[Federal Register Volume 65, Number 10 (Friday, January 14, 2000)]
[Notices]
[Pages 2463-2489]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 00-811]
[[Page 2463]]
Part II
Department of Labor
_______________________________________________________________________
Employment and Training Administration
_______________________________________________________________________
Workforce Investment Act: Final Unified Planning Guidance; Notice
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Federal Register / Vol. 65, No. 10 / Friday, January 14, 2000 /
Notices
DEPARTMENT OF LABOR
Employment and Training Administration
Workforce Investment Act: Final Unified Planning Guidance
(Developed by the Departments of Labor, Education, Health and Human
Services, Agriculture, and Housing and Urban Development)
ACTION: Notice.
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SUMMARY: On October 6, 1999 the U.S. Departments of Labor, Education,
Health and Human Services, Agriculture, and Housing and Urban
Development published for comment a Proposed Unified Plan Guidance.
During the 60-day comment period, the Departments received 18 comments
from a diverse group of public and private stakeholders and
participants in the workforce investment system. Generally, the
comments reflect an appreciation for the efforts of the Federal
government in developing the guidance. Many commenters felt that the
Guidance will be a useful tool for States both in their preparation of
Unified Plans and in their efforts to coordinate service delivery among
multiple Federal and State programs. Some commenters viewed the
guidance as a good first step, but felt in order to achieve a truly
integrated system, more work is needed on both the Guidance, and on
other critical areas of Workforce Investment Act implementation,
including guidance on common cost allocation, evaluation, planning
cycles and time frames, performance outcomes, reporting, and methods of
service delivery. The Federal partners agree that more needs to be done
and look forward to continuing a working partnership with stakeholders
to achieve these important goals.
Many of the comments and suggestions received have been
incorporated into this final version of the Guidance. Questions have
been removed and replaced by certifications and assurances to ease the
paperwork burden. However, some of the comments reflect certain
misconceptions about the purpose of the Unified Plan Guidance. In light
of these comments, the Federal partners would like to clarify the
following:
This Guidance is not a mandatory format for submission of
Unified Plans. It is simply one approach to preparing a Unified Plan.
If a State chooses not to follow this Unified Planning Guidance, the
State must submit its Unified Plan by meeting the requirements of the
individual programs' planning guidelines.
This Guidance is our first attempt to assist the States in
developing Unified Plans. Currently, it is the only planning approach
that streamlines current non-statutory planning requirements. However,
as the Federal partners work with the States to acquire more experience
with unified planning, we may develop alternative approaches that could
offer greater flexibility and reduce burden.
This Guidance does not, in any way, supercede any of the
provisions and requirements of the underlying authorizing or
appropriations statutes.
In addition, it was designed so that a State following it
will meet those information collection requirements in lieu of
completing the individual program State planning requirements. If a
State chooses not to follow this Unified Planning Guidance, the State
must submit its Unified Plan by meeting the requirements of the
individual programs' planning guidelines.
In order to trigger funding for certain programs included
in the Unified Plan, States may need to submit their plan, whether it
be a unified or individual plan, by April 7, 2000. However, a State is
not precluded from modifying a previously submitted Unified Plan at any
time during the planning cycle, or from submitting a Unified Plan at a
later date. For example, it would be entirely appropriate for a State
to add programs in subsequent years, as the Unified Plan matures and
States incorporate refinements in their plans.
Unified Plans are not required annually. For each program
included in the Unified Plan, States should consult the underlying
statute to assess whether annual planning requirements apply, and the
appropriate duration of the planning cycle.
One major change made based on the public comments relates to the
programs administered by the U.S. Department of Housing and Urban
Development (HUD). While the statute specifies that States may submit a
Unified Plan that includes ``training activities'' carried out by HUD,
for a number of reasons, the Federal Partners agree that the unique
nature of HUD's training activities warrants special treatment in a
Unified Plan. As pointed out in the comments, HUD's relevant State
formula grant programs are not specifically employment and training
programs. These grant programs authorize a wide range of allowable
activities, and training activities account for only about 5 percent of
HUD expenditures. Commenters noted that because of statutory
constraints, in order to trigger HUD funding, the Unified Plan would
have to include dozens of housing questions that are not directly
related to workforce development. Commenters also noted that HUD
programs are funded and implemented predominantly through local
entities, rather than States.
Accordingly, the Federal Partners agreed that the revised Unified
Plan guidance would provide for informal inclusion of HUD's programs.
Since HUD programs are generally funded and implemented through local
communities, and HUD's relevant State formula grant programs are not
specifically employment and training programs, States that follow the
final Unified Plan guidance will not trigger funding for HUD's formula
programs through their Unified Plans. However, to encourage States to
think strategically about developing a comprehensive workforce
investment system--including how that system relates to the housing and
workforce investment needs of the population receiving housing
assistance--the final guidance includes references to HUD customers and
services, as well as local housing agencies, in the overarching
questions pertaining to the Unified Plan's vision and goals, One-Stop
service delivery, and needs assessment.
Finally, some of the commenters provided valuable suggestions that
we believe may be useful to States in preparing Unified Plans. In the
interest of providing as streamlined a model as possible, we chose not
to incorporate the suggestions in the Guidance itself, but provide them
here for your consideration:
Provide a description of how linkages between the State
Rehabilitation Council and the State Workforce Investment Boards could
be accomplished. [See Section II.E(1)(c)]
Describe how your State will improve its technical and
staff capacity to provide services to customers and improve entered
employment outcomes in accordance with Section 3(a) of the Wagner-
Peyser Act.
Include a ``sunshine'' assurance that the public has
access to State and local board meetings, and information on board
activities, membership, and minutes.
FOR FURTHER INFORMATION CONTACT: Mr. Eric Johnson, U. S. Department of
Labor, Employment and Training Administration, Office of Workforce
Security, 200 Constitution Avenue, NW, Room S-4231, Washington, DC
20210. Telephone 202-219-7831 (voice) (This is not a toll free number)
or 1-800-326-2577 (TDD). Information may also be found at the website--
http://usworkforce.org.
Paperwork Reduction Act
The Department of Labor cannot reasonably comply with the normal
clearance procedures because (a) public harm is reasonably likely to
result
[[Page 2465]]
if normal clearance procedures are followed; and, (b) the public needs
the maximize time available to adhere to the guidance provided herein.
Therefore, the 30-day public comment period has been waived for the
State Unified Plan Planning Guidance. OMB has approved the information
collection requirements under OMB control number 1205-0407. The
approval expiration date is January 31, 2003. Persons are not required
to respond to the collection of information unless it displays a
currently valid OMB control number. Public reporting burden for this
collection of information is estimated to average 335 hours per
response, including the time for reviewing instructions, searching
existing data sources, gathering and maintaining the data needed, and
completing and reviewing the collection of information. Send comments
regarding this burden estimate or any other aspect of this collection
of information, including suggestions for reducing this burden, to
Dolores Hall-Beran, U.S. Department of Labor, Employment and Training
Administration, Office of Workforce Security, Division of One-Stop
Operations, 200 Constitution Avenue, NW, Room S-4231, Washington, DC
20210.
Dated: January 7, 2000.
Raymond J. Uhalde,
Deputy Assistant Secretary, Employment and Training Administration.
The text of the final guidance is reprinted as follows:
BILLING CODE 4510-30-P
[GRAPHIC] [TIFF OMITTED] TN14JA00.000
BILLING CODE 4510-30-C
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State Unified Plan Planning Guidance
A. Statement of Purpose
The purpose of this document is to provide guidance to States which
submit a State Unified Plan authorized by Title V, Section 501 of the
Workforce Investment Act of 1998 (WIA). The State Unified Plan Planning
Guidance facilitates the development and submission of such a plan,
which addresses two or more of the programs or activities specified at
Section 501(b)(2). Please note that this document provides a model the
State may choose to follow, but is not required to follow, in
developing unified plans.
B. Background
President Clinton signed the Workforce Investment Act of 1998 (WIA)
and the Carl D. Perkins Vocational and Technical Education Act of 1998
(Perkins III) into law on August 7, 1998, and October 31, 1998,
respectively. These Acts will have a major impact on the Nation's
education and workforce investment systems. Implementation requires
collaboration at the Federal, State, and local levels to create a more
comprehensive, customer-focused workforce investment system.
C. Section 501 Programs and Activities
Below is a listing of the programs and activities covered in
Section 501 of WIA, along with the commonly used name. In this
document, we generally refer to the activities and programs by their
commonly used names. Should State staff need information on the
programs listed, a staff contact is provided here also.
Secondary Vocational Education programs (Perkins III/
Secondary) Note that inclusion of this program in the unified plan
requires prior approval of State legislature. Administered by
Department of Education, Office of Vocational and Adult Education.
Staff Contact: Jon Weintraub: 202-205-5602 (phone); 202-260-9183
(fax) (E-mail: jon__weintraub@ed.gov).
Postsecondary Vocational Education programs (Perkins III/
Postsecondary) Administered by Department of Education, Office of
Vocational and Adult Education.
Staff Contact: Jon Weintraub: 202-205-5602 (phone); 202-260-9183
(fax) (E-mail: jon__weintraub@ed.gov).
Tech-Prep Education (Title II of Perkins III) Administered
by Department of Education, Office of Vocational and Adult Education.
Staff Contact: Jon Weintraub: 202-205-5602 (phone); 202-260-9183
(fax) (E-mail: jon__weintraub@ed.gov).
Activities authorized under Title I, Workforce Investment
Systems (Workforce Investment Activities for Adults, Dislocated Workers
and Youth, or WIA Title I) Administered by Department of Labor,
Employment and Training Administration.
Staff Contact: Eric Johnson: 202-219-7831 (phone); 202-219-8506
(fax) (E-mail: ejohnson@doleta.gov).
Activities authorized under Title II of WIA, Adult
Education and Family Literacy (Adult Education and Family Literacy
Programs) Administered by Department of Education, Office of Vocational
and Adult Education.
Staff Contact: Jon Weintraub: 202-205-5602 (phone); 202-205-260-
9183 (fax) (E-mail: jon__weintraub@ed.gov).
Food Stamp Employment and Training Program, or FSET
Administered by USDA, Food and Nutrition Service.
Staff Contact: Michael Atwell: 703-305-2449 #2062 (phone); 703-305-
2486 (fax) (E-mail: [email protected]).
Activities authorized under chapter 2 of title II of the
Trade Act of 1974 (Trade Act Programs) Administered by Department of
Labor, Employment and Training Administration.
Staff Contact: Curtis Kooser: 202-219-4845 (phone); 202-219-5753
(fax) (E-mail: ckooser@doleta.gov).
Programs authorized under the Wagner-Peyser Act
(Employment Service) Administered by Department of Labor, Employment
and Training Administration.
Staff Contact: Alison Pasternak: 202-219-9092 (phone); 202-219-6643
(fax) (E-mail: apasternak@doleta.gov).
Programs authorized under Part B of title I of the
Rehabilitation Act of 1973, other than Sec. 112 of such Act (Vocational
Rehabilitation) Administered by Department of Education, Rehabilitation
Services Administration.
Staff Contact: Jerry Abbott: 202-205-5443 (phone); 202-205-9340
(fax) (E-mail: jerry_abbott@ed.gov).
Programs authorized under chapters 41 and 42 of Title 38,
USC, and 20 CFR 1001 and 1005 (Veterans Programs, including Veterans
Employment, Disabled Veterans' Outreach Program, and Local Veterans'
Employment Representative Program) Administered by Department of Labor,
Veterans' Employment and Training Service.
