criteria for selecting the
assignments; the average number of
hours in a participant’s training week;
the average wage paid during training;
the fringe benefits offered (if any);
procedures for ensuring adequate
supervision.
i. Describe the training that will be
provided during community service
training and any other types of training
provided, including linkages with local
One-Stop Career Centers, the Registered
Apprenticeship Program, and the
Disability Program Navigators.
j. Describe the supportive services
that will be offered to help participants
obtain and retain an unsubsidized job.
k. Describe arrangements that will be
made to provide transportation
assistance to participants.
l. Describe the steps that will be taken
to move or place participants into
unsubsidized employment, including
cooperative measures that will be taken
with the One-Stop Delivery System, and
that support the Administration’s focus
on high-growth industries. Any grantee
that failed to meet at least 20 percent
unsubsidized placements in program
year 2004 must submit a corrective
action plan.
m. Describe any policy for maximum
duration of enrollment or maximum
time in community service.
n. Describe procedures for terminating
a participant, including Individual
Employment Plan terminations and the
grievance procedures that will address
termination from the program.
o. Describe the procedures for
addressing and resolving participant
complaints.
p. Describe procedures for over
enrolling participants, including how
over enrollments will be balanced with
Equitable Distribution requirements.
q. Describe steps that will be taken to
ensure compliance with the
Maintenance of Effort provision of
section 501(b)(1)(F).
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r. Describe payroll procedures and
how workers’ compensation premiums
are paid.
s. Describe collaboration efforts with
the One-Stop System and with other
partner programs under the Workforce
Investment Act to maximize
opportunities for SCSEP participants.
t. Describe efforts to work with local
economic development offices in rural
locations.
u. Describe current slot imbalances
and proposed steps to correct inequities
to achieve equitable distribution.
v. List the cities and counties where
the project and subprojects will be
conducted. Include the number of
SCSEP authorized positions and
indicate where the positions changed
from the prior year.
w. Describe the organizational
structure of the project and how
subprojects will be managed, including
assurances that adequate resources for
administrative costs will be provided.
Also describe the training that will be
provided to local staff and describe how
projects will be monitored for program
and financial compliance, including
audit plans.
x. Describe how the State will manage
its providers and how it will transfer
participants if new providers are
selected to serve in the State.
y. Include a proposed level for each
performance measure for each of the
program years covered by the Plan.
While the Plan is under review or
through a subsequent modification, the
State will negotiate with the Division of
Adult Services, Older Worker Unit to set
the appropriate levels for the next year.
At a minimum, States must identify the
performance indicators required under
the Interim Final Rule for performance
accountability published on June 29,
2007, and, for each indicator, the State
must develop an objective and
quantifiable performance goal for the
next year. The performance measures
include: Entered employment,
employment retention, average earnings,
service level, service to most in need,
and community service.
z. Describe any request for an increase
in administrative costs consistent with
section 502(c)(3) of the Older Americans
Act.
aa. Describe plans to provide a copy
of this section to Area Agencies on
Aging consistent with section 502(d) of
the Older American Act.
6. CSBG, explain how the activities
funded will:
a. Remove obstacles and solve
problems that block the achievement of
self-sufficiency, including those families
and individuals who are attempting to
transition off a State program carried out
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under part A of title IV of the Social
Security Act.
b. Secure and retain meaningful
employment.
c. Attain an adequate education, with
particular attention toward improving
literacy skills of the low-income
families in the communities involved,
which may include carrying out family
literacy initiatives.
d. Make better use of available
income.
e. Obtain and maintain adequate
housing and a suitable living
environment.
f. Obtain emergency assistance
through loans, grants, or other means to
meet immediate and urgent family and
individual needs.
g. Achieve greater participation in the
affairs of the communities involved,
including the development of public
and private grassroots partnerships with
local law enforcement agencies, local
housing authorities, private foundation,
and other public and private partners.
h. Create youth development
programs that support the primary role
of the family, give priority to the
prevention of youth problems and
crime, and promote increased
community coordination and
collaboration in meeting the needs of
youth, and support development and
expansion of innovative communitybased youth development programs that
have demonstrated success in
preventing or reducing youth crime.
i. Provide supplies, services,
nutritious foods, and related services, as
may be necessary to counteract
conditions of starvation and
malnutrition among low-income
individuals.
H. Coordination and Non-Duplication
Describe how the State will
coordinate and integrate the services
provided through all of the programs
identified in the Unified Plan in order
to meet the needs of its customers,
ensure there is no overlap or
duplication among the programs, and
ensure collaboration with key partners
and continuous improvement of the
workforce investment system. (States
are encouraged to address several
coordination requirements in a single
narrative, if possible.)
In answering the above question, if
the Unified Plan includes:
1. WIA Title I and Wagner-Peyser Act
and/or Veterans Programs
Structure/Process for State agencies
and State Board to collaborate and
communicate with each other and with
the local workforce investment system.
(§ 112(b)(8)(A).)
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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).)
2. Adult Education and Family
Literacy, describe how the Adult
Education and Family Literacy activities
that will be carried out with any funds
received under AEFLA will be
integrated with other adult education,
career development, and employment
and training activities in the State or
outlying area served by the eligible
agency. (§ 224(b)(11).)
3. Vocational Rehabilitation:
Describe the State agency’s plans,
policies, and procedures for
coordination with the following
agencies or programs:
a. Federal, State and local agencies
and programs, including programs
carried out by the Under Secretary for
Rural Development of the Department of
Agriculture and State use of contracting
programs to the extent that such
agencies and programs are not carrying
out activities through the statewide
workforce investment system.
(§ 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).)
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c. Private, nonprofit 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).)
4. Unemployment Insurance,
summarize requests for any Federal
partner assistance (primarily nonfinancial) that would help the SWA
attain its goal.
5. CSBG, describe how the State and
eligible entities will coordinate
programs to serve low-income residents
with other organizations, including:
a. Religious organizations.
b. Charitable groups.
c. Community organizations.
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I. Special Populations and Other Groups
1. Describe how the State will develop
program strategies to target and serve
special populations. States may present
information about their service
strategies for those special populations
that are identified by multiple Federal
programs as they deem most appropriate
and useful for planning purposes,
including by special population or on a
program-by-program basis.
In providing this description, if the
Unified Plan includes any of the
programs listed below, please address
the following specific relevant
populations:
a. WIA Title I and Wagner-Peyser Act
and/or Veterans Programs
(§ 112(b)(17)(A)(iv) and 112(b)(17)(B)):
i. Describe the State’s strategies to
ensure that the full range of
employment and training programs and
services delivered through the State’s
One-Stop delivery system are accessible
to and will meet the needs of dislocated
workers, displaced homemakers, 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, limited English proficiency
(LEP) individuals, and people with
disabilities). (§ 112(b)(17)(iv).)
ii. Describe the reemployment
services you will provide to
unemployment insurance claimants and
the Worker Profiling services provided
to claimants identified as most likely to
exhaust their unemployment insurance
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benefits in accordance with section
3(c)(3) of the Wagner-Peyser Act.
iii. Describe how the State
administers the unemployment
insurance work test and how feedback
requirements (under § 7(a)(3)(F) of the
Wagner-Peyser Act) for all UI claimants
are met.
iv. Describe the State’s strategy for
integrating and aligning services to
dislocated workers provided through
the WIA rapid response, WIA dislocated
worker, and Trade Adjustment
Assistance (TAA) programs. Does the
State have a policy supporting coenrollment for WIA and TAA?
(§ 112(b)(17)(A)(ii and iv).)
v. How is the State’s workforce
investment system working
collaboratively with business and
industry and the education community
to develop strategies to overcome
barriers to skill achievement and
employment experienced by the
populations listed above in section
(b)(i)(a.) of this section and to ensure
they are being identified as a critical
pipeline of workers?
vi. Describe how the State will ensure
that the full array of One-Stop services
are available to individuals with
disabilities and that the services are
fully accessible.
vii. Describe the role LVER/DVOP
staff have in the One-Stop delivery
system. How will the State ensure
adherence to the legislative
requirements for veterans’ staff? How
will services under this Plan take into
consideration the agreement reached
between the Secretary and the State
regarding veterans’ employment
programs? (§§ 112(b)(7), 322, 38 U.S.C.
Chapter 41 and 20 CFR 1001.120.)
viii. Department of Labor regulations
at 29 CFR 37 require all recipients of
Federal financial assistance from DOL to
provide meaningful access to LEP
individuals. Federal financial assistance
includes grants, training, equipment
usage, donations of surplus property,
and other assistance. The regulations
also apply to sub-recipients when
Federal DOL funds are passed through
from one recipient to a sub-recipient.
Describe how the State will ensure
access to services through the State’s
One-Stop delivery system by persons
with limited English proficiency and
how the State will meet the
requirements of ETA Training and
Employment Guidance Letter (TEGL)
26–02 (May 29, 2003) which provides
guidance on methods of complying with
the Federal rule.
ix. Describe the State’s strategies to
enhance and integrate service delivery
through the One-Stop delivery system
for migrant and seasonal farmworkers
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and agricultural employers. How will
the State ensure that migrant and
seasonal farmworkers have equal access
to employment opportunities through
the State’s One-Stop delivery system?
Include the number of migrant and
seasonal farmworkers the State
anticipates reaching annually through
outreach to increase their ability to
access core, intensive, and training
services in the One-Stop Career Center
System.
b. Adult Education and Family
Literacy:
i. Low income students
(§ 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.)
c. TAA and NAFTA–TAA, describe
how rapid response and basic
readjustment services authorized under
other Federal laws will be provided to
trade-impacted workers.
d. Vocational Rehabilitation:
i. Minorities with most significant
disabilities. (§ 21(c).)
e. TANF: indicate whether the State
intends to:
i. Treat families moving into the State
from another State differently than other
families under the program, and if so,
how the State intends to treat such
families under the program;
ii. Provide assistance under the
program to individuals who are not
citizens of the United States, and if so,
include an overview of such assistance
(§ 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).)
f. SCSEP (§ 3(a)(1).): Indicate how the
State will meet the priority for serving
individuals age 65 and older and
individuals
i. with a disability;
ii. with limited English proficiency or
low literacy skills;
iii. who live in a rural area;
iv. who are veterans;
v. who have low employment
prospects;
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vi. who have failed to find
employment after utilizing services
under WIA;
vii. who are homeless or at risk for
homelessness.
g. CSBG: Please address the following
specific relevant populations in
answering question 1:
i. Low-income families.
ii. Families and individuals receiving
assistance under part A of title IV of the
Social Security Act (42 U.S.C. 601 et
seq.).
iii. Homeless families and
individuals.
iv. Migrant or seasonal farmworkers.
v. Elderly low-income individuals
and families.
vi. Youth in low-income
communities.
h. HUD Employment and Training
Programs: (Reminder: The following is a
suggestion for incorporating HUD
programs into the State’s Unified Plan.
However, following this guidance will
not trigger funding for HUD programs):
i. Public housing residents.
ii. Homeless and other groups.
2. Identify the methods of collecting
data and reporting progress on the
special populations described in
question 1 of this section.
3. If the Plan includes Adult
Education and Family Literacy or
Vocational Rehabilitation, describe the
steps the eligible agency will take to
ensure equitable access to, and equitable
participation in, projects or activities
carried out with the respective funds by
addressing the special needs of student,
teachers, and other program
beneficiaries in order to overcome
barriers to equitable participation,
including barriers based on gender, race,
color, national origin, disability, and
age. (§ 427(b) General Education
Provisions Act.)
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J. Professional Development and System
Improvement
How will the State develop personnel
to achieve the performance indicators
for the programs included in the Plan?
In answering this question, if the
Unified Plan includes:
1. WIA Title I and Wagner-Peyser Act
and/or Veterans Programs:
a. Capacity of Local Boards—How
will the State build the capacity of Local
Boards to develop and manage high
performing local workforce investment
system? (§§ 111(d)(2) and 112(b)(14).)
b. Local Planning Process—Describe
the State mandated requirements for
local workforce areas’ strategic
planning. What assistance does the State
provide to local areas to facilitate this
process, (§ 112(b)(2) and 20 CFR
661.350(a)(13)), including:
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i. What oversight of the local planning
process is provided, including receipt
and review of Plans and negotiation of
performance agreements? and
ii. How does the local plan approval
process ensure that local plans are
consistent with State performance goals
and State strategic direction?
c. Oversight/Monitoring Process—
Describe the monitoring and oversight
criteria and procedures the State utilizes
to move the system toward the State’s
vision and achieve the goals identified
above, such as the use of mystery
shoppers, performance agreements.
(§ 112(b)(14).)
2. Vocational Rehabilitation, describe
the designated State agency’s policies,
procedures and activities to establish
and maintain a comprehensive system
of personnel development designed to
ensure an adequate supply of qualified
State rehabilitation professional and
paraprofessional personnel for the
designated State unit pursuant to
section 101(a)(7) of the Act. (§ 101(a)(7).)
K. Performance Accountability
Nothing in this guidance shall relieve
a State of its responsibilities to comply
with the accountability requirements of
WIA titles I and II, including, for
example, the requirements to
renegotiate performance levels at
statutorily defined points. The
appropriate Secretary will negotiate
adjusted levels of performance with the
State for these programs prior to
approving the State Plan.
1. What are the State’s performance
methodologies, indicators and goals in
measurable, quantifiable terms for each
program included in the Unified Plan
and how will each program contribute
to achieving these performance goals?
(Performance indicators are generally
set out by each program’s statute.)
In answering the above question, if
the Unified Plan includes:
a. WIA Title I and Wagner-Peyser Act
and/or Veterans Programs:
Improved performance and
accountability for customer-focused
results are central features of WIA. To
improve, States need not only reporting
systems in place to collect data and
track outcomes based on service
delivery, but also performance
management and accountability systems
to analyze the information and modify
strategies to improve performance. (See
Training and Employment Guidance
Letter (TEGL) 17–05, Common Measures
Policy for the Employment and Training
Administration’s (ETA) Performance
Accountability System and Related
Performance Issues, issued February 17,
2006.)
