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Tuesday

,
April 12, 2005

Part IV

Department of Labor
Employment and Training Administration

Workforce Investment Act: Revisions to
the Workforce Investment Act Title I,
Wagner Peyser Act and the Senior
Community Service Employment Program
Unified Planning Guidance; Notice

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19222 Federal Register / Vol. 70, No. 69 / Tuesday, April 12, 2005 / Notices

DEPARTMENT OF LABOR designed to meet the needs of the The Department of Labor sees as one
nation’s employers, job seekers and of its primary roles providing leadership
Employment and Training those who want to further their careers. and guidance to support a system that
Administration This document updates the DOL meets the objectives of Title I of WIA,
provisions of the interagency planning and in which State and local partners
Workforce Investment Act: Revisions guidelines for the State Unified Plans have flexibility to design systems and
to the Workforce Investment Act Title under sec. 501 of the Act, to provide deliver services in a manner designed to
I, Wagner Peyser Act and the Senior guidance for states which choose to achieve the goals for WIA based on their
Community Service Employment submit a Unified Plan to meet the WIA particular needs. In the context of the
Program Unified Planning Guidance; title I State Plan requirements for PY 21st century innovation economy, the
Notice 2005 and 2006. Options for programs workforce investment system has a
AGENCY: Employment and Training funded by the U.S. Department of critical role to play at every level—local,
Administration, Department of Labor. Education that are included in a State’s State, and Federal—to ensure a skilled
ACTION: Notice.
Five-year Strategic Unified Plan also are and competitive workforce. To
discussed in this notice. effectively drive the economic growth of
SUMMARY: The purpose of this notice is In the context of the 21st century our communities and the nation and to
to provide interested parties with the innovation economy, the public provide the workers of this country with
revisions to portions of the ‘‘Workforce workforce investment system has a the right skills and opportunities for
Investment Act: Final Unified Planning critical role to play at every level—local, good jobs with good pay and career
Guidance: Notice’’ related to title I of State, and Federal—to ensure a skilled pathways, the public investments in
the Workforce Investment Act of 1998, and competitive workforce. To workforce development need to be
the Wagner Peyser Act and the Senior effectively drive the economic growth of strategic. Strategies for investment need
Community Service Employment our communities and the nation and to to embrace new methods of engagement
Program (SCSEP) under title V of the provide the workers of this country with with strategic partners as well as new
Older Americans Act, for use by States. the right skills and opportunities for service delivery paradigms that address
The Department is anticipating the good jobs with good pay and career the ever-changing economy and labor
reauthorization of the Workforce pathways, the public investments in market. Innovation and technology are
Investment Act (WIA) within the next workforce development need to be continuously changing the nature of
two years. Therefore, the Employment strategic. Strategies for investment need work at an accelerated pace. Therefore,
and Training Administration (ETA) is to embrace new methods of engagement the strategic planning process for
requiring revisions to the Unified Plan with strategic partners as well as new workforce investment must be dynamic,
related to WIA and Wagner-Peyser only service delivery paradigms that address fluid, and future oriented.
for the first two years of the five-year the ever-changing economy and labor
market. Innovation and technology are Signed at Washington, DC, this 5th day of
planning cycle. For SCSEP, States have April, 2005.
the option of submitting a two year plan continuously changing the nature of
work at an accelerated pace. Therefore, Emily Stover DeRocco,
as well. ‘‘Options for programs funded Assistant Secretary of Labor, Employment
by the U.S. Department of Education the strategic planning process for
workforce investment must be dynamic, and Training Administration.
that are included in a State’s Five-year
Strategic Unified Plan also are discussed fluid, and future oriented. Table of Contents
in this notice.’’ The Workforce Investment Act (WIA) Part I. State Planning Instructions
The Unified Planning Guidance and of 1998 created dramatic changes to the A. Statement of Purpose
Instructions provide a framework for the workforce system. With the overarching B. Background
collaboration of Governors, Local goal to streamline, consolidate, and C. Section 501 Programs and Activities
integrate a wide array of employment D. Submission of State Unified Plans
Elected Officials, businesses and other E. Federal Government Review and
partners to continue the development of and training programs, system changes
spanned every facet of operation Approval of Unified Plan
workforce investment systems that F. How to Use ‘‘Attachment B’’
address customer needs; deliver including governance, administration G. Modifications to State Plan
integrated, user-friendly services; and and funding, and service delivery. The H. Inquiries
vision is for an integrated workforce Part II. National Strategic Direction
are accountable to the customers and
investment system better able to A. Vision and Goals related to WIA Title
the public.
respond to the needs of its customers. I and Wagner Peyser
FOR FURTHER INFORMATION CONTACT: Ms.
The framework of the Workforce B. Demand-driven Workforce Investment
Gay Gilbert, Administrator, Office of Investment Act embodies principles that System
Workforce Investment, U.S. Department remain critical to the strategic planning C. System Reform and Increased Focus on
of Labor, 200 Constitution Avenue, process in today’s economy. Training
NW., Room S4231, Washington, DC Since the passage of WIA, the D. Enhanced Integration through One-Stop
20210. Telephone: (202) 693–3980 Delivery System
workforce investment system broadly E. New Vision for Serving Youth Most In
(voice) (This is not a toll free number) has made great strides in implementing Need
or (202) 693–7755 (TTY). Information the principles described above. F. A Stronger Workforce Information
may also be found at the Web site— However, there remains significant System
http://www.doleta.gov/usworkforce. opportunity for States and local areas to G. Effective Utilization of Faith-based and
DATES: The effective date of this utilize the framework of WIA to realize Community Based Organizations
document is April 12, 2005. Due date the vision these principles reflect. The H. Increased Use of Flexibility Provisions
for Plan submission is May 31, 2005. changes in the WIA State Planning in WIA
I. Performance Accountability and
SUPPLEMENTARY INFORMATION: The process reflected in this document are Implementation of Common Performance
Workforce Investment Act (WIA or Act), intended to facilitate a realization of Measures
Pub. L. 105–220 (August 7, 1998) that vision as well as to set the stage for Part III. United Planning Instructions
provides the framework for a reformed the planning process in the context of A. State Vision and Priorities
public workforce investment system the 21st century economy. B. One-Stop Delivery System

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Federal Register / Vol. 70, No. 69 / Tuesday, April 12, 2005 / Notices 19223

C. Plan Development and Implementation strategic planning cycle. This will allow State consultation of required parties
D. Needs Assessment States to strategically approach their and entities, public hearings, and
E. State and Local Governance workforce investment policies for the adoption of the new State plan by the
F. Funding
immediate future, without requiring a eligible agency, i.e., the State board that
G. Activities to Be Funded
H. Coordination and Non-Duplication full five-year unified plan, in light of the is the sole State agency responsible for
I. Special Populations and Other Groups anticipated reauthorization of WIA. the administration, or the supervision of
J. Professional Development and System States which choose to submit the WIA the administration, of the State’s
Improvement Title I/Wagner Peyser Plan as part of a vocational and technical education
K. Performance Accountability Unified Plan must comply with the program. With respect to the AEFLA
L. Data Collection requirements of these guidelines. program, for example, these
M. Corrective Action Guidelines for the submission of a requirements include conducting a
N. Waiver and Work-Flex Requests stand-alone WIA title I Plan are being needs assessment.
Part IV. Certifications and Assurances
Attachments
issued separately.
Options for programs funded by the B. Background
A. ETA Regional Administrators
B. Unified Plan Activities and Program U.S. Department of Education. With The State Unified Plan Planning
Checklist respect to the programs originally Guidance provides a framework for the
authorized by the Carl D. Perkins collaboration of Governors, Local
State Unified Plan Planning Guidance Vocational and Technical Education Act Elected Officials, businesses and other
A. Statement of Purpose of 1998 (Perkins III) and the Adult partners to design and build workforce
Education and Family Literacy Act investment systems that address
The purpose of this document is to (AEFLA), the U.S. Department of customer needs; deliver integrated, user-
provide guidance to States which Education already has issued guidance friendly services; and are accountable to
submit a State Unified Plan authorized to States that discusses the option of the customers and the public. Only
by title V, section 501 of the Workforce extending the existing State plans with provisions related to the SCSEP, WIA
Investment Act of 1998 (WIA). The State certain necessary revisions. This option title I and Wagner Peyser Act Plan have
Unified Plan Planning Guidance of extending the existing plan applies as been changed. The Unified Plan
facilitates the development and well to any subsections of a unified requirements for other programs remain
submission of such a plan, which State plan that are related to programs the same as those outlined in the
addresses two or more of the programs under either Perkins III or AEFLA. A January 14, 2000 version of this
or activities specified at WIA Section State’s request to extend subsections of document (65 Federal Register 2464).
501(b)(2). This planning guidance a unified plan must be submitted
updates the requirements for the WIA/ directly to the U.S. Department of C. Section 501 Programs and Activities
Wagner Peyser Act and SCSEP portions Education and is due April 15, 2005, for Below is a listing of the programs and
of the Unified Plan. Options for Perkins III programs and April 1, 2005, activities covered in Section 501 of
programs funded by the U.S. for AEFLA programs. See Program WIA, along with the commonly used
Department of Education that are Memorandum OVAE/DHSPCE FY name. In this document, we generally
included in a State’s Five-year Strategic 2005–03, Guidance for Submission of refer to the activities and programs by
Unified Plan also are discussed in this State Plan Revisions, Budgets, and their commonly used names. Should
notice. Minor reference updates have Proposed Performance Levels for State staff need information on the
been made for other programs Perkins Grant Awards (OMB Control programs listed, a staff contact is
authorized to be included in the Unified number 1830–0556), dated January 14, provided here also.
Plan. Therefore, States that choose to 2005, at the following Web site: http:// • Secondary Vocational Education
update the WIA/Wagner Peyser and/or www.ed.gov/policy/sectech/guid/cte/ programs (Perkins III/Secondary) Note
SCSEP portions of a Unified Plan need memo011405.doc See also Guide for the that inclusion of this program in the
only submit the updated Plan meeting Development of a State Plan under the Unified Plan requires prior approval of
the WIA/Wagner Peyser and/or SCSEP Adult Education and Family Literacy State legislature Administered by
requirements of this document. States Act (OMB Control number 1830–0026). Department of Education, Office of
that choose to submit a new Unified The U.S. Department of Education Vocational and Adult Education. Staff
Plan for PYs 2005–2007 for programs anticipates that States will choose the Contact: Jennifer Brianas: 202–245–7808
other than SCSEP, title I of WIA and the option of extending their existing (phone); 202–245–7837 (fax); (E-mail:
Wagner Peyser Act, will continue to use subsections of the currently approved Jennifer.brianas@ed.gov).
the guidance and instructions contained unified State plans with only the • Postsecondary Vocational
in this document, which have not been revisions discussed in the above- Education programs (Perkins III/
revised. referenced guidance. However, any Postsecondary) Administered by
An approved Workforce Investment State that chooses to submit new Department of Education, Office of
Plan is required in order for States to subsections related to the Perkins III or Vocational and Adult Education. Staff
receive formula allotments under WIA AEFLA programs in its unified State Contact: Jennifer Brianas: 202–245–7808
title I and the Wagner Peyser Act. The plan submitted in accordance with this (phone); 202–245–7837 (fax); (E-mail:
current Workforce Investment Plans notice must fully comply with all the Jennifer.brianas@ed.gov).
expire June 30, 2005. The Department of planning, content, and other • Tech-Prep Education (Title II of
Labor is anticipating the reauthorization requirements that applied when the Perkins III) Administered by
of WIA within the next two years. To unified plan was originally developed, Department of Education, Office of
meet the requirements of WIA and adopted, and submitted. These Vocational and Adult Education. Staff
Wagner Peyser that States must have requirements are summarized together Contact: Jennifer Brianas: 202–245–7808
approved Plans in place to receive with references to the underlying (phone); 202–245–7837 (fax); (E-mail:
allotments, the Employment and statutory and regulatory requirements in Jennifer.brianas@ed.gov).
Training Administration (ETA) is the second section of this notice. With • Activities authorized under title I,
requiring States to only develop a Plan respect to the Perkins III programs, for Workforce Investment Systems
for the first two years of the five-year example, these requirements include (Workforce Investment Activities for

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19224 Federal Register / Vol. 70, No. 69 / Tuesday, April 12, 2005 / Notices

Adults, Dislocated Workers and Youth, coyne.william@dol.gov); or Delores housing agencies, in the overarching
or WIA title I) Administered by Mackall: 202–693–3183 (phone); 202– questions pertaining to the Unified
Department of Labor, Employment and 693–3975; (E-mail: Plan’s vision and goals, One-Stop
Training Administration. Staff Contact: mackall.delores@dol.gov). service delivery, and needs assessment.
Christine D. Kulick: 202–693–3045 • Programs authorized under part A
of title IV of the Social Security Act D. Submission of State Unified Plans
(phone); 202–693–3015 (fax); (E-mail:
kulick.christine@dol.gov). (Temporary Assistance for Needy 1. Submission—Time Requirements for
• Activities authorized under title II Families (TANF) administered by Submission and Points of Contact
of WIA, Adult Education and Family Health and Human Services,
States have the option of submitting a
Literacy (Adult Education and Family Administration for Children and
Unified Plan to meet the requirements
Literacy Programs) Administered by Families. Staff Contact: Robert M.
for submission of a state Workforce
Department of Education, Office of Shelbourne: 202–401–5150 (phone);
Investment Plan for Program Year 2005
Vocational and Adult Education. Staff 202–205–5887 (fax); (E-mail:
and 2006. Due to the uncertainty
Contact: Jennifer Brianas: 202–245–7808 RShelbourne@acf.hhs.gov).
(phone); 202–245–7837 (fax); (E-mail: • Programs authorized under title V relating to possible reauthorization of
Jennifer.brianas@ed.gov). of the Older Americans Act of 1965 WIA, the Federal Government is only
• Food Stamp Employment and (Senior Community Service requiring the submission of the first two
Training Program, or FSET Employment Program, or SCSEP) program years of the WIA/Wagner
Administered by USDA, Food and Administered by Department of Labor, Peyser portion of the five-year Unified
Nutrition Service. Staff Contact: Employment and Training Plan. The due date for submission of a
Micheal Atwell: 703–305–2449 (phone); Administration. Staff Contact: Ria- Unified Plan covering the first two-year
703–305–2486 (fax); (E-mail: Moore Benedict: 202–693–3198 (phone); period (July 1, 2005 through June 30,
micheal.atwell@fns.usda.gov). 202–693–3817 (fax); (E-mail: 2007) is Tuesday, May 31, 2005.
• Activities authorized under chapter benedict.ria@dol.gov). A State’s request to extend
2 of title II of the Trade Act of 1974 • Training activities funded by the subsections of a unified plan related to
(Trade Act Programs) Administered by Department of Housing and Urban programs under either Perkins III or
Department of Labor, Employment and Development under the Community AEFLA must be submitted directly to
Training Administration. Staff Contact: Development Block Grants (CDBG) and the U.S. Department of Education and is
Terry Clark: 202–693–3707 (phone); Public Housing Programs). Staff due April 15, 2005, for Perkins III
202–693–3585 (fax); (E-mail: Contact: Christopher Lord: 202–708– programs and April 1, 2005, for AEFLA
clark.terry@dol.gov). 1506; Fax: 202–708–2706 (E-mail: programs. See Program Memorandum
• Programs authorized under the Christopher_D._Lord@hud.gov). OVAE/DHSPCE FY 2005–03, Guidance
Wagner-Peyser Act (Employment • Programs authorized under the for Submission of State Plan Revisions,
Service) Administered by Department of Community Services Block Grant Act Budgets, and Proposed Performance
Labor, Employment and Training (Community Services Block Grant, or Levels for Perkins Grant Awards (OMB
Administration. Staff Contact: CSBG) Administered by Health and Control number 1830–0556), dated
Stephanie Cabell: 202–693–2784 Human Services, Administration for January 14, 2005, at the following Web
(phone); 202–693–3015 (fax); (E-mail: Children and Families. Staff Contact: site: http://www.ed.gov/policy/sectech/
cabell.stephanie@dol.gov). Brandy RayNor: 202–205–5926 (phone); guid/cte/memo011405.doc. See also
• Programs authorized under part B 202–402–5718 (fax); (E-mail: Guide for the Development of a State
of title I of the Rehabilitation Act of BRayNor@acf.hhs.gov). Plan under the Adult Education and
1973, other than section 112 of such Act While the statute specifies that States Family Literacy Act (OMB Control
(Vocational Rehabilitation) may submit a Unified Plan that includes number 1830–0026).
Administered by Department of ‘‘training activities’’ carried out by HUD, To reduce the reporting and
Education, Rehabilitation Services for a number of reasons, the Federal processing burden, States have the
Administration. Staff Contact: Jerry Partners agree that the unique nature of option of submitting their WIA/Wagner-
Abbott: 202–245–7251 (phone); 202– HUD’s training activities warrants Peyser or SCESP Unified Plan to either
245–7590 (fax); (E-mail: special treatment in a Unified Plan. WIA.PLAN@DOL.GOV or to the
jerry.abbott@ed.gov) Accordingly, the final Unified Plan designated Federal Coordinator for Plan
• Programs authorized under chapters guidance provides for informal Review and Approval (hereafter,
41 and 42 of title 38, U.S.C., and 20 CFR inclusion of HUD’s programs. Since ‘‘Federal Coordinator’’), depending
1001 and 1005 (Veterans Programs, HUD programs are generally funded and upon the submission option chosen by
including Veterans Employment, implemented through local the State (as discussed below). The
Disabled Veterans’ Outreach Program, communities, and HUD’s relevant State Federal Coordinator is Christine Kulick,
and Local Veterans’ Employment formula grant programs are not e-mail: kulick.christine@dol.gov; phone:
Representative Program) Administered specifically employment and training 202–693–3045. Her postal address is:
by Department of Labor, Veterans’ programs, States that follow the final Division of One-Stop Operations,
Employment and Training Service. Staff Unified Planning guidance will not Employment and Training
Contact: Pamela Langley: 202–693–4708 automatically receive funding for HUD’s Administration, U.S. Department of
(phone); 202–693–4755 (fax); (E-mail: formula programs through their Unified Labor, 200 Constitution Ave., NW.,
langley.pamela@dol.gov). Plans. However, to encourage States to Room S–4231, Washington, DC 20210,
• Programs authorized under State think strategically about developing a ATTN: Ms. Christine Kulick.
unemployment compensation laws comprehensive workforce investment States are encouraged to send a single
(Unemployment Insurance) system—including how that system copy to WIA.PLAN@DOL.GOV (which is
Administered by Department of Labor, relates to the housing and workforce managed by the Federal Coordinator) or
Employment and Training investment needs of the population directly to the Federal Coordinator who
Administration. Staff Contacts: William receiving housing assistance—the final will be responsible for distributing the
Coyne; 202–693–3202 (phone); 202– guidance includes references to HUD Plan to each Federal agency whose
693–3975 (fax); (E-mail: customers and services, as well as local programs are included in the Unified