Staff Contact: Effie Baldwin: 202-693-4742 (phone); 202-693-4755
(fax) (E-mail: Baldwin-Effie@dol.gov).
Programs authorized under State unemployment compensation
laws (Unemployment Insurance) Administered by Department of Labor,
Employment and Training Administration.
Staff Contact: William Coyne: 202-219-5223 #142 (phone); 202-219-
8506 (fax) (E-mail: wcoyne@doleta.gov).
Programs authorized under part A of title IV of the Social
Security Act (Temporary Assistance for Needy Families (TANF), and
Welfare-to-Work (WtW)) TANF administered by Health and Human Services,
Administration for Children and Families.
Staff Contact: Robert Shelbourne: 202-401-5150 (phone); 202-205-
5887 (fax) (E-mail: rmshelbourne@acf.dhhs.gov) WtW administered by
Department of Labor, Employment and Training Administration.
Staff Contact: Libby Queen: 202-219-0024 (phone); 202-219-0312
(fax) (E-mail: lqueen@doleta.gov).
Programs authorized under title V of the Older Americans
Act of 1965 (Senior Community Service Employment Program, or SCSEP)
Administered by Department of Labor, Employment and Training
Administration.
Staff Contact: Robert Lunz: 202-219-8502 (phone); 202-219-6338
(fax) (E-mail: rlunz@doleta.gov).
Training activities funded by the Department of Housing
and Urban Development under the Community Development Block Grants
(CDBG) and Public Housing Programs).1
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\1\ While HUD programs may be included in a unified plan,
following this Unified Planning Guidance and approval of a Unified
Plan will not trigger funding for those programs.
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Staff Contact: Deborah Greenstein: 202-708-1520 #5923 (phone); 202-
708-0573 (fax) (E-mail: Deborah__Greenstein@hud.gov).
Programs authorized under the Community Services Block
Grant Act (Community Services Block Grant, or CSBG) Administered by
Health and Human Services, Administration for Children and Families.
Staff Contact: Margaret Washnitzer: 202-401-2333 (phone); 202-401-
5718 (fax) (E-mail: mwashnitzer@acf.dhhs.gov).
While the statute specifies that States may submit a Unified Plan
that includes ``training activities'' carried out by HUD, for a number
of reasons, the Federal Partners agree that the unique nature of HUD's
training activities warrants special treatment in a Unified Plan.
Accordingly, the final Unified Plan guidance provides for informal
[[Page 2467]]
inclusion of HUD's programs. Since HUD programs are generally funded
and implemented through local communities, and HUD's relevant State
formula grant programs are not specifically employment and training
programs, States that follow the final Unified Plan guidance will not
trigger funding for HUD's formula programs through their Unified Plans.
However, to encourage States to think strategically about developing a
comprehensive workforce investment system--including how that system
relates to the housing and workforce investment needs of the population
receiving housing assistance--the final guidance includes references to
HUD customers and services, as well as local housing agencies, in the
overarching questions pertaining to the Unified Plan's vision and
goals, One-Stop service delivery, and needs assessment.
D. Questions and Answers
1. What Is a State Unified plan?
One of the most innovative reforms introduced by WIA is the State
unified plan, which creates a new opportunity to maximize joint
planning and coordination among programs and activities. States have
the option of submitting a single plan for up to 16 Federal education
and training programs. This unified plan may include the programs and
activities set forth in Title V of WIA at Section 501(b)(2). The
Departments of Agriculture (USDA), Education (DEd), Health and Human
Services (DHHS), Housing and Urban Development (HUD), and Labor (DOL)
are responsible for administering these programs and activities.
The five titles of the Workforce Investment Act reform Federal
employment, adult education, and vocational rehabilitation programs and
create a new, comprehensive workforce investment system which is
customer focused. Some of WIA's key principles are streamlining
services, empowering individuals, universal access, increased
accountability, integrated and coordinated services, State and local
flexibility, and improved youth programs. WIA helps Americans access
the tools they need to manage their careers through information and
high quality services, and helps U.S. companies find skilled workers.
Title I authorizes a variety of employment and training programs
superseding the Job Training Partnership Act; Title II contains the
Adult Education and Family Literacy Act; Title III amends the Wagner-
Peyser Act to require that Employment Service/Job Service activities
become part of the ``One-Stop'' system and Title IV includes the
Rehabilitation Act Amendments of 1998. Title V contains the authority
for the State unified plan and other general provisions. States may
also include Perkins III in a unified plan. Perkins III supports
reforms and improvement activities in vocational and technical
education to improve student achievement and preparation for
postsecondary education, further learning, and careers.
2. What Is the Purpose of the State Unified Plan Option?
Building on the requirements in WIA Titles I and II that States
develop five-year plans, this option encourages States toward program
coordination through a unified planning process. A number of States
across the country have been pioneers in coordinating the multitude of
Federally-funded programs to maximize the resources available to their
citizens. As reinvention efforts proceed in governmental organizations,
creativity is needed at all levels--local, State, and Federal. In order
to effectively implement WIA, a collaboration clearly focused on
customer service, cutting red tape, and performance partnership must be
built and maintained.
The Federal partners recognize that the development of State
unified plans presents a unique challenge: while coordinating planning
activities across department and agency lines, States are not relieved
of meeting the Federal statutory requirements for each of the programs
and activities they include in the unified plan. This planning guidance
and the accompanying instructions were developed to enhance the quality
of that planning process and make it less burdensome. We have attempted
to reduce the burden by eliminating duplicative requirements and
finding common elements among the planning guidance for each of the
programs and activities included in Section 501. This document reflects
the efforts of the Federal agencies to identify areas of overlap.
States may use this guidance as an alternative to the individual plan
guidance developed by Federal agencies for each of the Federal programs
that may be included in a unified plan. The plans for each program
submitted as a part of a unified plan will, of course, be reviewed to
be sure that their content meets the requirements of the statute
authorizing the program.
3. How Is This Guidance Related to State Planning Guidance Documents
Which the Federal Agencies Have Already Published for the Programs and
Activities Listed Above?
The Departments of Agriculture, Education, Health and Human
Services, Housing and Urban Development, and Labor, and the Office of
Management and Budget, jointly developed this planning document. For
States submitting a unified plan, this document is an alternative to
previously issued planning guidance for programs and activities
included in the plan. (However, the unified plan will not trigger
funding for or replace planning guidance pertinent to the broader grant
programs under which training activities administered by the Department
of Housing and Urban Development may be funded.) Please note that this
document provides a model the State may choose to follow, but is not
required to follow, in developing unified plans. However, following
this model application will reduce burden on the State and ensure that
the State has sufficiently met the information collection requirements
in lieu of completing the individual program State planning
requirements.
Materials related to funding, such as jointly executed funding
instruments, grant agreements, or Governor/Secretary Agreements, items
such as negotiated corrective action plans and program specific
amendments are not considered planning materials for purposes of WIA
Sec. 501(c)(2). WIA's State unified plan provisions do not allow any
specific statutory requirements to be superseded. For example, if a
program has a statutory requirement for an annual plan, inclusion in a
unified plan would not change that program's plan to a five-year plan
nor would inclusion in the unified plan change the requirement to
negotiate new performance levels and amend the unified plan to reflect
these as required by such programs as Perkins III, AEFLA, and Title I
of WIA. Funds provided under each program included in a unified plan
must be used in accordance with the program's statutory and regulatory
requirements.
This document also provides the ``Unified Planning Guidance'' cited
in DOL's State Planning Guidance for submission of the strategic five-
year State plan for Title I of WIA and the Wagner-Peyser Act under
option four. Section 661.240 of WIA interim final regulations,
published on April 15, 1999, addresses the State unified plan
provisions as they apply to DOL programs. If a State chooses not to
follow this Unified Planning Guidance,
[[Page 2468]]
the State must submit its Unified Plan by meeting the requirements of
the individual programs' planning guidelines.
4. What Is Planning in the State Unified Plan Context?
Submission of a unified plan signals the State's determination to
use Federal resources efficiently by looking across programs to
identify coordination opportunities. For instance, given a mix of
performance measures and programs, the State would decide what
resources from each program can best respond to a given performance
measure.
The unified planning process also balances the desire for States to
achieve WIA's strategic planning objectives with the need to
demonstrate compliance with the statutory and regulatory requirements
for each of the programs in the unified plan. The Federal partners
recognize that joint planning is a time-consuming and difficult
endeavor. The unified plan option may accrue several benefits to
States:
Improved customer service, based on a holistic approach to serving
customers which facilitates non-duplication of services and reaches new
client groups.
Improved strategic planning, reflecting the sharing of knowledge at
the State level concerning a wide range of programs and resources.
Increased computer and information technology (IT) system
networking, providing the opportunity to learn about other and new IT
systems and to promote the integrated use of technology.
Burden reduction, achieved through non-duplication of efforts and
the need for less paper as opportunities for boilerplate language and
certifications are identified.
Increased coordination at the local level, as the State fosters
seamless services, through the coordination of education, training and
employment resources and the provision of critical ancillary services.
Improved use of State and Federal resources, leading to greater
effectiveness and efficiency.
5. What Is a Consolidated Education Plan?
Another significant Federal initiative which encourages States
toward integrated planning is the Department of Education's option for
Consolidated Education Plans. Section 14302 of the Elementary and
Secondary Education Act (ESEA), as reauthorized by Title I of the
Improving America's Schools Act, allows State Education Agencies (SEAs)
to apply for funding for Perkins III and a number of Federal elementary
and secondary education formula grant programs through a single,
simplified consolidated plan, rather than through separate funding
applications or plans. An SEA may consolidate administrative funds
under the specified programs, but may not commingle program funds.
States that are interested in pursuing the option of submitting a
consolidated plan for Perkins III funding should contact the Division
for Vocational and Technical Education at the U.S. Department of
Education.
6. What Does WIA Require for the State Unified Plan?
Programs Included: According to Title V of WIA, the State may
develop and submit a State unified plan for two or more of the
activities and programs listed at Section 501. Your State unified plan
must include at least one program from (a) through (d). These programs
are listed below.
Section 501(b)(1) requires all State unified plans to cover one or
more of the following programs and activities:
(a) Perkins III/Secondary.
Note: Secondary vocational education programs may only be
included with prior approval of the State legislature.
(b) Perkins III/Postsecondary.
Note: For the purposes of what the State unified plans cover,
Perkins III/Secondary and Perkins III/Postsecondary count as one
program.
(c) Workforce Investment Activities for Adults, Dislocated Workers
and Youth, or WIA Title I and Wagner-Peyser Act.
Note: If the unified plan covers programs authorized under WIA
Title I, then it must also cover programs authorized under the
Wagner-Peyser Act.
(d) Adult Education and Family Literacy Programs.
The State unified plan may cover one or more of the following
activities:
(e) Food Stamp Employment & Training Program (FSET).
(f) Work programs authorized under Sec. 6(o) of the Food Stamp Act
of 1977.
(g) Trade Act Programs.
(h) Vocational Rehabilitation.
(i) Veterans Programs, including Veterans Employment, Disabled
Veterans' Outreach Program, and Local Veterans' Employment
Representative Program.
(j) Unemployment Insurance.
(k) Temporary Assistance for Needy Families (TANF).
(l) Welfare-to-Work.
(m) Senior Community Service Employment Program (SCSEP).
(n) Training activities funded by the Department of Housing and
Urban Development.
Note: Training programs funded under CDBG and Public Housing may
be included in your State Unified Plan if the State is the funds
recipient, but following this unified planning guidance will not
trigger funding for these programs.
(o) Community Services Block Grant (CSBG).