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In this section, describe how the State
measures the success of its strategies in
achieving its goals, and how the State
uses these data to continuously improve
the system.
i. Describe the State’s performance
accountability system, including any
State-system measures and the State’s
performance goals established with
local areas. Identify the performance
indicators and goals the State has
established to track its progress toward
meeting its strategic goals and
implementing its vision for the
workforce investment system. For each
of the core indicators, explain how the
State worked with Local Boards to
determine the level of the performance
goals. Include a discussion of how the
levels compare with the State’s previous
outcomes as well as with the 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 life of
the Plan. (§§ 112(b)(3) and 136(b)(3).)
ii. Describe any targeted applicant
groups, such as TANF recipients,
Veterans, ex-offenders, and migrant and
seasonal farmworkers, under WIA title I,
the Wagner-Peyser Act or Title 38
Chapters 41 and 42 (Veterans
Employment and Training Programs)
that the State tracks. (§§ 111(d)(2),
112(b)(3) and 136(b)(2)(C).)
iii. Identify any performance
outcomes or measures in addition to
those prescribed by WIA and what
process is the State using to track and
report them.
iv. Describe the State’s common data
system and reporting processes in place
to track progress. Describe what
performance information will be
collected from the various One-Stop
partners (beyond that required by DOL),
use of quarterly wage records, and how
the statewide system will have access to
the information needed to continuously
improve. (§ 112(b)(8)(B).)
v. Describe any actions the governor
and State Board will take to ensure
collaboration with key partners and
continuous improvement of the
statewide workforce investment system.
(§§ 111(d)(2) and 112(b)(1).)
vi. How do the State and Local Boards
evaluate performance? What corrective
actions (including sanctions and
technical assistance) will the State take
if performance falls short of
expectations? How will the State and
Local Boards use the review process to
reinforce the strategic direction of the
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system? (§§ 111(d)(2), 112(b)(1), and
112(b)(3).)
vii. Include a proposed level for each
performance measure for each program
year covered by the Plan. While the Plan
is under review, the State will negotiate
with the respective ETA Regional
Administrator to set the appropriate
levels for the applicable year. States
must identify the performance
indicators required under section 136,
and, for each indicator, the State must
develop an objective and quantifiable
performance goal for each program year
covered by the Plan. States are
encouraged to address how the
performance goals for local workforce
investment areas and training providers
will help them attain their statewide
performance goals. (§§ 112(b)(3) and
136).)
b. Adult Education and Family
Literacy:
i. Include a description of how the
eligible agency will evaluate annually
the effectiveness of the Adult Education
and Family Literacy activities, such as
a comprehensive performance
accountability system, based on the
performance measures in section 212.
ii. Identify levels of performance for
the core indicators of performance
described in section 212(b)(2)(A) for the
first three program years covered by the
Plan (§ 212(b)(3)(A)(ii).), and any
additional performance indicators
selected by the eligible agency. (§ 212
(b)(2)(B).)
iii. Describe how such performance
indicators or measures will be used to
ensure the improvement of Adult
Education and Family Literacy activities
in the State or outlying area.
(§ 224(b)(4).)
c. TANF, outline how the State
intends to establish goals and take
action to prevent and reduce the
incidence of out of wedlock
pregnancies, with special emphasis on
teenage pregnancies. (§ 402(a)(1)(A)(v).)
d. SCSEP: Provisions on performance
are set forth in section G.1. (g)(xxv) of
these instructions.
e. CSBG:
i. Describe how the State and all
eligible entities in the State will
participate in the Results Oriented
Management and Accountability
System, a performance measure system
pursuant to section 678E(b) of the Act,
or an alternative system for measuring
performance and results that meets the
requirements of that section, and a
description of outcome measures to be
used to measure eligible entity
performance in promoting selfsufficiency, family stability, and
community revitalization.
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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/sub-grantees accountable?
In answering the above question, if
the Unified Plan includes:
a. WIA Title I and Wagner-Peyser Act
and/or Veterans Programs, describe the
State’s common data system and
reporting processes in place to track
progress. Describe what data will be
collected from the various One-Stop
partners (beyond that required by DOL),
use of quarterly wage records, and how
the statewide system will have access to
the information needed to continuously
improve. (§ 112(b)(8)(B).)
b. Food Stamp Employment &
Training, describe how employment and
training data will be compiled and
where responsibility for employment
and training reporting is
organizationally located at the State
level. Include the department, agency,
and telephone number for the person(s)
responsible for both financial and nonfinancial employment & training (E&T)
reporting.
2. What common data elements and
reporting systems are in place to
promote integration of Unified Plan
activities?
M. Corrective Action
Describe the corrective actions the
State will take for each program, as
applicable, if performance does not
meet expectations.
In answering the above question, if
the Unified Plan includes:
1. Vocational Rehabilitation, include
the results of an evaluation of the
effectiveness of the vocational
rehabilitation program, and a report
jointly developed with the State
Rehabilitation Council (if the State has
a Council) on the progress made in
improving effectiveness from the
previous year including:
a. An evaluation of the extent to
which program goals were achieved and
a description of the strategies that
contributed to achieving the goals.
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b. To the extent the goals were not
achieved, a description of the factors
that impeded that achievement.
c. An assessment of the performance
of the State on the standards and
indicators established pursuant to
section 106 of the Act.
(§ 101(a)(15)(E)(i).)
2. Unemployment Insurance,
a. Explain the reason(s) for the
measurement areas in which the State’s
performance is deficient.
b. Include a description of the
actions/activities which will be
undertaken to improve performance.
c. If a Corrective Action Plan was in
place the previous fiscal year, provide
an explanation of why the actions
contained in that Plan were not
successful in improving performance,
and an explanation of why the actions
now specified will be more successful.
d. Describe plans for monitoring and
assessing accomplishments of planned
actions and for controlling quality after
achieving performance goals.
N. Waiver and Work-Flex Requests
Will the State be requesting waivers
as a part of this Unified Plan?
In answering this question, the
following waiver provisions apply if the
Unified Plan includes:
1. WIA Title I and Wagner-Peyser Act
and/or Veterans Programs: States may
submit a Workforce Flexibility (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.
2. Vocational Rehabilitation: If a State
requests a waiver of the statewide
requirement identified in assurance
number 13 for the vocational
rehabilitation program in Section III of
this Unified Planning guidance, the
request must be made in accordance
with the provisions of 34 CFR 361.26(b).
Part IV. Certifications and Assurances
The following certifications and
assurances apply to the extent that the
programs and activities are included in
the State Unified Plan.
A. General Certifications and
Assurances
By signing the Unified Plan signature
page, you are certifying that:
1. The methods used for joint
planning and coordination of the
programs and activities included in the
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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).)
If you submit the Unified Plan by
posting it on an Internet Web site, you
are certifying that:
2. The content of the submitted Plan
will not be changed after it is submitted.
Plan modifications must be approved by
the reviewing State agency. It is the
responsibility of the designated agency
to circulate the modifications among the
other agencies that may be affected by
the changes.
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B. Non-Construction Programs
By signing the Unified Plan signature
page, you are certifying that the grantee
has filed the Government-wide standard
assurances for non-construction
programs (SF 424). States can print SF
424 from https://ocfo.ed.gov/grntinfo/
appforms.htm.
C. EDGAR Certifications
You must include the following
certifications for each of the State
agencies that administer one of these
programs: Adult Education and Literacy
or Vocational Rehabilitation. A State
may satisfy the EDGAR requirement by
having all responsible State agency
officials sign a single set of EDGAR
certifications.
By signing the Unified Plan signature
page, you are certifying that:
1. The Plan is submitted by the State
agency that is eligible to submit the
Plan. [34 CFR 76.104(a)(1).]
2. The State agency has authority
under State law to perform the functions
of the State under the program. [34 CFR
76.104(a)(2)]
3. The State legally may carry out
each provision of the Plan. [34 CFR
76.104(a)(3)]
4. All provisions of the Plan are
consistent with State law. [34 CFR
76.104(a)(4)]
5. A State officer, specified by title in
the certification, has authority under
State law to receive, hold, and disburse
Federal funds made available under the
Plan. [34 CFR 76.104(a)(5)]
6. The State officer who submits the
Plan, specified by title in the
certification, has authority to submit the
Plan. [34 CFR 76.104(a)(6)]
7. The agency that submits the Plan
has adopted or otherwise formally
approved the Plan. [34 CFR 76.104(a)(7)]
8. The Plan is the basis for State
operation and administration of the
program. [34 CFR 76.104(a)(8)]
9. A copy of the State Plan was
submitted into the State
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Intergovernmental Review Process.
[Executive Order 12372]
D. Debarment, Drug-Free Work Place,
and Lobbying Certification
By signing the Unified Plan signature
page, you are certifying that the
Department of Education grantee has
filed ED 80–0013. This form also applies
to AEFLA and RSA. States can print ED
80–0013 from https://ocfo.ed.gov/
grntinfo/appforms.htm.
E. WIA Title I/Wagner-Peyser Act/
Veterans Programs
By signing the Unified Plan signature
page, you are certifying that:
1. The State assures that it will
establish, in accordance with section
184 of the Workforce Investment Act,
fiscal control and fund accounting
procedures that may be necessary to
ensure the proper disbursement of, and
accounting for, funds paid to the State
through the allotments made under
sections 127 and 132. (§ 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,
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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
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 merit-
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based public employees in accordance
with DOL regulations.
14. The State assures that it will
comply with the MSFW significant
office requirements in accordance with
20 CFR part 653.
15. The State certifies it has
developed this Plan in consultation
with local elected officials, Local
Workforce Boards, the business
community, labor organizations and
other partners.
16. As a condition to the award of
financial assistance from the
Department of Labor under title I of
WIA, the grant applicant assures that it
will comply fully with the
nondiscrimination and equal
opportunity provisions of the following
laws:
a. Section 188 of the Workforce
Investment Act of 1998 (WIA), which
prohibits discrimination against all
individuals in the United States on the
basis of race, color, religion, sex,
national origin, age, disability, political
affiliation or belief, and against
beneficiaries on the basis of either
citizenship/status as a lawfully admitted
immigrant authorized to work in the
United States or participation in any
WIA title I financially-assisted program
or activity;
b. Title VI of the Civil Rights Act of
1964, as amended, which prohibits
discrimination on the bases of race,
color and national origin;
c. Section 504 of the Rehabilitation
Act of 1973, as amended, which
prohibits discrimination against
qualified individuals with disabilities;
d. The Age Discrimination Act of
1975, as amended, which prohibits
discrimination on the basis of age; and
e. Title IX of the Education
Amendments of 1972, as amended,
which prohibits discrimination on the
basis of sex in educational programs.
f. The grant applicant also assures that
it will comply with 29 CFR part 37 and
all other regulations implementing the
laws listed above. This assurance
applies to the grant applicant’s
operation of the WIA title I financiallyassisted program or activity, and to all
agreements the grant applicant makes to
carry out the WIA title I financiallyassisted 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.
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F. Adult Education and Family Literacy
By signing the Unified Plan signature
page, you are certifying that:
1. The eligible agency will award not
less than one grant to an eligible
provider who offers flexible schedules
and necessary support services (such as
child care and transportation) to enable
individuals, including individuals with
disabilities, or individuals with other
special needs, to participate in Adult
Education and Literacy activities, which
eligible provider shall attempt to
coordinate with support services that
are not provided under this subtitle
prior to using funds for Adult Education
and Literacy activities provided under
AEFLA for support services.
(§ 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).)
G. Food Stamp Employment and
Training (FSET)
By signing the Unified Plan signature
page, you are certifying that:
1. Federal funds allocated by the
Department of Agriculture to the State
under section 16(h)(1) of the Food
Stamp Act of 1977 (the Act), or
provided to the State as reimbursements
under sections 16(h)(2) and 16(h)(3) of
the Act will be used only for operating
an employment and training program
under section 6(d)(4) of the Act.
2. The State will submit to the Food
and Nutrition Service (FNS) annual
updates to its Employment and Training
Plan for the coming fiscal year. The
updates are due by August 15 of each
year. The annual update must include
any changes the State anticipates
making in the basic structure or
operation of its program. At a minimum,
the annual update must contain
revisions to Tables 1 (Estimated
Participant Levels), 2 (Estimated E&T
Placement Levels), 4 (Operating
Budget), and 5 (Funding Categories).
3. If significant changes are to be
made to its E&T program during the
fiscal year, the State will submit to FNS
a request to modify its Plan. FNS must
approve the modification request before
the proposed change is implemented.
The State may be liable for costs
associated with implementation prior to
approval. See ‘‘The Handbook on
Preparing State Plans for Food Stamp
Employment and Training Programs’’
for additional information.
4. The State will submit a quarterly
E&T report, FNS–583. Reports are due
no later than 45 days after the end of
each Federal fiscal quarter. The
information required on the FNS–583 is
listed in Exhibit 3 of the ‘‘The
Handbook on Preparing State Plans for
Food Stamp Employment and Training
Programs.’’
5. The State will submit E&T program
financial information on the SF–269,
Financial Status Report. It must include
claims for the 100 percent Federal grant,
50 percent matched funding, and
participant reimbursements. The SF–
269 is due 30 days after the end of each
Federal fiscal quarter.
6. The State will deliver each
component of its E&T program through
the One-Stop delivery system, an 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.
H. Vocational Rehabilitation
By signing the Unified Plan signature
page, you are certifying that:
1. As a condition for the receipt
Federal funds under title I, part B of the
Rehabilitation Act for the provision of
vocational rehabilitation services, the
designated State agency agrees to
operate and administer the State
Vocational Rehabilitation Services
Program in accordance with provisions
of this title I State Plan, the Act and all
applicable regulations, policies and
procedures established by the Secretary.
Funds made available under section 111
of the Act are used solely for the
provision of vocational rehabilitation
services under title I and the
administration of the title I State Plan.
2. As a condition of the receipt of
Federal funds under title VI, part B of
the Act for supported employment
services, the designated State agency
agrees to operate and administer the
State Supported Employment Services
Program in accordance with the
provisions of the supplement to this
State Plan, the Act, and all applicable
regulations, policies, and procedures
established by the Secretary. Funds
made available under title VI, part B are
used solely for the provision of
supported employment services and the
administration of the supplement to the
title I State Plan.
