[Federal Register Volume 62, Number 68 (Wednesday, April 9, 1997)]
[Notices]
[Pages 17204-17207]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 97-8976]
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DEPARTMENT OF LABOR
Employment and Training Administration
Work-Flex Partnership Demonstration Program; Availability
AGENCY: Employment and Training Administration, DOL.
ACTION: Request for Applications for Work-Flex Designation.
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SUMMARY: Applications are invited from States under the Workforce
Flexibility Partnership Demonstration Program (Work-Flex) which is
authorized under the Department of Labor Appropriations Act of 1997
(Pub. L. 104-208). The Secretary may authorize Work-Flex waivers in not
more than six States, of which at least three must have populations not
in excess of 3,500,000, with preference given to those States
designated as Ed-Flex Partnership States under Goals 2000: Educate
America Act (Pub. L. 103-227). Work-Flex designation will be made
pursuant to an application and plan submitted by the State for the
provision of workforce employment and training activities which is
approved by the Secretary.
DATES: The deadline for submittal of applications will be May 30, 1997,
close of business. After that date, applications will be accepted only
if: (1) Fewer than 6 States apply: (2) fewer than 3 States
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with a population under 3,500,000 apply; or (3) fewer than 6 proposals
received by that date are approved by the Secretary.
ADDRESSES: Applications must be submitted to the U.S. Department of
Labor, Employment and Training Administration, Office of Job Training
Programs, 200 Constitution Avenue, N.W., Room N4459, Attention: Work-
Flex Application, Washington, DC 20210.
FOR FURTHER INFORMATION CONTACT:
James M. Aaron, Director, Office of Employment and Training Programs,
200 Constitution Avenue N.W., Washington, DC 20210, (202) 219-5580
(this is not a toll-free number).
SUPPLEMENTARY INFORMATION:
Background
The specific provision authorizing the Work-Flex program is as
follows:
``* * * the Secretary of Labor shall establish a workforce
flexibility (Work-Flex) partnership demonstration program under
which the Secretary shall authorize not more than six States, of
which at least three States shall each have populations not in
excess of 3,500,000, with a preference given to those States that
have been designated Ed-Flex Partnership States under section 311(e)
of Public Law 103-227, to waive any statutory or regulatory
requirement applicable to service delivery areas or substate areas
within the State under titles I-III of the Job Training Partnership
Act (except for requirements relating to wage and labor standards,
grievance procedures and judicial review, non-discrimination,
allotment of funds, and eligibility), and any of the statutory or
regulatory requirements of sections 8-10 of the Wagner-Peyser Act
(except for requirements relating to the provision of services to
unemployment insurance claimants and veterans, and to universal
access to basic labor exchange services without cost to job
seekers), and for a duration not to exceed the waiver period
authorized under section 311(e) of Public Law 103-227, pursuant to a
plan submitted by such States and approved by the Secretary for the
provision of workforce employment and training activities in the
States, which includes a description of the process by which service
delivery areas and substate areas may apply for and have waivers
approved by the State, the requirements of the Wagner-Peyser Act to
be waived, the outcomes to be achieved and other measures to be
taken to ensure appropriate accountability for federal funds.''
The Work-Flex program is a demonstration program under which the
Secretary may grant six States the authority to waive certain statutory
or regulatory requirements applicable to service delivery areas or
substate areas within the State under titles I-III of the Job Training
Partnership Act (JTPA) or sections 8-10 of the Wagner-Peyser Act (W-P
Act). The legislation also contains certain provisions that may not be
waived under the JTPA and the W-P Act. The types of these non-waivable
provisions and the specific provisions are discussed below.
The granting of authority to issue waivers is intended to provide
flexibility to States to enhance the development of a comprehensive
workforce development system and to improve the quality and quantity of
outcomes for persons served. The legislation provides that at least
three of the six States shall have a population not in excess of
3,500,000 and that preference be given to States designated under Ed-
Flex. The States proposal for workforce development system improvement
must provide a description of the process by which service delivery
areas and substate areas may apply for and have waivers approved:
examples of the requirements of JTPA and the requirements of the W-P
Act to be waived; the outcomes to be achieved; and the measures to be
taken to ensure appropriate accountability for Federal funds.
The Department is very interested in working with States within the
statutory authority to make improvements in the workforce delivery
system. To this end, the Department wants the States to know it will
actively consider applications which will assist the State and its
local service delivery structure in implementing workforce delivery
system improvements. The Department of Labor's guiding principles for
reform of the job training systems include:
Individual Opportunity and Customer Choice. Empowering
participants who need employment and training services with the
resources and information needed to make good choices.
Leaner Government. Replacing separate programs with
streamlined systems for youth and adults, organized around the
principles espoused by the School-to-Work and One-Stop concepts.