States may include additional programs in their unified plans that
do not appear on this list. For example, the Department of Health and
Human Services' Child Care Development Fund (CCDF) may be included.
However, States should contact the applicable Federal agencies and
carefully review the statutory and regulatory provisions governing
these additional programs to determine whether any impediments exist to
their inclusion in the unified plan. The statutory and regulatory
program and planning requirements for such programs remain in place and
are not superceded by the WIA Unified Planning requirements.
In addition, you may submit your application for funding under the
Tech-Prep program authorized by Title II of Perkins III as part of the
unified plan.
Coordination: In addition to meeting the statutory requirements as
outlined in Section II-H of Attachment A for each program included in
the State unified plan, a State unified plan must include: (1) a
description of the methods used for joint planning and coordination of
the programs and activities included in the unified plan, and (2) an
assurance that the methods included an opportunity for the entities
responsible for planning or administering such programs and activities
to review and comment on all portions of the unified plan.
Jurisdiction: The appropriate Secretary has the authority to
approve the portion of the State unified plan relating to the activity
or program over which the appropriate Secretary exercises
administrative authority. Once the appropriate Secretary approves the
portion of the plan relating to the activity or program, that program
may be implemented by the State under the applicable portion of the
State unified plan. A State that submits a unified plan covering an
activity or program that is approved is not required to submit any
other plan or application as a condition to receive funds under that
Federal statute. However, as noted above, inclusion of a particular
program in the State unified plan does not remove the statutory
requirement for certain programs, such as Perkins III, to amend a plan
to reflect newly negotiated performances levels.
Approval by the Appropriate Secretaries (The term ``appropriate
[[Page 2469]]
Secretary'' means the head of the Federal agency who exercises
administrative authority over an activity or program.)
In General: A portion of the State unified plan covering an
activity or program described in Section 501 that is submitted to the
appropriate Secretary under this section is considered to be approved
by the appropriate Secretary at the end of the 90-day period beginning
on the day the appropriate Secretary receives the portion, unless the
Secretary makes a written determination, during the 90-day period that:
(1) the portion is not consistent with the requirements of the Federal
statute authorizing the activity or program including the criteria for
approval of a plan or application, if any, under such statute, or (2)
the plan is not consistent with the coordination requirements listed
above regarding joint planning and the opportunity for each entity to
review and comment on all portions of the unified plan.
Criteria for approval of the State unified plan, relating to
activities carried out under title I or II of WIA or under the Carl D.
Perkins Vocational and Technical Education Act, includes a requirement
for agreement between the State and the appropriate Secretary regarding
State performance measures, including levels of performance.
7. How Can Local Input Improve the Unified Planning Process?
While WIA only requires the involvement of State Board and Local
Boards in the planning and coordination of the programs and activities
authorized under Title I, the intent of the unified plan approach is to
enable all the relevant parties in an area, if they so choose, to come
together more readily to coordinate their activities in the best
interests of the population to be served. However if coordination is
achieved, nothing in the unified plan or in WIA itself permits a Board
or any other entity to alter the decisions made by another program
grantee in accord with that grantee's statutes.
Local stakeholders can play an important role in informing the
State unified planning process, customizing the system to respond to
local labor market needs. Chief elected officials, local boards, local
education agencies, institutions of higher education, the business
community, community-based organizations, representatives of special
populations, service providers and other stakeholders can assist State
planners in identifying needs, objectives and appropriate collaborative
strategies for attaining them. Consulting these stakeholders during the
development of the unified plan would help ensure that the State's plan
is broad enough to encompass different State and local approaches, yet
specific enough to reflect local visions, needs, and economic
development strategies.
E. Submission Options for State Unified Plans
1. Submission of the Unified Plan
States have the option of submitting a unified plan under Section
501 of the Workforce Investment Act of 1998 either in an electronic or
hard-copy format. Incorporated in these options are new options for
States to submit their unified plan to a single contact point. Several
submission options are discussed in this notice. We strongly urge each
State to submit its unified plan in electronic format so as to reduce
burden and to ensure the timely receipt and review of the plan by the
Federal agencies whose programs are included in the plan.
2. Submission Options
We are offering States four streamlined options for submitting
their unified plans; three for electronic submission and one for hard-
copy submission. These options are in addition to the option for a
State to submit a hard copy of the unified plan to each Federal agency
whose programs are included in the unified plan.
(a) Electronic Submission Options
A State can submit its unified plan electronically either by: (1)
posting it on an Internet web site which then can be accessed by the
Federal agencies whose programs are included in the unified plan; (2)
transmitting it by electronic mail to the Department of Labor, which,
as the State Unified Plan Review Process Coordinator (Coordinator),
will be responsible for distributing the electronic plan to each
Federal agency affected; or (3) transmitting it by electronic mail
directly to the Federal Departments whose programs are included in the
plan. Information regarding the use of each of these three electronic
options is provided in this notice.
(b) Streamlined Paper Submission Option
A State can choose to submit its unified plan in hard-copy by
mailing one copy to the Coordinator, rather than mailing one copy to
each program(s) included in the unified plan.
3. Processes for Electronic Submission
If a State chooses to submit its unified plan by transmitting
documents via electronic mail, we request that the submission be in
either WordPerfect or Microsoft Word (PC format, or an ASCII text file)
to accommodate the technological capabilities of the various Federal
agencies that will be recipients of the unified plan. If a State
chooses to use a software program other than WordPerfect or Microsoft
Word for the entire unified plan or for portions of the unified plan,
it will be necessary for the State to submit those components of the
unified plan in hard-copy using the instructions provided later in this
notice for hard-copy submissions. In this instance, the agency's 90-day
period for the review of the plan will not start until all components
of the plan have been integrated and received by the affected Federal
agencies.
We believe that each of the options for electronic submission will
significantly reduce the burden on the States and ensure the timely
start of the plan review and approval process. State plan
certifications with electronic signatures will be acceptable. If a
State does not have the capacity to produce electronic signatures, then
the signature page must be submitted in hard-copy. Information on where
to submit the signature page can be found in the section of this notice
that describes the option for the submission of plans in a hard-copy
format. The Office of Management and Budget or individual agencies may
issue additional guidance concerning the acceptable format and mode of
transmission for electronic signatures.
We encourage each State to include a table of contents at the
beginning of its State unified plan so as to facilitate access to its
various components. Within 48 hours of the receipt of the plan on a
work day the Coordinator will confirm to the State receipt of the
unified plan and indicate the date for the start of the 90-day review
period. The electronic mail address for the Coordinator (Dolores H.
Beran) is dberan@doleta.gov. The Coordinator may be contacted by phone
at 202-219-8395, ext. 143.
Electronic Option 1: Posting Plans on an Internet Web Site
We believe that this approach offers the best opportunity to
dramatically reduce both process and paperwork burden on the States and
to ensure the timely review of the unified plan. Under this option, a
State need only post its unified plan on an Internet web site; inform,
through electronic mail, the Coordinator of the documents location on
the web site; provide contact information in the event of problems with
accessing the web site; and certify that no changes will be made to the
version of the plan posted on the web site after it is submitted,
unless the
[[Page 2470]]
changes have been approved by the reviewing agency. It is the
responsibility of the designated State agency to circulate the
modifications among the other agencies that may be affected by the
changes. The Coordinator will provide the web site location information
to all the other Federal agencies whose programs are included in the
unified plan so that they can access the unified plan for review.
Electronic Option 2: Submitting Plans to the Coordinator of the State
Unified Plan Review Process
A second option is to send the entire unified plan by electronic
mail directly to the Coordinator, who will ensure that the other
Federal agencies whose programs are included in the unified plan
receive the electronic version of the unified plan. Again, this
approach will significantly reduce burden on the States and contribute
to the timely start of the 90-day period for the review of the unified
plan.
Electronic Option 3: Submitting Plans to the Federal Departments Whose
Programs Are Included in the Plan
A third option is for a State to submit its unified plan by
electronic mail directly to each Federal Department whose programs are
included in the unified plan. To reduce burden on the States, the
unified plan need be sent only to the designated Federal Departmental
State Unified Plan Contact (hereafter, Departmental Contact). The
Departmental Contact will be responsible for ensuring that affected
agencies and appropriate Regional Offices in that Department receive
electronic versions of the unified plan. For example, if a unified plan
contains plans for both the Vocational Rehabilitation and the
Postsecondary Vocational Education programs, both of which are
administered by different agencies within the United States Department
of Education, the State need only submit the plan to the U.S.
Department of Education once. Electronic mail addresses for the
Departmental Contacts are as follows:
Department of Labor: dberan@doleta.gov
Department of Education: Jerry__Abbott@ed.gov
Department of Health and Human Services: rmshelbourne@acf.dhhs.gov
Department of Agriculture: Michael__Atwell@fns.usda.gov
Department of Housing and Urban Development:
Deborah__Greenstein@hud.gov
Within 24 hours of notification of receipt of the plan by all of
the affected Federal agencies, the Coordinator will notify the State
and the agencies to the start of the 90-day period for the review of
the unified plan.
4. Hard Copy Submission
If a State is unable or chooses not to submit its unified plan
electronically, the State can submit one copy of the unified plan to
the Coordinator or submit the unified plan in the traditional manner
separately to the designated contact for each activity or program
included in the unified plan. We encourage States to submit unbound
plans so as to facilitate their duplication.
Submitting the plan in hard-copy to the Coordinator rather than to
each activity or program included will entail additional steps before
the affected Federal agencies whose programs are included in the
unified plan receive the unified plan for review. These additional
steps could delay the start of an agency's 90-day period for the review
of the unified plan. Based on our experiences to date with respect to
unified plans submitted in hard-copy, a State can anticipate a delay of
up to 7 to 10 working days in the start of the 90-day review period so
as to accommodate the receipt, cataloging, duplication and distribution
of the unified plan to the affected Federal agencies, some of which
review the plan in the Regional Offices. Each State is thus encouraged
to submit its unified plans in an electronic format to facilitate
timely reviews.
For States that choose to submit a hard copy to the Coordinator,
the Coordinator will notify the State within 10 working days of receipt
of the unified plan as to the start of the 90-day period for the review
of the unified plan. The mailing address for the Coordinator is:
Dolores Beran, Coordinator of the State Unified Plan Review Process,
United States Department of Labor, 200 Constitution Avenue, NW, Room S-
4231, Washington, D.C. 20210. The Coordinator can be reached by
telephone at (202) 219-8395, ext. 143, or by e-mail at
dberan@doleta.gov.
F. How To Use ``Attachment A: Instructions''
1. Forms for State Use
At the beginning of Attachment A: Instructions, you will find four
forms for use in submitting your State Unified Plan. These forms are
available for electronic download, along with this entire guidance, at
http://www.usworkforce.org>.
Unified Plan Activities and Programs Checklist: Please
provide a list of the Section 501 programs and activities you have
included in your Plan. Use of this specific format is optional.
Contact Information: Please provide the contact
information requested for each of the Section 501 programs and
activities that you have included in your plan. Programs and activities
may be combined on one form if they have the same contact information.
Use of this specific format is optional.
Plan Signature(s): Please provide the required signatures
as appropriate for the programs and activities you have included in
your State Unified Plan. Use of this specific format is optional, but
the wording on your signature page must be identical to that provided
here.
2. Program Descriptions
Please respond fully to the general questions in the program
descriptions section, as well as the additional questions that relate
to the programs and activities that are included in your State's
unified plan.
3. Certifications and Assurances
By signing the signature page(s), you are assuring or certifying
those items in the Certifications and Assurances section that apply to
the programs and activities you have included in your State's unified
plan.