3. The designated State agency or
designated State unit is authorized to
submit this State Plan under title I of the
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Act and its supplement under title VI,
part B of the Act.
4. The State submits only those
policies, procedures, or descriptions
required under this State Plan and its
supplement that have not been
previously submitted to and approved
by the Commissioner of the
Rehabilitation Services Administration.
(§ 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
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individuals and groups of individuals
who are recipients of vocational
rehabilitation services, or in appropriate
cases, the individual’s representatives;
personnel working in programs that
provide vocational rehabilitation
services to individuals with disabilities;
providers of vocational rehabilitation
services to individuals with disabilities;
the Director of the client assistance
program; and the State Rehabilitation
Council, if the State has such a Council.
(§ 101(a)(16)(B))
10. The designated State agency (or,
as appropriate, agencies) is a State
agency that is:
a.ll Primarily concerned with
vocational rehabilitation, or vocational
and other rehabilitation, of individuals
with disabilities; or
b.ll 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.ll 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.ll 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
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goals and priorities, and jointly submits
annual reports of progress with the
Council, in accordance with the
provisions of section 101(a)(15) of the
Act; regularly consults with the Council
regarding the development,
implementation, and revision of State
policies and procedures of general
applicability pertaining to the provision
of vocational rehabilitation services;
includes in the State Plan and in any
revision to the State Plan, a summary of
input provided by the Council,
including recommendations from the
annual report of the Council described
in section 105(c)(5) of the Act, the
review and analysis of consumer
satisfaction described in section
105(c)(4), and other reports prepared by
the Council, and the response of the
designated State unit to such input and
recommendations, including
explanations for rejecting any input or
recommendation; and transmits to the
Council all Plans, reports, and other
information required under this title to
be submitted to the Secretary; all
policies, and information on all
practices and procedures, of general
applicability provided to or used by
rehabilitation personnel in carrying out
this title; and copies of due process
hearing decisions issued under this title,
which shall be transmitted in such a
manner as to ensure that the identity of
the participants in the hearings is kept
confidential. (§ 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
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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).)
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
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applicants and eligible individuals in a
manner that permits the greatest
possible cross-classification of data and
ensures the confidentiality of the
identity of each individual.
(§ 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,
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using appropriate modes of
communication, to assist such
individuals in preparing for, securing,
retaining, or regaining employment, and
are appropriately referred to Federal and
State programs, including other
components of the statewide workforce
investment system in the State.
(§ 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:
• Assessment for determining
eligibility and vocational rehabilitation
needs by qualified personnel, including,
if appropriate, an assessment by
personnel skilled in rehabilitation
technology;
• Counseling and guidance, including
information and support services to
assist an individual in exercising
informed choice consistent with the
provisions of section 102(d) of the Act;
• Referral and other services to secure
needed services from other agencies
through agreements developed under
section 101(a)(11) of the Act, if such
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services are not available under this
State Plan;
• Job-related services, including job
search and placement assistance, job
retention services, follow-up services,
and follow-along services;
• Rehabilitation technology,
including telecommunications, sensory,
and other technological aids and
devices; and
• Post-employment services
consisting of the services listed under
subparagraphs (a) through (e), to an
eligible individual, or to members of the
individual’s family, the State unit
determines whether comparable
services and benefits exist under any
other program and whether those
services and benefits are available to the
individual unless the determination of
the availability of comparable services
and benefits under any other program
would interrupt or delay:
• Progress of the individual toward
achieving the employment outcome
identified in the individualized plan for
employment;
• An immediate job placement; or
• Provision of such service to any
individual who is determined to be at
extreme medical risk, based on medical
evidence provided by an appropriate
qualified medical professional.
(§ 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
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employment setting in a community
rehabilitation program or any other
employment under section 14(c) of the
Fair Labor Standards Act (29 U.S.C.
214(c)) for 2 years after the achievement
of the outcome (and annually thereafter
if requested by the individual or, if
appropriate, the individual’s
representative), to determine the
interests, priorities, and needs of the
individual with respect to competitive
employment or training for competitive
employment; provides for the input into
the review and reevaluation, and a
signed acknowledgment that such
review and reevaluation have been
conducted, by the individual with a
disability, or, if appropriate, the
individual’s representative; and makes
maximum efforts, including the
identification and provision of
vocational rehabilitation services,
reasonable accommodations, and other
necessary support services, to assist
such individuals in engaging in
competitive employment. (§ 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
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plans established under other Federal or
State programs. (§ 625(b)(6)(E).)
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).)
I. Unemployment Insurance (UI)
By signing the Unified Plan/SQSP
Signature Page, the State administrator
is certifying that the State will comply
with the following assurances, and that
the State will institute plans or
measures to comply with the following
requirements. The assurances are
identified and explained below:
A. Assurance of Equal Opportunity
(EO). As a condition to the award of
financial assistance from ETA, the State
must assure that the operation of its
program, and all agreements or
arrangements to carry out the programs
for which assistance is awarded, will
comply with the following laws:
• Title VI of the Civil Rights Act of
1964, as amended;
• Sections 504 and 508(f) of the
Rehabilitation Act of 1973, as amended;
• Age Discrimination Act (ADA) of
1975, as amended,
• Section 188 of the Workforce
Investment Act; and
• Title IX of the Education
Amendments of 1972, as amended.
Further, the State must assure that it
will establish and adhere to Methods of
Administration that give a reasonable
guarantee of compliance with the above
equal opportunity and
nondiscrimination laws and regulations
regarding the program services it
provides and in its employment
practices. These Methods of
Administration must, at a minimum,
include the following:
1. Designation of an Equal
Opportunity Officer. The state must
designate a senior-level individual to
coordinate its EO responsibilities. The
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person designated must report to the top
official on equal opportunity and
nondiscrimination matters and be
assigned sufficient staff and resources to
ensure the capability to fulfill the
agency’s equal opportunity and
nondiscrimination obligations.
2. Equal Opportunity Notice and
Communication. The state must take
affirmative steps to prominently display
the Equal Opportunity is the Law poster
in all of its facilities and inform
applicants for programs, participants,
applicants for employment, and
employees:
a. that the state does not discriminate
in admission, access, treatment, or
employment; and
b. of their right to file a complaint and
how to do so.
Other than the Equal Opportunity is
the Law poster, methods of notification
of this information may include
placement of notices in offices and
publication of notices in newsletters,
newspapers, or magazines.
3. Assurances. The state must develop
and implement procedures for
transferring nondiscrimination and EO
obligations in sub-contracts and subagreements.
4. Universal Access. The state must
take appropriate steps to ensure that
they are providing universal access to
their programs. These steps should
include reasonable efforts to include
members of both sexes, various racial
and ethnic groups, individuals with
disabilities and individuals in differing
age groups.
5. Compliance with Section 504. The
state must take the necessary measures
to ensure access to its programs and
facilities for persons with disabilities, as
well as make certain communication
with persons with disabilities is as
effective as that with others.
6. Data Collection and Recordkeeping.
The state must collect such data and
maintain such records in accordance
with procedures prescribed by the
Director of the U.S. Department of
Labor’s Civil Rights Center. These
characteristics data (e.g., race, sex,
national origin, age, disability) are
utilized to determine whether the state
and its local office are in compliance
with Federal nondiscrimination and
equal opportunity statutes and
regulations.
7. Monitoring. The state must
establish a system for periodically
monitoring the delivery of program
services for compliance.
8. Discrimination Complaint
Procedures. The state must develop and
follow procedures for handling
complaints of discrimination covering
all of the regulations applicable to it as
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a recipient of Federal financial
assistance.
9. Corrective Actions and Sanctions.
The state must establish procedures for
taking prompt corrective action
regarding any noncompliance finding
relating to the administration,
management, and operation of its
programs and activities.
B. Assurance of Administrative
Requirements and Allowable Cost
Standards. The State must comply with
administrative requirements and cost
principles applicable to grants and
cooperative agreements as specified in
20 CFR part 601 (Administrative
Procedure), 29 CFR part 93 (Lobbying
Prohibitions), 29 CFR part 96 and part
99 (Audit Requirements), 29 CFR part
97 (Uniform Administrative
Requirements for Grants and
Cooperative Agreements to State and
Local Governments), and OMB Circular
A–87 (Revised), 2 CFR 225, (Cost
Principles for State, Local, and Indian
Tribal Governments), and with
administrative requirements for
debarment and suspension applicable to
sub-grants or contracts as specified in 29
CFR part 98 (Debarment and
Suspension). The state assures that state
staff will attend mandatory meetings
and training sessions, or return unused
funds.
States that have subawards to
organizations covered by audit
requirements of 29 CFR Part 99 (Audit
of States, Local Governments, and NonProfit Organizations) must (1) ensure
that such subrecipients meet the
requirements of that circular, as
applicable, and (2) resolve audit
findings, if any, resulting from such
audits, relating to the UI program.
The state also assures that it will
comply with the following specific
administrative requirements:
1. Administrative Requirements.
a. Program Income. Program income
is defined in 29 CFR 97.25 as gross
income received by a grantee or
subgrantee directly generated by a grant
supported activity, or earned only as a
result of the grant agreement during the
grant period. States may deduct costs
incidental to the generation of UI
program income from gross income to
determine net UI program income. UI
program income shall be added to the
funds committed to the grant by ETA.
The program income must be used only
as necessary for the proper and efficient
administration of the UI program. Any
rental income or user fees obtained from
real property or equipment acquired
with grant funds from prior awards shall
be treated as program income under this
grant.
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b. Budget Changes. Except as
specified by terms of the specific grant
award, ETA, in accordance with the
regulations, waives the requirements in
29 CFR 97.30(c)(1)(ii) that states obtain
prior written approval for certain types
of budget changes.
c. Real Property Acquired with Reed
Act Funds. The requirements for real
property acquired with Reed Act or
other non-Federal funds and amortized
with UI grants are in UIPL 39–97, dated
September 12, 1997, 29 CFR 97.31 to the
extent amortized with UI grants; and in
TEGL 7–04, Issues Related to Real
Property Used for ETA Program
Purposes.
d. Equipment Acquired with Reed Act
Funds. The requirements for equipment
acquired with Reed Act or other nonFederal funds and amortized with UI
grants are in UIPL 39–97, and UIPL 39–
97 Changes 1 and 2, and in 29 CFR
97.31, to the extent amortized with UI
grants.
e. Real Property, Equipment, and
Supplies.
(1) Real property, equipment, and
supplies acquired under prior awards
are transferred to this award and are
subject to the relevant regulations at 29
CFR part 97.
(2) For computer systems and all
associated components which were
installed in states for the purpose of
Regular Reports, Benefits Accuracy
Measurement, and other UI Activities,
the requirements of 29 CFR part 97
apply. The National Office reserves the
right to transfer title and issue
disposition instructions in accordance
with paragraph (g) of Federal
regulations at 29 CFR 97.32. States also
will certify an inventory list of system
components which will be distributed
annually by ETA.
2. Exceptions and Expansions to Cost
Principles. The following exceptions or
expansions to the cost principles of
OMB Circular No. A–87 (Revised) are
applicable to states:
a. Employee Fringe Benefits. As an
exception to OMB Circular A–87
(Revised) with respect to personnel
benefit costs incurred on behalf of state
employees who are members of fringe
benefit plans which do not meet the
requirements of OMB Circular No. A–87
(Revised), Attachment B, item 11, the
costs of employer contributions or
expenses incurred for state fringe
benefit plans are allowable, provided
that:
(1) For retirement plans, all covered
employees joined the plan before
October 1, 1983; the plan is authorized
by state law; the plan was previously
approved by the Secretary; the plan is
insured by a private insurance carrier
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which is licensed to operate this type of
plan in the applicable state; and any
dividends or similar credits because of
participation in the plan are credited
against the next premium falling due
under the contract.
(2) For all state fringe benefit plans
other than retirement plans, if the
Secretary granted a time extension after
October 1, 1983, to the existing approval
of such a plan, costs of the plan are
allowable until such time as the plan is
comparable in cost and benefits to fringe
benefit plans available to other similarly
employed state employees. At such time
as the cost and benefits of an approved
fringe benefit plan are equivalent to the
cost and benefits of plans available to
other similarly employed state
employees, the time extension will
cease and the cited requirements of
OMB Circular A–87 (Revised) will
apply.
(3) For retirement plans and all other
fringe benefit plans covered in (1) and
(2) of this paragraph, any additional
costs resulting from improvements to
the plans made after October 1, 1983,
are not chargeable to UI grant funds.
b. UI Claimant’s Court Appeals Costs.
To the extent authorized by state law,
funds may be expended for reasonable
counsel fees and necessary court costs,
as fixed by the court, incurred by the
claimant on appeals to the courts in the
following cases:
(1) Any court appeal from an
administrative or judicial decision
favorable in whole or in part for the
claimant;
(2) Any court appeal by a claimant
from a decision which reverses a prior
decision in his/her favor;
(3) Any court appeal by a claimant
from a decision denying or reducing
benefits awarded under a prior
administrative or judicial decision;
(4) Any court appeal as a result of
which the claimant is awarded benefits;
(5) Any court appeal by a claimant
from a decision by a tribunal, board of
review, or court which was not
unanimous;
(6) Any court appeal by a claimant
where the court finds that a reasonable
basis exists for the appeal.
c. Reed Act. Payment from the state’s
UI grant allocations, made into a state’s
account in the Unemployment Trust
Fund for the purpose of reducing
charges against Reed Act funds (section
903(c)(2) of the Social Security Act, as
amended (42 U.S.C. 1103(c)(2)), are
allowable costs provided that:
(1) The charges against Reed Act
funds were for amounts appropriated,
obligated, and expended for the
acquisition of automatic data processing
installations or for the acquisition or
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major renovation of state-owned
buildings, but not land;
(2) With respect to each acquisition or
improvement of property, the payments
are accounted for as credit against
equivalent amounts of Reed Act funds
previously withdrawn under the
respective appropriation.
d. Prior Approval of Equipment
Purchases. As provided for in OMB
Circular No. A–87 (Revised),
Attachment B, item 19, the requirement
that grant recipients obtain prior
approval from the Federal grantor
agency for all purchases of equipment
(as defined in 29 CFR 97.3) is waived
and approval authority is delegated to
the state administrator.
e. Federal Cash Transaction Report.