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Plan. The Federal Coordinator will also the location of the document on the It is important that States recognize
provide a copy of the Plan to the Web site; provide contact information in that mail security requirements
appropriate Department of Labor (DOL) the event of problems with accessing the implemented by the U.S. Postal Service
Regional Office. Web site; and certify that no changes can result in delays in delivery of Plans
States have the option, however, of will be made to the version of the Plan whereas Federal Express and United
submitting their Unified Plans directly posted on the Web site after it has been Parcel Service deliveries have not been
to each Federal Department whose submitted to the Department, unless the impacted.
programs are included in the Unified Federal Coordinator or Federal agency States are encouraged to include a
Plan, except for Perkins III and AEFLA overseeing the portion to be changed table of contents at the beginning of its
simple extensions, which must be grants prior approval. The Federal State Unified Plan. This will facilitate
submitted to the U.S. Department of Coordinator will ensure that Federal access by the public to its component
Education as stated above. States agencies whose programs are included parts and aid the Federal Government in
choosing this option are only required in the Unified Plan, and the appropriate its review of the Unified Plan. States
to send the Plan to the designated DOL Regional Office, receive the submitting a hard copy of their Plan are
Federal Departmental State Unified Plan relevant information: the URL and the encouraged to provide an unbound copy
Contact (hereafter, ‘‘Departmental location of the document on the Web to facilitate duplication.
Contact’’). The Departmental Contact site; the contact information; and a copy The Federal Coordinator, without
will be responsible for ensuring that of the statement certifying that there regard to which option the State uses for
affected agencies and appropriate will be no changes. submission, will confirm receipt of the
Regional Offices in that Department Transmitting Unified Plans by State Unified Plan within two workdays
receive copies of the Unified Plan. For electronic mail. Any State submitting its of receipt and indicate the date for the
example, if a Unified Plan contains Plan by electronic mail should send it start of the review period. When a State
plans for both the Vocational to WIA.PLAN@DOL.GOV. The Federal submits an incomplete Plan, the period
Rehabilitation and the Postsecondary Coordinator, who manages this site, will for review will not start until all
Vocational Education programs, both of ensure that Federal agencies whose required components of the Unified
which are administered by different programs are included in the Unified Plan have been received.
agencies within the United States Plan receive a copy. The Federal E. Federal Government Review and
Department of Education, the State need Coordinator will also provide a copy to Approval of Unified Plan
only submit the Plan to the U.S. the appropriate DOL Regional Office.
Department of Education once, and it Section 501(d)(2) of WIA States that a
Other considerations when using portion of a State Unified Plan covering
should be sent to the Departmental electronic submission. Unified Plan
Contact. Electronic mail addresses for an activity or program is to be
certifications with electronic signatures considered to be approved by the
the Departmental Contacts are as are acceptable. If a State chooses not to
follows: appropriate Secretary at the end of the
use an electronic signature, then the 90-day period beginning on the day the
Department of Labor: signature page must be submitted in appropriate Secretary receives the
kulick.christine@dol.gov hard copy. If a State chooses to submit portion unless the appropriate Secretary
Department of Education: its Unified Plan by transmitting it makes a written determination, during
jerry.abbott@ed.gov through electronic mail, the State must
Department of Health and Human the 90-day period, that the portion is not
submit it in Microsoft Word or PDF consistent with the requirements of the
Services: Rshelbourne@acf.hhs.gov format.
Department of Agriculture: Federal statute authorizing the activity
Hard copy or CD–ROM submission. or program or section 501(c)(3) of WIA.
micheal.atwell@fns.usda.gov
Department of Housing and Urban States choosing to submit a hard copy However, for Unified Plans that are
Development: should submit one copy of the Plan submitted by May 31, 2005, for the two-
Christopher_D._Lord@hud.gov (with an original signature) to Christine year planning period, July 1, 2005
Kulick, the Federal Coordinator for Plan through June 30, 2007, the Department
2. Submission Options—Electronic, CD– Review and Approval (the address is of Labor is committed to completing its
ROM or Hard Copy Format provided above). The Federal review of those portions of the Unified
States have the option to submit Coordinator will ensure that Federal Plan related to WIA/W–P and SCSEP
Unified Plans in an electronic, hard agencies whose programs are included within 30 days, to allow States
copy, or CD–ROM format. The Federal in the Unified Plan, and the appropriate additional time to prepare the Plan.
Government is encouraging States to DOL Regional Office, receive copies of The appropriate Secretary, or his/her
submit Unified Plans in electronic the Plan. representative, will advise the State by
format to reduce the reporting and States submitting a Unified Plan on letter, as soon as possible, that the
process burden and to ensure timely CD–ROM should submit one copy of the portion of the Unified Plan over which
receipt by each Federal agency whose Plan to Christine Kulick, the Federal his/her agency exercises administrative
programs are included in the Unified Coordinator for Plan Review and authority is approved or disapproved. If
Plan. Approval. The Federal Coordinator will the plan is not approved, the
Electronic submission. States can ensure that Federal agencies whose appropriate Secretary, or his/her
submit a Unified Plan electronically programs are included in the Unified representative, will advise the State by
either by posting it on an Internet Web Plan, and the appropriate DOL Regional letter that the portion of the Unified
site that is accessible to the Department Office, receive copies of the Plan. If the Plan over which his/her agency
or by transmitting it through electronic Plan on the CD–ROM does not include exercises administrative authority is not
mail to the Department. the signature of the Governor on the consistent with the requirements of the
Posting Unified Plans on an Internet signature page, the State must submit Federal statute authorizing the activity
Web site. Under this option, a State need separately an electronic signature or a or program, or with section 501(c)(3) of
only post its Plan on an Internet Web signature page in hard copy. Plans WIA Unified Plan, and clearly indicate
site; inform the Federal Coordinator submitted on a CD–ROM must be in the reasons for disapproval and specify
through electronic mail of the URL and Microsoft Word or PDF format. what additional information is required

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or what action needs to be taken for the to submission of the modification for information and accessing quality
Unified Plan to be approved. review and approval by the Federal training providers;
Government, the designated State v. Increased fiscal and performance
F. How To Use ‘‘Attachment B’’
agency must circulate the modifications accountability; and
1. Forms for State Use among the other state and/or local vi. A youth program targeting out-of-
In Attachment B you will find three agencies that may be affected by the school populations with increased
forms for use in submitting your State changes. Inclusion of a program in the accountability for employment and/or
Unified Plan. These forms are available state Unified Plan does not remove the increased secondary and post-secondary
for electronic download, along with this statutory requirement for certain education outcomes.
entire guidance, at http:// programs to annually review the plan b. Incorporating new statutory and
www.doleta.gov/usworkforce. and submit modifications as needed or regulatory program requirements that
a. Unified Plan Activities and to revise a plan to reflect newly have evolved since the passage of WIA,
Programs Checklist: Please provide a list negotiated performance levels. such as priority of service for veterans
of the section 501 programs and Modifications to the Unified Plan are as prescribed by the Jobs for Veterans
activities you have included in your subject to the same public review and Act (Pub. L. 107–288), (38 U.S.C. 4215).
Plan. Use of this specific format is comment requirements that apply to the c. Providing the national strategic
optional. development of the original plan. States priorities and direction in the following
b. Contact Information: Please should direct any questions about the areas:
provide the contact information need to submit a plan modification to i. Implementation of a demand-driven
requested for each of the Section 501 the Federal Coordinator, the workforce system;
programs and activities that you have Departmental Contacts listed above, or ii. System reform to eliminate
included in your Plan. Programs and to the Regional Administrator or duplicative administrative costs and to
activities may be combined on one form Regional Commissioner who exercises enable increased training investments;
if they have the same contact administrative authority over the iii. Enhanced integration of service
information. Use of this specific format activity or program(s) impacted by the delivery through One-Stop delivery
is optional. modification. systems nationwide;
c. Plan Signature(s): Please provide iv. A refocusing of the WIA youth
the required signatures as appropriate H. Inquiries investments on out-of-school youth
for the programs and activities you have General inquiries about the State populations, collaborative service
included in your State Unified Plan. Use Unified Plan process may be directed to delivery across Federal programs, and
of this specific format is optional, but the Federal Coordinator for Plan Review increased accountability;
the wording on your signature page and Approval. The electronic mail v. Improved development and
must be identical to that provided here. address for the Federal Coordinator delivery of workforce information to
(Christine Kulick) is support Workforce Investment Boards in
2. Program Descriptions their strategic planning and
kulick.christine@dol.gov. The Federal
Please respond fully to the general Coordinator may be contacted by phone investments; providing tools and
questions in the program descriptions at 202–693–3045. Inquiries related to products that support business growth
section, as well as the additional specific activities and programs can be and economic development; and
questions that relate to the programs directed to the staff contacts listed providing quality career guidance
and activities that are included in your above. directly to students and job seekers and
State’s Unified Plan. their counselors through One-Stop
II. National Strategic Direction Career Centers;
3. Certifications and Assurances vi. Faith-based and community-based
A. Vision and Goals Related to WIA
By signing the signature page(s), you Title I and Wagner Peyser organizations playing an enhanced role
are assuring or certifying those items in in workforce development;
the Certifications and Assurances 1. The purpose of this portion of this vii. Enhanced use of waivers and
section that apply to the programs and WIA and Wagner Peyser Unified workflex provisions in WIA to provide
activities you have included in your Planning Guidance is to communicate greater flexibility to States and local
State’s Unified Plan. national direction and strategic areas in structuring their workforce
priorities for the workforce investment investment systems; and
G. Modifications system. Broadly, the Federal goals for viii. Reporting against common
Modifications may be needed in any the workforce investment system for performance measures across Federal
number of areas to keep the Unified this planning cycle include: employment and training programs.
Plan a viable, living document over its a. Realizing the reforms envisioned by
two-year life. WIA regulations permit the Workforce Investment Act B. Demand-Driven Workforce
states to modify their state workforce including: Investment System
investment plan at any time. In general, i. Integrated, seamless service delivery 1. The realities of today’s global
it is substantial changes to the Unified through comprehensive One-Stop economy make it imperative that the
Plan that require a modification, i.e., Career Centers; public workforce investment system be
any change that significantly impacts ii. A demand-driven workforce system demand-driven, providing services that
the operation of the state’s workforce governed by business-led Workforce prepare workers to take advantage of
investment system. Investment Boards; new and increasing job opportunities in
Plan modifications must be submitted iii. Maximum flexibility in tailoring high growth/high demand and
to the Federal Coordinator, who will service delivery and making strategic economically vital industries and
ensure that Federal agencies whose investment in workforce development sectors of the American economy. The
programs are included in the Unified activities to meet the needs of State and foundation of this effort is partnerships
Plan receive a copy, or to appropriate local economies and labor markets; that include the workforce system,
Federal agency, in accordance with the iv. Customers making informed business and industry, and education
procedures of the affected agency. Prior choices based on quality workforce and training providers, that develop and

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implement a strategic vision for approach to workforce investment. A and simplify administration in order to
economic development. Becoming wide array of workforce information and preserve more resources for training.
demand-driven represents a major data, including economic indicators, The system currently spends
transformation of this system, which, for labor market information, census data, approximately 30% of appropriated
40 years, has been primarily framed educational data, transactional data, funds each year on infrastructure and
around individuals needs for service projections and data from the private ‘‘other’’ costs as currently reported by
rather than focusing on both the needs sector, and one-on-one interviews with States as part of their routine reporting
of job seekers and the business businesses needs to be collected and under WIA. Some of these funds are
community. analyzed. wisely spent, but clearly more can be
2. To be successful, the workforce b. Workforce strategies that target made available for training. The
investment system must begin today to industries that are high growth, high President has called for the system to
prepare the workforce of tomorrow. demand and critical to the State and/or double the number of individuals
Each year, the United States invests local economy are most likely to trained under major WIA grant
approximately $15 billion into the support economic growth and provide programs. Through WIA
workforce system. To ensure that this individuals with the opportunities to get reauthorization, additional reforms in
large investment is used effectively, it is good jobs with good pay and career support of these goals are anticipated.
imperative that all of the components of pathways. 2. The WIA State Plan provides States
the workforce system at the national, c. Strategic partnerships among the with a platform to promote greater
State, and local levels become demand- workforce investment system, targeted efficiencies in the workforce system by
driven and contribute to the economic businesses and industries, economic articulating administrative policies for
well-being of communities and the development agencies, and education State and local governance processes.
nation by developing a qualified and and training providers (including K–12) The State has multiple vehicles to
competitive workforce. Current job provide a strong foundation for increase consolidation and integration
opportunities must be known as well as identifying workforce challenges and of the infrastructure through policies,
where the good jobs will be in the future developing and implementing required practices, provision of
by (1) identifying the workforce needs innovative workforce solutions focused technical assistance and monitoring.
in high-growth, high-demand and on a workforce with the right skills. The The State also can articulate its goals for
economically critical industries and the workforce system must be the catalyst expenditures of resources for training in
necessary preparation required to for bringing these target partnerships industries and occupations critical to
succeed in those occupations and (2) together. the State’s economy.
understanding the workforce challenges d. A solutions-based approach that
D. Enhanced Integration Through One-
that must be addressed to ensure a brings the right strategic partners and
Stop Delivery System
prepared and competitive workforce. resources to the table promotes a
This requires all of the key players in comprehensive analysis of workforce 1. One of the primary expectations of
the State and local system, including challenges and also provides the the workforce system under the WIA
Governors and Local Elected Officials, synergy for successful, innovative statutory framework is a seamless,
State and Local Workforce Investment workforce solutions and the opportunity integrated One-Stop delivery system.
Boards (WIBs), State Workforce to effectively leverage workforce The expectation for an integrated
Agencies, and One-Stop Career Centers investment resources. service delivery system remains firmly
to: e. A demand-driven workforce embedded as a key principle of a
a. Have a firm grasp of their State and investment system ensures that the full demand-driven workforce system.
local economies; array of assets available through the 2. The goal of integration is to ensure
b. Strategically invest and leverage One-Stop delivery system is available to that the full spectrum of community
their resources; support individual workers as well as to assets is used in the service delivery
c. Build partnerships between provide solutions to workforce issues system, and to support human capital
industry leaders and educational identified by business and industry. solutions for businesses, industry and
institutions that develop solutions to f. Translating the demand for workers individual customers. Different
workforce challenges; and with the skills businesses need into programs fund different types of
d. Allocate training dollars to provide demand-driven career guidance must be services and serve different populations.
the skills and competencies necessary to one of the human resource solutions These unique program features in the
support industry now and in the future. provided broadly by the workforce system provide both breadth and depth
3. The workforce investment system is investment system. to the human capital solutions offered to
a catalyst that links employers, 5. The WIA and Wagner Peyser businesses and industry. However, the
economic development organizations, related Unified Planning guidance assets go beyond program funding, and
public agencies, and the education includes new language in support of without integration of those assets, the
community to build and deliver these principles which offers States an system limits its impact and success.
innovative answers to workforce opportunity, in the context of the State 3. The workforce system has had a
challenges. Planning process, to formally articulate vision of integration for over a decade,
4. Development of a demand driven demand-driven goals and strategies supported with the Federal investment
strategic plan requires utilizing tailored to the unique needs of the State. in One-Stop Centers in the mid-1990s
economic information and analysis to and later realized in statute with the
drive strategic investments, identifying C. System Reform and Increased Focus passage of WIA. Despite many efforts,
strategic partners, and designing on Training the vision of seamless, integrated
effective service delivery systems. Some 1. Workforce training is one of the service delivery remains unrealized in
of the important elements of a demand- major areas in which the President is many areas. It is still all too common to
driven strategic plan include the focusing reform efforts. In April 2004, visit local areas across the nation and
following: he challenged the workforce investment find a One-Stop office within blocks of
a. Economic analysis is a fundamental system at the State and local levels to a separate ‘‘job service’’ or ‘‘affiliate’’
starting point for a demand-driven eliminate unnecessary overhead costs office or a comprehensive One-Stop

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19228 Federal Register / Vol. 70, No. 69 / Tuesday, April 12, 2005 / Notices

Center where programs are co-located, consider this new strategic approach drive both economic development and
but with little integration. In addition, and associated goals across four major workforce investment for the State. In
there is often a lack of consistency in areas: their lead role, States need to embrace
policy and service delivery across a. Alternative Education—Goal: a wide array of data sources, new
workforce investment areas within a Provide leadership to ensure that youth strategies for making it available to
State, which causes customer confusion served in alternative education customers, and consider alternative
and frustration. While there are real programs will receive a high quality ways to invest and leverage public and
challenges to achieving the vision of education that adheres to the State private resources to build the State’s
integration, it is a vision that can be standards developed in response to the workforce information system.
realized. Due to strong leadership, No Child Left Behind (NCLB) Workforce information is critical not
creativity, and hard work at the State legislation. only for driving the investments of the
and local levels, a number of One-Stop b. Demand of Business—Goal: The
workforce system, but it is also a
Centers have overcome turf issues and investment of WIA youth resources will
fundamental decision tool for the
administrative challenges to offer be demand-driven, assuring that youth
nation’s businesses, students, workers,
integrated service delivery. obtain the skills needed by businesses
parents, guidance counselors, and
4. Strong State leadership has been so that they can succeed in the 21st
century economy. education institutions. The
identified as one of the key success
c. Neediest Youth—Goal: Investments development of workforce information
factors in achieving integration in One-
will be prioritized to serve youth most is the responsibility broadly of
Stop Centers. The WIA State Planning
in need including out-of-school youth Governors, State workforce agencies,
process offers a unique opportunity for
(and those at risk of dropping out of State agencies designated under WIA as
the Governor and the State Workforce
school), youth in foster care, those aging responsible for labor market
Investment Board to clearly articulate
out of foster care, youth offenders, information, State economic
the State’s goals for integration and to
help remove any barriers. The children of incarcerated parents, development agencies, and Local
Employment and Training homeless youth, and migrant and Workforce Investment Boards.
Administration (ETA) is committed to seasonal farmworker youth. G. Effective Utilization of Faith-Based
working with States to support d. Improved Performance—Goal: Key and Community-Based Organizations
integration efforts. initiatives will be implemented to
assure that programs are performance- 1. President Bush signed Executive
E. New Vision for Serving Youth Most In based and focused on outcomes. Order 13198 on January 29, 2001, with
Need 4. ETA has developed strategic the goal of removing statutory,
1. The Administration is committed to partnerships at the Federal level with regulatory, and procedural barriers that
trying bold, innovative and flexible the Department of Education’s Office of prevent faith-based and community
initiatives to prepare the most at-risk Vocational and Adult Education, the organizations (FBCOs) from
and neediest youth for jobs in our Department of Health and Human participating in the provision of social
changing economy. ETA, in Services’ Administration for Children services. The Department of Labor
collaboration with the Departments of and Families, and the Department of Center for Faith-based and Community
Education, Health and Human Services, Justice’s Office of Juvenile Justice and Initiatives, created under the Executive
and Justice, has developed a new Delinquency Prevention. Through the Order has worked closely with ETA to
strategic vision to more effectively and State Planning process, Governors have help increase the opportunities for
efficiently serve out-of-school and those the opportunity to promote strategic FBCOs to partner with the workforce
at risk of dropping out-of-school partnerships across State agencies investment system. As legal and
(Training and Employment Guidance serving youth to enhance service regulatory barriers have been removed,
Notice No. 3–04). Regional Youth delivery and more effectively leverage the Department of Labor has been
Forums were conducted in the fall of available resources. ETA encourages increasingly focusing on ways to
2004 that brought together State youth Governors to play a key leadership role integrate FBCOs into the WIA system at
leaders to develop similar partnerships in enhancing intra-State coordination the local level including:
at the State level, and to begin to among these agencies and to develop a. Expanding the access of faith-based
develop a common vision and action cross-agency approaches for serving and community organizations’ clients
plan for implementing cross-agency youth. The WIA State Planning process and customers to the training, job and
State approaches for serving the is a vehicle for driving a Statewide career services offered by the local One-
neediest youth. youth vision that ensures that Stop Centers;
2. Out-of-school youth (and those previously marginalized youth become
most at risk of dropping out) are an b. Increasing the number of faith-
an important pipeline of workers.
important part of the new workforce based and community organizations
supply pipeline needed by businesses to F. A Stronger Workforce Information serving as committed and active
fill job vacancies in a knowledge-based System partners in the One-Stop delivery
economy. WIA-funded youth programs 1. As discussed previously, a strong system.
should connect these youth with quality foundation of economic data and 2. By integrating the workforce system
secondary and post-secondary workforce information, along with the with the resources available through
educational opportunities and high- ability to analyze the data and transform these organizations, the capacity of the
growth and other employment it into easily understood intelligence, is workforce investment system to serve
opportunities. one of the keys to effective strategic those most in need is significantly
3. ETA’s new vision for serving youth planning for a demand-driven workforce expanded. Continuing to promote
will present challenges for how State investment system. To achieve that integration of FBCOs remains a focal
and local WIA programs interact and vision, the workforce system needs to point for the President and the
link with State and local education and move beyond traditional labor market Department of Labor. States are
economic development systems. To information strategies and develop a encouraged to incorporate strategies that
achieve this vision, States should workforce information system that helps include FBCOs into their State Plans.