Greater Accountability. Ensuring a clear focus on results,
not process, through mutually agreed upon improved performance
outcomes.
State and Local Flexibility. Provides States, local
communities and training systems with the freedom to tailor programs to
meet real, locally determined needs.
Strong Private Sector Roles. Ensuring that business, labor
and community organizations are full partners in systems design and
quality assurance.
Finally, the Department wishes to remind the States of the
importance of maintaining programs for the disadvantaged and dislocated
workers, maintaining adequate and comparable reporting and, within the
School-to--Work framework, providing work opportunities, especially
during the summer months, to disadvantaged youth.
Application Requirements and Criteria
1. Who may apply and when may applications be submitted? Any State
may apply for designation as a Work-Flex State. As required under the
legislation and as discussed below, preference will be given to States
designated by the Secretary of Education as Ed-Flex States. Initially,
applications will be received until May 30, 1997. Since the Secretary
may delegate waiver authority to only six States, applications will be
accepted after the date only if: (1) fewer than six States apply; or
(2) fewer than three States apply with a population under 3,500,000 or
(3) fewer than six applications received by May 30 are approved by the
Secretary. Please note that not more than a total of six States will be
designated under Work-Flex. If six applications are approved in FY
1997, no additional designations will be made. If six States are not
designated in FY 1997, and proposed language in the 1998 budget is
approved, additional States up to a total of six may be designated.
Single SDA States with one State-wide SDA/SSA may apply for Work-
Flex designation. In such States, the application must specify the
entity which may request such waivers (typically the SJTCC or portion
thereof which serves as the Private Industry Council). The Department
recommends that States which have a single SDA identify a different
body with responsibility for mailing decisions on requested waivers.
2. What information should be included in a State's Work-Flex
proposal? To be considered for designation as a Work-Flex State, the
Governor must submit an application to the Secretary. This application
must include the following:
a. Plan. A plan for the provision of workforce employment and
training activities for the State. This may be a summary of the State
plan for employment and training activities, but should be in
sufficient detail to describe how the State envisions using the Work-
Flex authority to enhance the development of a comprehensive employment
and training system.
b. JTPA Requirements. A description of the process by which service
delivery areas and substate areas may apply for and have waivers
approved; and
[[Page 17206]]
c. W-P Act Requirements. A description of the specific requirements
in Section 8, 9 and 10 of the W-P Act and applicable regulations to be
waived.
d. Specific Elements to be Addressed. To be responsive to the
above, the application must contain a specific description of the
process and requirements for JTPA and W-P Act waivers (as appropriate),
including:
(1) Identification of the State official designated by the Governor
who would have authority to grant requested waivers, including
documentation that the Governor has granted the official such
authority;
(2) Requirements for application for a waiver by service delivery
areas and substate areas;
(3) Identification of the JTPA requirement(s) for which the
waiver(s) will likely be requested (either specific, if known, or
examples);
(4) Description of the criteria for approval of waivers, including
a description of the process for assuring that waivers proposed for
approval are not prohibited by the provisions of legislation (including
requirements of legislation other than JTPA), or provisions under which
the Work-Flex authority is granted;
(5) Process for providing an opportunity for public review and
comment;
(6) Requirement(s) for identification of improvement in outcomes to
be expected as the result of granting a waiver, including how the
baseline will be established and what data sources will be used;
(7) Measures to be taken to ensure the appropriate accountability
for federal funds and reporting;
(8) Procedures that the State will use to monitor and evaluate the
implementation of waivers by local areas, including the outcomes to be
achieved;
(9) A statement of State legislative, regulatory or other
impediments to administration of the waiver authority sought and
planned State action to resolve such matters; and
(10) Assurance that the State has the capacity to administer the
waiver system.
As provided in the legislation, certain provisions are not subject
to waiver under Work-Flex. For the JTPA, these include requirements
relating to wage and labor standards, grievance procedures, judicial
review, nondiscrimination, allotment of funds and eligibility. Also,
waiver authority must be requested by and granted to service delivery
areas or substate areas. State responsibilities or programs operated
under statewide authority are not subject to waiver under this program.
For example, this includes designation of service delivery areas or
substate areas, the State planning process, the State Education and
Coordination grants under section 123, the Services to Older
Individuals under section 204(d), the Title III funds reserved for
State activities (Governors' Reserve) under section 302(c) and grants
awarded to States with Title III National Reserve Account (NRA) funds.
Note: Some provisions (such as certain State responsibilities)
not subject to waiver under the Work-Flex authority may be eligible
for waiver under the other new statutory or regulatory waiver
authority included in the Appropriations Act. For example, a State
may apply for waivers for State-based programs. Such general waiver
requests may be submitted as part of the Work-Flex proposal or may
be submitted separately. General waiver requests will be reviewed in
the context of the requested Work-Flex authority, but will be
subject to the one-year limit applicable to such general waivers.