The state is exempt from submission of
the SF 272, Federal Transactions Report,
and the SF 272A, Continuation Sheet,
per 29 CFR 97.41 (c) discretion.
C. Assurance of Management
Systems, Reporting, and Record
Keeping.
The state assures that:
1. Financial systems provide fiscal
control and accounting procedures
sufficient to permit timely preparation
of required reports, and the tracing of
funds to a level of expenditure adequate
to establish that funds have not been
expended improperly (29 CFR 97.20).
2. The financial management system
and the program information system
provide Federally-required reports and
records that are uniform in definition,
accessible to authorized Federal and
state staff, and verifiable for monitoring,
reporting, audit, and evaluation
purposes.
3. It will submit reports to ETA as
required in instructions issued by ETA
and in the format ETA prescribes.
4. It will retain all financial and
programmatic records, supporting
documents, and other required records
at least three years as specified in 29
CFR 97.42(b).
5. The financial management system
provides for methods to insure
compliance with the requirements
applicable to procurement and grants as
specified in 29 CFR part 98 (Debarment
and Suspension), and for obtaining the
required certifications under 29 CFR
98.510(b) regarding debarment,
suspension, ineligibility, and voluntary
exclusions for lower tier covered
transactions.
D. Assurance of Program Quality. The
state assures that it will administer the
UI program in a manner that ensures
proper and efficient administration.
‘‘Proper and efficient administration’’
includes performance measured by ETA
through Core measures, Management
Information measures, program reviews,
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73755
and the administration of the UI BAM,
BTQ, Data Validation (DV), and TPS
program requirements.
E. Assurance on Use of Unobligated
Funds. The state assures that nonautomation funds will be obligated by
December 31 of the following fiscal
year, and liquidated within 90 days
thereafter. ETA may extend the
liquidation date upon written request.
Automation funds must be obligated by
the end of the 3rd fiscal year, and
liquidated within 90 days thereafter.
ETA may extend the liquidation date
upon written request. Failure to comply
with this assurance may result in
disallowed costs from audits or review
findings.
Note. Travel costs for state agency
personnel are considered obligated
when the travel is actually performed.
F. Assurance of Prohibition of
Lobbying Costs (29 CFR Part 93). The
state assures and certifies that, in
accordance with the DOL
Appropriations Act, no UI grant funds
will be used to pay salaries or expenses
related to any activity designed to
influence legislation or appropriations
pending before the Congress of the
United States.
G. Drug-Free Workplace (29 CFR Part
98). The state assures and certifies that
it will comply with the requirements at
this part. (29 CFR part 93)
H. Assurance of Disaster Recovery
Capability. The state assures that it will
maintain a Disaster Recovery plan.
I. Assurance of Conformity and
Compliance. The state assures that the
state law will conform to, and its
administrative practice will
substantially comply with, all Federal
UI law requirements, and that it will
adhere to DOL directives.
J. Assurance of Automated
Information Systems Security. The state
assures that its automated information
systems have security protections
commensurate with the risk and
magnitude of harm.
K. Assurance of Confidentiality. The
state will keep confidential any business
information, as defined at 29 CFR 90.33
and any successor provision(s), it
obtains or receives in the course of
administering the Trade Adjustment
Assistance or Alternative Trade
Adjustment Assistance programs under
this Agreement. The state shall not
disclose such information to any person,
organization, or other entity except as
authorized by applicable state and
Federal laws.
J. Temporary Assistance for Needy
Families (TANF)
By signing the Unified Plan signature
page, you are certifying that:
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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
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:
a. Screen and identify individuals
receiving assistance under this part with
a history of domestic violence while
maintaining the confidentiality of such
individuals;
b. Refer such individuals to
counseling and supportive services; and
c. Waive, pursuant to a determination
of good cause, other program
requirements such as time limits (for so
long as necessary) for individuals
receiving assistance, residency
requirements, child support cooperation
requirements, and family cap
provisions, in cases where compliance
with such requirements would make it
more difficult for individuals receiving
assistance under this part to escape
domestic violence or unfairly penalize
such individuals who are or have been
victimized by such violence, or
individuals who are at risk of further
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domestic violence. (§ 402(a)(7)(A)(i), (ii),
(iii).)
K. Senior Community Service
Employment Program (SCSEP)
By signing this Unified Plan you also
certify that the State agrees to meet the
requirements of or submit the following
documents as applicable, in addition to
the general ETA requirements for
receipt of Federal funds:
1. General Administrative
Requirements:
a. 29 CFR part 97—Uniform
Administrative Requirements for State
and Local Governments (as amended by
the Act).
b. 29 CFR part 96 (as amended by
OMB Circular A–133)—Single Audit
Act.
c. OMB Circular A–87—Cost
Principles (as amended by the Act).
2. Assurances and Certifications:
a. SF 424—Application for Federal
Assistance.
b. SF 424A—Budget Information—
Non-construction Programs.
c. SF 424 B—Assurances for Nonconstruction Programs.
d. Hatch Act Notices must be placed
in all work locations.
e. Privacy Statement must be
provided to all participants.
f. ETA–8705—Equitable Distribution
Report.
L. Community Services Block Grant
(CSBG)
By signing the Unified Plan signature
page, you are certifying that:
1. Funds made available through the
grant or allotment will be used—
a. To support activities that are
designed to assist low-income families
and individuals, including families and
individuals receiving assistance under
part A of title IV of the Social Security
Act (42 U.S.C. 601 et seq. ), homeless
families and individuals, migrant or
seasonal farmworkers, and elderly lowincome individuals and families, and a
description of how such activities will
enable the families and individuals:
b. To remove obstacles and solve
problems that block the achievement of
self-sufficiency (including 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;
c. To 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;
d. To make better use of available
income;
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e. To obtain and maintain adequate
housing and a suitable living
environment;
f. To obtain emergency assistance
through loans, grants, or other means to
meet immediate and urgent family and
individual needs; and to achieve greater
participation in the affairs of the
communities involved, including the
development of public and private
grassroots partnerships with local law
enforcement agencies, local housing
authorities, private foundations, and
other public and private partners to:
g. Document best practices based on
successful grassroots intervention in
urban areas, to develop methodologies
for widespread replication; and
strengthen and improve relationships
with local law enforcement agencies,
which may include participation in
activities such as neighborhood or
community policing efforts.
2. The needs of youth in low-income
communities are being met through
youth development programs that
support the primary role of the family,
give priority to the prevention of youth
problems and crime, and promote
increased community coordination and
collaboration in meeting the needs of
youth, and support development and
expansion of innovative communitybased youth development programs that
have demonstrated success in
preventing or reducing youth crime,
such as—
a. Programs for the establishment of
violence-free zones that would involve
youth development and intervention
models (such as models involving youth
mediation, youth mentoring, life skills
training, job creation, and
entrepreneurship programs); and
b. After-school child care programs.
There is an effective use of, and to
coordinate, other programs related to
the purposes of this subtitle (including
State welfare reform efforts).
3. There is an effective use of, and to
coordinate with, other programs related
to the purposes of this subtitle
(including State welfare reform efforts).
4. A description is provided on how
the State intends to use discretionary
funds made available from the
remainder of the grant or allotment
described in section 675C(b) in
accordance with this subtitle, including
a description of how the State will
support innovative community and
neighborhood-based initiatives related
to the purposes of this subtitle.
5. Information is provided by eligible
entities in the State, containing—
a. A description of the service
delivery system, for services provided or
coordinated with funds made available
through grants made under section
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675C(a), targeted to low-income
individuals and families in
communities within the State;
b. A description of how linkages will
be developed to fill identified gaps in
the services, through the provision of
information, referrals, case management,
and follow-up consultations;
c. A description of how funds made
available through grants made under
section 675C(a) will be coordinated with
other public and private resources; and
d. A description of how the local
entity will use the funds to support
innovative community and
neighborhood-based initiatives related
to the purposes of this subtitle, which
may include fatherhood initiatives and
other initiatives with the goal of
strengthening families and encouraging
effective parenting.
6. Eligible entities in the State will
provide, on an emergency basis, for the
provision of such supplies and services,
nutritious foods, and related services, as
may be necessary to counteract
conditions of starvation and
malnutrition among low-income
individuals.
7. The State and the eligible entities
in the State will coordinate, and
establish linkages between,
governmental and other social services
programs to assure the effective delivery
of such services to low-income
individuals and to avoid duplication of
such services, and a description of how
the State and the eligible entities will
coordinate the provision of employment
and training activities, as defined in
section 101 of such Act, in the State and
in communities with entities providing
activities through statewide and local
workforce investment systems under the
Workforce Investment Act of 1998.
8. The State will ensure coordination
between antipoverty programs in each
community in the State, and ensure,
where appropriate, that emergency
energy crisis intervention programs
under title XXVI (relating to low-income
home energy assistance) are conducted
in such community.
9. The State will permit and cooperate
with Federal investigations undertaken
in accordance with section 678D.
10. Any eligible entity in the State
that received funding in the previous
fiscal year through a community
services block grant made under this
subtitle will not have its funding
terminated under this subtitle, or
reduced below the proportional share of
funding the entity received in the
previous fiscal year unless, after
providing notice and an opportunity for
a hearing on the record, the State
determines that cause exists for such
termination or such reduction, subject
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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
mechanism) of the eligible entity to
petition for adequate representation.
12. The State will secure from each
eligible entity in the State, as a
condition to receipt of funding by the
entity through a community services
block grant made under this subtitle for
a program, a community action plan
(which shall be submitted to the
Secretary, at the request of the
Secretary, with the State Plan) that
includes a community-needs assessment
for the community served, which may
be coordinated with community-needs
assessments conducted for other
programs.
13. The State and all eligible entities
in the State will participate in the
Results Oriented Management and
Accountability System, another
performance measure system for which
the Secretary facilitated development
pursuant to Section 678E(b), or an
alternative system for measuring
performance and results that meets the
requirements of that section, and a
description of outcome measures to be
used to measure eligible entity
performance in promoting selfsufficiency, family stability, and
community revitalization.
14. The information describing how
the State will carry out the assurances
is described in this subsection.
M. OMB Burden Statement
These reporting instructions have
been approved under the Paperwork
Reduction Act of 1995. Persons are not
required to respond to this collection of
information unless it displays a valid
OMB control number. Public reporting
burden for this collection of information
includes the time for reviewing
instructions, searching existing data
sources, gathering and maintaining the
data needed, and completing and
reviewing the collection of information.
Submission is required by the
Workforce Investment Act section
112(a). Send comments regarding this
burden estimate or any other aspect of
this collection of information, including
suggestions for reducing this burden, to
the U.S. Department of Labor, Office of
Workforce Investment, Room S–4231,
200 Constitution Ave., NW.,
Washington, DC 20210.
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Attachment A
ETA REGIONAL ADMINISTRATORS
November 2008
REGION 1—BOSTON
Grace Kilbane, Regional Administrator, U.S.
Department of Labor/ETA, JFK Building,
Room E–350, Boston, Massachusetts 02203,
(617) 788–0170, FAX: 617–788–0101,
Kilbane.Grace@dol.gov.
REGION 2—PHILADELPHIA
Lenita Jacobs-Simmons, Regional
Administrator, U.S. Department of Labor/
ETA, The Curtis Center, 170 South
Independence Mall West, Suite 825 East,
Philadelphia, Pennsylvania 19106, (215)
861–5205, FAX: 215–861–5260, JacobsSimmons.Lenita@dol.gov.
REGION 3—ATLANTA
Helen N. Parker, Regional Administrator,
U.S. Department of Labor/ETA, Sam Nunn
Atlanta Federal Center Rm. 6M12, 61
Forsyth Street, S.W., Atlanta, Georgia
30303, (404) 302–5300, FAX: (404) 302–
5382, Parker.Helen@dol.gov.
REGION 4—DALLAS
Joseph C. Juarez, Regional Administrator,
U.S. Department of Labor/ETA, A. Maceo
Smith Fed. Bldg, Rm317, 525 Griffin Street,
Dallas, Texas 75202, (972) 850–4600, FAX:
(972) 850–4605, Juarez.Joseph@dol.gov.
REGION 5—CHICAGO
Byron Zuidema, Regional Administrator, U.S.
Department of Labor/ETA, John Kluczynski
Building, 230 S. Dearborn Street, Rm. 638,
Chicago, Illinois 60604, (312) 596–5400,
FAX: (312)596–5401,
Zuidema.Byron@dol.gov.
REGION 6—SAN FRANCISCO
Richard Trigg, Regional Administrator, U.S.
Department of Labor/ETA, George W. Bush
Federal Building, 90 7th Street, Suite 17–
300, San Francisco, California 94103, (415)
625–7900, FAX: 415–625–7903,
Trigg.Richard@dol.gov.
Attachment B
1. Unified Plan Activities and Programs
Checklist
Under section 501 of the Workforce
Investment Act, the following activities or
programs may be included in a State’s
Unified Plan. From the list below, please
place a check beside the programs and
activities the State or Commonwealth is
including in this Unified Plan.
The State Unified Plan shall cover one or
more of the following programs and
activities:
ll a. Secondary vocational education
programs (Perkins IV/Secondary). Note that
inclusion of this program requires prior
approval of State legislature. (Carl D.
Perkins Career and Technical Education
Act of 2006 (20 U.S.C. 2301 et seq.)
llb. Postsecondary vocational education
programs (Perkins IV/Postsecondary). Note
that for the purposes of what the State
Unified Plan shall cover, Perkins IV/
Secondary and Perkins IV/Postsecondary
count as one program. (Carl D. Perkins
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Career and Technical Education Act of
2006 (20 U.S.C. 2301 et seq.))
llc. Activities authorized under title I,
Workforce Investment Systems (Workforce
Investment Activities for Adults,
Dislocated Workers and Youth, or WIA
title I, and the Wagner-Peyser Act)
(Workforce Investment Act of 1998 (29
U.S.C. 2801 et seq.))
lld. Activities authorized under title II,
Adult Education and Family Literacy
(Adult Education and Family Literacy
Programs) (Workforce Investment Act of
1998 (20 U.S.C. 9201 et seq.))