G. Modifications
Plan modifications must be submitted to the appropriate Federal
agency, in accordance with the procedures of the affected agency. It is
the responsibility of the designated State agency to circulate the
modifications among the other agencies that may be affected by the
changes. As noted above, inclusion of a particular program in the State
unified plan does not remove the statutory requirement for certain
programs to annually review the plan and submit amendments as needed or
to amend a State plan to reflect newly negotiated performance levels.
H. Inquiries
General inquiries about the State unified plan process may be
directed to the Coordinator of the State Unified Plan Review Process.
The electronic mail address for the Coordinator (Dolores H. Beran) is
dberan@doleta.gov. The Coordinator may be contacted by phone at 202-
219-8395, ext. 143. Inquiries related to specific activities and
programs can be directed to the staff contacts listed above in Section
C of this Guidance.
[[Page 2471]]
I. Submission Date
States may submit unified plans at any time up until April 7,
2000.2
---------------------------------------------------------------------------
\2\ Please note that for programs administered by OVAE, the
unified plan will not go into effect for any particular program
until a new grant is awarded under that program. The time period for
submittal and coverage of the TANF plan is governed by section
402(a) of the Social Security Act. Detailed guidance on the
submittal of a TANF plan is contained in a policy announcement dated
May 15, 1999 (see publication TANF-ACF-PA-98-3). To retain
eligibility for a TANF grant, States need to submit a plan based on
a 27-month rule.
---------------------------------------------------------------------------
J. Timing of Plan Approval
Section 501(d)(2) of WIA states that a portion of a State unified
plan covering an activity or program is to be considered to be approved
by the appropriate Secretary at the end of the 90-day period beginning
on the day the appropriate Secretary receives the portion unless the
appropriate Secretary makes a written determination, during the 90-day
period, that the portion is not consistent with the requirements of the
Federal statute authorizing the activity or program or section
501(c)(3) of WIA. Written determinations would include, for example, a
written request from a representative of that agency for more
information or documentation related to the requirements of WIA or the
particular activity or program.
Attachment A
A. Unified Plan Activities and Programs Checklist
Under Section 501 of the Workforce Investment Act, the following
activities or programs may be included in a State's unified plan.
From the list below, please place a check beside the programs and
activities your State or Commonwealth is including in this Unified
Plan.
The State unified plan shall cover one or more of the following
programs and activities:
______ Secondary vocational education programs (Perkins III/
Secondary) Note that inclusion of this program requires prior
approval of State legislature. (Carl D. Perkins Vocational and
Technical Education Act of 1998 (20 U.S.C. 2301 et seq.))
______ Postsecondary vocational education programs (Perkins III/
Postsecondary) Note that for the purposes of what the State unified
plan shall cover, Perkins III/Secondary and Perkins III/
Postsecondary count as one program. (Carl D. Perkins Vocational and
Technical Education Act of 1998 (20 U.S.C. 2301 et seq.))
______ Activities authorized under Title I, Workforce Investment
Systems (Workforce Investment Activities for Adults, Dislocated
Workers and Youth, or WIA Title I, and the Wagner-Peyser Act)
(Workforce Investment Act of 1998 (29 U.S.C. 2801 et seq.))
______ Activities authorized under Title II, Adult Education and
Family Literacy (Adult Education and Family Literacy Programs)
(Workforce Investment Act of 1998 (20 U.S.C. 9201 et seq.))
The State unified plan may cover one or more of the following
programs and activities:
______ Food Stamp Employment and Training Program, or FSET (7 U.S.C.
2015(d))
______ Activities authorized under chapter 2 of title II of the
Trade Act of 1974 (Trade Act Programs) (19 U.S.C. 2271 et seq.)
______ Programs authorized under Part B of title I of the
Rehabilitation Act of 1973 (29 U.S.C. 720 et seq.), other than
Sec. 112 of such Act (29 U.S.C. 732) (Vocational Rehabilitation)
______ Activities authorized under chapters 41 & 42 of Title 38,
USC, and 20 CFR 1001 and 1005 (Veterans Programs, including Veterans
Employment, Disabled Veterans' Outreach Program, and Local Veterans'
Employment Representative Program)
______ Programs authorized under State unemployment compensation
laws (Unemployment Insurance) (in accordance with applicable Federal
law which is authorized under Title III, Title IX and Title XII of
the Social Security Act and the Federal Unemployment Tax Act)
Programs authorized under part A of title IV of the Social Security
Act (Temporary Assistance for Needy Families (TANF) and Welfare-to-
Work (WtW)) (42 U.S.C. 601 et seq.)
______Temporary Assistance for Needy Families
______Welfare-to-Work
______Programs authorized under title V of the Older Americans Act
of 1965 (Senior Community Service Employment Program (SCSEP)) (42
U.S.C. 3056 et seq.)
Training activities funded by the Department of Housing and Urban
Development under the Community Development Block Grants (CDBG) and
Public Housing Programs) Note that programs funded by the CDBG and
Public Housing programs can only be included in your State unified
plan if the State is the funds recipient, and approval of the
unified plan will not trigger funding for these programs.
______ Community Development Block Grants
______ Public Housing
______Programs authorized under the Community Services Block Grant
Act (Community Services Block Grant, or CSBG) (42 U.S.C. 9901 et
seq.)
B. Contact Information
Please complete one copy for EACH of the separate activities and
programs included in your State unified plan.
Program:---------------------------------------------------------------
State Name for Program/Activity:
----------------------------------------------------------------------
Name of Grant Recipient Agency for Program/Activity:
----------------------------------------------------------------------
Address:---------------------------------------------------------------
Telephone Number:------------------------------------------------------
Facsimile Number:------------------------------------------------------
E-mail Address:--------------------------------------------------------
Name of State Administrative Agency (if different from the Grant
Recipient):
----------------------------------------------------------------------
Address:---------------------------------------------------------------
Telephone Number:------------------------------------------------------
Facsimile Number:------------------------------------------------------
E-mail Address:--------------------------------------------------------
Name of Signatory Official:
----------------------------------------------------------------------
Address:---------------------------------------------------------------
Telephone Number:------------------------------------------------------
Facsimile Number:------------------------------------------------------
E-mail Address:--------------------------------------------------------
Name of Liaison:
----------------------------------------------------------------------
Address:---------------------------------------------------------------
Telephone Number:------------------------------------------------------
Facsimile Number:------------------------------------------------------
E-mail Address:--------------------------------------------------------
C. Plan Signature(s)
Governor (if applicable)
As the Governor, I certify that for the State/Commonwealth of
______________, for those activities and programs included in this
plan that are under my jurisdiction, the agencies and officials
designated above under ``Contact Information'' have been duly
designated to represent the State/Commonwealth in the capacities
indicated for the programs and activities indicated. Subsequent
changes in the designation of officials will be provided to the
designated program or activity contact as such changes occur.
I further certify that, for those activities and programs
included in this plan that are under my jurisdiction, we will
operate the workforce development programs included in this Unified
Plan in accordance with this Unified Plan and the assurances
described in Section III of this Unified Plan.
----------------------------------------------------------------------
Typed Name and Signature of Governor
Date-------------------------------------------------------------------
Responsible State Official for Eligible Agency for Vocational
Education (if Applicable)
I certify that for the State/Commonwealth of ______________, for
those activities and programs included in this plan that are under
my jurisdiction, the agencies and officials designated above under
``Contact Information'' have been duly designated to represent the
State/Commonwealth in the capacities indicated for the programs and
activities indicated. Subsequent changes in the designation of
officials will be provided to the designated program or activity
contact as such changes occur.
I further certify that, for those activities and programs
included in this plan that are under my jurisdiction, we will
operate the programs included in this Unified Plan in accordance
with this Unified Plan and the applicable assurances described in
Section III of this Unified Plan.
----------------------------------------------------------------------
Typed Name, Title, and Agency of Responsible State Official for
Vocational Education
[[Page 2472]]
Signature--------------------------------------------------------------
Date-------------------------------------------------------------------
Responsible State Official for Eligible Agency for Vocational
Rehabilitation (if applicable)
I certify that for the State/Commonwealth of______________, for
those activities and programs included in this plan that are under
my jurisdiction, the agencies and officials designated above under
``Contact Information'' have been duly designated to represent the
State/Commonwealth in the capacities indicated for the programs and
activities indicated. Subsequent changes in the designation of
officials will be provided to the designated program or activity
contact as such changes occur.
I further certify that we will operate those activities and
programs included in this Unified Plan that are under my
jurisdiction in accordance with this Unified Plan and the assurances
described in Section III of this Unified Plan.
----------------------------------------------------------------------
Typed Name, Title, and Agency of Responsible State Official for
Vocational Rehabilitation
Signature--------------------------------------------------------------
Date-------------------------------------------------------------------
Responsible State Official for Eligible Agency for Adult Education
(if applicable)
I certify that for the State/Commonwealth of______________, for
those activities and programs included in this plan that are under
my jurisdiction, the agencies and officials designated above under
``Contact Information'' have been duly designated to represent the
State/Commonwealth in the capacities indicated for the programs and
activities indicated. Subsequent changes in the designation of
officials will be provided to the designated program or activity
contact as such changes occur.
I further certify that, for those activities and programs
included in this plan that are under my jurisdiction, we will
operate the programs included in this Unified Plan in accordance
with this Unified Plan and the applicable assurances described in
Section III of this Unified Plan.
----------------------------------------------------------------------
Typed Name, Title, and Agency of Responsible State Official for
Adult Education
----------------------------------------------------------------------
Signature--------------------------------------------------------------
Date-------------------------------------------------------------------
II. Unified Planning Instructions and Questions
Note: The statutes cited in parentheses refer to the authorizing
legislation for each respective program. This unified planning
guidance only relates to planning requirements; it does not affect
the statutory and regulatory requirements relating to other aspects
of programs included in the plan.
A. Vision and Goals
1. Provide the State's comprehensive vision of a workforce
investment system, including broad economic, education, training,
workforce development and related goals. Describe how the State
considered a broad range of issues, such as the needs of public housing
residents, in the development of the State's vision and goals. Describe
any challenges to achieving your vision, including any economic
development, legislative or reorganization initiatives anticipated that
could impact on the performance and effectiveness of your State's
workforce investment system. Describe how each of the programs included
in the plan will contribute to achieving these goals.
In answering the above question, if your unified plan includes:
(a) Vocational Rehabilitation:
(i) In accordance with sections 101(a)(15)(C) and (D), identify the
goals and priorities of the State in carrying out the program and
identify the strategies to address the State's needs and achieve the
State's goals and priorities (Sec. 101 (a)(15)(C) and (D))
(ii) Specify the goals and plans of the State with respect to the
distribution of funds received under section 622 (Sec. 625(b)(3)).
(b) Unemployment Insurance, provide a concise summary of the SESA's
key direction and strategies for the plan, identifying the goal/main
objective of each focus area.
B. One-Stop Delivery System
1. Describe the State's comprehensive vision of an integrated
service delivery system, including the role each program incorporated
in the unified plan in the delivery of services through that system.
In answering this question, if your unified plan includes:
(a) WIA Title I and Wagner-Peyser Act and/or Veterans Programs:
(i) Describe major State policies and requirements that have been
established to direct and support the development of a statewide
workforce investment system not described elsewhere in this Plan. These
policies may include, but are not limited to:
State guidelines for the selection of One-Stop operators
by Local Boards.
The State's process to work with local boards and local
Chief Elected Officials to certify existing One-Stop operators.
Procedures to resolve impasse situations at the local
level in developing MOUs to ensure full participation of all required
partners in the One-Stop delivery system.