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H. Increased Use of Flexibility 3. It is ETA’s intent to begin data 3. Given that a skilled workforce is a
Provisions in WIA collection in support of common key to the economic success of every
For the workforce system to be measures effective July 1, 2005, for business, what is the Governor’s vision
successful in promoting business Program Year 2005. This was recently for maximizing and leveraging the broad
prosperity and employment announced in Training and array of Federal and State resources
opportunities for workers, States must Employment Guidance Letter 18–04, available for workforce investment
have the flexibility to design innovative ‘‘Announcing the soon-to-be-published flowing through the State’s cabinet
programs based on local need and labor Proposed Revisions to Existing agencies and/or education agencies in
markets. WIA as it exists today provides Performance Reporting Requirements order to ensure a skilled workforce for
significant opportunities to States to for the Implementation of Common the State’s business and industry?
obtain waivers of statutory and Measures for title I of the Workforce (§ 112(a) and (b)(4)(A–C).)
regulatory requirements that may Investment Act (WIA), the Wagner- 4. Given the continuously changing
impede achieving the State’s workforce Peyser Act (Employment Service (ES)/ skill needs that business and industry
goals. Therefore, one of the key focal Labor Exchange), the Trade Adjustment have as a result of innovation and new
points as States move into a new Assistance Reform Act (TAA), and title technology, what is the Governor’s
planning cycle is to encourage States to 38, chapter 41 Job Counseling, Training, vision for ensuring a continuum of
utilize the full range of flexibility and Placement Service (Veterans’ education and training opportunities
offered under WIA’s waiver and Employment and Training Service that support a skilled workforce?
workflex provisions. The workflex (VETS)).’’ Prior to the effective date, (§ 112(a) and (b)(4)(A–C).)
option has not been utilized by States ETA will publish proposed revisions to 5. What is the Governor’s vision for
and may offer the greatest range of reporting and recordkeeping bringing together the key players in
opportunity for States. ETA is requirements in support of common workforce development including
committed to sharing the waiver measures in a separate Federal Register business and industry, economic
strategies States have utilized to date Notice. development, education, and the
and providing technical assistance to 4. The common measures are an workforce system to continuously
States considering requesting waivers. integral part of ETA’s performance identify the workforce challenges facing
The State Unified Plan provides a accountability system. ETA will the State and to develop innovative
vehicle for the State to identify waiver continue to collect from states and strategies and solutions that effectively
opportunities and to formally request grantees other data on program leverage resources to address those
waivers in concert with overall strategic activities, participants, and outcomes challenges? (§ 112(b)(10).)
planning. Waivers may be requested at necessary for program management, 6. What is the Governor’s vision for
other times as well. including data that support the existing ensuring that every youth has the
WIA performance measures, and to opportunity to develop and achieve
I. Performance Accountability and convey full and accurate information on career goals through education and
Implementation of Common the performance of workforce programs workforce training, including the youth
Performance Measures to policymakers and stakeholders. most in need, such as out of school
1. Improved performance III. Unified Planning Instructions youth, homeless youth, youth in foster
accountability for customer-focused care, youth aging out of foster care,
results is a central feature of WIA and Note: The statutes cited in parentheses youth offenders, children of
remains a strategic priority for the refer to the authorizing legislation for each incarcerated parents, migrant and
President and the Department of Labor. respective program. This unified planning seasonal farmworker youth, and other
guidance only relates to planning youth at risk? (§ 112(a).)
In an effective accountability system, a
requirements; it does not affect the statutory
clear link should exist between the and regulatory requirements relating to other
7. Given the labor shortage that will
State’s program design and the results aspects of programs included in the plan. continue to increase over the next 25
achieved. The performance information References to the Welfare-to-Work program years, describe the Governor’s vision for
should be available to and easily have been deleted due to the expiration of how it will ensure that older individuals
understood by all customers, that program. receive workforce training that will
stakeholders, and operators of the prepare them to reenter the labor market
workforce investment system. A. Vision and Priorities and become a workforce solution for
2. To enhance the management of the WIA/Wagner Peyser Plan employers. (§ 112 (b)(17)(A)(iv).)
workforce system and the usability of requirements: B. One-Stop Delivery System
performance information, the 1. Describe the Governor’s vision for
Department, in collaboration with other a Statewide workforce investment 1. Describe the State’s comprehensive
Federal agencies, has developed a set of system. Provide a summary articulating vision of an integrated service delivery
common performance measures for the Governor’s vision for utilizing the system, including the role each program
Federally-funded training and resources of the workforce system in incorporated in the Unified Plan in the
employment programs. The value of support of the State’s economic delivery of services through that system.
common measures is the ability to development that address the issues and In answering this question, if your
describe in a similar manner the core questions below. States are encouraged Unified Plan includes:
purposes of the workforce system—did to attach more detailed documents to (a) WIA Title I and Wagner-Peyser Act
people find jobs; did people stay expand upon any aspect of the summary and/or Veterans Programs:
employed; and did earnings increase? response if available. (WIA § 112(a) and (i.) Identify how the State will use
Standardizing the definitions of the (b)(4)(A–C).) WIA Title I funds to leverage other
outcomes across programs simplifies 2. What are the State’s economic Federal, State, local, and private
reporting. Coupled with valid and development goals for attracting, resources in order to maximize the
accurate information, use of common retaining and growing business and effectiveness of such resources and to
measures provides a greater ability to industry within the State? (§ 112(a) and expand the participation of business,
compare and manage results. (b)(4)(A–C).) employees, and individuals in the

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19230 Federal Register / Vol. 70, No. 69 / Tuesday, April 12, 2005 / Notices

Statewide workforce investment and have significant barriers to that a State chooses to include in its
system? (§ 112(b)(10).) employment, and to successfully Unified Plan, it may be possible for the
(ii.) What strategies are in place to connect them to education and training State to satisfy many of these
address the national strategic direction opportunities that lead to successful consultation requirements through a
discussed in Part I of this guidance, the employment. (§ 112(b)(18)(A).) single set of processes. For example,
Governor’s priorities, and the workforce (ix.) Describe the State’s strategies to both WIA Title I and Perkins III require
development issues identified through identify State laws, regulations, policies that the business community be
the analysis of the State’s economy and that impede successful achievement of involved in the development of the
labor market? (§ 112(a) and workforce development goals and State Plans for these programs. The
112(b)(4)(D).) strategies to change or modify them. State may satisfy both of these
(iii.) Based on the State’s economic (§ 112(b)(2).) requirements by involving the business
and labor market analysis, what (x.) Describe how the State will take community in the development of a
strategies has the State implemented or advantage of the flexibility provisions in Unified Plan that includes the two
plans to implement to identify and WIA for waivers and the option to programs. Separate consultations are not
target industries and occupations within obtain approval as a workflex State necessary.
the State that are high growth, high pursuant to § 189(i) and § 192. 2. Describe the process used by the
demand, and vital to the State’s 2. Describe the actions the State has State to provide an opportunity for
economy? (§ 112(a) and 112(b)(4)(A).) taken to ensure an integrated One-Stop public comment and participation for
The State may want to consider: service delivery system Statewide. each of the programs covered in the
• Industries projected to add a (§§ 112(b)(14) and 121).) Unified Plan.
substantial number of new jobs to the a. What State policies and procedures In addition, if your Unified Plan
economy; or are in place to ensure the quality of includes:
• Industries that have a significant service delivery through One-Stop (a) Perkins III, the eligible agency
impact on the overall economy; or Centers such as development of must hold public hearings and include
• Industries that impact the growth of minimum guidelines for operating a summary of the recommendations
other industries; or comprehensive One-Stop Centers, made by all segments of the public and
• Industries that are being competencies for One-Stop Career interested organizations and groups and
transformed by technology and Center staff or development of a the eligible agency’s response to the
innovation that require new skill sets for certification process for One-Stop recommendations in the State Plan.
workers; or Centers? (§ 112(b)(14).) (§ 122(a)(3).)
• Industries that are new and b. What policies or guidance has the (b) WIA Title I and Wagner-Peyser Act
emerging and are expected to grow. State issued to support maximum and/or Veterans Programs, describe the
(iv.) What strategies are in place to integration of service delivery through process used by the State, consistent
promote and develop ongoing and the One-Stop delivery system for both with section 111(g) of WIA, to provide
sustained strategic partnerships that business customers and individual an opportunity for public comment,
include business and industry, customers? (§ 112(b)(14).) including comments by representatives
economic development, the workforce c. What actions has the State taken to of business and representatives of labor
system, and education partners (K–12, promote identifying One-Stop organizations, and input into
community colleges, and others) for the infrastructure costs and developing development of the Plan, prior to
purpose of continuously identifying models or strategies for local use that submission of the Plan.
workforce challenges and developing support integration? (§ 112(b)(14).) (c) Adult Education and Family
solutions to targeted industries’ d. How does the State use the funds Literacy, describe the process that will
workforce challenges? (§ 112(b)(8).) reserved for Statewide activities be used for public participation and
(v.) What State strategies are in place pursuant to (§ 129(b)(2)(B) and comment with respect to the AEFLA
to ensure that sufficient system 134(a)(2)(B)(v) to assist in the portion of the Unified Plan.
resources are being spent to support establishment and operation of One- (§ 224(b)(9).)
training of individuals in high growth/ Stop delivery systems? (§ 112(b)(14).) (d) TANF, the State shall make
high demand industries? (§ 112(b)(4)(A) e. How does the State ensure the full available to the public a summary of any
and 112(b)(17)(A)(i).) spectrum of assets in the One-Stop Plan or Plan amendment submitted by
(vi.) What workforce strategies does delivery system support human capital the State under this section. With
the State have to support the creation, solutions for businesses and individual respect to the TANF plan design, local
sustainability, and growth of small customers broadly? (§ 112(b)(14).) governments and private sector
businesses and support for the organizations have been consulted
workforce needs of small businesses as C. Plan Development and regarding the plan and design of welfare
part of the State’s economic strategy? Implementation services in the State so that the services
(§ 112(b)(4)(A) and 112(b)(17)(A)(i).) 1. Describe the methods used for joint are provided in a manner appropriate to
(vii.) How are the funds reserved for planning and coordination of the local populations; and have had at least
Statewide activities used to incent the programs and activities included in the 45 days to submit comments on the plan
entities that make up the State’s Unified Plan. (WIA § 501(c)(3)(A).) and the design of such services.
workforce system at the State and local State Consultation with Local Areas (§ 402(c).)
levels to achieve the Governor’s vision in Development of Plan: The (e) CSBG, provide evidence that the
and address the national strategic authorizing statutes for many of the public participation requirements were
direction identified in part I of this programs that may be included in a met, including documents which
guidance? (§ 112(a).) Unified Plan require that the State Plan confirms that a legislative public
(viii.) Describe the State’s strategies to be developed in consultation with hearing on the State Plan was conducted
promote collaboration between the various public and private entities, as as required by subsection 675(b) and
workforce system, education, human well as members of the general public. that the Plan was also made available
services, juvenile justice, and others to Some statutes also require formal public for public inspection and review as
better serve youth that are most in need hearings. Depending upon the programs required by 675(d)(2).

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3. This section should describe the in the planning and coordination of the (a) WIA Title I and Wagner-Peyser Act
types of activities and outcomes that programs and activities authorized under and/or Veterans Programs, identify the
were conducted to meet the title I, the intent of the Unified Plan approach types and availability of workforce
consultation requirement. Demonstrate, is to enable all the relevant parties in an area, investment activities currently in the
if they so choose, to come together more
as appropriate, how comments were readily to coordinate their activities in the
State. (§ 112(b)(4)(A–D).)
considered in the plan development best interests of the population to be served. (b) Adult Education and Family
process including specific information However coordination is achieved, nothing Literacy, objectively assess the adult
on how the various WIA agency and in the Unified Plan or in WIA itself permits education and literacy needs of
program partners were involved in a Board or any other entity to alter the individuals, including an assessment of
developing the unified State Plan. decisions made by another program grantee those most in need and hardest to serve,
The following agencies, groups or in accord with that grantee’s statutes. including low income students,
individuals must be consulted, if your (c) Adult Education and Family individuals with disabilities, single
Unified Plan includes: Literacy: parents, displaced homemakers, and
(a) Perkins III: (§ 122(a)(3),(b)(1), • Governor of the State (any individuals with multiple barriers to
(c)(3), (e)(3).) comments made by the Governor must educational enhancement (including
• Parents. be included in the Plan) (§ 224(d).) individuals with limited English
• Teachers. (d) Vocational Rehabilitation: proficiency, criminal offenders in
• Students. • State Rehabilitation Council correctional institutions and other
• Eligible Recipients. (include the response of the designated institutionalized individuals.)
• Representatives of special State unit to such input and (§§ 224(b)(10) and 225).)
populations in the State. recommendations). (c) Food Stamp Employment and
• Representatives of business and (§ 101(a)(21)(A)(ii)(III).) Training (E&T), provide an answer and
industry in the State, including small- (e) CSBG: explain the method used to:
and medium-sized local businesses. (i) Estimate the number and
• Low-income individuals.
• Representatives of labor characteristics of the expected pool of
• Community organizations.
organizations in the State. work registrants during the fiscal year;
• Religious organizations. (ii) Estimate the number of work
• Interested community members. • Representatives of low-income
• Governor of the State. registrants the State agency intends to
individuals. exempt from E&T, along with a
In addition, the eligible agency must (f) TANF:
consult with the State agency discussion of the proposed exemption
• With respect to the TANF plan criteria;
responsible for secondary education and design, local governments and private
the State agency responsible for (iii) Estimate the number of
sector organizations have been placements into E&T components
supervision of community colleges, consulted regarding the plan and design
technical institutes, or other 2-year post during the fiscal year;
of welfare services in the State so that (iv) Estimate the number of ABAWDs
secondary institutions primarily services are provided in a manner
engaged in providing postsecondary (able-bodied adults without dependents)
appropriate to local populations; and in the State during the fiscal year;
vocational and technical education have had at least 45 days to submit (v) Estimate the number of ABAWDs
concerning the amount and uses of comments on the plan and the design of in both waived and unwaived area of
funds proposed to be reserved for adult such services. the State during the fiscal year;
vocational and technical education, (vi) Estimate the average monthly
postsecondary vocational and technical D. Needs Assessment
number of ABAWDs included in the
education, tech-prep education, and 1. Describe the educational and job- State’s 15 percent exemption allowance,
secondary vocational technical training needs of individuals in the along with a discussion of how the State
education. Include any objections filed overall State population and of relevant intends to apply the exemption;
by either agency and your response(s). subgroups of all the programs included (vii) Estimate the number of
(§ 122(e)(3).) in the Unified Plan. qualifying education/training and
(b) WIA Title I and Wagner-Peyser Act Many of the programs that may be workfare opportunities for ABAWDS the
and/or Veterans Programs: (§§ 112(b)(1) included in a Unified Plan require a State will create during the fiscal year.
and 112(b)(9).) needs assessment. State agencies should (d) Vocational Rehabilitation:
• The Governor of the State and State fulfill these assessment responsibilities (i) Assess the needs of individuals
Board. collaboratively or, at a minimum, create with disabilities in the State,
• Local Chief elected officials. a planning process that promotes the particularly the vocational rehabilitation
• Business community. sharing of needs assessment information needs of individuals with the most
• Labor organizations. among all agencies involved in significant disabilities (including their
• The following agencies, groups and preparing the Unified Plan. Sharing of need for supported employment
individuals should also be consulted: assessment data can create a framework services), individuals with disabilities
Local Boards and Youth Councils, for the coordinated and integrated who have been unserved or under-
Educators, Vocational Rehabilitation services that are to be provided through served by the vocational rehabilitation
Agencies, Service providers, Welfare the One-Stop delivery system. The State program, and individuals with
agencies, Faith-based and Community may organize the presentation of disabilities served through other
organizations and the State Employment assessment data in its Unified Plan in a components of the statewide workforce
Security Agency. manner it deems most appropriate and investment system.
In addition, describe the role of the useful for planning, such as on a (§§ 101(a)(15)(A)(i)(I–III) and 625(b)(2).)
State Board and Local Boards in program-by-program basis, by (ii) Include State estimates of the
planning and coordination in the geographic region, or by special number of individuals in the State who
Unified Plan (§ 501(c)(3).) population. are eligible for services under title I of
Note: While WIA only requires the In answering the above question, if the Rehabilitation Act, the number of
involvement of State Board and Local Boards your Unified Plan includes: such individuals who will receive

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services provided with funds provided critical to its economic health and are in addition to those required.
under part B of title I and under part B growth? Identify any functions required in
of title VI (including, if the designated Section 111(d) the Board does not
E. State and Local Governance
State agency uses an order of selection, perform and explain why.
estimates of the number of individuals 1. What is the organization, structure 6. How will the State Board ensure
to be served under each priority and role/function of each State and local that the public (including people with
category within the order), and the costs entity that will govern the activities of disabilities) has access to Board
of the services provided (including, if the Unified Plan? meetings and information regarding
the designated State agency uses an In answering the above question, if State Board activities, including
order of selection, the service costs for your Unified Plan includes: membership and meeting minutes? (20
each priority category within the order.) (a) Perkins III, describe the procedures CFR 661.207).)
(§ 101(a)(15)(B).) in place to develop the memoranda of 7. Identify the circumstances which
(iii) Provide an assessment of the need understanding outlined in Section constitute a conflict of interest for any
to establish, develop, or improve 121(c) of the Workforce Investment Act State or Local Workforce Investment
community rehabilitation programs of 1998 concerning the provision of Board member or the entity that s/he
within the State. (§ 101(a)(15)(A)(ii).) services only for postsecondary students represents, and any matter that would
(e) HUD Employment and Training and school dropouts. (§ 122(c)(21).) provide a financial benefit to that
Programs: (Reminder: the following is a (b) WIA Title I and Wagner-Peyser Act member or his or her immediate family.
suggestion for incorporating HUD and/or Veterans Programs: (§§ 111(f), 112(b)(13), and 117(g).)
programs into your State’s Unified Plan. (i) Organization of State agencies in 8. What resources does the State
However, following this guidance will relation to the Governor: provide the Board to carry out its
not trigger funding for HUD programs): 1. Provide an organizational chart that functions, i.e., staff, funding, etc.?
(i) Address the educational and delineates the relationship to the (iii) What is the structure/process for
training needs of public housing Governor of the agencies involved in the the State agencies and State Board to
residents and other families receiving public workforce investment system, collaborate and communicate with each
housing assistance. including education and economic other and with the local workforce
2. WIA Title I and Wagner Peyser Act: development and the required and investment system (§ 112(b)(8)(A).):
Economic and Labor Market Analysis optional One-Stop partner programs 1. Describe the steps the State will
(§ 112(b)(4).): As a foundation for this managed by each agency. take to improve operational
strategic plan and to inform the strategic 2. In a narrative describe how the collaboration of the workforce
investments and strategies that flow agencies involved in the public investment activities and other related
from this Plan, provide a detailed workforce investment system interrelate activities and programs outlined in
analysis of the State’s economy, the on workforce and economic section 112(b)(8)(A), at both the State
labor pool, and the labor market context. development issues and the respective and local level (e.g., joint activities,
Elements of the analysis should include lines of authority. memoranda of understanding, planned
the following: (ii) State Workforce Investment Board: mergers, coordinated policies, etc.).
a. What is the current makeup of the 1. Describe the organization and How will the State Board and agencies
State’s economic base by industry? structure of the State Board. (§ 111).): eliminate any existing State-level
b. What industries and occupations 2. Include a description of the process barriers to coordination? (§§ 111(d)(2)
are projected to grow and/or decline in by which State and Local Boards were and 112(b)(8)(A).)
the short term and over the next decade? created. 2. Describe the lines of
c. In what industries and occupations 3. Identify the organizations or communication established by the
is there a demand for skilled workers entities represented on the State Board. Governor to ensure open and effective
and available jobs, both today and If you are using an alternative entity sharing of information among the State
projected over the next decade? In what which does not contain all the members agencies responsible for implementing
numbers? required under section 111(b)(1), the vision for the workforce system and
d. What jobs/occupations are most describe how each of the entities between the State agencies and the State
critical to the State’s economy? required under this section will be Workforce Investment Board.
e. What are the skill needs for the involved in planning and implementing 3. Describe the lines of
available, critical and projected jobs? the State’s workforce investment system communication and mechanisms
f. What is the current and projected as envisioned in WIA. How is the established by the Governor to ensure
demographics of the available labor pool alternative entity achieving the State’s timely and effective sharing of
(including the incumbent workforce) WIA goals? (§§ 111(a–c), 111(e), and information between the State agencies/
both now and over the next decade? 112(b)(1).) State Board and local workforce
g. Is the State experiencing any ‘‘in 4. Describe the process your State investment areas and Local Boards.
migration’’ or ‘‘out migration’’ of used to identify your State Board Include types of regularly issued
workers that impact the labor pool? members. How did you select Board guidance and how Federal guidance is
h. Based on an analysis of both the members, including business disseminated to Local Boards and One-
projected demand for skills and the representatives, who have optimum Stop Career Centers. (§ 112(b)(1).)
available and projected labor pool, what policy-making authority and who (iv) Describe any cross-cutting
skill gaps is the State experiencing represent diverse regions of the State as organizations or bodies at the State level
today and what skill gaps are projected required under WIA? Describe how the designed to guide and inform an
over the next decade? Board’s membership enables you to integrated vision for serving youth in
i. Based on an analysis of the achieve your vision described above. (20 the State within the context of
economy and the labor market, what CFR 661.200).) workforce investment, social services,
workforce development issues has the 5. Describe how the Board carries out juvenile justice, and education. Describe
State identified? its functions as required in Section the membership of such bodies and the
j. What workforce development issues 111(d) and 20 CFR 661.205. Include functions and responsibilities in
has the State prioritized as being most functions the Board has assumed that establishing priorities and services for