For the W-P Act, only the requirements of section 8-10, which
relate to the development, review and approval of State plans,
recordkeeping and reporting may be waived. The law also specifically
excludes from waivers any requirements relating to provision of
services to unemployment insurance claimants and veterans and to
universal access to basic labor exchange services without cost to job
seekers.
(e) Public Consultation and Comment Process. The Department expects
the State to involve the local elected officials, the private industry
councils, and community-based organizations and other stakeholders in
the process when developing the Work-Flex application. Consistent with
the general waiver request, the State must provide interested parties
an opportunity to review and comment on the proposed application. At a
minimum, the following groups must be afforded the opportunity to
review and comment on the proposed application: (1) The State Job
Training Coordinating Council; (2) each house of the State legislature;
(3) local elected officials and Private Industry Councils; (4)
appropriate local education and other public and non-profit agencies in
the service delivery areas; and (5) labor organizations in the area
which represent employees having the skills in which training is
proposed and public sector unions, where they may be affected. Also,
the proposed application must be made reasonably available to the
general public through such means as public hearings and local news
facilities.
The Work-Flex authority is intended to provide States with the
ability to enhance the development of a comprehensive workforce
development system, including implementation of the One-Stop Career
Center system and the School-to-Work system. Another area of importance
is the area of improving both the quality and quantity of outcomes of
individuals served. Both of these will be of substantial importance in
reviewing of proposals requesting the granting of the Secretary's
authority for issuing waivers under Work-Flex.
Criteria for Evaluation of Work-flex Applications
Criteria for evaluation of Work-Flex proposals include:
1. Plan and Outcomes. The extent to which the authority sought will
result in:
a. Improving the outcomes to persons served, and
b. Enhancing implementation of a comprehensive workforce
development system in one or more areas.
The extent to which the authority sought will enhance the
implementation of the One-Stop Career Center system and/or the School-
to-Work system will be major factors in the evaluation of proposals.
2. Responsiveness. The extent to which the application meets the
requirements of the legislation and this Notice for submission of an
application. This includes the quality of the process for reviewing and
approving local applications for waivers and for documenting and
monitoring the results of waivers.
3. Accountability of Funds. Measures to be taken to ensure the
accountability of federal funds, including monitoring, evaluation and
reports.
4. Preference for Ed-Flex States--Tie-Breaking Procedures.
Proposals will be evaluated based on the quality and specificity of the
proposal. In the event that proposals submitted are judged to be
substantially equal, preference will be given to States designated as
Ed-Flex States on or before May 30, 1997.
5. Public Comments. All comments received on the application should
be forwarded with the application to the Department of Labor together
with the State's disposition of such comments.
Conditions
1. Federal Review of Work-Flex Waivers Granted. In applying for
waivers, States must recognize that the impact of the use of Work-Flex
authority to achieve goals and outcomes specified in the State proposal
will be reviewed annually against stated goals. The Department reserves
the right to
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withdraw the authority to issue waivers if: goals specified are not met
for two consecutive years; or the State grants waivers for non-waivable
provisions or for provisions of other legislation not subject to
waiver.
2. Duration and Coverage. Work-Flex authority may be granted for up
to five years. States granted such authority may approve waivers
requested from all service delivery areas or substate areas or from
selected areas.
3. Notification of the Granting of Waivers. States will be required
to submit reports on a semi-annual basis concerning the administration
of the waiver authority and on the accomplishments under this
authority. After one year, annual reporting will be required. States
shall notify the appropriate ETA Regional Administrator of the granting
of a waiver(s) semi-annually. This notification shall include the area
for which the waiver is granted, the provision of legislation and/or
regulation waived and the duration of the waiver.
4. Federal Assistance. States are encouraged to regularly consult
with the ETA Regional Office regarding any matters in which the
discussion and assistance in the Work-Flex administration would be
useful. Because Work-Flex is an important demonstration program with
implications for future job training and employment service delivery,
it is important that Work-Flex be tested to ensure that appropriate
accountability can be maintained. ETA Regional staff will be
responsible for providing information on Work-Flex administration and
implementation. States granted Work-Flex authority are strongly urged
to work closely--on an ongoing basis--with Regional Office staff so
that both the federal and State partners are fully informed on the
status and issues under Work-Flex. States may be asked to participate
with ETA staff in designing and conducting the planned evaluation of
the effectiveness of Work-Flex.
Dated: April 2, 1997.
Raymond J. Uhalde,
Acting Assistant Secretary of Labor.
[FR Doc. 97-8976 Filed 4-8-97; 8:45 am]
BILLING CODE 4510-30-M