The State Unified Plan may cover one or
more of the following programs and
activities:
lla. Food Stamp Employment and Training
Program, or FSET (7 U.S.C. 2015(d))
llb. Activities authorized under chapter 2
of title II of the Trade Act of 1974 (Trade
Act Programs) (19 U.S.C. 2271 et seq.)
llc. Programs authorized under Part B of
title I of the Rehabilitation Act of 1973 (29
U.S.C. 720 et seq.), other than section 112
of such Act (29 U.S.C. 732) (Vocational
Rehabilitation)
lld. Activities authorized under chapters
41 & 42 of Title 38, USC, and 20 CFR 1001
and 1005 (Veterans Programs, including
Veterans Employment, Disabled Veterans’
Outreach Program, and Local Veterans’
Employment Representative Program)
lle. Programs authorized under State
unemployment compensation laws
(Unemployment Insurance) (in accordance
with applicable Federal law which is
authorized under title III, title IX and Title
XII of the Social Security Act and the
Federal Unemployment Tax Act)
llf. Programs authorized under part A of
title IV of the Social Security Act
(Temporary Assistance for Needy Families
(TANF)).
llg. Programs authorized under title V of
the Older Americans Act of 1965 (Senior
Community Service Employment Program
(SCSEP).) (42 U.S.C. 3056 et seq.)
llh. Training activities funded by the
Department of Housing and Urban
Development under the Community
Development Block Grants (CDBG) and
Public Housing Programs). Note that
programs funded by the CDBG and Public
Housing programs can only be included in
the State Unified Plan if the State is the
funds recipient, and approval of the
Unified Plan will not trigger funding for
these programs.
lli. Community Development Block Grants
llj. Public Housing
llk. Programs authorized under the
Community Services Block Grant Act
(Community Services Block Grant, or
CSBG) (42 U.S.C. 9901 et seq.)
State Name for Program/Activity:
lllllllllllllllllllll
Name of Grant Recipient Agency for
Program/Activity:
lllllllllllllllllllll
Address: llllllllllllllll
Telephone Number: lllllllllll
Facsimile Number: llllllllllll
E-mail Address: lllllllllllll
Name of State Administrative Agency (if
different from the Grant Recipient):
lllllllllllllllllllll
Address: llllllllllllllll
Telephone Number: lllllllllll
Facsimile Number: llllllllllll
E-mail Address: lllllllllllll
Name of Signatory Official:
lllllllllllllllllllll
Address: llllllllllllllll
Telephone Number: lllllllllll
Facsimile Number: llllllllllll
E-mail Address: lllllllllllll
Name of Liaison:
llllllllllll
Address: llllllllllllllll
Telephone Number: lllllllllll
Facsimile Number: llllllllllll
E-mail Address: lllllllllllll
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.
lllllllllllllllllllll
Typed Name, Title, and Agency of
Responsible State Official for Career and
Technical Education
Signature llllllllllllllll
Date llllllllllllllllll
Responsible State Official for Eligible Agency
for Vocational Rehabilitation (if Applicable)
I certify that for the State/Commonwealth
of llllll, 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
3. Plan Signature(s)
activities and programs included in this
Governor (if Applicable)
Unified Plan that are under my jurisdiction
As the Governor, I certify that for the State/ in accordance with this Unified Plan and the
assurances described in Section III of this
Commonwealth of llllll, for those
activities and programs included in this Plan Unified Plan.
lllllllllllllllllllll
that are under my jurisdiction, the agencies
Typed Name, Title, and Agency of
and officials designated above under
Responsible State Official for Vocational
‘‘Contact Information’’ have been duly
Rehabilitation
designated to represent the State/
Signature llllllllllllllll
Commonwealth in the capacities indicated
for the programs and activities indicated. I
Date llllllllllllllllll
will provide subsequent changes in the
Responsible State Official for Eligible Agency
designation of officials to the designated
for Adult Education (if applicable)
program or activity contact as such changes
I certify that for the State/Commonwealth
occur.
of llllll, for those activities and
I further certify that, for those activities
programs included in this Plan that are under
and programs included in this Plan that are
my jurisdiction, the agencies and officials
under my jurisdiction, we will operate the
designated above under ‘‘Contact
workforce development programs included
Information’’ have been duly designated to
in this Unified Plan in accordance with this
Unified Plan and the assurances described in represent the State/Commonwealth in the
capacities indicated for the programs and
Section III of this Unified Plan.
lllllllllllllllllllll activities indicated. I will provide
subsequent changes in the designation of
Typed Name and Signature of Governor
Date llllllllllllllllll officials to the designated program or activity
contact as such changes occur.
Responsible State Official for Eligible Agency
I further certify that, for those activities
for Career and Technical Education (if
and programs included in this Plan that are
Applicable)
under my jurisdiction, we will operate the
programs included in this Unified Plan in
I certify that for the State/Commonwealth
accordance with this Unified Plan and the
of llllll, for those activities and
programs included in this Plan that are under applicable assurances described in Section III
of this Unified Plan.
my jurisdiction, the agencies and officials
lllllllllllllllllllll
designated above under ‘‘Contact
Typed Name, Title, and Agency of
Information’’ have been duly designated to
Responsible State Official for Adult
represent the State/Commonwealth in the
2. Contact Information
Education
capacities indicated for the programs and
Please complete one copy for EACH of the
activities indicated. I will provide
Signature llllllllllllllll
separate activities and programs included in
subsequent changes in the designation of
Date llllllllllllllllll
the State Unified Plan.
officials to the designated program or activity
Program: llllllllllllllll contact as such changes occur.
Attachment C
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Federal Register / Vol. 73, No. 233 / Wednesday, December 3, 2008 / Notices
73759
OPTIONAL TABLE FOR WIA STATE PERFORMANCE INDICATORS AND GOALS
Previous year
performance
WIA requirement at section 136(b)
Adults:
Entered Employment Rate.
Employment Retention Rate.
Average Six-Months Earnings.
Certificate Rate.
Dislocated Workers:
Entered Employment Rate.
Employment Retention Rate.
Average Six-Months Earnings.
Certificate Rate.
Youth Aged 19–21:
Entered Employment Rate.
Employment Retention Rate.
Six-Months Earnings Change.
Certificate Rate.
Youth 14–18:
Skill Attainment Rate.
Diploma or Equivalent Attainment Rate.
Retention Rate.
Youth Common Measures: 1
Placement in Employment or Education.
Attainment of a Degree or Certificate.
Literacy and Numeracy Gains.
Participant Customer Satisfaction.
Employer Customer Satisfaction.
Additional State-Established Measures.
1 Goals
are negotiated for these measures by states reporting common performance measure outcomes only.
Dated: November 24, 2008.
Gay M. Gilbert,
Administrator, Office of Workforce
Investment, Employment and Training
Administration.
[FR Doc. E8–28406 Filed 12–2–08; 8:45 am]
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Performance
goal
]]>Agencies
[Federal Register Volume 73, Number 233 (Wednesday, December 3, 2008)]
[Notices]
[Pages 73730-73759]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: E8-28406]
[[Page 73729]]
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Part III
Department of Labor
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Employment and Training Administration
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Planning Guidance for State Unified Plans and Unified Plan
Modifications Submitted Under Section 501 of the Workforce Investment
Act (WIA); Notice
Federal Register / Vol. 73, No. 233 / Wednesday, December 3, 2008 /
Notices
[[Page 73730]]
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DEPARTMENT OF LABOR
Employment and Training Administration
Planning Guidance for State Unified Plans and Unified Plan
Modifications Submitted Under Section 501 of the Workforce Investment
Act (WIA)
AGENCY: Employment and Training Administration.
ACTION: Notice.
-----------------------------------------------------------------------
SUMMARY: The purpose of this notice is to provide interested parties
with the planning guidance for use by states in submitting their
Unified State Plans under section 501 of the Workforce Investment Act
of 1998 as well as Plan modifications. The Planning Guidance provides a
framework for the collaboration of governors, local elected officials,
businesses and other partners to continue the development of workforce
investment systems that address customer needs, deliver integrated
user-friendly services, and are accountable to the customers and the
public.
FOR FURTHER INFORMATION CONTACT: Ms. Gay Gilbert, Administrator, Office
of Workforce Investment, U.S. Department of Labor, 200 Constitution
Ave., NW., Room S-4231, Washington, DC 20210. Telephone: (202) 693-3980
(voice) (this is not a toll free number) or (202) 693-7755 (TTY).
SUPPLEMENTARY INFORMATION:
Planning Guidance for State Unified Plans and Unified Plan
Modifications Submitted Under Section 501 of the Workforce Investment
Act (WIA)
OMB Control Number 1205-0398.
Expiration Date: Nov 30, 2011.
Table of Contents
Part I. State Planning Instructions
A. Statement of Purpose
B. Background
C. Section 501 Programs and Activities
D. Submission of State Unified Plans
E. Federal Government Review and Approval of Unified Plan
F. How to Use ``Attachment B''
G. Negotiated WIA and Wagner-Peyser Act Performance Indicators
H. Modifications to State Plan
I. Inquiries
Part II. National Strategic Direction
A. Vision and Goals Related to WIA Title I and Wagner-Peyser Act
B. Demand-Driven Workforce Investment System Within a Regional
Economic Development Context
C. System Reform and Increased Focus on Workforce Education and
Training
D. Enhanced Integration Through the One-Stop Delivery System
with Improved Service Delivery and Increased Efficiencies
E. Vision for Serving Youth Most In Need
F. Increased Economic and Workforce Information Data Integration
and Analysis
G. Effective Utilization of Faith-based and Community Based
Organizations
H. Increased Use of Flexibility Provisions in WIA
I. An Integrated and Enhanced Performance Accountability System
That Provides Improved System Results
Part III. Unified Planning Instructions
A. State Vision and Priorities
B. One-Stop Delivery System
C. Plan Development and Implementation
D. Needs Assessment
E. State and Local Governance
F. Funding
G. Activities To Be Funded
H. Coordination and Non-Duplication
I. Special Populations and Other Groups
J. Professional Development and System Improvement
K. Performance Accountability
L. Data Collection
M. Corrective Action
N. Waiver and Work-Flex Requests
Part IV. Certifications and Assurances
Attachments
A. ETA Regional Administrators (for reference only)
B. Unified Plan Activities and Program Checklist
C. Optional Table for WIA State Performance Indicators and Goals
State Unified Plan Planning Guidance
Part I. State Planning Instructions
A. Statement of Purpose
The purpose of this document is to provide guidance to States which
submit a State Unified Plan authorized by title V, section 501 of the
Workforce Investment Act of 1998 (WIA). The State Unified Plan Planning
Guidance facilitates the development and submission of such a Plan,
which addresses two or more of the programs or activities specified at
WIA section 501(b)(2). This Planning Guidance updates the requirements
for the WIA/Wagner-Peyser Act and Senior Community Service Employment
Program (SCSEP) portions of the Unified Plan. Options for programs
funded by the U.S. Department of Education that are included in a
Unified Plan also are discussed in this notice. Minor reference updates
have been made for other programs authorized to be included in the
Unified Plan.
An approved Strategic State Plan is required in order for States to
receive formula allotments under WIA title I and the Wagner-Peyser Act.
The current Plans expire June 30, 2009. States which choose to submit
the WIA title I/Wagner-Peyser Plan as part of a Unified Plan must
comply with the requirements of these guidelines. Guidelines for the
submission of a Stand-Alone WIA title I Plan are being issued
separately.
B. Background
The State Unified Plan Planning Guidance provides a framework for
the collaboration of governors, local elected officials, businesses and
other partners to design and build workforce investment systems that
address customer needs; deliver integrated, user-friendly services; and
are accountable to the customers and the public. Unified Planning
Guidance provisions related to the SCSEP and Perkins IV have changed.
There are only minor changes to the Unified Planning Guidance items
that relate to WIA title I and Wagner-Peyser Act Plan. The Unified Plan
requirements for other programs remain the same as those outlined in
the April 12, 2005, version of this document (70 Federal Register
19222).
Senior Community Service Employment Program
On October 17, 2006, the President signed into law the Older
Americans Act Amendments of 2006, Public Law 109-365, which authorizes
SCSEP. The purpose of SCSEP is to foster individual economic self-
sufficiency and promote useful opportunities in community service
activities for unemployed low-income persons who are age 55 or older,
particularly persons who have poor employment prospects, and to
increase the number of persons who may enjoy the benefits of
unsubsidized employment in both the public and private sectors. The
2006 Amendments instituted a number of program changes. The amendments
increased the emphasis on placements into unsubsidized employment;
imposed a time limit on enrollees' program participation; restricted
fringe benefits for participants; enabled grantees to spend additional
funds on training; and mandated the adoption of core indicators of
performance aligned with the Employment and Training Administration
(ETA)'s common measures. The new law became effective July 1, 2007.
Each State SCSEP grantee must prepare an application for funding each
year. This application is a thorough explanation of how the project
will operate. A State that chooses to include the SCSEP program in a
Unified Plan must prepare a separate grant application according to
SCSEP program requirements.
Options for Programs Funded by the U.S. Department of Education
With respect to the programs authorized by the Adult Education and
Family Literacy Act (AEFLA), the U.S.
[[Page 73731]]
Department of Education has already issued guidance to States that
discusses the option of extending the existing State plans with certain
necessary revisions, and requests for extending plans were due April 1,
2008. Further, the U.S. Department of Education anticipates that the
States will have the option of extending their State plans again in
April 2009, in the absence of a reauthorization of the AEFLA. This
option of extending the existing plan applies as well to any
subsections of a Unified State Plan that are related to programs under
AEFLA. A State's request to extend subsections of a unified plan must
be submitted directly to the U.S. Department of Education and is due
April 1, 2009, for AEFLA programs. See Guide for the Development of a
State Plan under the Adult Education and Family Literacy Act (OMB
Control Number 1830-0026). The U.S. Department of Education anticipates
that States will choose the option of extending their existing
subsections of the currently approved Unified State Plans with only the
revisions discussed in the above-referenced guidance. However, any
State that chooses to submit new subsections related to AEFLA programs
in its Unified State Plan submitted in accordance with this notice must
fully comply with all the planning, content, and other requirements
that applied when the Unified Plan was originally developed, adopted,
and submitted. These requirements are summarized together with
references to the underlying statutory and regulatory requirements in
the second section of this notice.