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youth? How is the State promoting a areas served by local and intermediate provision of training through
collaborative cross-agency approach for education agencies, post-secondary apprenticeship.
both policy development and service education institutions and area 6. Identify State policies developed in
delivery at the local level for youth? vocational schools; and all other criteria response to changes to WIA regulations
(§ 112(b)(18)(A).) identified in section 116(a)(1) in that permit the use of WIA Title I
(v) Describe major State policies and establishing area boundaries, to assure financial assistance to employ or train
requirements that have been established coordinated planning. Describe the State participants in religious activities when
to direct and support the development Board’s role, including all the assistance is provided indirectly)
of a Statewide workforce investment recommendations made on local such as through an ITA. (Note that the
system not described elsewhere in this designation requests pursuant to Department of Labor provides Web
Plan as outlined below. (§ 112(b)(2).) § 116(a)(4). (§§ 112(b)(5) and 116(a)(1).) access to the equal treatment regulations
1. What State policies and systems are Describe the appeals process used by and other guidance for the workforce
in place or planned to support common the State to hear appeals of local area investment system and faith-based and
data collection and reporting processes, designations referred to in § 116(a)(5) community organizations at http://
information management, integrated and 112(b)(15). www.dol.gov/cfbci/legalguidance.htm).
service delivery, and performance (vii) Local Workforce Investment (xi) Identify the criteria to be used by
management? (§§ 111(d)(2) and Boards—Identify the criteria the State Local Boards in awarding grants for
112(b)(8)(B).) has established to be used by the chief youth activities, including criteria that
2. What State policies are in place that elected official(s) in the local areas for the Governor and Local Boards will use
promote efficient use of administrative the appointment of Local Board to identify effective and ineffective
resources such as requiring more co- members based on the requirements of youth activities and providers of such
location and fewer affiliate sites in local section 117. (§§ 112(b)(6), 117(b).) activities. (§ 112(b)(18)(B).)
One-Stop systems to eliminate (viii) Identify the circumstances (xii) Describe the competitive and
duplicative facility and operational which constitute a conflict of interest non-competitive processes that will be
costs or to require a single for any State or Local Workforce used at the State level to award grants
administrative structure at the local Investment Board member or the entity and contracts for activities under title I
level to support Local Boards and to be that s/he represents, and any matter that of WIA, including how potential bidders
the fiscal agent for WIA funds to avoid would provide a financial benefit to that are being made aware of the availability
duplicative administrative costs that member or his or her immediate family. of grants and contracts. (§ 112(b)(16).)
could otherwise be used for service (§§ 111(f), 112(b)(13), and 117(g).) (c) Vocational Rehabilitation,
delivery and training? Include any (ix) Identify the policies and designate a State agency as the sole
specific administrative cost controls, procedures to be applied by local areas State agency to administer the Plan, or
plans, reductions, and targets for for determining eligibility of local level to supervise the administration of the
reductions, if the State has established training providers, how performance Plan by a local agency, in accordance
them. (§§ 111(d)(2) and 112(b)(8)(A).) information will be used to determine with section 101(a)(2)(A).
3. What State policies are in place to continuing eligibility and the agency (§ 101(a)(2)(A).)
promote universal access and responsible for carrying out these (d) TANF, describe the objective
consistency of service Statewide? activities. Describe how the State criteria for the delivery of benefits and
(§ 112(b)(2).) solicited recommendations from Local the determination of eligibility and for
4. What policies support a demand- Boards and training providers and fair and equitable treatment, including
driven approach, as described in Part I. interested members of the public, an explanation of how the State will
‘‘Demand-driven Workforce Investment including representatives of business provide opportunities for recipients
System,’’ to workforce development— and labor organizations, in the who have been adversely affected to be
such as training on the economy and development of these policies and heard in a State administrative or appeal
labor market data for Local Board and procedures. process. (§ 402(a)(1)(B)(iii).)
One-Stop Career Center staff? (x) Individual Training Accounts
(§§ 112(b)(4) and 112(b)(17)(A)(iv).) F. Funding
(ITAs):
5. What policies are in place to ensure 1. What policy direction has the State 1. What criteria will the State use,
that the resources available through the provided for ITAs? subject to each program’s authorizing
Federal and/or State apprenticeship 2. Describe innovative training law, to allocate funds for each of the
programs, the Job Corps and the Senior strategies used by the State to fill skills programs included in the Unified Plan?
Community Service Employment gaps. Include in the discussion the Describe how the State will use funds
Program are fully integrated with the State’s effort to broaden the scope and the State receives to leverage other
State’s One-Stop delivery system? reach of ITAs through partnerships with Federal, State, local, and private
(§§ 112)(b)(17)(A)(iv) and (b)(18)(C).) business, education, economic resources, in order to maximize the
(vi) Local Area Designations—Identify development, and industry associations effectiveness of such resources, and to
the State’s designated local workforce and how business and industry expand the participation of business,
investment areas and the date of the involvement is used to drive this employees, and individuals in the
most recent area designation, including strategy. Statewide workforce investment system.
whether the State is currently re- 3. Discuss the State’s plan for (WIA § 112(b)(10).) In answering the
designating local areas pursuant to the committing all or part of WIA Title I above question, if your Unified Plan
end of the subsequent designation funds to training opportunities in high- includes:
period for areas designated in the growth, high-demand, and economically (a) Perkins III:
previous Unified Plan. (§§ 112(b)(5).) vital occupations. (i) Describe the criteria that you will
Include a description of the process 4. Describe the State’s policy for use in approving applications by
used to designate such areas. Describe limiting ITAs (e.g., dollar amount or eligible recipients for funds under
how the State considered the extent to duration). Perkins III. (§ 122(c)(1)(B).)
which such local areas are consistent 5. Describe the State’s current or (ii) Describe how funds received
with labor market areas: geographic planned use of WIA Title I funds for the through the allotment made under

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section 111 will be allocated among training activities are determined to be provided to all eligible individuals with
secondary school vocational and limited. (§§ 112(b)(17)(A)(iv) and disabilities in the State who apply for
technical education, or postsecondary 134(d)(4)(E).) services, indicate the order to be
and adult vocational and technical (vi) Specify how the State will use the followed in selecting eligible
education, or both, including the 10 percent Wagner-Peyser Act funds individuals to be provided vocational
rationale for such allocation. allotted to it under section 7(b) in rehabilitation services and provide the
(§ 122(c)(4)(A).) accordance with the three provisions of justification for the order.
(iii) Describe how funds received allowable activities: performance (§ 101(a)(5)(A)–(B).)
through the allotment made under incentives; services for groups with (h) CSBG, describe how the State
section 111 will be allocated among special needs; and extra costs of intends to use discretionary funds made
consortia which will be formed among exemplary service delivery models. available from the remainder of the
secondary schools and eligible (§ 112(b)(7) and 20 CFR 652.204).) grant or allotment described in Section
institutions, and how funds will be (d) Adult Education and Family 675C(b), including a description of how
allocated among the members of the Literacy: the local entity will use the funds to
consortia, including the rationale for (i) Describe how the eligible agency support innovative community and
such allocation. (§ 122(c)(4)(B).) will fund local activities in accordance neighborhood-based initiatives.
(iv) If the eligible agency decides to with the considerations described in
develop an alternative allocation Section 231(e) and the other G. Activities To Be Funded
formula under the authority of sections requirements of title II of WIA. 1. For each of the programs in your
131(c) and/or 132(b), submit the (§ 224(b).) Unified Plan, provide a general
proposed formula and supporting (ii) Describe the process to show that description of the activities the State
documentation to the Secretary of public notice was given of the will pursue using the relevant funding.
Education for approval prior to the availability of Federal funds to eligible In answering the above question, if
submission of your State Plan or as a recipients and the procedures for your Unified Plan includes:
part of the State Unified Plan. (§§ 131(c) submitting applications to the State, (a) Perkins III:
and 132(b).) including approximate time frames for (i) Describe the vocational and
(b) Tech-Prep, describe how the the notice and receipt of applications. technical education activities to be
eligible agency will award tech-prep (§ 231(c).) assisted that are designed to meet or
funds in accordance with the (iii) Describe how the eligible agency exceed the State adjusted levels of
requirements of Sections 204(a) and will use funds made available under performance. (§ 122(c)(1).)
Section 205 of Perkins III, including Section 222(a)(2) for State leadership (ii) Describe the secondary and
whether grants will be awarded on a activities. (§ 223(a).) postsecondary vocational and technical
competitive basis or on the basis of a (iv) Describe the steps the eligible education programs to be carried out,
formula determined by the State. agency will take to ensure direct and including programs that will be carried
(c) WIA Title I and Wagner-Peyser Act equitable access, as required in section out by the eligible agency to develop,
and/or Veterans Programs (§ 112(b)(12): 231(c). (§ 224(b)(12).) improve, and expand access to quality,
(i) If applicable, describe the methods (e) Food Stamp Employment and state-of-the-art technology in vocational
and factors (including weights assigned Training, Estimate the total cost of the and technical education programs.
to each factor) your State will use to State’s E&T program and identify the (§ 122(c)(1)(A).)
distribute funds to local areas for the source of funds according to the format (iii) Describe how funds will be used
30% discretionary formula adult for Table 5, Planned Fiscal Year Costs, to improve or develop new vocational
employment and training funds and contained in the most current release of and technical education courses and
youth funds pursuant to Sections ‘‘The Handbook on Preparing State effectively link secondary and
128(b)(3)(B) and 133(b)(3)(B). Plans for Food Stamp Employment and postsecondary education. (§ 122(c)(1)(D)
(ii) Describe how the allocation Training Programs.’’ and 122(c)(19).)
methods and factors help ensure that (f) TANF, indicate the name, address, (iv) Describe how the eligible agency
funds are distributed equitably and EIN number of the TANF will improve the academic and
throughout the State and that there will administering agency and estimate for technical skills of students participating
be no significant shifts in funding levels each quarter of the fiscal year by in vocational and technical education
to a local area on a year-to-year basis. percentage the amount of TANF grant programs, including strengthening the
(iii) Describe the State’s allocation that it wishes to receive. academic, and vocational and technical,
formula for dislocated worker funds (g) Vocational Rehabilitation: components of vocational and technical
under 133(b)(2)(B). (i) Describe how the State will utilize education programs through the
(iv) Describe how the individuals and funds reserved for the development and integration of academics with vocational
entities on the State Board were implementation of innovative and technical education to (1) Ensure
involved in the development of the approaches to expand and improve the learning in the core academic,
methods and factors, and how the State provision of vocational rehabilitation vocational and technical subjects; (2)
consulted with chief elected officials in services to individuals with disabilities provide students with strong experience
local areas throughout the State in under the State Plan, particularly in, and understanding of, all aspects of
determining such distribution. individuals with the most significant an industry; and (3) prepare students for
(v) Describe the procedures and disabilities. (§ 101(a)(18)(B).) opportunities in post-secondary
criteria that are in place under 20 CFR (ii) Describe the quality, scope, and education or entry into high skill and
663.600 for the Governor and extent of supported employment high wage jobs in current and emerging
appropriate Local Boards to direct One- services authorized under the Act to be occupations. (§ 122(c)(1)(C) and (5)(A).)
Stop operators to give priority of service provided to individuals who are eligible (v) Describe how the eligible agency
to public assistance recipients and other under the Act to receive the services. will ensure that students who
low-income individuals for intensive (§ 625(b)(3).) participate in such vocational and
and training services if funds allocated (iii) In the event that vocational technical education programs are taught
to a local area for adult employment and rehabilitation services cannot be to the same challenging academic

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proficiencies as are taught to all other a. Describe how the State will e. On-the-Job (OJT) and Customized
students. (§ 122(c)(5)(B).) integrate workforce information into its Training (§ 112(b)(17)(A)(i) and 134(b).)
(vi) Describe how the eligible agency planning and decision-making at the Based on the outline below, describe the
will actively involve parents, teachers, State and local level, including State State’s major directions, policies and
local businesses (including small- and and Local Boards, One-Stop operations, requirements related to OJT and
medium-sized businesses), and labor and case manager guidance. customized training.
organizations in the planning, b. Describe the approach the State (i) Describe the Governor’s vision for
development, implementation and will use to disseminate accurate and increasing training opportunities to
evaluation of vocational and technical timely workforce information to individuals through the specific
education programs. businesses, job seekers, and delivery vehicles of OJT and customized
(b) Tech-Prep, describe how funds employment counselors, in easy to use training.
will be used in accordance with the formats that are readily accessible (ii) Describe how the State:
requirements of section 204(c). within One-Stop Career Centers and at (a.) Identifies OJT and customized
(c) WIA Title I and Wagner-Peyser Act remote locations such as libraries, training opportunities;
and/or Veterans Programs: schools, worksites, and at home. (b.) Markets OJT and customized
(i) Service Delivery—Describe the c. Describe how the State’s Workforce training as incentives to untapped
approaches the State will use to provide Information Core Products and Services employer pools including new business
direction and support to Local Boards Plan is aligned with the WIA State Plan to the State and employer groups;
and the One-Stop Career Center delivery to ensure that the investments in core (c.) Partners with high-growth, high-
system on the strategic priorities to products and services support the demand industries and economically
guide investments, structure business State’s overall strategic direction for vital industries to develop potential OJT
engagement, and inform service delivery workforce investment. and customized training strategies;
approaches for all customers. d. Describe how State workforce (d.) Taps business partners to help
(§ 112(b)(17)(A).) information products and tools are drive the strategy through joint
1. One-Stop Service Delivery coordinated with the national electronic planning, competency and curriculum
Strategies: (§ 111(d)(2) and 112(b)(2).) workforce information tools including development; and determining
a. How will the services provided by America’s Career Information Network appropriate lengths of training, and
each of the required and optional One- and Career Voyages. (e.) Leverages other resources through
Stop partners be coordinated and made 3. Adults and Dislocated Workers education, economic development and
a. Core Services. (§ 112(b)(17)(a)(i).)
available through the One-Stop system? (i) Describe State strategies and industry associations to support OJT
(§ 112(b)(8)(A).) policies to ensure adults and dislocated and customized training ventures.
b. How are youth formula programs workers have universal access to the f. What policies and strategies does
funded under § 128(b)(2)(A) integrated minimum required core services as the State have in place to ensure that,
in the One-Stop system? described in § 134(d)(2). pursuant to the Jobs for Veterans Act
c. What minimum service delivery (ii) Describe how the State will ensure (Pub. L. 107–288)(38 U.S.C. 4215), that
requirements does the State mandate in the three-tiered service delivery strategy priority of service is provided to
a comprehensive One-Stop Centers or for labor exchange services for job veterans and certain spouses who
an affiliate site? seekers and employers authorized by otherwise meet the eligibility
d. What tools and products has the the Wagner-Peyser Act includes (1) self- requirements for all employment and
State developed to support service service, (2) facilitated self-help service, training programs funded by the U.S.
delivery in all One-Stop Centers and (3) staff-assisted service, and is Department of Labor, in accordance
Statewide? accessible and available to all customers with the provisions of TEGL 5–03 (9/16/
e. What models/templates/approaches at the local level. 03/)?
does the State recommend and/or (iii) Describe how the State will g. Rapid Response. Describe how your
mandate for service delivery in the One- integrate resources provided under the State provides Rapid Response services
Stop Centers? For example, do all One- Wagner-Peyser Act and WIA title I for with the funds reserved under Section
Stop Centers have a uniform method of adults and dislocated workers as well as 133(a)(2).
organizing their service delivery to resources provided by required One- (i) Identify the entity responsible for
business customers? Is there a common Stop partner programs, to deliver core providing Rapid Response services.
individual assessment process utilized services. Describe how Rapid Response activities
in every One-Stop Center? Are all One- b. Intensive Services. Describe State involve Local Boards and Chief Elected
Stop Centers required to have a resource strategies and policies to ensure adults Officials. If Rapid Response activities
center that is open to anyone? and dislocated workers who meet the are shared between the State and local
2. Workforce Information—A criteria in § 134(d)(3)(A) receive areas, describe the functions of each and
fundamental component of a demand- intensive services as defined. how funds are allocated to the local
driven workforce investment system is c. Training Services. Describe the areas.
the integration and application of the Governor’s vision for increasing training (ii) Describe the process involved in
best available State and local workforce access and opportunities for individuals carrying out Rapid Response activities.
information including, but not limited including the investment of WIA title I (a.) What methods are involved in
to, economic data, labor market funds and the leveraging of other funds receiving notice of impending layoffs
information, census data, private and resources. (include WARN Act notice as well as
sources of workforce information d. Eligible Training Provider List. other sources)?
produced by trade associations and Describe the State’s process for (b.) What efforts does the Rapid
others, educational data, job vacancy providing broad customer access to the Response team make to ensure that
surveys, transactional data from job statewide list of eligible training rapid response services are provided,
boards, and information obtained providers and their performance whenever possible, prior to layoff date,
directly from businesses. (§§ 111(d)(8), information including at every One-Stop onsite at the company, and on company
112(b)(1), and 134(d)(2)(E).) Career Center. (§ 112(b)(17)(A)(iii).) time?

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(c.) What services are included in incarcerated parents, homeless youth, 7. Innovative Service Delivery
Rapid Response activities? Does the and migrant and seasonal farmworker Strategies. (§ 112(b)(17)(A).)
Rapid Response team provide youth as those most in need of service. a. Describe innovative service
workshops or other activities in State programs and services should delivery strategies the State has or is
addition to general informational take a comprehensive approach to planning to undertake to maximize
services to affected workers? How do serving these youth, including basic resources, increase service levels,
you determine what services will be skills remediation, helping youth stay in improve service quality, achieve better
provided for a particular layoff or return to school, employment, integration or meet other key State
(including layoffs that may be trade- internships, help with attaining a high goals. Include in the description the
affected)? school diploma or GED, post-secondary initiative’s general design, anticipated
(d.) How does the State ensure a vocational training, apprenticeships and outcomes, partners involved and funds
seamless transition between Rapid enrollment in community and four-year leveraged (e.g., title I formula, Statewide
Response services and One-Stop colleges. (§ 112(b)(18).) reserve, employer contributions,
activities for affected workers? a. Describe your State’s strategy for education funds, non-WIA State funds).
(e.) Describe how Rapid Response providing comprehensive, integrated b. If your State is participating in the
functions as a business service? Include services to eligible youth, including ETA Personal Re-employment Account
whether Rapid Response partners with those most in need as described above. (PRA) demonstration, describe your
economic development agencies to Include any State requirements and vision for integrating PRAs as a service
connect employees from companies activities to assist youth who have delivery alternative as part of the State’s
undergoing layoffs to similar companies special needs or barriers to employment, overall strategy for workforce
that are growing and need skilled including those who are pregnant, investment.
workers? How does Rapid Response parenting, or have disabilities. Include 8. Strategies for Faith-based and
promote the full range of services how the State will coordinate across Community Organizations
available to help companies in all stages State agencies responsible for workforce (§ 112(b)(17)(i).) Describe those
of the economic cycle, not just those investment, foster care, education, activities to be undertaken to: (1)
available during layoffs? How does the human services, juvenile justice, and increase the opportunities for
State promote Rapid Response as a other relevant resources as part of the participation of faith-based and
positive, proactive, business-friendly strategy. (§ 112(b)(18).) community organizations as committed
service, not only a negative, reactive b. Describe how coordination with Job and active partners in the One-Stop
service? Corps and other youth programs will delivery system; and (2) expand the
(f.) What other partnerships does occur. (§ 112(b)(18)(C).) access of faith-based and community
Rapid Response engage in to expand the c. How does the State Plan to utilize organizations’ clients and customers to
range and quality of services available to the funds reserved for Statewide the services offered by the One-Stops in
companies and affected workers and to activities to support the State’s vision the State. Outline those action steps
develop an effective early layoff for serving youth? Examples of activities designed to strengthen State
warning network? that would be appropriate investments collaboration efforts with local
(g.) What systems does the Rapid of these funds include: workforce investment areas in
Response team use to track its activities? (i) utilizing the funds to promote cross conducting outreach campaigns to
Does the State have a comprehensive, agency collaboration; educate faith-based and community
integrated Management Information (ii) demonstration of cross-cutting organizations about the attributes and
System that includes Rapid Response, models of service delivery; objectives of the demand-driven
Trade Act programs, National (iii) development of new models of workforce investment system. Indicate
Emergency Grants, and One-Stop alternative education leading to how these resources can be strategically
activities? employment; or and effectively leveraged in the State’s
(h.) Are Rapid Response funds used (iv) development of demand-driven workforce investment areas to help meet
for other activities not described above; models with business and industry the objectives of the Workforce
e.g., the provision of additional working collaboratively with the Investment Act.
assistance to local areas that experience workforce investment system and (d) Adult Education and Literacy
increased workers or unemployed education partners to develop strategies Services, including workplace literacy
individuals due to dislocation events? for bringing these youth successful into services:
4. Veterans Programs. For the grant the workforce pipeline with the right (i) Family literacy services.
period FY 2005—FY 2009, States skills. (ii) English literacy programs.
submitted a five year strategic plans to d. Describe in general, how your State (e) Food Stamp Employment and
operate the Local Veterans’ Employment will meet the Act’s provisions regarding Training:
Representative (LVER) and Disabled youth program design. (§§ 112(b)(18) (i) Describe the components of the
Veterans’ Outreach Programs (DVOP) and 129(c).) State’s E&T program.
Specialist programs under the Jobs for 6. Business Services. (ii) Discuss the weekly/monthly hours
Veterans Act. These plans may be a. Describe how the needs of of participation required of each
incorporated by reference as part of a employers will be determined in the program component.
state’s Unified Plan. Modifications to local areas and on a statewide basis. (iii) Describe planned combinations of
these five year Jobs for Veterans Act b. Describe how integrated business components to meet the statutory
plans will be managed in accordance services, including Wagner-Peyser Act requirement of 20 hours of participation
with policy guidance from the Veterans’ services, will be delivered to employers per week to qualify as a work program
Employment and Training Service. through the One-Stop system. for ABAWDS.
5. Youth. ETA’s strategic vision c. How will the system streamline (f) TANF, outline how the State
identifies youth most in need, such as administration of Federal tax credit intends to:
out of school youth and those at risk, programs within the One-Stop system to (i) Conduct a program, designed to
youth in foster care, youth aging out of maximize employer participation (20 serve all political subdivisions in the
foster care, youth offenders, children of CFR 652.3(b), § 112(b)(17)(A)(i).) State (not necessarily in a uniform