(ii) Describe the existing local One-Stop delivery systems and how
the services provided by each of the required and optional One-Stop
partners will be coordinated and made available through the One-Stop
system. Be sure to address statewide requirements, how technical
assistance will be provided, and availability of the State WIA reserved
funds for One-Stop development. (Sec. 112(b)(14))
C. Plan Development and Implementation
1. Describe the methods used for joint planning and coordination of
the programs and activities included in the unified plan. (WIA
Sec. 501(c)(3)(A))
State Consultation with Local Areas in Development of Plan: The
authorizing statutes for many of the programs that may be included in a
unified plan require that the State plan be developed in consultation
with various public and private entities, as well as members of the
general public. Some statutes also require formal public hearings.
Depending upon the programs that a State chooses to include in its
unified plan, it may be possible for the State to satisfy many of these
consultation requirements through a single set of processes. For
example, both WIA Title I and Perkins III require that the business
community be involved in the development of the State plans for these
programs. The State may satisfy both of these requirements by involving
the business community in the development of a unified plan that
includes the two programs. Separate consultations are not necessary.
2. Describe the process used by the State to provide an opportunity
for public comment and participation for each of the programs covered
in the unified plan.
In addition, if your unified plan includes:
(a) Perkins III, the eligible agency must hold public hearings and
include a summary of the recommendations made by all segments of the
public and interested organizations and groups and the eligible
agency's response to the recommendations in the State plan.
(Sec. 122(a)(3)).
(b) WIA Title I and Wagner-Peyser Act and/or Veterans Programs,
describe the process used by the State, consistent with section 111(g)
of WIA, to provide an opportunity for public comment, including comment
by representatives of business and representatives of labor
organizations, and input into development of the plan, prior to
submission of the plan.
(c) Adult Education and Family Literacy, describe the process that
will be used for public participation and comment with respect to the
AEFLA portion of the unified plan. (Sec. 224(b)(9)).
(d) TANF, the State shall make available to the public a summary of
any plan or plan amendment submitted by the State under this section.
(Sec. 402(c)).
[[Page 2473]]
(e) CSBG, provide evidence that the public participation
requirements were met, including documents which confirms that a
legislative public hearing on the State plan was conducted as required
by subsection 675(b) and that the plan was also made available for
public inspection and review as required by 675(d)(2).
3. Provide summaries of the consultations with appropriate
agencies, groups and individuals in the evaluation, development and
implementation of activities included in the plan. This section should
describe the types of activities and outcomes that were conducted to
meet this requirement. Demonstrate, as appropriate, how comments were
considered in the plan development process including specific
information on how the various WIA agency and program partners were
involved in developing the unified State plan.
The following agencies, groups or individuals must be consulted, if
your unified plan includes:
(a) Perkins III: (Sec. 122(a)(3),(b)(1), (c)(3), (e)(3)).
Parents.
Teachers.
Students.
Eligible Recipients.
Representatives of special populations in the State.
Representatives of business and industry in the State,
including small-and medium-sized local businesses.
Representatives of labor organizations in the State.
Interested community members.
Governor of the State.
In addition, the eligible agency must consult with the State agency
responsible for secondary education and the State agency responsible
for supervision of community colleges, technical institutes, or other
2-year post secondary institutions primarily engaged in providing
postsecondary vocational and technical education concerning the amount
and uses of funds proposed to be reserved for adult vocational and
technical education, postsecondary vocational and technical education,
tech-prep education, and secondary vocational technical education.
Include any objections filed by either agencies in the plan and your
response(s). (Sec. 122(e)(3)).
(b) WIA Title I and Wagner-Peyser Act and/or Veterans Programs:
(Sec. 112(b)(1), 112(b)(9)).
The Governor of the State and State Board.
Local Chief elected officials.
Business community.
Labor organizations.
The following agencies, groups and individuals should also be
consulted:
Local Boards and Youth Councils, Educators, Vocational
Rehabilitation Agencies, Service providers, Welfare agencies,
Community-Based organizations and the State Employment Security Agency.
In addition, describe the role of the State Board and Local Boards
in planning and coordination in the unified plan (Sec. 501(c)(3)).
[NOTE: While WIA only requires the involvement of State Board and Local
Boards in the planning and coordination of the programs and activities
authorized under Title I, the intent of the unified plan approach is to
enable all the relevant parties in an area, if they so choose, to come
together more readily to coordinate their activities in the best
interests of the population to be served. However coordination is
achieved, nothing in the unified plan or in WIA itself permits a Board
or any other entity to alter the decisions made by another program
grantee in accord with that grantee's statutes.]
(c) Adult Education and Family Literacy:
Governor of the State (any comments made by the Governor
must be included in the plan) (Sec. 224(d)).
(d) Vocational Rehabilitation:
State Rehabilitation Council (include the response of the
designated State unit to such input and recommendations)
(Sec. 101(a)(21)(A)(ii)(III)).
(e) Welfare-to-Work: (Sec. 403(a)(5)(A)(ii)(I)(cc)).
Public, private and non-profit organizations.
PICs or Local Boards.
Local TANF and administrative agency.
(f) CSBG:
Low-income individuals.
Community organizations.
Religious organizations.
Representatives of low-income individuals.
D. Needs Assessment
1. Describe the educational and job-training needs of individuals
in the overall State population and of relevant subgroups of all the
programs included in the unified plan.
Many of the programs that may be included in a unified plan require
a needs assessment. State agencies should fulfill these assessment
responsibilities collaboratively or, at a minimum, create a planning
process that promotes the sharing of needs assessment information among
all agencies involved in preparing the unified plan. Sharing of
assessment data can create a framework for the coordinated and
integrated services that are to be provided through the One-Stop
delivery system. The State may organize the presentation of assessment
data in its unified plan in a manner it deems most appropriate and
useful for planning, such as on a program-by-program basis, by
geographic region, or by special population.
In answering the above question, if your unified plan includes:
(a) WIA Title I and Wagner-Peyser Act and/or Veterans Programs,
identify the types and availability of workforce investment activities
currently in the State. (WIA Sec. 112(b)(4)(D)).
(b) Adult Education and Family Literacy, objectively assess the
adult education and literacy needs of individuals, including an
assessment of those most in need and hardest to serve, including low
income students, individuals with disabilities, single parents,
displaced homemakers, and individuals with multiple barriers to
educational enhancement (including individuals with limited English
proficiency, criminal offenders in correctional institutions and other
institutionalized individuals.) (Sec. 224(b)(10), Sec. 225).
(c) Food Stamp Employment & Training, provide an answer and explain
the method used to:
(i) Estimate the number and characteristics of the expected pool of
work registrants during the fiscal year.
(ii) Estimate the number of work registrants the State agency
intends to exempt from E&T, along with a discussion of the proposed
exemption criteria.
(iii) Estimate the number of placements into E&T components during
the fiscal year.
(iv) Estimate the number of ABAWDs (able-bodied adult without
dependents) in the State during the fiscal year.
(v) Estimate the number of ABAWDs in both waived and unwaived area
of the State during the fiscal year.
(vi) Estimate the average monthly number of ABAWDs included in the
State's 15 percent exemption allowance, along with a discussion of how
the State intends to apply the exemption.
(vii) Estimate the number of qualifying education/training and
workfare opportunities for ABAWDS the State will create during the
fiscal year.
(d) Vocational Rehabilitation:
(i) Assess the needs of individuals with disabilities in the State,
particularly the vocational rehabilitation needs of individuals with
the most significant disabilities (including their need for supported
employment services), individuals with disabilities who have been
unserved or under-served by the vocational rehabilitation
[[Page 2474]]
program, and individuals with disabilities served through other
components of the statewide workforce investment system.
(Sec. 101(a)(15)(A)(i)(I-III) and Sec. 625(b)(2))
(ii) Include State estimates of the number of individuals in the
State who are eligible for services under title I of the Rehabilitation
Act, the number of such individuals who will receive services provided
with funds provided under part B of title I and under part B of title
VI (including, if the designated State agency uses an order of
selection, estimates of the number of individuals to be served under
each priority category within the order), and the costs of the services
provided (including, if the designated State agency uses an order of
selection, the service costs for each priority category within the
order.) (Sec. 101(a)(15)(B))
(iii) Provide an assessment of the need to establish, develop, or
improve community rehabilitation programs within the State.
(Sec. 101(a)(15)(A)(ii))
(e) HUD Employment and Training Programs: (Reminder: the following
is a suggestion for incorporating HUD programs into your State's
unified plan. However, following this guidance will not trigger funding
for HUD programs):
(i) Address the educational and training needs of public housing
residents and other families receiving housing assistance.
2. Describe the key trends that are expected to shape the economic
environment of the State during the next five years. Which industries
and occupations are expected to grow? Which will contract? What are the
workforce and economic development needs of the State? Identify the
implications of these trends in terms of overall availability of
current and projected employment opportunities by occupation, and for
each of your customer segments, the job skills necessary in key
occupations. Also describe how the program services provided relate to
State and regional occupational opportunities. (WIA Sec. 112(b)(4) and
Perkins Sec. 122(c)(15))
E. State and Local Governance
1. What is the organization, structure and role/function of each
State and local entity that will govern the activities of the unified
plan?
In answering the above question, if your unified plan includes:
(a) Perkins III, describe the procedures in place to develop the
memoranda of understanding outlined in Sec. 121(c) of the Workforce
Investment Act of 1998 concerning the provision of services only for
postsecondary students and school dropouts. (Sec. 122(c)(21))
(b) WIA Title I and Wagner-Peyser Act and/or Veterans Programs:
(i) Describe the State Workforce Investment Board, or the
authorized alternative entity including a description of the manner in
which the Board collaborated on the State plan. (WIA Sec. 112(b)(1) and
Sec. 111(e))
(ii) Describe the State-imposed requirements for the statewide
workforce investment system. (Sec. 112(b)(2))
(iii) Identify the local areas designated in the State and include
a description of the process used for the designation of such areas.
(Sec. 112(b)(5))
(iv) Describe the appeals process referred to in Sec. 116(a)(5).
(Sec. 112(b)(15))
(v) Identify the criteria the State has established to be used by
the chief elected officials in the local areas for the appointment of
local Board members and establishment of youth councils based on the
requirements of Sec. 117. (WIA Sec. 112(b)(6))
(vi) Identify the circumstances which constitute a conflict of
interest for any State or State Board and Local Boards member,
including voting on any matter regarding the provision of service by
that member or the entity that he/she represents, and any matter that
would provide a financial benefit to that member or his or her
immediate family. (Sec. 112(b)(13))
(vii) Describe the procedures the local boards will use to identify
eligible providers of training services for the Adult and Dislocated
worker programs (other than on-the-job training or customized
training). (Sec. 112(b)(17)(A)(iii))
(viii) Describe how the locally operated ITA system will be managed
in the State to maximize usage, select services providers, and improve
the performance information on training providers. (Sec. 112(b)(14),
112(b)(17)(A)(iii))
(ix) Identify the criteria to be used by local boards in awarding
grants for youth activities, including criteria that the Governor and
local boards will use to identify effective and ineffective youth
activities and providers of such activities. (Sec. 112(b)(18)(B))
(x) Describe the processes that will be used at the State level to
award grants and contracts for activities under Title I of WIA.
(Sec. 112(b)(16))
(xi) Include a description of the process by which State and Local
Boards were created.
(c) Vocational Rehabilitation, designate a State agency as the sole
State agency to administer the plan, or to supervise the administration
of the plan by a local agency, in accordance with Sec. 101(a)(2)(A).