The U.S. Department of Education issued a program memorandum and
guidance to States on March 12, 2007, regarding their options for
submission of State plans under the newly authorized Carl D. Perkins
Career and Technical Education Act of 2006 (Perkins IV), 20 U.S.C. 2301
et seq. as amended by Public Law 109-270. States were given the option
of submitting a one-year transitional plan (starting July 1, 2007), or
a six-year full plan (starting July 1, 2007). The guidance also
provided States direction for submitting a Unified Plan under WIA. See
Program Memorandum Transmittal of the Carl D. Perkins Career and
Technical Education Act of 2006 State Plan Guide and the Guide for the
Submission of State Plans (OMB Control Number: 1830-0029) at: https://
www.ed.gov/policy/sectech/guid/cte/perkinsiv/stateplanmemo.pdf or
https://www.ed.gov/policy/sectech/guid/cte/perkinsiv/stateplan.doc.
The U.S. Department of Education also issued a program memorandum
on October 30, 2007, that required each eligible agency that submitted
a one-year transition plan for the first program year to submit a five-
year State plan (starting July 1, 2008), covering the remaining program
years, that meet all the requirements of Perkins IV, as covered in the
March 2007 memo and guidance. See Program Memorandum Submission of
Five-Year State Plans under the Carl D. Perkins Career and Technical
Education Act of 2006 at https://www.ed.gov/policy/sectech/guid/cte/
perkinsiv/fiveyear-stateplan.pdf. All States, including the outlying
areas as defined in section 3(21) of Perkins IV, have submitted a five-
year plan, or will submit a five-year plan. No State has notified the
Department of Education that it plans to submit a Unified Plan under
WIA that includes Perkins IV requirements. These Perkins IV State plans
will remain in effect for five years once the U.S. Department of
Education approves these plans (starting July 1, 2008, or the date of
approval if later). If a State wishes to revise or amend its Perkins IV
State plan in the future to make it part of its State Unified Plan,
then the State would have to meet the requirements for revising or
amending its State plan that are in section 122(a)(2) of Perkins IV and
Department of Education Administrative Regulations (EDGAR) at 34 CFR
76.140, as well as the Department of Labor's requirements for amending
a Unified State Plan. Additionally, a State would have to satisfy the
requirements of section 501 of WIA with respect to State plans, e.g.
legislature approval to include secondary Perkins IV programs.
C. Section 501 Programs and Activities
Below is a listing of the programs and activities covered in
section 501 of WIA, along with the commonly used name. In this
document, we generally refer to the activities and programs by their
commonly used names. Should State staff need information on the
programs listed, a staff contact is provided here also.
Secondary Career and Technical Education programs (Perkins
IV/Secondary) Note that inclusion of this program in the Unified Plan
requires prior approval of State legislature. Administered by
Department of Education, Office of Vocational and Adult Education.
Staff Contact: Dale King: 202-245-7405 (phone); 202-245-7837 (fax); (E-
mail: Dale.king2@ed.gov).
Postsecondary Career and Technical Education programs
(Perkins IV/Postsecondary) Administered by Department of Education,
Office of Vocational and Adult Education. Staff Contact: Dale King:
202-245-7405 (phone); 202-245-7837 (fax); (E-mail: Dale.king2@ed.gov).
Tech-Prep Education (title II of Perkins IV) Administered
by Department of Education, Office of Vocational and Adult Education.
Staff Contact: Dale King: 202-245-7405 (phone); 202-245-7837 (fax); (E-
mail: Dale.king2@ed.gov).
Activities authorized under title I, Workforce Investment
Systems (Workforce Investment Activities for Youth, or WIA title I
Youth) Administered by Department of Labor, Employment and Training
Administration. Staff Contact: Gregg Weltz: 202-693-3527 (phone); 202-
693-3861 (fax); (E-mail: Weltz.Gregg@dol.gov).
Activities authorized under title I, Workforce Investment
Systems (Workforce Investment Activities for Adults, and Dislocated
Workers, or WIA title I) Administered by Department of Labor,
Employment and Training Administration. Staff Contact: Christine D.
Ollis: 202-693-3937 (phone); 202-693-3015 (fax); (E-mail:
Ollis.Christine@dol.gov).
Activities authorized under title II of WIA, Adult
Education and Family Literacy (Adult Education and Family Literacy
Programs) Administered by Department of Education, Office of Vocational
and Adult Education. Staff Contact: Dale King: 202-245-7405 (phone);
202-245-7837 (fax); (E-mail: Dale.king2@ed.gov).
Food Stamp Employment and Training Program (FSET)
Administered by USDA, Food and Nutrition Service. Staff Contact:
Micheal Atwell: 703-305-2449 (phone); 703-305-2486 (fax); (E-mail:
micheal.atwell@fns.usda.gov).
Activities authorized under chapter 2 of title II of the
Trade Act of 1974 (Trade Act Programs) Administered by Department of
Labor, Employment and Training Administration. Staff Contact: Terry
Clark: 202-693-3707 (phone); 202-693-3585 (fax); (E-mail:
Clark.Terry@dol.gov).
Programs authorized under the Wagner-Peyser Act
(Employment Service) Administered by Department of Labor, Employment
and Training Administration. Staff Contact: Maggie Ewell: 202-693-3160
(phone); 202-693-3787 (fax); (E-mail: Ewell.Maggie@dol.gov).
Programs authorized under Part B of title I of the
Rehabilitation Act of 1973, other than section 112 of such Act
(Vocational Rehabilitation) Administered by Department of Education,
Rehabilitation Services Administration. Staff Contact: Jerry Elliott:
202-245-7335 (phone); 202-
[[Page 73732]]
245-7590 (fax); (E-mail: jerry.elliott@ed.gov).
Programs authorized under chapters 41 and 42 of Title 38,
USC, and 20 CFR 1001 and 1005 (Veterans Programs, including Veterans
Employment, Disabled Veterans' Outreach Program, and Local Veterans'
Employment Representative Program) Administered by Department of Labor,
Veterans' Employment and Training Service. Staff Contact: Patrick J.
Hecker: 202-693-4709 (phone); 202-693-4755 (fax); (E-mail:
Hecker.Patrick@dol.gov).
Programs authorized under State unemployment compensation
laws (Unemployment Insurance) Administered by Department of Labor,
Employment and Training Administration. Staff Contacts: Mary Vrany:
202-693-3357 (phone); 202-693-3975 (fax); (E-mail: Vrany.Mary@dol.gov);
or Delores Mackall: 202-693-3183 (phone); 202-693-3975; (E-mail:
Mackall.Delores@dol.gov).
Programs authorized under part A of title IV of the Social
Security Act (Temporary Assistance for Needy Families (TANF)
Administered by Health and Human Services, Administration for Children
and Families. Staff Contact: Robert M. Shelbourne: 202-401-5150
(phone); 202-401-5554 (fax); (E-mail: rshelbourne@acf.hhs.gov).
Programs authorized under title V of the Older Americans
Act of 1965 (Senior Community Service Employment Program, or SCSEP)
Administered by Department of Labor, Employment and Training
Administration. Staff Contact: Alexandra Kielty: 202-693-3730 (phone);
202-693-3587 (fax); (E-mail: Kielty.Alexandra@dol.gov).
Training activities funded by the Department of Housing
and Urban Development under the Community Development Block Grants
(CDBG) and Public Housing Programs. Staff Contact: Manuel Ochoa: 202-
708-2111; Fax: 202-708-3672; (E-mail: Manuel.T.Ochoa@hud.gov).
Programs authorized under the Community Services Block
Grant Act (CSBG) Administered by Health and Human Services,
Administration for Children and Families. Staff Contact: Brandy RayNor:
202-205-5926 (phone); 202-402-5718 (fax); (E-mail:
BRayNor@acf.hhs.gov).
While the statute specifies that States may submit a Unified Plan
that includes ``training activities'' carried out by the Department of
Housing and Urban Development (HUD), for a number of reasons, the
Federal Partners agree that the unique nature of HUD's training
activities warrants special treatment in a Unified Plan.
Accordingly, the Unified Plan guidance provides for informal
inclusion of HUD's programs. Since HUD programs are generally funded
and implemented through local communities, and HUD's relevant State
formula grant programs are not specifically employment and training
programs, States that follow the Unified Planning guidance will not
automatically receive funding for HUD's formula programs through their
Unified Plans. However, to encourage States to think strategically
about developing a comprehensive workforce investment system--including
how that system relates to the housing and workforce investment needs
of the population receiving housing assistance--the guidance includes
references to HUD customers and services, as well as local housing
agencies, in the overarching questions pertaining to the Unified Plan's
vision and goals, One-Stop service delivery, and needs assessment.
D. Submission of State Unified Plans
1. Requirements for Submission and Points of Contact:
States have the option of submitting a Unified Plan to meet the
requirements for submission of a State Plan.
a. AEFLA Extensions. A State's request to extend subsections of a
Unified Plan related to programs under AEFLA must be submitted directly
to the U.S. Department of Education and is due April 1, 2009 for AEFLA
programs. See Guide for the Development of a State Plan under the Adult
Education and Family Literacy Act (OMB Control number 1830-0026).
b. Federal Coordinator. To reduce the reporting and processing
burden, States have the option of submitting their Unified Plan to
either WIA.PLAN@DOL.GOV or to the designated Federal Coordinator for
Plan Review and Approval (hereafter, ``Federal Coordinator''),
depending upon the submission option chosen by the State (as discussed
below). The Federal Coordinator is Janet Sten, E-mail:
Sten.janet@dol.gov; phone: 202-693-3045.
c. Federal Departments. States also have the option of submitting
their Unified Plans directly to each Federal Department whose programs
are included in the Unified Plan, except for AEFLA simple extensions,
which must be submitted to the U.S. Department of Education as stated
above. States choosing this option are only required to send the Plan
to the designated Federal Departmental State Unified Plan Contact
(hereafter, ``Departmental Contact''). The Departmental Contact will be
responsible for ensuring that affected agencies and appropriate
Regional Offices in that Department receive copies of the Unified Plan.
For example, if a Unified Plan contains plans for both the Vocational
Rehabilitation and the Adult Education programs, both of which are
administered by different agencies within the United States Department
of Education, the State need only submit the Plan to the U.S.
Department of Education once, and it should be sent to the Departmental
Contact. E-mail addresses for the Departmental Contacts are as follows:
Department of Labor: Sten.janet@dol.gov
Department of Education: Jerry.Elliott@ed.gov
Department of Health and Human Services: rshelbourne@acf.hhs.gov
Department of Agriculture: Micheal.Atwell@fns.usda.gov
Department of Housing and Urban Development: Manuel.T.Ochoa@hud.gov
2. Submission Options--Electronic, CD-ROM or Hard Copy Format:
States have the option to submit Unified Plans in an electronic,
hard copy, or CD-ROM format. The Federal Government is encouraging
States to submit Unified Plans in electronic format to reduce the
reporting and process burden and to ensure timely receipt by each
Federal agency whose programs are included in the Unified Plan.
a. Electronic Submission. States can submit a Unified Plan
electronically either by posting it on an Internet Web site that is
accessible to the Department of Labor or by transmitting it through e-
mail to the Department. Unified Plan certifications with electronic
signatures are acceptable. If a State chooses not to use an electronic
signature, then the Plan Signature(s) Page (Attachment B) must be
submitted in hard copy.
i. Posting Unified Plans on an Internet Web Site. Under this
option, a State should post its Plan on an Internet Web site; inform
the Federal Coordinator through electronic mail of the URL and the
location of the document on the Web site; provide contact information
in the event of problems with accessing the Web site; and certify that
no changes will be made to the version of the Plan posted on the Web
site after it has been submitted to the Department, unless the Federal
Coordinator or Federal agency overseeing the portion to be changed
gives prior approval. The Federal Coordinator will ensure that Federal
agencies whose programs are included
[[Page 73733]]
in the Unified Plan, and the appropriate DOL Regional Office, receive
the relevant information.
ii. Transmitting Unified Plans by E-Mail. Any State submitting its
Plan by e-mail should send it to WIA.PLAN@DOL.GOV. The Federal
Coordinator will ensure that Federal agencies whose programs are
included in the Unified Plan receive a copy. The Federal Coordinator
will also provide a copy to the appropriate DOL Regional Office. If a
State chooses to submit its Unified Plan by transmitting it through
electronic mail, the State must submit it in Microsoft Word or PDF
format.
b. Hard Copy or CD-ROM Submission. States choosing to submit a hard
copy should submit one copy of the Plan with an original signature to
Janet Sten, the Federal Coordinator for Plan Review and Approval, at
the following address: Division of Workforce System Support, Employment
and Training Administration, U.S. Department of Labor, 200 Constitution
Ave., NW, Room S-4231, Washington, DC 20210, ATTN: Janet Sten.
States submitting a Unified Plan on CD-ROM should submit one copy
of the Plan to Janet Sten, the Federal Coordinator for Plan Review and
Approval. The Federal Coordinator will ensure that each Federal agency
whose programs are included in the Unified Plan, and the appropriate
DOL Regional Office, receive copies of the Plan.
If the Plan on the CD-ROM does not include the signature of the
governor on the signature page, the State must submit separately an
electronic signature or a signature page in hard copy. Plans submitted
on a CD-ROM must be in Microsoft Word or PDF format.
States submitting a hard copy of their Plan are encouraged to
provide an unbound copy to facilitate duplication.
3. Table of Contents:
States are encouraged to include a table of contents at the
beginning of the State Unified Plan. This will provide easy reference
on the Plan's details to the public as well as aid the Federal
Government in the review of the Unified Plan.