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manner), that provides assistance to their potential for transition into (xix) Describe collaboration efforts
needy families with (or expecting) unsubsidized employment. with the One-Stop System and with
children and provides parents with job (vii) Describe how the assessment will other partner programs under the
preparation, work, and support services be used to develop the participant’s Workforce Investment Act to maximize
to enable them to leave the program and Individual Employment Plan (IEP). opportunities for SCSEP participants.
become self-sufficient. (viii) Describe how the participant (xx) Describe efforts to work with
(§ 402(a)(1)(A)(i).) will be assigned to community service local economic development offices in
(ii) Require a parent or caretaker including: The types of community rural locations.
receiving assistance under the program service activity that will be emphasized (xxi) Describe current slot imbalances
to engage in work (as defined by the and how they were chosen; methods and proposed steps to correct inequities
State) once the State determines the used to match participants with to achieve equitable distribution.
parent or caretaker is ready to engage in community service training; the extent (xxii) List the cities and counties
work, or once the parent or caretaker to which participants will be placed in where the project and subprojects will
has received assistance under the the administration of the project itself; be conducted. Include the number of
program for 24 months (whether or not the types of host agencies used and the SCSEP authorized positions and
consecutive,) whichever is earlier, procedures and criteria for selecting the indicate where the positions changed
consistent with section 407(e)(2). assignments; the average number of from the prior year.
(§ 402(a)(1)(A)(ii).) hours in a participant’s training week; (xxiii) Describe the organizational
(iii) Ensure that parents and caretakers the average wage paid during training; structure of the project and how
receiving assistance under the program the fringe benefits offered (if any); subprojects will be managed, including
engage in work activities in accordance procedures for ensuring adequate assurances that adequate resources for
with section 407. (§ 402(a)(1)(A)(iii).) supervision. administrative costs will be provided.
(iv) Take such reasonable steps as (ix) Describe the training that will be Also describe the training that will be
deemed necessary to restrict the use and provided during community service provided to local staff and describe how
disclosure of information about training and any other types of training projects will be monitored for program
individuals and families receiving provided, including linkages with local and financial compliance, including
assistance under the program One-Stop Career Centers, the Registered audit plans.
Apprenticeship Program, and the (xxiv) Describe how the State will
attributable to funds provided by the
Disability Program Navigators. manage its providers and how it will
Federal government. (§ 402(a)(1)(A)(iv).)
(x) Describe the supportive services transfer participants if new providers
(v) Describe the financial eligibility
that will be offered to help participants are selected to serve in the State.
criteria and corresponding benefits and (xxv) Include a proposed level for
services covered with State obtain and retain an unsubsidized job.
(xi) Describe arrangements that will each performance measure for each of
Maintenance of Effort (MOE) funds. the program years covered by the Plan.
This description applies to State MOE be made to provide transportation
assistance to participants. While the Plan is under review or
funds that are used in the State’s TANF through a subsequent modification, the
(xii) Describe the steps that will be
program or used to fund a separate State State will negotiate with the Division of
taken to move or place participants into
program. Older Worker Programs to set the
unsubsidized employment, including
(g) SCSEP, provide a description of appropriate levels for the next two
cooperative measures that will be taken
each project function or activity and years. At a minimum, States must
with the One-Stop Delivery System, and
how the State will implement the identify the performance indicators
that support the Administration’s focus
project. The following activities should required under 20 CFR 641.710, and, for
on high-growth industries. Any grantee
be discussed separately: (title V of the each indicator, the State must develop
that failed to meet at least 20 percent
Older Americans Act) an objective and quantifiable
unsubsidized placements in program
(i) Describe how the services performance goal for two program years.
year 2004 must submit a corrective
proposed support the State Senior The performance measures include:
action plan.
Employment Services Coordination (xiii) Describe any policy for placement rate; service level; service to
Plan. maximum duration of enrollment or most in need; community service;
(ii) Describe how recruitment and maximum time in community service. employment retention; customer
selection of participants will be (xiv) Describe procedures for satisfaction of employers, participants,
achieved under TEGL 13–04 and the terminating a participant, including and host agencies; and earning increase.
regulations at 20 CFR 641.500 and Individual Employment Plan The requirements for reporting are
641.525. Include a description of the terminations and the grievance outlined in Older Worker Bulletin 04–
new recruitment strategies that will be procedures that will address 06 dated September 7, 2004.
used to reach the target population. termination from the program. (xxvi) Describe any request for an
(iii) Describe how participant income (xv) Describe the procedures for increase in administrative costs
will be recertified each year, including addressing and resolving participant consistent with section 502(c)(3) of the
where eligibility records will be complaints. Older Americans Act.
maintained. (xvi) Describe procedures for over (xxvii) Describe plans to provide a
(iv) Describe the arrangements that enrolling participants, including how copy of this section to Area Agencies on
will be made to offer physical over enrollments will be balanced with Aging consistent with section 502(d) of
examinations as a required fringe Equitable Distribution requirements. the Older American Act.
benefit. (xvii) Describe steps that will be taken (h) CSBG, explain how the activities
(v) Describe the orientation to ensure compliance with the funded will:
procedures for participants and host Maintenance of Effort provision of (i) Remove obstacles and solve
agencies. section 501(b)(1)(F). problems that block the achievement of
(vi) Describe the procedures for (xviii) Describe payroll procedures self-sufficiency, including those families
assessing job aptitudes, job readiness, and how workers’ compensation and individuals who are attempting to
and job preferences of participants and premiums are paid. transition off a State program carried out

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under part A of title IV of the Social postsecondary students and school carried out by the Under Secretary for
Security Act. dropouts. Rural Development of the Department of
(ii) Secure and retain meaningful (ii) Other Federal education programs, Agriculture and State use contracting
employment. including any methods proposed for programs to the extent that such
(iii) Attain an adequate education, joint planning and coordination. agencies and programs are not carrying
with particular attention toward (§ 122(c)(16).) out activities through the statewide
improving literacy skills of the low- (b) WIA Title I and Wagner-Peyser Act workforce investment system.
income families in the communities and/or Veterans Programs: (§ 101(a)(11)(C).)
involved, which may include carrying (i) Structure/Process for State agencies (b.) Education officials responsible for
out family literacy initiatives. and State Board to collaborate and the public education of students with
(iv) Make better use of available communicate with each other and with disabilities, including a formal
income. the local workforce investment system interagency agreement with the State
(v) Obtain and maintain adequate (§ 112(b)(8)(A).) educational agency. (§ 101(a)(11)(D).)
housing and a suitable living (a.) Describe the steps the State will (c.) Private, non-profit vocational
environment. take to improve operational rehabilitation service providers through
collaboration of the workforce the establishment of cooperative
(vi) Obtain emergency assistance
investment activities and other related agreements. (§ 101(a)(24)(B).)
through loans, grants, or other means to
activities and programs outlined in (d.) Other State agencies and
meet immediate and urgent family and
Section 112(b)(8)(A), at both the State appropriate entities to assist in the
individual needs.
and local level (e.g., joint activities, provision of supported employment
(vii) Achieve greater participation in
memoranda of understanding, planned services. (§ 625(b)(4).)
the affairs of the communities involved,
mergers, coordinated policies, etc.). (e.) Other public or nonprofit agencies
including the development of public
How will the State Board and agencies or organizations within the State,
and private grassroots partnerships with
eliminate any existing State-level employers, natural supports, and other
local law enforcement agencies, local
barriers to coordination? (§§ 111(d)(2) entities with respect to the provision of
housing authorities, private foundation,
and 112(b)(8)(A).) extended services. (§ 625(b)(5).)
and other public and private partners. (b.) Describe the lines of (e) Unemployment Insurance,
(viii) Create youth development communication and mechanisms summarize requests for any Federal
programs that support the primary role established by the Governor to ensure partner assistance (primarily non-
of the family, give priority to the timely and effective sharing of financial) that would help the SWA
prevention of youth problems and information between the State agencies/ attain its goal.
crime, and promote increased State Board and local workforce (f) CSBG, describe how the State and
community coordination and investment areas and Local Boards. eligible entities will coordinate
collaboration in meeting the needs of Include types of regularly issued programs to serve low-income residents
youth, and support development and guidance and how Federal guidance is with other organizations, including:
expansion of innovative community- disseminated to Local Boards and One- (i) Religious organizations.
based youth development programs that Stop Career Centers. (§ 112(b)(1).) (ii) Charitable groups.
have demonstrated success in (c.) Describe any cross-cutting (iii) Community organizations.
preventing or reducing youth crime. organizations or bodies at the State level
(ix) Provide supplies, services, designed to guide and inform an I. Special Populations and Other Groups
nutritious foods, and related services, as integrated vision for serving youth in 1. Describe how your State will
may be necessary to counteract the State within the context of develop program strategies, to target and
conditions of starvation and workforce investment, social services, serve special populations. States may
malnutrition among low-income juvenile justice, and education.— present information about their service
individuals. Describe the membership of such bodies strategies for those special populations
H. Coordination and Non-Duplication and the functions and responsibilities in that are identified by multiple Federal
establishing priorities and services for programs as they deem most appropriate
1. Describe how your State will youth? How is the State promoting a and useful for planning purposes,
coordinate and integrate the services collaborative cross-agency approach for including by special population or on a
provided through all of the programs both policy development and service program by program basis. In providing
identified in the Unified Plan in order delivery at the local level for youth? this description, if your Unified Plan
to meet the needs of its customers, (§ 112(b)(18)(A).) includes any of the programs listed
ensure there is no overlap or (c) Adult Education and Family below, please address the following
duplication among the programs, and Literacy, describe how the Adult specific relevant populations:
ensure collaboration with key partners Education and Family Literacy activities (a) Perkins III:
and continuous improvement of the that will be carried out with any funds (i) Each category of special
workforce investment system. (States received under AEFLA will be populations defined in Section 3(23) of
are encouraged to address several integrated with other adult education, the Act. (§ 122(c)(7).)
coordination requirements in a single career development, and employment (ii) Students in alternative education
narrative, if possible.) and training activities in the State or programs, if appropriate. (§ 122(c)(13).)
In answering the above question, if outlying area served by the eligible (iii) Individuals in State correctional
your Unified Plan includes: agency. (§ 224(b)(11).) institutions. (§ 122(c)(18).)
(a) Perkins III, describe coordination (d) Vocational Rehabilitation: (i) Describe how funds will be used to
with the following agencies or (i) Describe the State agency’s plans promote preparation for nontraditional
programs: policies, and procedures for training and employment. (§ 122(c)(17).)
(i) Programs listed in Section coordination with the following (ii) Describe how individuals who are
112(b)(8)(A) of the Workforce agencies or programs: members of special populations will be
Investment Act of 1998 (§ 122(c)(21).) (a.) Federal, State and local agencies provided with equal access to activities
concerning the provision of services for and programs, including programs assisted under Title I of Perkins III and

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will not be discriminated against on the requirements for veterans’ staff? How (i) Treat families moving into the State
basis of their status as members of will services under this Plan take into from another State differently than other
special populations. (§ 122(c)(8)(B).) consideration the agreement reached families under the program, and if so,
(b) WIA Title I and Wagner-Peyser Act between the Secretary and the State how the State intends to treat such
and/or Veterans Programs regarding veterans’ employment families under the program;
(§ 112(b)(17)(A)(iv) and 112(b)(17)(B).): programs? (§§ 112(b)(7), 322, 38 U.S.C. (ii) Provide assistance under the
(i) Service to Specific Populations. chapter 41 and 20 CFR 1001.120).) program to individuals who are not
(§ 112(b)(17)(A)(iv).) (h.) Department of Labor regulations citizens of the United States, and if so,
(a.) Describe the State’s strategies to at 29 CFR part 37, require all recipients shall include an overview of such
ensure that the full range of of Federal financial assistance from DOL assistance. (§ 402(a)(1)(B) (i) and (ii).);
employment and training programs and to provide meaningful access to limited and
services delivered through the State’s English proficient (LEP) persons. (iii) Outline how the State intends to
One-Stop delivery system are accessible Federal financial assistance includes conduct a program designed to reach
to and will meet the needs of dislocated grants, training, equipment usage, State and local law enforcement
workers, displaced homemakers, low- donations of surplus property, and other officials, the education system, and
income individuals such as migrants assistance. Sub-recipients are also relevant counseling services, that
and seasonal farmworkers, women, covered when Federal DOL funds are provides education and training on the
minorities, individuals training for non- passed through from one recipient to a problem of statutory rape so that teenage
traditional employment, veterans, sub-recipient. Describe how the State pregnancy prevention programs may be
public assistance recipients and will ensure access to services through expanded in scope to include men.
individuals with multiple barriers to the State’s One-Stop delivery system by (§ 401(a)(1)(A)(vi).)
employment (including older persons with limited English (g) SCSEP (§ 3(a)(1).): Indicate how
individuals, people with limited proficiency and how the State will meet the State will serve individuals age 60
English-speaking proficiency, and the requirements of ETA Training and and older as a priority (§ 516(2)), and
people with disabilities.) Employment Guidance Letter (TEGL) the following ‘‘preference’’ groups
(§ 112(b)(17)(iv).) 26–02, (May 29, 2003) which provides (§ 502(b)(1)(M)):
(b.) Describe the reemployment guidance on methods of complying with (i) Minorities.
services you will provide to the Federal rule. (ii) Limited English-speakers.
unemployment insurance claimants and (i.) Describe the State’s strategies to (iii) Indian eligible individuals.
the Worker Profiling services provided enhance and integrate service delivery (iv) Individuals with the greatest
to claimants identified as most likely to through the One-Stop delivery system economic need.
exhaust their unemployment insurance for migrant and seasonal farm workers (h) CSBG:
benefits in accordance with section and agricultural employers. How will (i) Low-income families.
3(c)(3) of the Wagner-Peyser Act. the State ensure that migrant and (ii) Families and individuals receiving
(c.) Describe how the State seasonal farm workers have equal access assistance under part A of Title IV of the
administers the unemployment to employment opportunities through Social Security Act (42 U.S.C. 601 et
insurance work test and how feedback the State’s One-Stop delivery system? seq.).
requirements (under § 7(a)(3)(F) of the Include the number of Migrant and (iii) Homeless families and
Wagner-Peyser Act) for all UI claimants Seasonal Farmworkers (MSFWs) the individuals.
are met. State anticipates reaching annually (iv) Migrant or seasonal farmworkers.
(d.) Describe the State’s strategy for through outreach to increase their (v) Elderly low-income individuals
integrating and aligning services to ability to access core, intensive, and and families.
dislocated workers provided through (vi) Youth in low-income
training services in the One-Stop Career
the WIA rapid response, WIA dislocated communities.
Center System.
worker, and Trade Adjustment (c) Adult Education and Family (i) HUD Employment and Training
Assistance (TAA) programs. Does the Literacy: Programs: (Reminder: the following is a
State have a policy supporting co- (i) Low income students suggestion for incorporating HUD
enrollment for WIA and TAA? (§ 224(b)(10)(A).) programs into your State’s Unified Plan.
(§ 112(b)(17)(A)(ii and iv).) (ii) Individuals with disabilities However, following this guidance will
(e.) How is the State’s workforce (§ 224(b)(10)(B).) not trigger funding for HUD programs):
investment system working (iii) Single parents and displaced (i) Public housing residents
collaboratively with business and homemakers (§ 224(b)(10)(C).) (ii) Homeless and other groups
industry and the education community (iv) Individuals with multiple barriers 2. Identify the methods of collecting
to develop strategies to overcome to educational enhancement, including data and reporting progress on the
barriers to skill achievement and individuals with limited English special populations described in
employment experienced by the proficiency (§ 224(b)(10)(D).) Question 1 of this section.
populations listed above in section (v) Criminal offenders in correctional 3. If your Plan includes Perkins III,
(b)(i)(a.) of this section and to ensure institutions and other institutionalized Tech-Prep, Adult Education and Family
they are being identified as a critical individuals (§ 225).) Literacy or Vocational Rehabilitation,
pipeline of workers? (d) TAA and NAFTA–TAA, describe describe the steps the eligible agency
(f.) Describe how the State will ensure how rapid response and basic will take to ensure equitable access to,
that the full array of One-Stop services readjustment services authorized under and equitable participation in, projects
are available to individuals with other Federal laws will be provided to or activities carried out with the
disabilities and that the services are trade-impacted workers. respective funds by addressing the
fully accessible? (e) Vocational Rehabilitation: special needs of student, teachers, and
(g.) Describe the role LVER/DVOP (i) Minorities with most significant other program beneficiaries in order to
staff have in the One-Stop Delivery disabilities. (§ 21(c).) overcome barriers to equitable
System? How will the State ensure (f) TANF, indicate whether the State participation, including barriers based
adherence to the legislative intends to: on gender, race, color, national origin,

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disability, and age. (§ 427(b) General with the accountability requirements of (i) Describe the State’s performance
Education Provisions Act.) WIA Title I and II and the Carl D. accountability system, including any
Perkins Vocational and Technical State-system measures and the State’s
J. Professional Development and System
Education Act of 1998 (Perkins III), performance goals established with
Improvement
including, for example, the local areas. Identify the performance
1. How will your State develop requirements to renegotiate performance indicators and goals the State has
personnel to achieve the performance levels at statutorily defined points in the established to track its progress toward
indicators for the programs included in 5-year Unified Plan cycle. The meeting its strategic goals and
your Plan? appropriate Secretary will negotiate implementing its vision for the
In answering the above question, if adjusted levels of performance with the workforce investment system. For each
your Unified Plan includes: State for these programs prior to of the core indicators, explain how the
(a) Perkins III: approving the State Plan. State worked with Local Boards to
(i) Describe how comprehensive 1. What are the State’s performance determine the level of the performance
professional development (including methodologies, indicators and goals in goals. Include a discussion of how the
initial teacher preparation) for measurable, quantifiable terms for each levels compare with the State’s previous
vocational and technical, academic, program included in the Unified Plan outcomes as well as with the State-
guidance, and administrative personnel and how will each program contribute adjusted levels of performance
will be provided. (§ 122(c)(2).) to achieving these performance goals? established for other States (if available),
(ii) Describe how the eligible agency (Performance indicators are generally taking into account differences in
will provide local educational agencies, set out by each program’s statute.) In economic conditions, the characteristics
area vocational and technical education answering the above question, if your of participants when they entered the
schools, and eligible institutions in the Unified Plan includes: program and the services to be
State with technical assistance. (a) Perkins III and Tech-Prep: provided. Include a description of how
(§ 122(c)(14).) (i) Identify and describe the core the levels will help the State achieve
(b) WIA Title I and Wagner-Peyser Act indicators (§ 113(b)(2)(A)(i-iv).), a State continuous improvement over the two
and/or Veterans Programs: level of performance for each core years of the Plan. (§§ 112(b)(3) and
(i) How will your State build the indicator of performance for the first 136(b)(3).)
capacity of Local Boards to develop and two program years covered by the State (ii) Describe any targeted applicant
manage high performing local workforce Plan (§ 113(b)(3)(A)(ii).), any additional groups under WIA title I, the Wagner-
investment system? (§§ 111(d)(2) and indicators identified by the eligible Peyser Act or title 38 chapters 41 and
112(b)(14).) agency (§ 113(b)(1)(B).), and a State level 42 (Veterans Employment and Training
(ii) Local Planning Process—Describe of performance for each additional Programs) that the State tracks.
the State mandated requirements for indicator (§ 113(b)(3)(B).) (§§ 111(d)(2), 112(b)(3) and
local workforce areas’ strategic (ii) Describe how the effectiveness of 136(b)(2)(C).)
planning. What assistance does the State vocational and technical education (iii) Identify any performance
provide to local areas to facilitate this programs will be evaluated annually. outcomes or measures in addition to
process, (§ 112(b)(2) and 20 CFR (§ 122(c)(6).) those prescribed by WIA and what
661.350(a)(13)), including: (iii) Describe how individuals who are process is the State using to track and
• What oversight of the local member of special populations will be report them?
planning process is provided, including provided with programs designed to (iv) Describe any actions the Governor
receipt and review of Plans and enable the special populations to meet and State Board will take to ensure
negotiation of performance agreements? or exceed State adjusted levels of collaboration with key partners and
and performance, and how it will prepare continuous improvement of the
• How does the local plan approval special populations for further learning Statewide workforce investment system.
process ensure that local plans are and for high skill, high wage careers. (§§ 111(d)(2) and 112(b)(1).)
consistent with State performance goals (§ 122(c)(8)(C).) (v) How do the State and Local Boards
and State strategic direction? (iv) Describe what steps the eligible evaluate performance? What corrective
(iii) Oversight/Monitoring Process— agency will take to involve actions (including sanctions and
Describe the monitoring and oversight representatives of eligible recipients in technical assistance) will the State take
criteria and procedures the State utilizes the development of the State adjusted if performance falls short of
to move the system toward the State’s levels of performance. (§ 122(c)(9).) expectations? How will the State and
vision and achieve the goals identified (b) WIA Title I and Wagner-Peyser Act Local Boards use the review process to
above, such as the use of mystery and/or Veterans Programs: reinforce the strategic direction of the
shoppers, performance agreements. (i) Improved performance and system? (§§ 111(d)(2), 112(b)(1), and
(§ 112(b)(14).) accountability for customer-focused 112(b)(3).)
(c) Vocational Rehabilitation, describe results are central features of WIA. To (vi) What steps, has the State taken to
the designated State agency’s policies, improve, States need not only systems prepare for implementation of new
procedures and activities to establish in place to collect data and track reporting requirements against the
and maintain a comprehensive system performance, but also systems to common performance measures as
of personnel development designed to analyze the information and modify described in Training and Employment
ensure an adequate supply of qualified strategies to improve performance. (See Guidance Letter (TEGL), 15–03,
State rehabilitation professional and Training and Employment Guidance December 10, 2003, Common Measures
paraprofessional personnel for the Letter (TEGL) 15–03, Common Measures Policy. Note: See TEGL 18–04 which
designated State unit pursuant to Policy, December 10, 2003.) In this articulates ETA’s plans for future policy
section 101(a)(7) of the Act. (§ 101(a)(7).) section, describe how the State guidance on negotiating performance
measures the success of its strategies in levels and common measures.
K. Performance Accountability achieving its goals, and how the State (vii) Include a proposed level for each
Nothing in this guidance shall relieve uses this data to continuously improve performance measure for each of the
a State of its responsibilities to comply the system. program years covered by the Plan.