(Sec. 101(a)(2)(A))
(d) TANF, describe the objective criteria for the delivery of
benefits and the determination of eligibility and for fair and
equitable treatment, including an explanation of how the State will
provide opportunities for recipients who have been adversely affected
to be heard in a State administrative or appeal process.
(Sec. 402(a)(1)(B)(iii))
(e) Welfare-to-Work, provide a description of the implementation of
this program by PICs (or Local Boards) across the State, including the
roles and responsibilities of the State WtW Administrative Agency and
the TANF agency; a list of the substate areas and the local entities
responsible for program administration; and the program's
implementation target dates.
F. Funding
1. What criteria will the State use, subject to each program's
authorizing law, to allocate funds for each of the programs included in
the unified plan? Describe how the State will use funds the State
receives to leverage other Federal, State, local, and private
resources, in order to maximize the effectiveness of such resources,
and to expand the participation of business, employees, and individuals
in the statewide workforce investment system. (WIA Sec. 112(b)(10))
In answering the above question, if your unified plan includes:
(a) Perkins III:
(i) Describe the criteria that you will use in approving
applications by eligible recipients for funds under Perkins III.
(Sec. 122(c)(1)(B))
(ii) Describe how funds received through the allotment made under
section 111 will be allocated among secondary school vocational and
technical education, or postsecondary and adult vocational and
technical education, or both, including the rationale for such
allocation. (Sec. 122(c)(4)(A))
(iii) Describe how funds received through the allotment made under
section 111 will be allocated among consortia which will be formed
among secondary schools and eligible institutions, and how funds will
be allocated among the members of the consortia, including the
rationale for such allocation. (Sec. 122(c)(4)(B))
(iv) If the eligible agency decides to develop an alternative
allocation formula under the authority of sections 131(c) and/or
132(b), submit the proposed formula and supporting documentation to the
Secretary of Education for approval prior to the submission of your
State plan or as a part of the State unified plan. (Sec. 131(c) and
Sec. 132(b))
[[Page 2475]]
(b) Tech-Prep, describe how the eligible agency will award tech-
prep funds in accordance with the requirements of Sec. 204(a) and
Sec. 205 of Perkins III, including whether grants will be awarded on a
competitive basis or on the basis of a formula determined by the State.
(c) WIA Title I and Wagner-Peyser Act and/or Veterans Programs:
(i) Describe the methods and factors the State will use in
distributing funds to local areas for youth activities and adult
employment and training activities under sections 128(b)(3)(B) and
133(b)(3)(B), including a description of how the individuals and
entities represented on the State board were involved in determining
such methods and factors of distribution and how the State consulted
with chief elected officials in local areas throughout the State in
determining such distributions. (Sec. 112(b)(12)(A))
(ii) Describe the formula prescribed by the Governor for the
allocation of funds to local areas for dislocated workers in Employment
and Training activities. (Sec. 112(b)(12)(C))
(iii) Describe, in detail, the plans required under Section 8 of
the Wagner-Peyser Act which will be carried out by the State.
(Sec. 112(7))
(iv) Describe the guidelines, if any, the State has established for
Local Boards regarding priority when adult funds have been determined
to be limited. (Sec. 112(b)(17(A)(iv) and 134(d)(4)(E))
(v) Specify how the State will use the 10 percent Wagner-Peyser Act
funds allotted to it under section 7(b) in accordance with the three
provisions of allowable activities: performance incentives; services
for groups with special needs; and extra costs of exemplary service
delivery models. (Sec. 112(b)(7) and 20 CFR 652.204)
(d) Adult Education and Family Literacy:
(i) Describe how the eligible agency will fund local activities in
accordance with the considerations described in Sec. 231(e) and the
other requirements of Title II of WIA. (Sec. 224(b))
(ii) Describe the process to show that public notice was given of
the availability of Federal funds to eligible recipients and the
procedures for submitting applications to the State, including
approximate time frames for the notice and receipt of applications.
(Sec. 231(c))
(iii) Describe how the eligible agency will use funds made
available under Section 222(a)(2) for State leadership activities.
(Sec. 223(a))
(iv) Describe the steps the eligible agency will take to ensure
direct and equitable access, as required in section 231(c).
(Sec. 224(b)(12))
(e) Food Stamp Employment & Training:
(i) Estimate the total cost of the State's E&T program and identify
the source of funds according to the format for Table 5, Planned Fiscal
Year Costs, contained in the most current release of ``The Handbook on
Preparing State Plans for Food Stamp Employment and Training
Programs.''
(ii) Acknowledge that the State will spend at least 80 percent of
its total 100 percent Federal E&T grant to create qualifying work
opportunities to permit ABAWDs to remain eligible for food stamps.
(iii) Indicate, if applicable, whether the State agency intends to
spend at least as much as it spent of its own funds in FY 96 for E&T
and optional workfare administration to receive the additional 100
percent Federal allocations provided for in the Balanced Budget Act of
1997.
(iv) Describe both the expected sources and the status of State
agency funding for participant reimbursement.
(f) Welfare-to-Work, describe the State's plans for the
expenditure, uses and goals of the 15% funds.
(g) TANF, indicate the name, address, and EIN number of the TANF
administering agency and estimate for each quarter of the fiscal year
by percentage the amount of TANF grant that it wishes to receive.
(h) Vocational Rehabilitation:
(i) Describe how the State will utilize funds reserved for the
development and implementation of innovative approaches to expand and
improve the provision of vocational rehabilitation services to
individuals with disabilities under the State plan, particularly
individuals with the most significant disabilities.
(Sec. 101(a)(18)(B))
(ii) Describe the quality, scope, and extent of supported
employment services authorized under the Act to be provided to
individuals who are eligible under the Act to receive the services.
(Sec. 625(b)(3))
(iii) In the event that vocational rehabilitation services cannot
be provided to all eligible individuals with disabilities in the State
who apply for services, indicate the order to be followed in selecting
eligible individuals to be provided vocational rehabilitation services
and provide the justification for the order. (Sec. 101(a)(5)(A)-(B))
(i) CSBG, describe how the State intends to use discretionary funds
made available from the remainder of the grant or allotment described
in Sec. 675C(b), including a description of how the local entity will
use the funds to support innovative community and neighborhood-based
initiatives.
G. Activities To Be Funded
1. For each of the programs in your unified plan, provide a general
description of the activities the State will pursue using the relevant
funding.
In answering the above question, if your unified plan includes:
(a) Perkins III:
(i) Describe the vocational and technical education activities to
be assisted that are designed to meet or exceed the State adjusted
levels of performance. (Sec. 122(c)(1))
(ii) Describe the secondary and postsecondary vocational and
technical education programs to be carried out, including programs that
will be carried out by the eligible agency to develop, improve, and
expand access to quality, state-of-the-art technology in vocational and
technical education programs. (Sec. 122(c)(1)(A))
(iii) Describe how funds will be used to improve or develop new
vocational and technical education courses and effectively link
secondary and postsecondary education. (Sec. 122(c)(1)(D) and
Sec. 122(c)(19))
(iv) Describe how the eligible agency will improve the academic and
technical skills of students participating in vocational and technical
education programs, including strengthening the academic, and
vocational and technical, components of vocational and technical
education programs through the integration of academics with vocational
and technical education to (1) Ensure learning in the core academic,
vocational and technical subjects; (2) provide students with strong
experience in, and understanding of, all aspects of an industry; and
(3) prepare students for opportunities in post-secondary education or
entry into high skill and high wage jobs in current and emerging
occupations. (Sec. 122(c)(1)(C) and (5)(A))
(v) Describe how the eligible agency will ensure that students who
participate in such vocational and technical education programs are
taught to the same challenging academic proficiencies as are taught to
all other students. (Sec. 122(c)(5)(B))
(vi) Describe how the eligible agency will actively involve
parents, teachers, local businesses (including small-and medium-sized
businesses), and labor organizations in the planning, development,
implementation and evaluation of vocational and technical education
programs.
(b) Tech-Prep, describe how funds will be used in accordance with
the requirements of Sec. 204(c).
[[Page 2476]]
(c) WIA Title I and Wagner-Peyser Act and/or Veterans Programs,:
(i) Describe how Wagner-Peyser Act funds will provide a statewide
capacity for a three-tiered labor exchange service strategy that
includes: (1) Self-service; (2) facilitated self-help service; and (3)
staff-assisted service.
(ii) Describe how your State will ensure that veterans receive
priority in the One-Stop system for labor exchange services by Wagner-
Peyser and DVOP/LVER staff members.
(iii) Describe the types of employment and training activities that
will be carried out with the adult and dislocated worker funds received
by the State through the allotments under Section 132. How will the
State maximize customer choice in the selection of training activities?
(Sec. 112(b)(17)(A)(i))
(iv) Define the sixth youth eligibility criterion at
Sec. 101(13)(C)(vi), if this responsibility was not delegated to local
Boards. (Sec. 112(b)(18)(A))
(v) Describe the assistance available to employers and dislocated
workers, particularly how your State determines what assistance is
required based on the type of lay-off, and the early intervention
strategies to ensure that dislocated workers who need intensive or
training services (including those individuals with multiple barriers
to employment and training) are identified as early as possible.
Additionally, identify the State dislocated worker unit which will be
responsible for carrying out the rapid response activities.
(Sec. 112(b)(17)A)(ii))
(vi) Describe your State's strategy for providing comprehensive
services to eligible youth, including any coordination with foster
care, education, welfare and other relevant resources.
(Sec. 112(b)(18))
(vii) Describe the strategies to assist youth who have special
needs or significant barriers to employment, including those who are
deficient in basic literacy skills, school drop-outs, offenders,
pregnant, parenting, homeless, foster children, runaways or have
disabilities. (Sec. 112(b)(18))
(viii) Describe how coordination with Job Corps, youth opportunity
grants, and other youth programs will occur. (Sec. 112(b)(18))
(d) Adult Education and Family Literacy, describe the Adult
Education and Family Literacy activities the State will provide within
the following categories: (Sec. 224(b)(2), Sec. 231(b))
Adult Education and Literacy services, including workplace
literacy services.
Family literacy services.
English literacy programs.
(e) Food Stamp Employment & Training:
(i) Describe the components of the State's E&T program.
(ii) Discuss the weekly/monthly hours of participation required of
each program component.
(iii) Describe planned combinations of components to meet the
statutory requirement of 20 hours of participation per week to qualify
as a work program for ABAWDS.
(f) TANF, outline how the State intends to:
(i) Conduct a program, designed to serve all political subdivisions
in the State (not necessarily in a uniform manner), that provides
assistance to needy families with (or expecting) children and provides
parents with job preparation, work, and support services to enable them
to leave the program and become self-sufficient. (Sec. 402(a)(1)(A)(i))
(ii) Require a parent or caretaker receiving assistance under the
program to engage in work (as defined by the State) once the State
determines the parent or caretaker is ready to engage in work, or once
the parent or caretaker has received assistance under the program for
24 months (whether or not consecutive,) whichever is earlier,
consistent with section 407(e)(2). (Sec. 402(a)(1)(A)(ii))
(iii) Ensure that parents and caretakers receiving assistance under
the program engage in work activities in accordance with section 407.
(Sec. 402(a)(1)(A)(iii))
(iv) Take such reasonable steps as deemed necessary to restrict the
use and disclosure of information about individuals and families
receiving assistance under the program attributable to funds provided
by the Federal government. (Sec. 402(a)(1)(A)(iv))
(v) Describe the financial eligibility criteria and corresponding
benefits and services covered with State Maintenance of Effort (MOE)
funds. This description applies to State MOE funds that are used in the
State's TANF program or used to fund a separate State program.
(g) Welfare-to-Work, describe State and local strategies regarding:
(i) The employment activities that are planned under this grant.