4. Receipt Confirmation:
The Federal Coordinator, without regard to which option the State
uses for submission, will confirm receipt of the State Unified Plan
within two workdays of receipt and indicate the date for the start of
the review period. When a State submits an incomplete Plan, the period
for review will not start until all required components of the Unified
Plan have been received.
E. Federal Government Review and Approval of Unified Plan
Section 501(d)(2) of WIA states that a portion of a State Unified
Plan covering an activity or program is to be considered to be approved
by the appropriate Secretary at the end of the 90-day period beginning
on the day the appropriate Secretary receives the portion unless the
appropriate Secretary makes a written determination, during the 90-day
period, that the portion is not consistent with the requirements of the
Federal statute authorizing the activity or program or section
501(c)(3) of WIA.
The appropriate Secretary, or his/her representative, will advise
the State by letter, as soon as possible, that the portion of the
Unified Plan over which his/her agency exercises administrative
authority is approved or disapproved. If the Plan is not approved, the
appropriate Secretary, or his/her representative, will advise the State
by letter that the portion of the Unified Plan over which his/her
agency exercises administrative authority is not consistent with the
requirements of the Federal statute authorizing the activity or
program, or with section 501(c)(3) of WIA, and clearly indicate the
reasons for disapproval and specify what additional information is
required or what action needs to be taken for the Unified Plan to be
approved.
F. How To Use ``Attachment B''
1. Forms for State Use:
In Attachment B you will find three forms for use in submitting the
State Unified Plan. These forms are available for electronic download,
along with this entire guidance, at 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
the Plan. Use of this specific format is optional.
b. Contact Information: Please provide the contact information
requested for each of the Section 501 programs and activities that you
have included in the Plan. Programs and activities may be combined on
one form if they have the same contact information. Use of this
specific format is optional.
c. Plan Signature(s): Please provide the required signatures as
appropriate for the programs and activities you have included in the
State Unified Plan. Use of this specific format is optional, but the
wording on the signature page must be identical to that provided here.
2. Program Descriptions:
Please respond fully to the general questions in the program
descriptions section, as well as the additional questions that relate
to the programs and activities that are included in the State's Unified
Plan.
3. Certifications and Assurances:
By signing the signature page(s), you are assuring or certifying
those items in the Certifications and Assurances section that apply to
the programs and activities you have included in the State's Unified
Plan.
G. Negotiated WIA and Wagner-Peyser Act Performance Indicators
WIA allows considerable flexibility in system design and service
delivery, in exchange for both accountability for a key set of outcomes
and improving those outcomes over time. To accomplish this, the
Secretary of Labor and the governor of each State must reach agreement
on the State's negotiated performance levels for the core indicators of
performance, and for customer satisfaction indicators of employers' and
participants' satisfaction. These levels of performance become the
basis for sanctions for failed performance and, with additional
performance levels for WIA title II Adult Education and Family Literacy
Act programs and Carl D. Perkins Career and Technical Education Act of
2006 programs, the basis for incentive grants.
At a minimum, the State Plan should include proposed performance
goals for WIA and Wagner-Peyser Act programs for each of the
performance indicators for each program year covered by the Plan. While
the State Plan is under review, the ETA Regional Administrator and the
State will discuss the performance levels, and negotiate on them as
appropriate. The Department expects States to enter into preliminary
discussions with the Local Workforce Investment Boards and the ETA
Regional Administrators before submitting the State Plan. States are
expected to come to the negotiating table with support from their Local
Workforce Investment Boards for the proposed performance goals.
Entering into preliminary discussions prior to Plan submission will
maximize the time available to States, local areas, and the Department
to develop a shared set of goals. ETA Regional Administrators will
coordinate with other DOL program administrators, including the
Veterans' Employment and Training Service (VETS) Regional
Administrators, to assure comprehensive Departmental participation.
States should note that the proposed levels of performance are
subject to public review and comment requirements. States that have
completed negotiations with ETA
[[Page 73734]]
should include their agreed-upon levels of performance for each program
year covered by the Plan for the WIA and Wagner-Peyser Act programs.
In cases where final agreement on performance goals is reached
after the State Plan is submitted to ETA for review and approval, but
before ETA approval of the State Plan, the letter advising the States
of approval of the State Plan will include ETA's approval of the
agreed-upon goals.
In cases where final agreement on performance goals has not been
reached until after the State Plan has been approved, the ETA Regional
Administrator's letter advising the State of the agreed-upon goals will
constitute a modification to the State Plan. For subsequent revisions
to performance goals during the life of the State Plan, the ETA
Regional Administrator's letter advising the State of the agreed upon
goals will also constitute a modification to the State Plan. The State
must ensure that the agreed-upon goals are included in the State's
official copy of the State Plan, and that any published State Plan, on
the State's Web site or through other forums, includes the agreed-upon
goals. ETA will incorporate these performance goals into the Regional
and National Office copies of the State's Plan.
H. Modifications to State Plan
1. Reasons for Modifications:
Modifications may be needed in any number of areas to keep the
Unified Plan a viable, living document over its life span. WIA
regulations permit states to modify their Plan at any time and 20 CFR
652.212 and 661.230 outline the circumstances under which modifications
must be submitted. Modifications are required when:
a. Changes in Federal or State law or policy substantially change
the assumptions upon which the Plan is based.
b. There are changes in the statewide vision, strategies, policies,
performance indicators, the methodology used to determine local
allocation of funds, reorganizations which change the working
relationship with system employees, changes in organizational
responsibilities, changes to the membership structure of the State
Board or alternative entity and similar substantial changes to the
State's workforce investment system.
c. The State has failed to meet performance goals, and must adjust
service strategies.
The WIA regulations, at 20 CFR 652.212, which relate to the Wagner-
Peyser Act portions of the Plan, also require modifications when there
is any reorganization of the State agency designated to deliver
services under the Wagner-Peyser Act, any change in service delivery
strategy, any change in levels of performance when performance goals
are not met, or any change in services delivered by State merit-staff
employees. In general, it is substantial changes to the Unified Plan
that require a modification, i.e., any change that significantly
impacts the operation of the state's workforce investment system.
2. Submitting a Modification:
Plan modifications must be submitted to the Federal Coordinator,
who will ensure that Federal agencies whose programs are included in
the unified plan receive a copy, in accordance with the procedures of
the affected agency. Prior to submission of the modification for review
and approval by the Federal Government, the designated State agency
must circulate the modifications among the other State and/or local
agencies that may be affected by the changes. Inclusion of a program in
the State Unified Plan does not remove the statutory requirement for
certain programs to annually review the Plan and submit modifications
as needed.
Modifications to the Unified Plan are subject to the same public
review and comment requirements that apply to the development of the
original Plan. States wishing to submit a State Plan modification
should follow the submission guidelines listed in Section D
``Submission of Unified Plans.'' States should direct any questions
about the need to submit a Plan modification to the Federal
Coordinator, the Departmental Contacts listed above, or to the Regional
Administrator or Regional Commissioner who exercises administrative
authority over the activity or program(s) impacted by the modification.
I. Inquiries
General inquiries about the State Unified Plan process may be
directed to Janet Sten, the Federal Coordinator for Plan Review and
Approval. The electronic mail address for the Federal Coordinator is
Sten.Janet@dol.gov. The Federal Coordinator may be contacted by phone
at 202-693-3045. Inquiries related to specific activities and programs
can be directed to the staff contacts listed above.
Part II. National Strategic Direction
The purpose of Part II is to communicate ETA's national direction
and strategic priorities for the workforce investment system.
A. Vision and Goals Related to WIA Title I and Wagner-Peyser Act
The U.S. economy and its labor markets are undergoing changes of
historic proportion. Globalization has forced change in every region in
the country and impacted every aspect of our economy. While global
competition is typically seen as a national challenge, the front lines
of the battlefield are regional, where businesses create competitive
advantage by collaborating with researchers, entrepreneurs, and
government entities. That advantage stems from the ability to transform
new ideas and knowledge into advanced, high-quality products or
services--in other words, to innovate. Those regions that will be most
successful will connect three key elements: Talent, infrastructure, and
investment. In particular, they will connect workforce skills and
lifelong learning strategies; regional infrastructure and economic
development strategies; and investment and entrepreneurship strategies.
Entrepreneurship plays a critical role in fueling innovation, as
entrepreneurs account for more than half of all technological
innovation which powers America's competitiveness.
Maintaining America's competitive position in the global economy
requires a workforce with postsecondary education credentials, the
capacity to work in a high-technology environment, and the opportunity
to engage in lifelong learning to keep pace with change. Preparing
workers to be part of such a workforce is the role of our system. ETA
envisions that the workforce investment system will operate as a talent
development system; it is no longer defined only as a job training
system. A talent development system not only meets the needs of
industry, but contributes to economic prosperity by collaborating with
economic development to identify emerging industries that it can help
foster and grow. Its vision is an educated and prepared workforce that
is able to compete in the global economy.
Broadly, the ETA strategic priorities for the workforce investment
system for this planning cycle include:
Building a demand-driven system within a regional economic
development context;
Implementing system reform, with streamlined governance
and alignment of economic and workforce development regions;
Enhancing an integrated service delivery system that
focuses on functions and services rather than programs or funding
streams;
[[Page 73735]]
Advancing a vision for serving youth most in need;
Expanding the workforce information system as the
foundation for strategic planning and career guidance;
Strengthening partnerships with community and faith-based
organizations;
Increasing the use of flexibility provisions in WIA to
design innovative programs that fuel regional economic competitiveness
and create employment opportunities for career seeker customers; and
Utilizing an integrated and enhanced performance
accountability system.
B. Demand-Driven Workforce Investment System Within a Regional Economic
Development Context
In today's economy, the workforce investment system has an
opportunity to play a critical role in fueling competitiveness by
developing talent--one of the three key requirements for innovation. To
become a dynamic catalyst, the workforce investment system must evolve
beyond its current configuration and status. Ideally, the system will
be positioned to respond to a variety of economic conditions with
talent development strategies that range from retrofitting an economy
in an area where an entire industry is being reengineered, to building
new industries from the ground up, to building an entrepreneurial
culture that fosters job creation.
The challenge for the workforce investment system is to become
agile enough to serve an economy driven by innovation, recognizing the
reality that approximately two-thirds of all new jobs are created by
small businesses. Jobs in today's economy increasingly hinge on
specialized skills, as 90 percent of the fastest growing jobs require
education and training past high school.
Therefore, it is imperative that the system continue its
transformation as a catalyst in reshaping talent development strategies
in support of regional economic competitiveness. While the workforce
investment system has implemented a number of key strategies to become
increasingly demand-driven, new strategies are needed in the workforce
investment system to drive regional economic growth. The workforce
system must transform to be relevant in the 21st century economy.
Elements of transformation include:
(1) The workforce investment system operates as a talent
development system; it is no longer defined as a job training system.
Its goal is an educated and prepared workforce--on a U.S. or global
standard.
(2) Workforce investment system formula funds are transformed,
providing significantly increased opportunity for postsecondary
education for lifelong learning aligned with the region's talent
development strategy.
(3) The workforce investment system no longer operates as an array
of siloed programs and services.
(4) Workforce Investment Boards are structured and operate on a
regional basis and are composed of regional strategic partners who
drive investments by aligning spending with a regional economic vision
for talent development.
(5) Economic and workforce development activities within regions
are aligned, leading to the adoption of common and innovative policies
across the workforce, education, and economic development systems and
structures that support talent development and the regional economy.
(6) The workforce investment system is agile enough to serve the
innovation economy, recognizing the reality that two-thirds of all new
jobs are created by small businesses.
(7) The workforce investment system actively collaborates with
economic development, business, and education partners to gather and
analyze a wide array of current and real-time workforce and economic
data in order to create new knowledge about regional economies and
support strategic planning, routinely track economic conditions,
measure outcomes, and benchmark economic competitiveness in the global
marketplace.
C. System Reform and Increased Focus on Workforce Education and
Training
The needs of the 21st century labor market are radically different
from what we have known in the past, and for which most workers are
currently trained. As a result, the American economy is facing a
shortage of skilled workers which necessitates a talent development
system that cultivates an educated and prepared workforce committed to
life-long learning. The following strategies can help advance an
essential culture of life-long learning:
K-12 and alternative education curricula must be designed
to academically prepare students to successfully move into
postsecondary education as well as prepare students for success in the
workplace through a range of strategies.
Educational strategies for adult learners must offer more
entry and exit points in recognition that students will need to earn
and learn simultaneously. Such strategies may need to approach
education and career progression incrementally rather than on one
continuous path to a specific degree with the aim of moving the learner
to the workplace. This is particularly essential for incumbent workers
who need lifelong education to remain in economically self-sustaining
jobs.
New education models are needed to support the development
of cross-disciplinary learning that matches the expanding number of
cross-functional competencies and skill sets that are needed on the
job.
States have multiple ways to drive system transformation and
integration through policies, required practices, and investment of
State set-aside funds, among others. There are a number of key areas
the State may consider addressing in its Strategic Plan to respond to
the current challenges of maintaining a competitive advantage and
ensuring a prepared and educated workforce. These key areas may
include, but are not limited to, the following:
Aligning economic and workforce development strategies and
facilitating the adoption of common and innovative policies across the
workforce, education, and economic development systems and structures
that support talent development in a regional economy;
Reorganizing governance structures to operate on a
regional basis and in a way that reduces administrative costs,
streamlines service delivery systems, and increases flexibility to
address the needs of State and regional economies;
Promoting the engagement of strategic partners who drive
investments in economic regions and align spending within a regional
economic vision for talent development;
Using State set-aside funds to respond more efficiently to
economic trends and shocks, enabling State and Local Workforce
Investment Boards greater agility;
Increasing use of system resources for training through
targeted policies such as setting a specific percentage of WIA funding
that must be devoted to training and transforming the use of WIA
formula funds to postsecondary education and lifelong learning
opportunities aligned with the region's talent development strategy;
Promoting the use of Registered Apprenticeship as an
important talent development strategy and a critical postsecondary
education, employment and training opportunity as part of the suite of
options offered through the workforce system;
Developing statewide polices to guide the use of
assessments of
[[Page 73736]]
individuals to enhance service delivery for business and job seekers;
and
Developing comprehensive, user-friendly economic data and
skills information to enable informed decisions by the system, and its
customers and partners.