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While the Plan is under review, the performance and results that meets the M. Corrective Action
State will negotiate with the respective requirements of that section, and a 1. Describe the corrective actions the
ETA Regional Administrator to set the description of outcome measures to be State will take for each program, as
appropriate levels for the next two used to measure eligible entity applicable, if performance falls short of
years. At a minimum, States must performance in promoting self- expectations.
identify the performance indicators sufficiency, family stability, and In answering the above question, if
required under section 136, and, for community revitalization. your Unified Plan includes:
each indicator, the State must develop (ii) Describe the standards and (a) Vocational Rehabilitation, include
an objective and quantifiable procedures that the State will use to the results of an evaluation of the
performance goal for two program years. monitor activities carried out in effectiveness of the vocational
States are encouraged to address how furtherance of the Plan and will use to rehabilitation program, and a report
the performance goals for local ensure long-term compliance with jointly developed with the State
workforce investment areas and training requirements of the programs involved, Rehabilitation Council (if the State has
provides will help them attain their including the comprehensive planning a Council) on the progress made in
Statewide performance goals. requirements. (§ 91.330) improving effectiveness from the
(§§ 112(b)(3) and 136).) 2. Has the State developed any previous year including:
(c) Adult Education and Family common performance goals applicable (i) An evaluation of the extent to
Literacy: to multiple programs? If so, describe the which program goals were achieved and
(i) Include a description of how the goals and how they were developed. a description of the strategies that
eligible agency will evaluate annually
L. Data Collection contributed to achieving the goals.
the effectiveness of the Adult Education
(ii) To the extent the goals were not
and Family Literacy activities, such as 1. What processes does the State have achieved, a description of the factors
a comprehensive performance in place to collect and validate data to that impeded that achievement.
accountability system, based on the track performance and hold providers/ (iii) An assessment of the performance
performance measures in section 212. operators/subgrantees accountable?
(ii) Identify levels of performance for of the State on the standards and
the core indicators of performance In answering the above question, if indicators established pursuant to
described in section 212(b)(2)(A) for the your Unified Plan includes: section 106 of the Act.
first three program years covered by the (a) Perkins III and Tech-Prep: (§ 101(a)(15)(E)(i).)
Plan (§ 212(b)(3)(A)(ii).), and any (i) Describe how data will be reported (b) Unemployment Insurance, explain
additional indicators selected by the relating to students participating in the reasons for the areas in which the
eligible agency. (§ 212 (b)(2)(B).) vocational and technical education in State’s performance is deficient. If a
(iii) Describe how such performance order to adequately measure the Corrective Action Plan was in place the
measures will be used to ensure the progress of the students, including previous fiscal year, provide an
improvement of Adult Education and special populations. (§ 122(c)(12).) explanation of why the actions
Family Literacy activities in the State or contained in that Plan were not
(ii) Describe how the data reported to
outlying area. (§ 224(b)(4).) successful in improving performance.
the eligible agency from local
(d) Unemployment Insurance: Identify steps to improve performance,
educational agencies and eligible
(i) Submit a Plan to achieve an including an explanation of why the
institutions under Perkins III and the
enhanced goal in service delivery for actions now specified will be more
data you report to the Secretary are
areas in which performance is not successful.
complete, accurate, and reliable.
deficient. Goals may be set at a State’s (§ 122(c)(20).) N. Waiver and Work-Flex Requests
own initiative or as the result of (b) WIA Title I and Wagner-Peyser Act
negotiations initiated by the Regional 1. Will your State be requesting
and/or Veterans Programs, describe the waivers as a part of this Unified Plan?
Office. State’s common data system and
(ii) Identify milestones/intermediate In answering the above question, the
reporting processes in place to track following waiver provisions apply if
accomplishments that the SWA will use
progress. Describe what data will be your Unified Plan includes:
to monitor progress toward the goals.
collected from the various One-Stop (a) WIA Title I and Wagner-Peyser Act
(e) TANF, outline how the State
partners (beyond that required by DOL), and/or Veterans Programs, States may
intends to establish goals and take
use of quarterly wage records (including submit a Workforce Flexibility (Work-
action to prevent and reduce the
how your State accesses wage records), Flex) Plan under WIA section 192 and/
incidence of out of wedlock
and how the Statewide system will have or a General Statutory Waiver Plan
pregnancies, with special emphasis on
access to the information needed to under WIA section 189(i) as part of the
teenage pregnancies, and establish
continuously improve. (§ 112(b)(8)(B).) WIA Title I Plan. These waiver Plans
numerical goals for reducing the
illegitimacy ratio of the State for (c) Food Stamp Employment & may also be submitted separately, in
calendar years 1996 through 2005. Training, describe how employment and which case they must identify related
(§ 402(a)(1)(A)(v).) training data will be compiled and provisions in the State’s Title I Plan.
(f) SCSEP: Provisions on performance where responsibility for employment State Waiver Plans should be developed
are set forth in section G.1. (g)(xxv) of and training reporting is in accordance with planning
these instructions. organizationally located at the State requirements at subpart D of 20 CFR
(g) CSBG: level. Include the department, agency, part 661.420 and planning guidelines
(i) Describe how the State and all and telephone number for the person(s) issued by the Department of Labor.
eligible entities in the State will responsible for both financial and non- (b) Vocational Rehabilitation, if a
participate in the Results Oriented financial E&T reporting. State requests a waiver of the Statewide
Management and Accountability 2. What common data elements and requirement identified in assurance
System, a performance measure system reporting systems are in place to number 13 for the vocational
pursuant to Section 678E(b) of the Act, promote integration of Unified Plan rehabilitation program in Section III of
or an alternative system for measuring activities? this unified planning guidance, the

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request must be made in accordance 4. All provisions of the Plan are included as an amendment to other
with the provisions of 34 CFR 361.26(b). consistent with State law. [34 CFR legislation. In either event, the
76.104(a)(4)] resolution should be specific and refer
IV. Certifications and Assurances 5. A State officer, specified by title in to the requirements of section 501(b)(1)
General Certifications and Assurances the certification, has authority under and must clearly differentiate between
State law to receive, hold, and disburse secondary and postsecondary vocational
By signing the Unified Plan signature Federal funds made available under the education.
page, you are certifying that: Plan. [34 CFR 76.104(a)(5)]
1. The methods used for joint 6. The State officer who submits the WIA Title I/Wagner-Peyser Act/Veterans
planning and coordination of the Plan, specified by title in the Programs
programs and activities included in the certification, has authority to submit the By signing the Unified Plan signature
Unified Plan included an opportunity Plan. [34 CFR 76.104(a)(6)] page, you are certifying that:
for the entities responsible for planning 7. The agency that submits the Plan 1. The State assures that it will
or administering such programs and has adopted or otherwise formally establish, in accordance with section
activities to review and comment on all approved the Plan. [34 CFR 76.104(a)(7)] 184 of the Workforce Investment Act,
portions of the Unified Plan. (WIA, 8. The Plan is the basis for State fiscal control and fund accounting
§ 501(c)(3)(B).) operation and administration of the procedures that may be necessary to
In addition, if you submit your program. [34 CFR 76.104(a)(8)] ensure the proper disbursement of, and
Unified Plan by posting it on an Internet 9. A copy of the State Plan was accounting for, funds paid to the State
Web site, you are certifying that: submitted into the State through the allotments made under
2. The content of the submitted Plan Intergovernmental Review Process. sections 127 and 132. (§ 112(b)(11).)
will not be changed after it is submitted. [Executive Order 12372]. 2. The State assures that it will
Plan modifications must be approved by comply with section 184(a)(6), which
Debarment, Drug-Free Work Place, and
the reviewing State agency. It is the requires the Governor to, every two
Lobbying
responsibility of the designated agency years, certify to the Secretary, that—
to circulate the modifications among the By signing the Unified Plan signature a. the State has implemented the
other agencies that may be affected by page, you are certifying that: uniform administrative requirements
the changes. 1. The ED grantee has filed ED 80– referred to in section 184(a)(3);
In addition, the following 0013. This form also applies to AEFLA b. the State has annually monitored
certifications and assurances apply to and RSA. States can print ED 80–0013 local areas to ensure compliance with
the extent that the programs and from http://ocfo.ed.gov/grntinfo/ the uniform administrative
activities are included in your State appforms.htm. requirements as required under section
Unified Plan. Perkins III 184(a)(4); and
3. Nonconstruction Programs. By c. the State has taken appropriate
By signing the Unified Plan signature action to secure compliance pursuant to
signing the Unified Plan signature page, page, the eligible agency is certifying
you are certifying that: section 184(a)(5). (§ 184(a)(6).)
that: 3. The State assures that the adult and
1. The grantee has filed the 1. The State Plan complies with the youth funds received under the
Government-wide standard assurances requirements of title I of Perkins III and Workforce Investment Act will be
for nonconstruction programs (SF 424). the provisions of the State Plan, distributed equitably throughout the
States can print SF 424 from http:// including the provision of a financial State, and that no local areas will suffer
ocfo.ed.gov/grntinfo/appforms.htm. audit of funds received under this title significant shifts in funding from year to
EDGAR Certifications, Nonconstruction which may be included as part of an year during the period covered by this
Programs, Debarment, Drug-Free Work audit of other Federal or State programs. Plan. (§ 112(b)(12)(B).)
Place and Lobbying Certifications (§ 122(c)(10).) 4. The State assures that veterans will
2. None of the funds expended under be afforded employment and training
You must include the following title I of Perkins III will be used to activities authorized in section 134 of
certifications for each of the State acquire equipment (including computer the Workforce Investment Act, and the
agencies that administer one of these software) in any instance in which such activities authorized in chapters 41 and
programs: Perkins III, Tech-Prep, Adult acquisition results in a direct financial 42 of title 38 U.S. Code. The State
Education and Literacy or vocational benefit to any organization representing assures that it will comply with the
rehabilitation. A State may satisfy the the interests of the purchasing entity, veterans priority established in the Jobs
EDGAR requirement by having all the employees of the purchasing entity, for Veterans Act. (38 U.S.C. 4215).)
responsible State agency officials sign a or any affiliate of such an organization. 5. The State assures that the Governor
single set of EDGAR certifications. (§ 122(c)(11).) shall, once every two years, certify one
EDGAR Certifications 3. Section 501(b)(1) provides that Local Board for each local area in the
secondary vocational education State. (§ 117(c)(2).)
By signing the Unified Plan signature programs authorized under Perkins III 6. The State assures that it will
page, you are certifying that: may only be included in a Unified Plan comply with the confidentiality
1. The Plan is submitted by the State ‘‘with the prior approval of the requirements of section 136(f)(3).
agency that is eligible to submit the legislature of the State.’’ Documentation 7. The State assures that no funds
Plan. [34 CFR 76.104(a)(1).] of this approval is submitted with the received under the Workforce
2. The State agency has authority Unified Plan. State legislative approval Investment Act will be used to assist,
under State law to perform the functions may be conferred by a resolution promote, or deter union organizing.
of the State under the program. [34 CFR adopted by votes of both houses of your (§ 181(b)(7).)
76.104(a)(2)] State legislature (unless your State has 8. The State assures that it will
3. The State legally may carry out a unicameral legislature) on any date comply with the nondiscrimination
each provision of the Plan. [34 CFR following July 28, 1998. The resolution provisions of section 188, including an
76.104(a)(3)] need not be freestanding; it may be assurance that a Methods of

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Administration has been developed and 15. The State certifies it has provider who offers flexible schedules
implemented. (§ 188.). developed this Plan in consultation and necessary support services (such as
9. The State assures that it will collect with local elected officials, Local child care and transportation) to enable
and maintain data necessary to show Workforce Boards, the business individuals, including individuals with
compliance with the nondiscrimination community, labor organizations and disabilities, or individuals with other
provisions of section 188. (§ 185.). other partners. special needs, to participate in Adult
10. The State assures that it will 16. As a condition to the award of Education and Literacy activities, which
comply with the grant procedures financial assistance from the eligible provider shall attempt to
prescribed by the Secretary (pursuant to Department of Labor under title I of coordinate with support services that
the authority at section 189(c) of the WIA, the grant applicant assures that it are not provided under this subtitle
Act) which are necessary to enter into will comply fully with the prior to using funds for Adult Education
grant agreements for the allocation and nondiscrimination and equal and Literacy activities provided under
payment of funds under the Act. The opportunity provisions of the following AEFLA for support services.
procedures and agreements will be laws: (§ 224(b)(5).)
provided to the State by the ETA Office a. Section 188 of the Workforce 2. The funds received under subtitle
of Grants and Contract Management and Investment Act of 1998 (WIA), which A of title II of WIA will not be expended
will specify the required terms and prohibits discrimination against all for any purpose other than for activities
conditions and assurances and individuals in the United States on the under subtitle A of title II of WIA.
certifications, including, but not limited basis of race, color, religion, sex, (§ 224(b)(6).)
to, the following: national origin, age, disability, political 3. The eligible agency will expend the
a. General Administrative affiliation or belief, and against funds under subtitle A of title II of WIA
Requirements: beneficiaries on the basis of either only in a manner consistent with fiscal
(i) 29 CFR part 97—Uniform citizenship/status as a lawfully admitted requirements in section 241.
Administrative Requirements for State immigrant authorized to work in the (§ 224(b)(8).)
and Local Governments (as amended by United States or participation in any
the Act). Food Stamp Employment and Training
WIA title I—financially assisted (FSET)
(ii) 29 CFR part 96 (as amended by program or activity;
OMB Circular A–133)—Single Audit b. Title VI of the Civil Rights Act of By signing the Unified Plan signature
Act. 1964, as amended, which prohibits page, you are certifying that:
(iii) OMB Circular A–87—Cost 1. Federal funds allocated by the
discrimination on the basis of race,
Principles (as amended by the Act). Department of Agriculture to the State
b. Assurances and Certifications: color and national origin; Section 504 of
the Rehabilitation Act of 1973, as under section 16(h)(1) of the Food
(i) SF 424 B—Assurances for Non- Stamp Act of 1977 (the Act), or
construction Programs. amended, which prohibits
discrimination against qualified provided to the State as reimbursements
(ii) 29 CFR part 37 under Sections 16(h)(2) and 16(h)(3) of
—Nondiscrimination and Equal individuals with disabilities;
c. The Age Discrimination Act of the Act will be used only for operating
Opportunity Assurance (and regulation) an employment and training program
29 CFR 37.20. 1975, as amended, which prohibits
discrimination on the basis of age; and under section 6(d)(4) of the Act.
(iii) CFR part 93—Certification 2. The State will submit to the Food
Regarding Lobbying (and regulation). d. Title IX of the Education
Amendments of 1972, as amended, and Nutrition Service (FNS) annual
(iv) 29 CFR part 98—Drug Free
which prohibits discrimination on the updates to its Employment and Training
Workplace and Debarment and
basis of sex in educational programs. Plan for the coming fiscal year. The
Suspension Certifications (and
regulation). e. The grant applicant also assures updates are due by August 15 of each
c. Special Clauses/Provisions: that it will comply with 29 CFR part 37 year. The annual update must include
Other special assurances or provisions and all other regulations implementing any changes the State anticipates
as may be required under Federal law or the laws listed above. This assurance making in the basic structure or
policy, including specific applies to the grant applicant’s operation of its program. At a minimum,
appropriations legislation, the operation of the WIA Title I-financially the annual update must contain
Workforce Investment Act, or assisted program or activity, and to all revisions to Tables 1 (Estimated
subsequent Executive or Congressional agreements the grant applicant makes to Participant Levels), 2 (Estimated E&T
mandates. carry out the WIA Title I-financially Placement Levels), 4 (Operating
11. The State certifies that the assisted program or activity. The grant Budget), and 5 (Funding Categories).
Wagner-Peyser Act Plan, which is part applicant understands that the United 3. If significant changes are to be
of this document, has been certified by States has the right to seek judicial made to its E&T program during the
the State Employment Security enforcement of this assurance. fiscal year, the State will submit to FNS
Administrator. 17. The State assures that funds will a request to modify its Plan. FNS must
12. The State certifies that veterans’ be spent in accordance with the approve the modification request before
services provided with Wagner-Peyser Workforce Investment Act and the the proposed change is implemented.
Act funds will be in compliance with 38 Wagner-Peyser Act and their The State may be liable for costs
U.S.C. chapter 41 and 20 CFR part 1001. regulations, written Department of associated with implementation prior to
13. The State certifies that Wagner- Labor Guidance implementing these approval. See ‘‘The Handbook on
Peyser Act-funded labor exchange laws, and all other applicable Federal Preparing State Plans for Food Stamp
activities will be provided by merit- and State laws. Employment and Training Programs’’
based public employees in accordance for additional information.
with DOL regulations. Adult Education and Family Literacy 4. The State will submit a quarterly
14. The State assures that it will By signing the Unified Plan signature E&T report, FNS–583. Reports are due
comply with the MSFW significant page, you are certifying that: no later than 45 days after the end of
office requirements in accordance with 1. The eligible agency will award not each Federal fiscal quarter. The
20 CFR part 653. less than one grant to an eligible information required on the FNS–583 is

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19244 Federal Register / Vol. 70, No. 69 / Tuesday, April 12, 2005 / Notices

listed in Exhibit 3 of the ‘‘The supplement that have not been provide vocational rehabilitation
Handbook on Preparing State Plans for previously submitted to and approved services to individuals with disabilities;
Food Stamp Employment and Training by the Commissioner of the providers of vocational rehabilitation
Programs.’’ Rehabilitation Services Administration. services to individuals with disabilities;
5. The State will submit E&T program (§ 101(a)(1)(B).) the Director of the client assistance
financial information on the SF–269, 5. The State submits to the program; and the State Rehabilitation
Financial Status Report. It must include Commissioner at such time and in such Council, if the State has such a Council.
claims for the 100 percent Federal grant, manner as the Secretary determines to (§ 101(a)(16)(B))
50 percent matched funding, and be appropriate, reports containing 10. The designated State agency (or,
participant reimbursements. The SF– annual updates of the information as appropriate, agencies) is a State
269 is due 30 days after the end of each relating to the: comprehensive system of agency that is:
Federal fiscal quarter. personnel development; assessments, a. __ primarily concerned with
6. The State will deliver each estimates, goals and priorities, and vocational rehabilitation, or vocational
component of its E&T program through reports of progress; innovation and and other rehabilitation, of individuals
the One-Stop delivery system, an inter- expansion activities; and requirements with disabilities; or
connected strategy for providing under title I, part B or title VI, part B b. __ not primarily concerned with
comprehensive labor market and of the Act. (§ 101(a)(23).) vocational rehabilitation, or vocational
occupational information to job seekers, 6. The State Plan and its supplement and other rehabilitation, of individuals
employers, core services providers, are in effect subject to the submission of with disabilities, and includes within
other workforce employment activity such modifications as the State the State agency a vocational
providers, and providers of workforce determines to be necessary or as the rehabilitation bureau, or division, or
education activities. If the component is Commissioner may require based on a other organizational unit that: is
not available locally through such a change in State policy, a change in primarily concerned with vocational
system, the State may use another Federal law, including regulations, an rehabilitation, or vocational and other
source. interpretation of the Act by a Federal rehabilitation, of individuals with
court or the highest court of the State, disabilities, and is responsible for the
Vocational Rehabilitation or a finding by the Commissioner of designated State agency’s vocational
By signing the Unified Plan signature State noncompliance with the rehabilitation program; has a full-time
page, you are certifying that: requirements of the Act, until the State director; has a staff, all or substantially
1. As a condition for the receipt submits and receives approval of a new all of whom are employed full time on
Federal funds under title I, part B of the State Plan or Plan supplement. the rehabilitation work of the
Rehabilitation Act for the provision of (§ 101(a)(1)(C).) organizational unit; and is located at an
vocational rehabilitation services, the 7. The State has an acceptable plan for organizational level and has an
designated State agency agrees to carrying out part B of title VI of the Act, organizational status within the
operate and administer the State including the use of funds under that designated State agency comparable to
Vocational Rehabilitation Services part to supplement funds made that of other major organizational units
Program in accordance with provisions available under part B of title I of the of the designated State agency.
of this title I State Plan, the Act and all Act to pay for the cost of services (§ 101(a)(2)(B).)
applicable regulations, policies and leading to supported employment. 11. The designated State agency (or,
procedures established by the Secretary. (§ 101(a)(22).) as appropriate, agencies):
Funds made available under section 111 8. The designated State agency, prior a. __ is an independent commission
of the Act are used solely for the to the adoption of any policies or that is responsible under State law for
provision of vocational rehabilitation procedures governing the provision of operating, or overseeing the operation
services under title I and the vocational rehabilitation services under of, the vocational rehabilitation program
administration of the title I State Plan. the State Plan and supported in the State; is consumer-controlled by
2. As a condition of the receipt of employment services under the persons who are individuals with
Federal funds under title VI, part B of supplement to the State Plan, including physical or mental impairments that
the Act for supported employment making any amendment to such policies substantially limit major life activities;
services, the designated State agency and procedures, conducts public and represent individuals with a broad
agrees to operate and administer the meetings throughout the State after range of disabilities, unless the
State Supported Employment Services providing adequate notice of the designated State unit under the
Program in accordance with the meetings, to provide the public, direction of the commission is the State
provisions of the supplement to this including individuals with disabilities, agency for individuals who are blind;
State Plan, the Act, and all applicable an opportunity to comment on the includes family members, advocates, or
regulations, policies, and procedures policies or procedures, and actively other representatives, of individuals
established by the Secretary. Funds consults with the Director of the client with mental impairments; and
made available under title VI, part B are assistance program, and, as appropriate, undertakes the functions set forth in
used solely for the provision of Indian tribes, tribal organizations, and section 105(c)(4) of the Act; or
supported employment services and the Native Hawaiian organizations on the b. __ has established a State
administration of the supplement to the policies or procedures. (§ 101(a)(16)(A).) Rehabilitation Council that meets the
title I State Plan. 9. The designated State agency takes criteria set forth in section 105 of the
3. The designated State agency or into account, in connection with matters Act and the designated State unit:
designated State unit is authorized to of general policy arising in the jointly with the Council develops,
submit this State Plan under title I of the administration of the Plan, the views of agrees to, and reviews annually State
Act and its supplement under title VI, individuals and groups of individuals goals and priorities, and jointly submits
part B of the Act. who are recipients of vocational annual reports of progress with the
4. The State submits only those rehabilitation services, or in appropriate Council, in accordance with the
policies, procedures, or descriptions cases, the individual’s representatives; provisions of section 101(a)(15) of the
required under this State Plan and its personnel working in programs that Act; regularly consults with the Council