(ii) The utilization of contracts with public and private providers
of job readiness, placement and post-employment services; job vouchers
for placement, readiness, and post-employment services; job retention,
or support services, if not otherwise available to the individual
participants receiving WtW services, that are planned under this grant.
(h) SCSEP, provide a description of each project function or
activity and how the applicant will implement the project. The
following activities should be discussed separately: (Sec. 3(A))
Recruitment and selection of enrollees.
Continued eligibility for enrollment in the SCSEP.
Physical examinations.
Orientations.
Assessment.
Individual development plan (IDP).
Placement into subsidized employment.
Training during community service employment and for
other employment.
Supportive services.
Enrollee transportation.
Placement into unsubsidized employment.
Maximum duration of enrollment.
IDP related terminations.
Enrollee complaint resolution.
Over-enrollment
(i) CSBG, explain how the activities funded will:
(i) Remove obstacles and solve problems that block the achievement
of self-sufficiency, including those families and individuals who are
attempting to transition off a State program carried out under part A
of Title IV of the Social Security Act.
(ii) Secure and retain meaningful employment.
(iii) Attain an adequate education, with particular attention
toward improving literacy skills of the low-income families in the
communities involved, which may include carrying out family literacy
initiatives.
(iv) Make better use of available income.
(v) Obtain and maintain adequate housing and a suitable living
environment.
(vi) Obtain emergency assistance through loans, grants, or other
means to meet immediate and urgent family and individual needs.
(vii) Achieve greater participation in the affairs of the
communities involved, including the development of public and private
grassroots partnerships with local law enforcement agencies, local
housing authorities, private foundation, and other public and private
partners.
(viii) Create youth development programs that support the primary
role of the family, give priority to the prevention of youth problems
and crime, and promote increased community coordination and
collaboration in meeting the needs of youth, and support development
and expansion of innovative community-based youth development programs
that have demonstrated success in preventing or reducing youth crime.
[[Page 2477]]
(ix) Provide supplies, services, nutritious foods, and related
services, as may be necessary to counteract conditions of starvation
and malnutrition among low-income individuals.
H. Coordination and Non-Duplication
1. Describe how your State will coordinate and integrate the
services provided through all of the programs identified in the unified
plan in order to meet the needs of its customers, ensure there is no
overlap or duplication among the programs, and ensure collaboration
with key partners and continuous improvement of the workforce
investment system. (States are encouraged to address several
coordination requirements in a single narrative, if possible.)
In answering the above question, if your unified plan includes:
(a) Perkins III, describe coordination with the following agencies
or programs:
Programs listed in section 112(b)(8)(A) of the Workforce
Investment Act of 1998 (Sec. 122(c)(21)) concerning the provision of
services for postsecondary students and school dropouts.
Other Federal education programs, including any methods
proposed for joint planning and coordination. (Sec. 122(c)(16))
(b)WIA Title I and Wagner-Peyser Act and/or Veterans Programs:
(i) Describe the strategies of the State to assure coordination,
avoid duplication and improve operational collaboration of the
workforce investment activities among programs outlined in Section
112(b)(8)(A) and Section 112(b)(18)(C)&(D) of WIA, at both the State
and local levels (e.g., joint activities, MOUs, planned mergers,
coordinated policies, non-discrimination obligations, etc.).
(ii) Describe how the State Board and Agencies will eliminate any
existing state-level barriers to coordination. (Sec. 112(b)(8)(A))
(c) Adult Education and Family Literacy, describe how the Adult
Education and Family Literacy activities that will be carried out with
any funds received under AEFLA will be integrated with other adult
education, career development, and employment and training activities
in the State or outlying area served by the eligible agency.
(Sec. 224(b)(11))
(d) Vocational Rehabilitation:
(i) Describe the State agency's plans policies, and procedures for
coordination with the following agencies or programs:
Federal, State and local agencies and programs, including
programs carried out by the Under Secretary for Rural Development of
the Department of Agriculture and State use contracting programs to the
extent that such agencies and programs are not carrying out activities
through the statewide workforce investment system. (Sec. 101(a)(11)(C))
Education officials responsible for the public education
of students with disabilities, including a formal interagency agreement
with the State educational agency. (Sec. 101(a)(11)(D))
Private, non-profit vocational rehabilitation service
providers through the establishment of cooperative agreements.
(Sec. 101(a)(24)(B))
Other State agencies and appropriate entities to assist in
the provision of supported employment services. (Sec. 625(b)(4))
Other public or nonprofit agencies or organizations within
the State, employers, natural supports, and other entities with respect
to the provision of extended services. (Sec. 625(b)(5))
(e) Unemployment Insurance, summarize requests for any Federal
partner assistance (primarily non-financial) that would help the SESA
attain its goal.
(f) Welfare-to-Work, describe the strategies of the State and PICs
(or State Board and Local Boards) to prevent duplication of services
and promote coordination among the following agencies or programs:
TANF.
JTPA/WIA.
One-Stop centers/employment services.
Other employment and training systems throughout the
State.
State Department of Transportation.
Metropolitan planning organizations.
Transit operators.
Other transportation providers.
State Housing Finance Agencies.
Public and assisted housing providers and agencies and
other community-based organizations.
Public and private health, mental health and service
agencies.
Vocational rehabilitation and related agencies.
(g) SCSEP, describe the cooperative relationships and working
linkages that have been established or will be established with the
following employment related programs and agencies:
JTPA/WIA. (Sec. 3(a)(11))
One-Stop Delivery Centers.
Vocational Rehabilitation.
Job Corps.
State employment security agencies.
Agencies administering Titles III, IV and VI of the Older
Americans Act.
(h) CSBG, describe how the State and eligible entities will
coordinate programs to serve low-income residents with other
organizations, including:
Religious organizations.
Charitable groups.
Community organizations.
I. Special Populations and Other Groups
1. Describe how your State will develop program strategies, to
target and serve special populations. States may present information
about their service strategies for those special populations that are
identified by multiple Federal programs as they deem most appropriate
and useful for planning purposes, including by special population or on
a program by program basis. In providing this description, if your
unified plan includes any of the programs listed below, please address
the following specific relevant populations:
(a) Perkins III:
Each category of special populations defined in Sec. 3(23)
of the Act. (Sec. 122(c)(7))
Students in alternative education programs, if
appropriate. (Sec. 122(c)(13))
Individuals in State correctional institutions.
(Sec. 122(c)(18))
(i) Describe how funds will be used to promote preparation for
nontraditional training and employment. (Sec. 122(c)(17))
(ii) Describe how individuals who are members of special
populations will be provided with equal access to activities assisted
under Title I of Perkins III and will not be discriminated against on
the basis of their status as members of special populations.
(Sec. 122(c)(8)(B))
(b) WIA Title I and Wagner-Peyser Act and/or Veterans Programs
(Sec. 112(b)(17)(A)(iv) and Sec. 112(b)(17)(B)):
Dislocated workers, including displaced homemakers.
Low-income individuals, including recipients of public
assistance.
Individuals training for non-traditional employment.
Individuals with multiple barriers to employment
(including older individuals, people with limited English-speaking
ability, and people with disabilities).
Veterans, including veterans' preferences under 38 U.S.C.
Chapters 41 and 42.
The agricultural community that serves the migrant and
seasonal farmworker population.
UI claimants who are identified under Worker Profiling and
Reemployment Services.
(c) Adult Education and Family Literacy:
Low income students (Sec. 224(b)(10)(A)).
[[Page 2478]]
Individuals with disabilities (Sec. 224(b)(10)(B)).
Single parents and displaced homemakers
(Sec. 224(b)(10)(C)).
Individuals with multiple barriers to educational
enhancement, including individuals with limited English proficiency
(Sec. 224(b)(10)(D)).
Criminal offenders in correctional institutions and other
institutionalized individuals (Sec. 225).
(d) TAA and NAFTA-TAA, describe how rapid response and basic
readjustment services authorized under other Federal laws will be
provided to trade-impacted workers.
(e) Vocational Rehabilitation:
Minorities with most significant disabilities.
(Sec. 21(c)).
(f) TANF, indicate whether the State intends to:
Treat families moving into the State from another State
differently than other families under the program, and if so, how the
State intends to treat such families under the program;
Provide assistance under the program to individuals who
are not citizens of the United States, and if so, shall include an
overview of such assistance. (Sec. 402(a)(1)(B) (i) and (ii)); and
Outline how the State intends to conduct a program
designed to reach State and local law enforcement officials, the
education system, and relevant counseling services, that provides
education and training on the problem of statutory rape so that teenage
pregnancy prevention programs may be expanded in scope to include men.
(Sec. 401(a)(1)(A)(vi)).
(g) SCSEP: (Sec. 3(a)(1))
Minority groups.
Individuals with the greatest economic need.
Individuals with poor employment prospects.
(h) CSBG:
Low-income families.
Families and individuals receiving assistance under part A
of Title IV of the Social Security Act (42 U.S.C. 601 et seq.).
Homeless families and individuals.
Migrant or seasonal farmworkers.
Elderly low-income individuals and families.
Youth in low-income communities.
(i) HUD Employment and Training Programs: (Reminder: the following
is a suggestion for incorporating HUD programs into your State's
unified plan. However, following this guidance will not trigger funding
for HUD programs):
Public housing residents
Homeless and other groups
2. Identify the methods of collecting data and reporting progress
on the special populations described in Question 1 of this section.
3. If your plan includes Perkins III, Tech-Prep, Adult Education
and Family Literacy or Vocational Rehabilitation, describe the steps
the eligible agency will take to ensure equitable access to, and
equitable participation in, projects or activities carried out with the
respective funds by addressing the special needs of student, teachers,
and other program beneficiaries in order to overcome barriers to
equitable participation, including barriers based on gender, race,
color, national origin, disability, and age. (Sec. 427(b) General
Education Provisions Act.)
J. Professional Development and System Improvement
1. How will your State develop personnel to achieve the performance
indicators for the programs included in your plan?
In answering the above question, if your unified plan includes:
(a) Perkins III:
(i) Describe how comprehensive professional development (including
initial teacher preparation) for vocational and technical, academic,
guidance, and administrative personnel will be provided.
(Sec. 122(c)(2))
(ii) Describe how the eligible agency will provide local
educational agencies, area vocational and technical education schools,
and eligible institutions in the State with technical assistance.
(Sec. 122(c)(14))
(b) WIA Title I and Wagner-Peyser Act and/or Veterans Programs,
explain how the local and State Boards will use data collected and the
review process to reinforce the strategic direction and continuous
improvement of the workforce investment system.
(c) Vocational Rehabilitation, describe the designated State
agency's policies, procedures and activities to establish and maintain
a comprehensive system of personnel development designed to ensure an
adequate supply of qualified State rehabilitation professional and
paraprofessional personnel for the designated State unit pursuant to
Sec. 101(a)(7) of the Act. (Sec. 101(a)(7))
K. Performance Accountability
Nothing in this guidance shall relieve a State of its
responsibilities to comply with the accountability requirements of WIA
Title I and II and the Carl D. Perkins Vocational and Technical
Education Act of 1998 (Perkins III), including, for example, the
requirements to renegotiate performance levels at statutorily defined
points in the 5-year unified plan cycle. The appropriate Secretary will
negotiate adjusted levels of performance with the State for these
programs prior to approving the State plan.
1. What are the State's performance methodologies, indicators and
goals in measurable, quantifiable terms for each program included in
the unified plan and how will each program contribute to achieving
these performance goals? (Performance indicators are generally set out
by each program's statute.)