D. Enhanced Integration Through the One-Stop Delivery System With
Improved Service Delivery and Increased Efficiencies
The workforce investment system, as currently constituted,
struggles to meet the challenges of educating and training a workforce
that is prepared to compete in today's economy. This is partly due to
the lack of integration, which causes too much money to be spent on
competing bureaucracies, overhead costs, and unnecessary
infrastructure, and not enough on meaningful skills training that leads
to job growth and economic prosperity. The ultimate objective is a
workforce system that eliminates duplicative costs for physical
infrastructure, information systems, and administrative and managerial
personnel; this will enable the system to devote scarce resources to
more efficiently and effectively implement talent development
strategies across multiple programs.
In addition to infrastructure integration, integrated service
delivery remains essential to a demand-driven workforce system that
effectively serves businesses and individuals. The workforce investment
system must operate as a seamless system functionally organized around
service delivery rather than an array of separate programs with
separate processes. The objective is for ``customers'' to be seen as
customers of the workforce investment system, not of a particular
program. This goal is particularly important when focusing on targeted
populations such as veterans, individuals with disabilities, military
spouses, migrant and seasonal farm workers, older workers, and others.
All of these populations need access to all of the services in a One-
Stop Career Center.
Achieving the goal of integrated service delivery requires strong
State leadership to overcome administrative challenges and to foster a
policy environment conducive to the integration of funding, facilities,
and service delivery. The WIA State planning process offers a vehicle
for the governor and State Workforce Investment Board to set forth
policy expectations for integration and to help eliminate obstacles.
E. A Vision for Serving Youth Most in Need
Currently, there are nearly four million youth who are not in
school, do not have a diploma, and are not working. Over 30 percent of
our youth are dropping out of high school nationally, and the number is
closer to 50 percent in many urban areas. In an attempt to address this
problem, the U.S. Department of Labor has developed a Youth Vision
which proposes that the public workforce investment system serve the
neediest youth: youth aging out of foster care, those involved with the
juvenile justice system, children of incarcerated parents, migrant
youth, Native American youth, and youth with disabilities. Transforming
the system to meet this objective requires that the current capacity,
knowledge, and models in the workforce investment system be
strengthened. Transformation is also necessary if the system is to meet
new performance expectations and the specific performance measures for
out-of-school youth literacy and numeracy gains, diploma attainment,
and transition to postsecondary education.
Governors must continue to provide strong leadership in advancing
the vision for serving youth most in need. States should expand upon
existing efforts by aligning resources to address barriers and
challenges and increase opportunities to access postsecondary
education. States are encouraged to expand their cross-agency
partnerships to ensure the right set of agencies:
Are represented in the development of a coordinated
strategic plan;
Build upon State-level collaborative efforts by conducting
strategic planning sessions to better understand the range of issues
that impact their ability to serve the neediest youth;
Develop a comprehensive understanding of resources that
are available in the State for serving the neediest youth;
Conduct analyses that identify where gaps in services and
resource coordination exist; and
Develop new strategies for serving the neediest youth
through jointly funded solicitations.
States should also engage employers and civic leaders to identify
demand-driven workforce solutions that address the unique challenges
that out-of-school youth present. This includes building the capacity
of the workforce system to provide services to these youth in a
business solutions environment by identifying replicable models and
innovative business solutions which connect secondary and postsecondary
education, businesses and industry associations, and the workforce
system.
Recognizing the critical need to reconnect out-of-school youth with
high quality educational opportunities, the Youth Vision emphasizes the
development of academically rigorous alternative education pathways.
WIA-funded Youth programs should serve as a catalyst for increasing
both the quality and quantity of alternative learning environments and
connecting out-of-school youth with secondary and postsecondary
educational opportunities and high-growth employment opportunities. A
system for serving out-of-school youth should include high quality
educational programs that will meet the learning styles and needs of
youth who need to be reconnected to educational opportunities.
F. Increased Economic and Workforce Information Data Integration and
Analysis
ETA reaffirms and strengthens its message about the centrality of
workforce information for the workforce system leaders, and their
economic development, business, and education partners. To be
successful in its new role as a catalyst for leading talent
development, the workforce investment system needs to actively
collaborate with its partners to gather and analyze a wide array of
current and real-time workforce and economic data in order to compile
new knowledge about regional economies and support strategic planning,
routinely track economic conditions, measure outcomes, and benchmark
economic competitiveness in the global marketplace.
Not only is workforce information critical to support decisions of
the national State and local political leadership, economic developers,
business and industry, investors, and educators and to drive the
investments of the workforce investment system, it is also a
fundamental tool for guidance counselors, students, job seekers, and
workers. The provision of workforce information in an economic context,
through easy-to-use electronic tools will empower customers in career
planning and lifelong learning required by today's dynamic global
economy.
Fulfilling the mandate for leadership in workforce and economic
information can only occur by embracing a wide array of data sources,
greater integration of the data, more complex analysis, new strategies
for making it available to strategic partners engaged in developing
regional economic agendas and talent development strategies.
Accomplishing this requires collaboration among the owners of the data
and developing methods to leverage public and private
[[Page 73737]]
resources to produce the economic and workforce intelligence needed in
a regional economy.
G. Effective Utilization of Faith-Based and Community Organizations
In every community, including those facing high poverty rates and
other serious challenges, there are faith-based and community
organizations (FBCOs) working to improve their community. These
organizations can be valuable partners for the workforce investment
system. The Department of Labor (DOL) encourages States to build and
strengthen both monetary and non-monetary partnerships with FBCOs.
These partnerships can strengthen participant outcomes by expanding
access to services that complement those provided by the One-Stop
Career Center, including job readiness and life skills training and
niche and specialized services. These partnerships can also create new
``points of access'' to the One-Stop's electronic tools and job search
assistance in many struggling communities.
Two distinct activities are critical to utilizing fully the
complementary strengths of FBCOs. First, States must ensure compliance
with the DOL's equal treatment regulations 29 CFR part 2, subpart D.
Compliance includes taking the administrative steps necessary to create
a ``level playing field'' for all organizations willing to join with
the government in service, including faith-based groups and other non-
traditional community partners.
Second, States should actively cultivate FBCO partnerships to
expand the reach of the workforce investment system and to improve
outcomes for participants, including high-need individuals.
H. Increased Use of Flexibility Provisions in WIA
To fuel regional economic competitiveness and create employment
opportunities for workers, States should exercise their authority to
design and implement innovative strategies. States should take
advantage of flexibility provisions under current legislative
authority, including waivers and work-flex, to tailor service delivery
and program design to fit the unique characteristics of their workforce
areas.
The State planning process is a vehicle for identifying waiver
opportunities and formally requesting waivers, including extensions of
approved waivers, in concert with overall strategic planning. States
are strongly encouraged to think about flexibility in broad terms and
to utilize the flexibility provided by WIA to advance their strategic
goals. States have received waivers in multiple program areas, during
this and the previous five-year planning cycle, that have allowed them
to implement a wide range of innovations to transform their workforce
systems. States have received waivers that:
Increase training opportunities by permitting the use of a
portion of local area formula funds or funds reserved for rapid
response activities to provide incumbent worker training.
Decrease the amount that small and medium-sized businesses
need to invest in order to take advantage of WIA's provision for
customized and on-the-job training.
Allow States to choose the most appropriate mix of youth
services needed within each local and regional economy.
DOL provides technical assistance on waivers and work-flex and
provides information on the waiver strategies States have utilized to
date.
I. An Integrated and Enhanced Performance Accountability System That
Provides Improved System Results
In an effective accountability system, a clear link exists between
the State's program and service delivery design and the results
achieved. Further, the performance information should be available and
easily understood by all customers, stakeholders, and operators of the
workforce investment system.
While great strides have been made in our reporting system in
recent years, the accountability outcomes for the workforce investment
system have not yet reached all goals. In addition, various reporting
requirements for the multiple programs operated by the workforce
investment system impede the integrated service delivery system
required for the demand-driven workforce systems that support regional
economic competitiveness. To address this issue, DOL implemented a set
of common performance measures for many of its workforce programs,
including WIA title IB, the Wagner-Peyser Act, and the Trade Adjustment
Assistance Act. The common measures allow DOL to clearly state the core
purposes of all the programs operated by the workforce investment
system--helping people find jobs; stay employed; and improve earnings.
The common measures are the foundation of DOL's evolving
performance accountability system. DOL continues to collect from States
and grantees other information on program activities, participants, and
outcomes necessary for program management, including data that support
the existing WIA performance measures that are required to convey full
and accurate information on the performance of workforce programs to
policymakers and stakeholders.
Part III. Unified Planning Instructions
Note: The statutes cited in parentheses refer to the authorizing
legislation for each respective program. This Unified Planning
guidance only relates to planning requirements; it does not affect
the statutory and regulatory requirements relating to other aspects
of programs included in the Plan.
A. State Vision and Priorities
Describe the governor's vision for a statewide workforce investment
system. Provide a summary articulating the governor's vision for
utilizing the resources of the workforce investment system in support
of the State's economic development that addresses the issues and
questions below. States are encouraged to attach more detailed
documents to expand upon any aspect of the summary response if
available. (WIA Sec. 112(a) and (b)(4)(A-C).)
1. What are the State's economic development goals for attracting,
retaining and growing business and industry within the State? (Sec.
112(a) and (b)(4)(A-C).)
2. Given that a skilled workforce is a key to the economic success
of every business, what is the governor's vision for maximizing and
leveraging the broad array of Federal and State resources available for
workforce investment flowing through the State's cabinet agencies and/
or education agencies in order to ensure a skilled workforce for the
State's business and industry? (Sec. 112(a) and (b)(4)(A-C).)
3. Given the continuously changing skill needs that business and
industry have as a result of innovation and new technology, what is the
governor's vision for ensuring a continuum of education and training
opportunities that support a skilled workforce? (Sec. 112(a) and
(b)(4)(A-C).)
4. What is the governor's vision for bringing together the key
players in workforce development including business and industry,
economic development, education, and the workforce system to
continuously identify the workforce challenges facing the State and to
develop innovative strategies and solutions that effectively leverage
resources to address those challenges? (Sec. 112(b)(10).)
5. What is the governor's vision for ensuring that every youth has
the opportunity to develop and achieve career goals through education
and workforce training, including youth most in need, such as youth who
are:
[[Page 73738]]
Out of school, homeless, in foster care or aging out of foster care,
offenders, children of incarcerated parents, migrant and seasonal
farmworker youth, have disabilities, or are other youth at risk? (Sec.
112(a).)
6. Given the labor shortage that will continue to increase over the
next 25 years, describe the governor's vision for how it will ensure
that older individuals receive workforce training that will prepare
them to reenter the labor market and become a workforce solution for
employers. (Sec. 112(b)(17)(A)(iv).)
B. One-Stop Delivery System
1. Describe the State's comprehensive vision of an integrated
service delivery system, including the role each program incorporated
in the Unified Plan in the delivery of services through that system.
In answering this question, if the Unified Plan includes WIA title
I and Wagner-Peyser Act and/or Veterans Programs:
a. Identify how the State will use WIA title I funds to leverage
other Federal, State, local, and private resources in order to maximize
the effectiveness of such resources and to expand the participation of
business, employees, and individuals in the statewide workforce
investment system. (Sec. 112(b)(10).)
b. What strategies are in place to address the national strategic
direction discussed in Part II of this guidance, the governor's
priorities, and the workforce development issues identified through the
analysis of the State's economy and labor market? (Sec. 112(a) and
112(b)(4)(D).)
c. Based on the State's economic and labor market analysis, what
strategies has the State implemented or does the State plan to
implement to identify and target industries and occupations within the
State that are high growth, high demand, and vital to the State's
economy? (Sec. 112(a) and 112(b)(4)(A).) The State may want to
consider:
Industries projected to add a substantial number of new
jobs to the economy;
Industries that have a significant impact on the overall
economy;
Industries that impact the growth of other industries;
Industries that are being transformed by technology and
innovation that require new skill sets for workers; or
Industries that are new and emerging and are expected to
grow.
d. What strategies are in place to promote and develop ongoing and
sustained strategic partnerships that include business and industry,
economic development, the workforce system, and education partners (K-
12, community colleges, and others) for the purpose of continuously
identifying workforce challenges and developing solutions to targeted
industries' workforce challenges? (Sec. 112(b)(8).)
e. What State strategies are in place to ensure that sufficient
system resources are being spent to support training of individuals in
high growth/high demand industries? (Sec. 112(b)(4)(A) and
112(b)(17)(A)(i).)
f. What workforce strategies does the State have to support the
creation, sustainability, and growth of small businesses and support
for the workforce needs of small businesses as part of the State's
economic strategy? (Sec. 112(b)(4)(A) and 112(b)(17)(A)(i).)
g. How are the funds reserved for statewide activities used to
incent the entities that make up the State's workforce investment
system at the State and local levels to achieve the governor's vision
and address the national strategic direction identified in Part I of
this guidance? (Sec. 112(a).)
h. Describe the State's strategies to promote collaboration between
the workforce system, education, human services, juvenile justice, and
others to better serve youth that are most in need and have significant
barriers to employment, and to successfully connect them to education
and training opportunities that lead to successful employment. (Sec.
112(b)(18)(A).)
i. Describe the State's strategies to identify State laws,
regulations, and policies that impede successful achievement of
workforce development goals and strategies to change or modify them.
(Sec. 112(b)(2).)
j. Describe how the State will take advantage of the flexibility
provisions in WIA for waivers and the option to obtain approval as a
workflex State pursuant to Sec. 189(i) and Sec. 192.
2. Describe the actions the State has taken to ensure an integrated
One-Stop service delivery system statewide. (Sec. Sec. 112(b)(14) and
121).)
a. What State policies and procedures are in place to ensure the
quality of service delivery through One-Stop Career Centers such as
development of minimum guidelines for operating comprehensive One-Stop
Career Centers, competencies for One-Stop Career Center staff or
development of a certification process for One-Stop Career Centers?
(Sec. 112(b)(14).)
b. What policies or guidance ha