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regarding the development, 14. The State agency employs identity of each individual.
implementation, and revision of State methods of administration found by the (§ 101(a)(10)(A) and (F).)
policies and procedures of general Commissioner to be necessary for the 19. The designated State agency has
applicability pertaining to the provision proper and efficient administration of the authority to enter into contracts with
of vocational rehabilitation services; the State Plan. (§ 101(a)(6)(A).) for-profit organizations for the purpose
includes in the State Plan and in any 15. The designated State agency and of providing, as vocational
revision to the State Plan, a summary of entities carrying out community rehabilitation services, on-the-job
input provided by the Council, rehabilitation programs in the State, training and related programs for
including recommendations from the who are in receipt of assistance under individuals with disabilities under part
annual report of the Council described title I of the Act, take affirmative action A of title VI of the Act, upon the
in section 105(c)(5) of the Act, the to employ and advance in employment determination by the designated State
review and analysis of consumer qualified individuals with disabilities agency that such for-profit organizations
satisfaction described in section covered under and on the same terms are better qualified to provide such
105(c)(4), and other reports prepared by and conditions as set forth in section vocational rehabilitation services than
the Council, and the response of the 503 of the Act. (§ 101(a)(6)(B).) non-profit agencies and organizations.
designated State unit to such input and 16. Facilities used in connection with (§ 101(a)(24)(A).)
recommendations, including the delivery of services assisted under 20. The designated State agency has
explanations for rejecting any input or the State Plan comply with the cooperative agreements with other
recommendation; and transmits to the provisions of the Act entitled ‘‘An Act entities that are components of the
Council all Plans, reports, and other to insure that certain buildings financed Statewide workforce investment system
information required under this title to with Federal funds are so designed and of the State in accordance with section
be submitted to the Secretary; all constructed as to be accessible to the 101(a)(11)(A) of the Act and replicates
policies, and information on all physically handicapped,’’ approved on these cooperative agreements at the
practices and procedures, of general August 12, 1968 (commonly known as local level between individual offices of
applicability provided to or used by the ‘‘Architectural Barriers Act of the designated State unit and local
rehabilitation personnel in carrying out entities carrying out activities through
1968’’), with section 504 of the Act and
this title; and copies of due process the Statewide workforce investment
with the Americans with Disabilities
hearing decisions issued under this title, system. (§ 101(a)(11)(A) and (B).)
Act of 1990. (§ 101(a)(6)(C).)
which shall be transmitted in such a 21. The designated State unit, the
17. If, under special circumstances, Statewide Independent Living Council
manner as to ensure that the identity of the State Plan includes provisions for
the participants in the hearings is kept established under section 705 of the
the construction of facilities for Act, and the independent living centers
confidential. (§ 101(a)(21).) community rehabilitation programs—
12. The State provides for financial described in part C of title VII of the Act
a. The Federal share of the cost of within the State have developed
participation, or if the State so elects, by
construction for the facilities for a fiscal working relationships and coordinate
the State and local agencies, to provide
year will not exceed an amount equal to their activities. (§ 101(a)(11)(E).)
the amount of the non-Federal share of
10 percent of the State’s allotment under 22. If there is a grant recipient in the
the cost of carrying out title I, part B of
the Act. (§ 101(a)(3).) section 110 for such year; State that receives funds under part C of
13. The Plan is in effect in all political b. The provisions of section 306 (as in the Act, the designated State agency has
subdivisions of the State, except that in effect on the day before the date of entered into a formal agreement that
the case of any activity that, in the enactment of the Rehabilitation Act meets the requirements of section
judgment of the Commissioner, is likely Amendments of 1998) shall be 101(a)(11)(F) of the Act with each grant
to assist in promoting the vocational applicable to such construction and recipient. (§ 101(a)(11)(F).)
rehabilitation of substantially larger such provisions shall be deemed to 23. Except as otherwise provided in
numbers of individuals with disabilities apply to such construction; and part C of title I of the Act, the designated
or groups of individuals with c. There shall be compliance with State unit provides vocational
disabilities, the Commissioner may regulations the Commissioner shall rehabilitation services to American
waive compliance with the requirement prescribe designed to assure that no Indians who are individuals with
that the Plan be in effect in all political State will reduce its efforts in providing disabilities residing in the State to the
subdivisions of the State to the extent other vocational rehabilitation services same extent as the designated State
and for such period as may be provided (other than for the establishment of agency provides such services to other
in accordance with regulations facilities for community rehabilitation significant populations of individuals
prescribed by the Commissioner, but programs) because the Plan includes with disabilities residing in the State.
only if the non-Federal share of the cost such provisions for construction. (§ 101(a)(13).)
of the vocational rehabilitation services (§ 101(a)(17).) 24. No duration of residence
involved is met from funds made 18. The designated State unit submits, requirement is imposed that excludes
available by a local agency (including in accordance with section 101(a)(10) of from services under the Plan any
funds contributed to such agency by a the Act, reports in the form and level of individual who is present in the State.
private agency, organization, or detail and at the time required by the (§ 101(a)(12).)
individual); and in a case in which Commissioner regarding applicants for 25. The designated State agency has
earmarked funds are used toward the and eligible individuals receiving implemented an information and
non-Federal share and such funds are services under the State Plan and the referral system that is adequate to
earmarked for particular geographic information submitted in the reports ensure that individuals with disabilities
areas within the State, the earmarked provides a complete count, unless are provided accurate vocational
funds may be used in such areas if the sampling techniques are used, of the rehabilitation information and guidance,
State notifies the Commissioner that the applicants and eligible individuals in a using appropriate modes of
State cannot provide the full non- manner that permits the greatest communication, to assist such
Federal share without such funds. possible cross-classification of data and individuals in preparing for, securing,
(§ 101(a)(4).) ensures the confidentiality of the retaining, or regaining employment, and

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are appropriately referred to Federal and retention services, follow-up services, 214(c)) for 2 years after the achievement
State programs, including other and follow-along services; of the outcome (and annually thereafter
components of the Statewide workforce e. Rehabilitation technology, if requested by the individual or, if
investment system in the State. including telecommunications, sensory, appropriate, the individual’s
(§ 101(a)(20).) and other technological aids and representative), to determine the
26. In the event that vocational devices; and interests, priorities, and needs of the
rehabilitation services cannot be f. Post-employment services individual with respect to competitive
provided to all eligible individuals with consisting of the services listed under employment or training for competitive
disabilities in the State who apply for subparagraphs (a) through (e), to an employment; provides for the input into
the services, individuals with the most eligible individual, or to members of the the review and reevaluation, and a
significant disabilities, in accordance individual’s family, the State unit signed acknowledgment that such
with criteria established by the State for determines whether comparable review and reevaluation have been
the order of selection, will be selected services and benefits exist under any conducted, by the individual with a
first for the provision of vocational other program and whether those disability, or, if appropriate, the
rehabilitation services and eligible services and benefits are available to the individual’s representative; and makes
individuals, who do not meet the order individual unless the determination of maximum efforts, including the
of selection criteria, shall have access to the availability of comparable services identification and provision of
services provided through the and benefits under any other program vocational rehabilitation services,
information and referral system would interrupt or delay: reasonable accommodations, and other
implemented under section 101(a)(20) Progress of the individual toward necessary support services, to assist
of the Act. (§ 101(a)(5)(C) and (D).) achieving the employment outcome such individuals in engaging in
27. Applicants and eligible identified in the individualized plan for competitive employment. (§ 101(a)(14).)
individuals, or, as appropriate, the employment;
applicants’ representatives or the An immediate job placement; or 32. Funds made available under title
individuals’ representatives, are Provision of such service to any VI, part B of the Act will only be used
provided information and support individual who is determined to be at to provide supported employment
services to assist the applicants and extreme medical risk, based on medical services to individuals who are eligible
eligible individuals in exercising evidence provided by an appropriate under this part to receive the services.
informed choice throughout the qualified medical professional. (§ 625(b)(6)(A).)
rehabilitation process, consistent with (§ 101(a)(8)(A).) 33. The comprehensive assessments
the provisions of section 102(d) of the 30. The Governor of the State in of individuals with significant
Act. (§ 101(a)(19).) consultation with the designated State disabilities conducted under section
28. An individualized plan for vocational rehabilitation agency and 102(b)(1) of the Act and funded under
employment meeting the requirements other appropriate agencies ensures that title I will include consideration of
of section 102(b) of the Act will be there is an interagency agreement or supported employment as an
developed and implemented in a timely other mechanism for interagency appropriate employment outcome.
manner for an individual subsequent to coordination that meets the (§ 625(b)(6)(B).)
the determination of the eligibility of requirements of section 101(a)(8)(B)(i)– 34. An individualized plan for
the individual for services, except that (iv) of the Act between any appropriate employment, as required by section 102
in a State operating under an order of public entity, including the State of the Act, will be developed and
selection, the Plan will be developed Medicaid program, public institution of updated using funds under title I in
and implemented only for individuals higher education, and a component of order to specify the supported
meeting the order of selection criteria; the Statewide workforce investment employment services to be provided;
services under this Plan will be system, and the designated State unit so specify the expected extended services
provided in accordance with the as to ensure the provision of the needed; and identify the source of
provisions of the individualized plan for vocational rehabilitation services extended services, which may include
employment. (§ 01(a)(9).) identified in section 103(a) of the Act, natural supports, or to the extent that it
29. Prior to providing any vocational other than the services identified as is not possible to identify the source of
rehabilitation services, except: being exempt from the determination of extended services at the time the
a. Assessment for determining the availability of comparable services individualized plan for employment is
eligibility and vocational rehabilitation and benefits, that are included in the developed, a statement describing the
needs by qualified personnel, including, individualized plan for employment of basis for concluding that there is a
if appropriate, an assessment by an eligible individual, including the reasonable expectation that such
personnel skilled in rehabilitation provision of such services during the sources will become available.
technology; pendency of any dispute that may arise (§ 625(b)(6)(C).)
b. Counseling and guidance, in the implementation of the
including information and support interagency agreement or other 35. The State will use funds provided
services to assist an individual in mechanism for interagency under title VI, part B only to
exercising informed choice consistent coordination. (§ 101(a)(8)(B).) supplement, and not supplant, the
with the provisions of section 102(d) of 31. The State agency conducts an funds provided under title I, in
the Act; annual review and reevaluation of the providing supported employment
c. Referral and other services to secure status of each individual with a services specified in the individualized
needed services from other agencies disability served under this State Plan plan for employment. (§ 625(b)(6)(D).)
through agreements developed under who has achieved an employment 36. Services provided under an
section 101(a)(11) of the Act, if such outcome either in an extended individualized plan for employment
services are not available under this employment setting in a community will be coordinated with services
State Plan; rehabilitation program or any other provided under other individualized
d. Job-related services, including job employment under section 14(c) of the plans established under other Federal or
search and placement assistance, job Fair Labor Standards Act (29 U.S.C. State programs. (§ 625(b)(6)(E).)

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37. To the extent job skills training is Circular A–87 (Revised), 60 FR 26484 Federal funds and amortized with UI
provided, the training will be provided (May 17, 1995), further amended at 62 grants are in UIPL 39–97, dated
on site. (§ 625(b)(6)(F).) FR 45934 (August 29, 1997) (Cost September 12, 1997, and in 29 CFR
38. Supported employment services Principles for State, Local, and Indian 97.31 to the extent amortized with UI
will include placement in an integrated Tribal Governments), and with grants.
setting for the maximum number of administrative requirements for Real Property, Equipment, and
hours possible based on the unique debarment and suspension applicable to Supplies. Real property, equipment, and
strengths, resources, priorities, subgrants or contracts as specified in 29 supplies acquired under prior awards
concerns, abilities, capabilities, CFR part 98 (Debarment and are transferred to this award and are
interests, and informed choice of Suspension). The cost of State staff subject to the relevant regulations at 29
individuals with the most significant travel to regional and national meetings CFR part 97.
disabilities. (§ 625(b)(G).) and training sessions is included in the For super-microcomputer systems and
39. The State will expend not more grant funds. It is assured that State staff all associated components which were
than 5 percent of the allotment of the will attend mandatory meetings and installed in States for the purpose of
State under title VI, part B for training sessions, or unused funds will Regular Reports, Benefits Accuracy
administrative costs of carrying out this be returned. Measurement, and other UI Activities,
part. (§ 625(b)(7).) States that have subawards to the requirements of 29 CFR part 97
40. The supported employment organizations covered by audit apply. The National Office reserves the
supplement to the title I State Plan requirements of OMB Circular A–133 right to transfer title and issue
contains such other information and be (Revised) (Audit Requirements of disposition instructions in accordance
submitted in such manner as the Institutions of Higher Education and with paragraph (g) of Federal
Commissioner of the Rehabilitation Other Non-Profits) must (1) ensure that regulations at 29 CFR 97.32. States also
Services Administration may require. such subrecipients meet the will certify an inventory list of system
(§ 625(b)(8).) requirements of that circular, as components which will be distributed
applicable, and (2) resolve audit annually by ETA.
Unemployment Insurance findings, if any, resulting from such Standard Form 272, Federal Cash
The Governor, by signing the Unified audits, relating to the UI program. Transactions Report. In accordance with
Plan Signature Page, certifies that: (a) The SWA also assures that it will 29 CFR 97.41(c), SESAs are required to
1. The SWA will comply with the comply with the following specific submit a separate SF 272 for each sub-
following assurances, and that the SWA administrative requirements. account under the Department of Health
will institute plans or measures to (i). Administrative Requirements. and Human Services (DHHS) Payment
comply with the following Program Income. Program income is
Management System. However, SESAs
requirements. Because the Signature defined in 29 CFR 97.25 as gross income
are exempt from the requirement to
Page incorporates the assurances by received by a grantee or subgrantee
submit the SF 272A, Continuation
reference into the Unified Plan, States directly generated by a grant supported
Sheet.
should not include written assurances activity, or earned only as a result of the (ii). Exceptions and Expansions to
in their Unified Plan submittal. The grant agreement during the grant period. Cost Principles. The following
assurances are identified and explained States may deduct costs incidental to exceptions or expansions to the cost
in Paragraphs (2)–(11) below. the generation of UI program income principles of OMB Circular No. A–87
2. Assurance of Equal Opportunity from gross income to determine net UI (Revised) are applicable to SESAs:
(EO). As a condition to the award of program income. UI program income
financial assistance from ETA: may be added to the funds committed —Employee Fringe Benefits. As an
(a) The State assures that it will to the grant by ETA. The program exception to OMB Circular A–87
comply with the nondiscrimination income must be used only as necessary (Revised) with respect to personnel
provisions of WIA section 188, and its for the proper and efficient benefit costs incurred on behalf of
implementing regulations at 29 CFR part administration of the UI program. Any SESA employees who are members of
37, including an assurance that a rental income or user fees obtained from fringe benefit plans which do not
Method of Administration has been real property or equipment acquired meet the requirements of OMB
developed and implemented. (§§ 188 with grant funds from prior awards shall Circular No. A–87 (Revised),
and 112(b)(17).); be treated as program income under this Attachment B, item 11, the costs of
(b) The State assures that it will grant. employer contributions or expenses
collect and maintain data necessary to Budget Changes. Except as specified incurred for SESA fringe benefit plans
show compliance with the by terms of the specific grant award, are allowable, provided that:
nondiscrimination provisions of section ETA, in accordance with the For retirement plans, all covered
188, as provided in the regulations regulations, waives the requirements in employees joined the plan before
implementing that section (§ 185).) 29 CFR 97.30(c)(1)(ii) that States obtain October 1, 1983; the plan is authorized
3. Assurance of Administrative prior written approval for certain types by State law; the plan was previously
Requirements and Allowable Cost of budget changes. approved by the Secretary; the plan is
Standards. The SWA will comply with Real Property Acquired with Reed Act insured by a private insurance carrier
administrative requirements and cost Funds. The requirements for real which is licensed to operate this type of
principles applicable to grants and property acquired with Reed Act or plan in the applicable State; and any
cooperative agreements as specified in other non-Federal funds and amortized dividends or similar credits because of
20 CFR part 601 (Administrative with UI grants are in UIPL 39–97, dated participation in the plan are credited
Procedure), 29 CFR part 93 (Lobbying September 12, 1997, and in 29 CFR against the next premium falling due
Prohibitions), 29 CFR part 96 (Audit 97.31 to the extent amortized with UI under the contract.
Requirements), 29 CFR part 97 (Uniform grants. For all SESA fringe benefit plans
Administrative Requirements for Grants Equipment Acquired with Reed Act other than retirement plans, if the
and Cooperative Agreements to State Funds. The requirements for equipment Secretary granted a time extension after
and Local Governments), and OMB acquired with Reed Act or other non- October 1, 1983, to the existing approval

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19248 Federal Register / Vol. 70, No. 69 / Tuesday, April 12, 2005 / Notices

of such a plan, costs of the plan are Circular No. A–87 (Revised), 8. Assurance of Conformity and
allowable until such time as the plan is Attachment B, item 19, the requirement Compliance. The SESA assures that the
comparable in cost and benefits to fringe that grant recipients obtain prior State law will conform to, and its
benefit plans available to other similarly approval from the Federal grantor administrative practice will
employed State employees. At such agency for all purchases of equipment substantially comply with, all Federal
time as the cost and benefits of an (as defined in 29 CFR 97.3) is waived UI law requirements, and that it will
approved fringe benefit plan are and approval authority is delegated to adhere to DOL directives.
equivalent to the cost and benefits of the SESA Administrator. 9. Assurance of Participation in UI
plans available to other similarly 4. Assurance of Management Systems, PERFORMS. The SESA assures that it
employed State employees, the time Reporting, and Record Keeping. The will participate in the annual UI
extension will cease and the cited SESA assures that: PERFORMS State Quality Service
requirements of OMB Circular A–87 —Financial systems provide fiscal Planning process by submitting any
(Revised) will apply. For retirement control and accounting procedures Corrective Action Plans (CAPs) required
plans and all other fringe benefit plans sufficient to permit timely preparation under UI PERFORMS as part of the State
covered above, any additional costs of required reports, and the tracing of Quality Service Planning process.
resulting from improvements to the funds to a level of expenditure 10. Assurance of Financial Reports
plans made after October 1, 1983, are adequate to establish that funds have and Planning Forms. The SESA assures
not chargeable to UI grant funds. not been expended improperly (29 that it will submit financial reports and
—UI Claimant’s Court Appeals Costs. To CFR 97.20).) financial planning forms as required by
the extent authorized by State law, The financial management system and the Department of Labor to support the
funds may be expended for reasonable the program information system provide annual allocation of administrative
counsel fees and necessary court Federally-required reports and records grants.
costs, as fixed by the court, incurred that are uniform in definition, accessible 11. Assurance of Prohibition of
by the claimant on appeals to the to authorized Federal and State staff, Lobbying Costs (29 CFR part 93). The
courts in the following cases: and verifiable for monitoring, reporting, SESA assures and certifies that, in
Any court appeal from an audit, and evaluation purposes. accordance with the DOL
administrative or judicial decision It will submit reports to ETA as Appropriations Act, no UI grant funds
favorable in whole or in part for the required in instructions issued by ETA will be used to pay salaries or expenses
claimant; and in the format ETA prescribes. related to any activity designed to
Any court appeal by a claimant from The financial management system influence legislation or appropriations
a decision which reverses a prior provides for methods to insure pending before the Congress of the
decision in his/her favor; compliance with the requirements United States. (k). Drug-Free Workplace
Any court appeal by a claimant from applicable to procurement and grants as (29 CFR part 98). The SESA assures and
a decision denying or reducing benefits specified in 29 CFR part 98 (Debarment certifies that it will comply with the
awarded under a prior administrative or and Suspension), and for obtaining the requirements at this part.
judicial decision; required certifications under 29 CFR
Temporary Assistance for Needy
Any court appeal as a result of which 98.510(b) regarding debarment,
Families (TANF)
the claimant is awarded benefits; suspension, ineligibility, and voluntary
Any court appeal by a claimant from exclusions for lower tier covered By signing the Unified Plan signature
a decision by a tribunal, board of transactions. page, you are certifying that:
review, or court which was not 5. Assurance of Program Quality. The 1. During the fiscal year, the State will
unanimous; and SESA assures that it will administer the operate a child support enforcement
Any court appeal by a claimant where UI program in a manner that ensures program under the State Plan approved
the court finds that a reasonable basis proper and efficient administration. under part D. (§ 402(a)(2).)
exists for the appeal. ‘‘Proper and efficient administration’’ 2. During the fiscal year, the State will
Reed Act. Payment from the SESA’s includes performance measured by ETA operate a foster care and adoption
UI grant allocations, made into a State’s through Tier I measures, Tier II assistance program under the State Plan
account in the Unemployment Trust measures, program reviews, and the approved under part E, and that the
Fund for the purpose of reducing administration of the UI BAM, BTQ State will take such actions as are
charges against Reed Act funds (Section measures, and TPS program necessary to ensure that children
903(c)(2) of the Social Security Act, as requirements. receiving assistance under such part are
amended (42 U.S.C. 1103(c)(2)), are 6. Assurance on Use of Unobligated eligible for medical assistance under the
allowable costs provided that: Funds. The SESA assures that non- State Plan under title XIX. (§ 402(a)(3).)
The charges against Reed Act funds automation funds will be obligated by 3. Which State agency or agencies will
were for amounts appropriated, December 31 of the following fiscal administer and supervise the TANF
obligated, and expended for the year, and liquidated (expended) within program for the fiscal year, which shall
acquisition of automatic data processing 90 days thereafter. ETA may extend the include assurances that local
installations or for the acquisition or liquidation date upon written request. governments and private sector
major renovation of State-owned real Automation funds must be obligated by organizations have been consulted
property (as defined in 29 CFR 97.3); the end of the 3rd fiscal year, and regarding the plan and design of welfare
and liquidated within 90 days thereafter. services in the State so that services are
With respect to each acquisition or ETA may extend the liquidation date provided in a manner appropriate to
improvement of property, the payments upon written request. Failure to comply local populations; and have had at least
are accounted for as credit against with this assurance may result in 45 days to submit comments on the Plan
equivalent amounts of Reed Act funds disallowed costs from audits or review and the design of such services.
previously withdrawn under the findings. (§ 402(a)(4).)
respective appropriation. 7. Assurance of Disaster Recovery 4. That, during the fiscal year, the
Prior Approval of Equipment Capability. The SESA assures that it will State will provide each member of an
Purchases. As provided for in OMB maintain a Disaster Recovery Plan. Indian tribe, who is domiciled in the

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Federal Register / Vol. 70, No. 69 / Tuesday, April 12, 2005 / Notices 19249

State and is not eligible for assistance —Hatch Act Notices must be placed in grassroots partnerships with local law
under a tribal family assistance plan all work locations. enforcement agencies, local housing
approved under section 412, with —Privacy Statement must be provided authorities, private foundations, and
equitable access to Federally-funded to all participants. other public and private partners to—
assistance under the State’s TANF —ETA–5140—Quarterly Progress Document best practices based on
program (§ 402(a)(5).) Report. successful grassroots intervention in
5. That the State has established and —ETA–8705—Equitable Distribution urban areas, to develop methodologies
is enforcing standards and procedures to Report. for widespread replication; and
ensure against program fraud and abuse, By signing the Unified Plan signature strengthen and improve relationships
including standards and procedures page, you are certifying that you will with local law enforcement agencies,
concerning nepotism, conflicts of abide by the following special clauses: which may include participation in
interest among individuals responsible • Web site contact information must activities such as neighborhood or
for the administration and supervision be updated on a regular basis. community policing efforts.
of the State program, kickbacks, and the • Attendance is required at any 2. The needs of youth in low-income
use of political patronage. (§ 402(a)(6).) significant training to be held during the communities are being met through
6. (Optional) that the State has program year. youth development programs that
established and is enforcing standards • Any recipient that did not meet the support the primary role of the family,
and procedures to: 20 percent performance goal for give priority to the prevention of youth
Screen and identify individuals unsubsidized placements in Program problems and crime, and promote
receiving assistance under this part with Year 2003 or 2004 must attach a increased community coordination and
a history of domestic violence while corrective action plan unless the collaboration in meeting the needs of
maintaining the confidentiality of such recipient has already achieved this goal youth, and support development and
individuals; in Program Year 2004 at the time of expansion of innovative community-
Refer such individuals to counseling application. based youth development programs that
and supportive services; and Community Services Block Grant have demonstrated success in
Waive, pursuant to a determination of (CSBG) preventing or reducing youth crime,
good cause, other program requirements such as—
such as time limits (for so long as By signing the Unified Plan signature Programs for the establishment of
necessary) for individuals receiving page, you are certifying that: violence-free zones that would involve
assistance, residency requirements, 1. Funds made available through the youth development and intervention
child support cooperation requirements, grant or allotment will be used— models (such as models involving youth
and family cap provisions, in cases To support activities that are designed mediation, youth mentoring, life skills
where compliance with such to assist low-income families and training, job creation, and
requirements would make it more individuals, including families and entrepreneurship programs); and
difficult for individuals receiving individuals receiving assistance under After-school child care programs.
assistance under this part to escape part A of title IV of the Social Security There is an effective use of, and to
domestic violence or unfairly penalize Act (42 U.S.C. 601 et seq.), homeless coordinate, other programs related to
such individuals who are or have been families and individuals, migrant or the purposes of this subtitle (including
victimized by such violence, or seasonal farmworkers, and elderly low- State welfare reform efforts).
individuals who are at risk of further income individuals and families, and a 3. There is an effective use of, and to
domestic violence. (§ 402(a)(7)(A)(i), (ii), description of how such activities will coordinate with, other programs related
(iii).) enable the families and individuals— to the purposes of this subtitle
To remove obstacles and solve (including State welfare reform efforts).
Senior Community Service Employment problems that block the achievement of 4. A description is provided on how
Program (SCSEP) self-sufficiency (including self- the State intends to use discretionary
By signing this Unified Plan you also sufficiency for families and individuals funds made available from the
certify that the State agrees to meet the who are attempting to transition off a remainder of the grant or allotment
requirements of or submit the following State program carried out under part A described in section 675C(b) in
documents as applicable, in addition to of title IV of the Social Security Act); to accordance with this subtitle, including
the general ETA requirements for secure and retain meaningful a description of how the State will
receipt of Federal funds: employment; support innovative community and
• General Administrative To attain an adequate education, with neighborhood-based initiatives related
Requirements: particular attention toward improving to the purposes of this subtitle.
literacy skills of the low-income 5. Information is provided by eligible
—29 CFR part 97—Uniform
families in the communities involved, entities in the State, containing—
Administrative Requirements for State A description of the service delivery
which may include carrying out family
and Local Governments (as amended system, for services provided or
literacy initiatives;
by the Act). To make better use of available coordinated with funds made available
—29 CFR part 96 (as amended by OMB income; through grants made under Section
Circular A–133)—Single Audit Act. To obtain and maintain adequate 675C(a), targeted to low-income
—OMB Circular A–87—Cost Principles housing and a suitable living individuals and families in
(as amended by the Act). environment; communities within the State;
• Assurances and Certifications: To obtain emergency assistance A description of how linkages will be
—SF 424—Application for Federal through loans, grants, or other means to developed to fill identified gaps in the
Assistance. meet immediate and urgent family and services, through the provision of
—SF 424A—Budget Information—Non- individual needs; and to achieve greater information, referrals, case management,
construction Programs. participation in the affairs of the and follow-up consultations;
—SF 424 B—Assurances for Non- communities involved, including the A description of how funds made
construction Programs. development of public and private available through grants made under

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19250 Federal Register / Vol. 70, No. 69 / Tuesday, April 12, 2005 / Notices

section 675C(a) will be coordinated with mechanism) of the eligible entity to Region 3—Atlanta
other public and private resources; and petition for adequate representation.
A description of how the local entity Helen Parker, Regional Administrator,
12. The State will require each U.S. Department of Labor/ETA,
will use the funds to support innovative eligible entity in the State to establish
community and neighborhood-based Atlanta Federal Center Rm. 6M12, 61
procedures under which a low-income Forsyth Street, SW., Atlanta, Georgia
initiatives related to the purposes of this individual, community organization, or
subtitle, which may include fatherhood 30303, (404) 562–2092, FAX: 404–
religious organization, or representative 562–2149, parker.helen@dol.gov.
initiatives and other initiatives with the of low-income individuals that
goal of strengthening families and considers its organization, or low- Region 4—Dallas/Denver
encouraging effective parenting. income individuals, to be inadequately
6. Eligible entities in the State will Joseph C. Juarez, Regional
represented on the board (or other Administrator, U.S. Department of
provide, on an emergency basis, for the mechanism) of the eligible entity to
provision of such supplies and services, Labor/ETA, Federal Building, Rm.
petition for adequate representation. 317, 525 Griffin Street, Dallas, Texas
nutritious foods, and related services, as
may be necessary to counteract 13. The State will secure from each 75202, (214) 767–8263, FAX: 214–
conditions of starvation and eligible entity in the State, as a 767–5113, Juarez.joseph@dol.gov.
malnutrition among low-income condition to receipt of funding by the
entity through a community services Region 5—Chicago/Kansas City
individuals.
7. The State and the eligible entities block grant made under this subtitle for Byron Zuidema, Regional
in the State will coordinate, and a program, a community action plan Administrator, U.S. Department of
establish linkages between, (which shall be submitted to the Labor/ETA, 230 S. Dearborn Street,
governmental and other social services Secretary, at the request of the Rm. 628, Chicago, Illinois 60604,
programs to assure the effective delivery Secretary, with the State Plan) that (312) 596–5400, FAX: 312–596–5401,
of such services to low-income includes a community-needs assessment Zuidema.byron@dol.gov.
individuals and to avoid duplication of for the community served, which may
be coordinated with community-needs Region 6—San Francisco/Seattle
such services, and a description of how
the State and the eligible entities will assessments conducted for other Richard Trigg, Regional Administrator,
coordinate the provision of employment programs. U.S. Department of Labor/ETA, 71
and training activities, as defined in 14. The State and all eligible entities Stevenson Street, Rm. 830, San
section 101 of such Act, in the State and in the State will participate in the Francisco, California 94119–3767,
in communities with entities providing Results Oriented Management and (415) 975–4610. FAX: 415–975–4612,
activities through Statewide and local Accountability System, another trigg.richard@dol.gov.
workforce investment systems under the performance measure system for which Attachment B
Workforce Investment Act of 1998. the Secretary facilitated development
8. The State will ensure coordination pursuant to Section 678E(b), or an 1. Unified Plan Activities and Programs
between antipoverty programs in each alternative system for measuring Checklist
community in the State, and ensure, performance and results that meets the Under section 501 of the Workforce
where appropriate, that emergency requirements of that section, and a Investment Act, the following activities
energy crisis intervention programs description of outcome measures to be or programs may be included in a
under title XXVI (relating to low-income used to measure eligible entity State’s Unified Plan. From the list
home energy assistance) are conducted performance in promoting self- below, please place a check beside the
in such community. sufficiency, family stability, and programs and activities your State or
9. The State will permit and cooperate community revitalization. Commonwealth is including in this
with Federal investigations undertaken 15. The information describing how Unified Plan.
in accordance with section 678D. the State will carry out the assurances The State Unified Plan shall cover one
10. Any eligible entity in the State is described in this subsection. or more of the following programs and
that received funding in the previous
Attachment A activities:
fiscal year through a community
services block grant made under this llSecondary vocational education
ETA Regional Administrators
subtitle will not have its funding programs (Perkins III/Secondary).
terminated under this subtitle, or January 2005 Note that inclusion of this program
reduced below the proportional share of requires prior approval of State
Region 1—Boston/New York
funding the entity received in the legislature. (Carl D. Perkins
previous fiscal year unless, after Douglas Small, Regional Administrator, Vocational and Technical Education
providing notice and an opportunity for U.S. Department of Labor/ETA, JFK Act of 1998 (20 U.S.C. 2301 et seq.)
a hearing on the record, the State Federal Building, Room E–350, llPostsecondary vocational education
determines that cause exists for such Boston, Massachusetts 02203, (617) programs (Perkins III/Postsecondary).
termination or such reduction, subject 788–0170, FAX: 617–788–0101, Note that for the purposes of what the
to review by the Secretary as provided Small.Douglas@dol.gov. State Unified Plan shall cover, Perkins
in section 678C(b). III/Secondary and Perkins III/
Region 2—Philadelphia
11. The State will require each Postsecondary count as one program.
eligible entity in the State to establish Lenita Jacobs-Simmons, Regional (Carl D. Perkins Vocational and
procedures under which a low-income Administrator, U.S. Department of Technical Education Act of 1998 (20
individual, community organization, or Labor/ETA, The Curtis Center, 170 U.S.C. 2301 et seq.))
religious organization, or representative South Independence Mall West, Suite llActivities authorized under title I,
of low-income individuals that 825 East, Philadelphia, Pennsylvania Workforce Investment Systems
considers its organization, or low- 19106–3315, (215) 861–5205, FAX: (Workforce Investment Activities for
income individuals, to be inadequately 215–861–5260, Jacobs- Adults, Dislocated Workers and
represented on the board (or other simmons.lenita@dol.gov. Youth, or WIA title I, and the Wagner-

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Federal Register / Vol. 70, No. 69 / Tuesday, April 12, 2005 / Notices 19251

Peyser Act) (Workforce Investment 2. Contact Information indicated for the programs and activities
Act of 1998 (29 U.S.C. 2801 et seq.)) Please complete one copy for EACH of indicated. I will provide subsequent
llActivities authorized under title II, the separate activities and programs changes in the designation of officials to
Adult Education and Family Literacy included in your State Unified Plan. the designated program or activity
(Adult Education and Family Literacy Program: llllllllllllll contact as such changes occur.
Programs) (Workforce Investment Act State Name for Program/Activity: lll I further certify that, for those
of 1998 (20 U.S.C. 9201 et seq.)) Name of Grant Recipient Agency for activities and programs included in this
Program/Activity: llllllllll Plan that are under my jurisdiction, we
The State Unified Plan may cover one
Address: llllllllllllll will operate the programs included in
or more of the following programs and
Telephone Number: lllllllll this Unified Plan in accordance with
activities:
Facsimile Number: lllllllll this Unified Plan and the applicable
llFood Stamp Employment and assurances described in section III of
Training Program, or FSET (7 U.S.C. E-mail Address: lllllllllll
Name of State Administrative Agency (if this Unified Plan.
2015(d)) lllllllllllllllllll
different from the Grant Recipient): ll
llActivities authorized under chapter Typed Name, Title, and Agency of
Address: llllllllllllll
2 of title II of the Trade Act of 1974 Responsible State Official for Vocational
Telephone Number: lllllllll
(Trade Act Programs) (19 U.S.C. 2271 Education
Facsimile Number: lllllllll
et seq.)
E-mail Address: lllllllllll Signature llllllllllllll
llPrograms authorized under part B Name of Signatory Official: lllll Date llllllllllllllll
of title I of the Rehabilitation Act of Address: llllllllllllll Responsible State Official for Eligible
1973 (29 U.S.C. 720 et seq.), other Telephone Number: lllllllll Agency for Vocational Rehabilitation (if
than section 112 of such Act (29 Facsimile Number: lllllllll Applicable)
U.S.C. 732) (Vocational E-mail Address: lllllllllll
Rehabilitation) I certify that for the State/
Name of Liaison: llllllllll Commonwealth of llll, for those
llActivities authorized under Address: llllllllllllll activities and programs included in this
chapters 41 & 42 of title 38, U.S.C., Telephone Number: lllllllll Plan that are under my jurisdiction, the
and 20 CFR 1001 and 1005 (Veterans Facsimile Number: lllllllll agencies and officials designated above
Programs, including Veterans E-mail Address: lllllllllll under ‘‘Contact Information’’ have been
Employment, Disabled Veterans’
3. Plan Signature(s) duly designated to represent the State/
Outreach Program, and Local
Commonwealth in the capacities
Veterans’ Employment Representative Governor (if Applicable) indicated for the programs and activities
Program) As the Governor, I certify that for the indicated. I will provide subsequent
llPrograms authorized under State State/Commonwealth of llll, for changes in the designation of officials to
unemployment compensation laws those activities and programs included the designated program or activity
(Unemployment Insurance) (in in this Plan that are under my contact as such changes occur.
accordance with applicable Federal jurisdiction, the agencies and officials I further certify that we will operate
law which is authorized under title designated above under ‘‘Contact those activities and programs included
III, title IX and title XII of the Social Information’’ have been duly designated in this Unified Plan that are under my
Security Act and the Federal to represent the State/Commonwealth in jurisdiction in accordance with this
Unemployment Tax Act) the capacities indicated for the Unified Plan and the assurances
llPrograms authorized under part A programs and activities indicated. I will described in section III of this Unified
of title IV of the Social Security Act provide subsequent changes in the Plan.
(Temporary Assistance for Needy designation of officials to the designated lllllllllllllllllll
Families (TANF). program or activity contact as such Typed Name, Title, and Agency of
llPrograms authorized under title V changes occur. Responsible State Official for Vocational
of the Older Americans Act of 1965 I further certify that, for those Rehabilitation
(Senior Community Service activities and programs included in this Signature llllllllllllll
Employment Program (SCSEP).) (42 Plan that are under my jurisdiction, we Date llllllllllllllll
U.S.C. 3056 et seq.) Training activities will operate the workforce development
Responsible State Official for Eligible
funded by the Department of Housing programs included in this Unified Plan
Agency for Adult Education (if
and Urban Development under the in accordance with this Unified Plan
Applicable)
Community Development Block and the assurances described in section
Grants (CDBG) and Public Housing III of this Unified Plan. I certify that for the State/
Programs). Note that programs funded lllllllllllllllllll Commonwealth of llll, for those
by the CDBG and Public Housing Typed Name and Signature of Governor activities and programs included in this
programs can only be included in Date llllllllllllllll Plan that are under my jurisdiction, the
your State Unified Plan if the State is agencies and officials designated above
Responsible State Official for Eligible under ‘‘Contact Information’’ have been
the funds recipient, and approval of Agency for Vocational Education (if
the Unified Plan will not trigger duly designated to represent the State/
Applicable) Commonwealth in the capacities
funding for these programs.
I certify that for the State/ indicated for the programs and activities
llCommunity Development Block Commonwealth of llll, for those indicated. I will provide subsequent
Grants activities and programs included in this changes in the designation of officials to
llPublic Housing Plan that are under my jurisdiction, the the designated program or activity
llPrograms authorized under the agencies and officials designated above contact as such changes occur.
Community Services Block Grant Act under ‘‘Contact Information’’ have been I further certify that, for those
(Community Services Block Grant, or duly designated to represent the State/ activities and programs included in this
CSBG) (42 U.S.C. 9901 et seq.) Commonwealth in the capacities Plan that are under my jurisdiction, we

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19252 Federal Register / Vol. 70, No. 69 / Tuesday, April 12, 2005 / Notices

will operate the programs included in lllllllllllllllll Date llllllllllllllll
this Unified Plan in accordance with Typed Name, Title, and Agency of Re- [FR Doc. 05–7175 Filed 4–11–05; 8:45 am]
this Unified Plan and the applicable sponsible State Official for Adult Edu-
BILLING CODE 4510–30–P
assurances described in Section III of cation lllllllllllllll
this Unified Plan. Signature llllllllllllll

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