In answering the above question, if your unified plan includes:
(a) Perkins III and Tech-Prep:
(i) Identify and describe the core indicators (Sec. 113(b)(2)(A)(i-
iv)), a State level of performance for each core indicator of
performance for the first two program years covered by the State plan
(Sec. 113(b)(3)(A)(ii), any additional indicators identified by the
eligible agency (Sec. 113(b)(1)(B)), and a State level of performance
for each additional indicator (Sec. 113(b)(3)(B)).
(ii) Describe how the effectiveness of vocational and technical
education programs will be evaluated annually. (Sec. 122(c)(6))
(iii) Describe how individuals who are member of special
populations will be provided with programs designed to enable the
special populations to meet or exceed State adjusted levels of
performance, and how it will prepare special populations for further
learning and for high skill, high wage careers. (Sec. 122(c)(8)(C))
(iv) Describe what steps the eligible agency will take to involve
representatives of eligible recipients in the development of the State
adjusted levels of performance. (Sec. 122(c)(9))
(b) WIA Title I and Wagner-Peyser Act and/or Veterans Programs:
(i) Describe the State performance accountability system developed
for the workforce investment activities to be carried out through the
statewide workforce investment system. Include expected levels of
performance for each of the core indicators of performance and the
customer satisfaction indicator of performance for the first three
program years covered by the unified plan. (Sections 112(b)(3) and
136(b)(3)(A)(ii))
(ii) Compare the State level of the performance goals with the
State adjusted levels of performance established for other States (if
available), taking into account differences in economic conditions, the
characteristics of participants when they entered the program and the
services to be provided. (Sections 112(b)(3) and 136(b)(3)(A)(ii))
(c) Adult Education and Family Literacy:
[[Page 2479]]
(i) Include a description of how the eligible agency will evaluate
annually the effectiveness of the Adult Education and Family Literacy
activities, such as a comprehensive performance accountability system,
based on the performance measures in Sec. 212.
(ii) Identify levels of performance for the core indicators of
performance described in Sec. 212(b)(2)(A) for the first three program
years covered by the plan (Sec. 212(b)(3)(A)(ii)), and any additional
indicators selected by the eligible agency. (Sec. 212 (b)(2)(B))
(iii) Describe how such performance measures will be used to ensure
the improvement of Adult Education and Family Literacy activities in
the State or outlying area. (Sec. 224(b)(4))
(d) Unemployment Insurance:
(i) Submit a plan to achieve an enhanced goal in service delivery
for areas in which performance is not deficient. Goals may be set at a
State's own initiative or as the result of negotiations initiated by
the Regional Office.
(ii) Identify milestones/intermediate accomplishments that the SESA
will use to monitor progress toward the goals.
(e) TANF, outline how the State intends to establish goals and take
action to prevent and reduce the incidence of out of wedlock
pregnancies, with special emphasis on teenage pregnancies, and
establish numerical goals for reducing the illegitimacy ratio of the
State for calendar years 1996 through 2005. (Sec. 402(a)(1)(A)(v))
(f) SCSEP, specify the number of authorized employment positions
under the program, the number of unsubsidized placements to be achieved
during the funding period and the number of enrollees to be served
during the program year.
(g) CSBG:
(i) Describe how the State and all eligible entities in the State
will, not later than fiscal year 2001, participate in the Results
Oriented Management and Accountability System, a performance measure
system pursuant to Sec. 678E(b) of the Act, or an alternative system
for measuring performance and results that meets the requirements of
that section, and a description of outcome measures to be used to
measure eligible entity performance in promoting self-sufficiency,
family stability, and community revitalization.
(ii) Describe the standards and procedures that the State will use
to monitor activities carried out in furtherance of the plan and will
use to ensure long-term compliance with requirements of the programs
involved, including the comprehensive planning requirements.
(Sec. 91.330)
2. Has the State developed any common performance goals applicable
to multiple programs? If so, describe the goals and how they were
developed.
L. Data Collection
1. What processes does the State have in place to collect and
validate data to track performance and hold providers/operators/
subgrantees accountable?
In answering the above question, if your unified plan includes:
(a) Perkins III and Tech-Prep:
(i) Describe how data will be reported relating to students
participating in vocational and technical education in order to
adequately measure the progress of the students, including special
populations. (Sec. 122(c)(12))
(ii) Describe how the data reported to the eligible agency from
local educational agencies and eligible institutions under Perkins III
and the data you report to the Secretary are complete, accurate, and
reliable. (Sec. 122(c)(20))
(b) WIA Title I and Wagner-Peyser Act and/or Veterans Programs,
describe the common data collection and reporting processes to be used
for the programs and activities described in Sec. 112(b)(8)(A).
(Sec. 112(b)(8)(B))
(c) Food Stamp Employment & Training, describe how employment and
training data will be compiled and where responsibility for employment
and training reporting is organizationally located at the State level.
Include the department, agency, and telephone number for the person(s)
responsible for both financial and non-financial E&T reporting.
2. What common data elements and reporting systems are in place to
promote integration of unified plan activities?
M. Corrective Action
1. Describe the corrective actions the State will take for each
program, as applicable, if performance falls short of expectations.
In answering the above question, if your unified plan includes:
(a) Vocational Rehabilitation, include the results of an evaluation
of the effectiveness of the vocational rehabilitation program, and a
report jointly developed with the State Rehabilitation Council (if the
State has a Council) on the progress made in improving effectiveness
from the previous year including:
(i) An evaluation of the extent to which program goals were
achieved and a description of the strategies that contributed to
achieving the goals.
(ii) To the extent the goals were not achieved, a description of
the factors that impeded that achievement.
(iii) An assessment of the performance of the State on the
standards and indicators established pursuant to section 106 of the
Act. (Sec. 101(a)(15)(E)(i))
(b) Unemployment Insurance, explain the reasons for the areas in
which the State's performance is deficient. If a plan was in place the
previous fiscal year, provide an explanation of why the actions
contained in that plan were not successful in improving performance and
an explanation of why the actions now specified will be more
successful.
N. Waiver and Work-Flex Requests
1. Will your State be requesting waivers as a part of this unified
plan?
In answering the above question, the following waiver provisions
apply if your unified plan includes:
(a) WIA Title I and Wagner-Peyser Act and/or Veterans Programs,
States may submit a Workforce Flexibility (Work-Flex) Plan under WIA
Sec. 192 and/or a General Statutory Waiver Plan under WIA Sec. 189(i)
as part of the WIA Title I Plan. These waiver plans may also be
submitted separately, in which case they must identify related
provisions in the State's Title I plan. State waiver plans should be
developed in accordance with planning requirements at Subpart D of 20
CFR Part 661.420 and planning guidelines issued by the Department of
Labor.
(b) Vocational Rehabilitation, if a State requests a waiver of the
Statewideness requirement identified in assurance number 13 for the
vocational rehabilitation program in Section III of this unified
planning guidance, the request must be made in accordance with the
provisions of 34 CFR 361.26(b).
III. Certifications and Assurances
General Certifications and Assurances
By signing the Unified Plan signature page, you are certifying
that:
1. The methods used for joint planning and coordination of the
programs and activities included in the unified plan included an
opportunity for the entities responsible for planning or administering
such programs and activities to review and comment on all portions of
the unified plan. Workforce Investment Act, 501(c)(3)(B).
In addition, if you submit your unified plan by posting it on an
Internet web site, you are certifying that:
2. The content of the submitted plan will not be changed after it
is submitted. Plan modifications must be approved by the reviewing
State agency. It is the
[[Page 2480]]
responsibility of the designated agency to circulate the modifications
among the other agencies that may be affected by the changes.
In addition, the following certifications and assurances apply to
the extent that the programs and activities are included in your State
Unified Plan.
3. Nonconstruction Programs. By signing the Unified Plan signature
page, you are certifying that:
1. The grantee has filed the Government-wide standard assurances
for nonconstruction programs (SF 424). States can print SF 424 from
http://ocfo.ed.gov/grntinfo/appforms.htm.
EDGAR Certifications, Nonconstruction Programs, Debarment, Drug-Free
Work Place and Lobbying Certifications
You must include the following certifications for each of the State
agencies that administer one of these programs: Perkins III, Tech-Prep,
Adult Education and Literacy or vocational rehabilitation. A State may
satisfy the EDGAR requirement by having all responsible State agency
officials sign a single set of EDGAR certifications.
EDGAR Certifications
By signing the Unified Plan signature page, you are certifying
that:
1. The plan is submitted by the State agency that is eligible to
submit the plan. [34 CFR 76.104(a)(1)]
2. The State agency has authority under State law to perform the
functions of the State under the program. [34 CFR 76.104(a)(2)]
3. The State legally may carry out each provision of the plan. [34
CFR 76.104(a)(3)]
4. All provisions of the plan are consistent with State law. [34
CFR 76.104(a)(4)]
5. A State officer, specified by title in the certification, has
authority under State law to receive, hold, and disburse Federal funds
made available under the plan. [34 CFR 76.104(a)(5)]
6. The State officer who submits the plan, specified by title in
the certification, has authority to submit the plan. [34 CFR
76.104(a)(6)]
7. The agency that submits the plan has adopted or otherwise
formally approved the plan. [34 CFR 76.104(a)(7)]
8. The plan is the basis for State operation and administration of
the program. [34 CFR 76.104(a)(8)]
9. A copy of the State plan was submitted into the State
Intergovernmental Review Process. [Executive Order 12372]
Debarment, Drug-Free Work Place, and Lobbying
By signing the Unified Plan signature page, you are certifying
that:
1. The ED grantee has filed ED 80-0013. This form also applies to
AEFLA and RSA. States can print ED 80-0013 from http://ocfo.ed.gov/
grntinfo/appforms.htm.
Perkins III
By signing the Unified Plan signature page, the eligible agency is
certifying that:
1. The State plan complies with the requirements of Title I of
Perkins III and the provisions of the State plan, including the
provision of a financial audit of funds received under this title which
may be included as part of an audit of other Federal or State programs.
(Sec. 122(c)(10))
2. None of the funds expended under Title I of Perkins III will be
used to acquire equipment (including computer software) in any instance
in which such acquisition results in a direct financial benefit to any
organization representing the interests of the purchasing entity, the
employees of the purchasing entity, or any affiliate of such an
organization. (Sec. 122(c)(11))
3. Sec. 501(b)(1) provides that secondary vocational education
programs authorized under Perkins III may only be included in a unified
plan ``with the prior approval of the legislature of the State.''
Documentation of this approval is submitted with the unified plan.
State legislative approval may be conferred by a resolution adopted by
votes of both houses of your State legislature (unless your State has a
unicameral legislature) on any date following July 28, 1998. The
resolution need not be freestanding; it may be included as an amendment
to other legislation. In either event, the resolution should be
specific and refer to the requirements of section 501(b)(1) and must
clearly differentiate between secondary and postsecondary vocational
education.
WIA Title I/Wagner-Peyser Act/Veterans Programs
By signing the Unified Plan signature page, you are certifying
that:
1. The State Board will ensure that the public (including people
with disabilities) has access to Board meetings and information
regarding State Board activities, including membership and meeting
minutes. (Sec. 112(b)(1))
2. The State assures that it will establish, in accordance with
section 184 of the Workforce Investment Act, fiscal control and fund
accounting procedures that may be necessary to ensure the proper
disbursement of, and accounting for, funds paid to the State through
the allotments made under sections 127 and 132. (Sec. 112(b)(11))
3. The State assures that it will comply with section 184(a)(6),
which requires the Governor to, every two years, certify to the
Secretary, that--
A. The State has implemented the uniform administrative
requirements referred to in section 184(a)(3);
B. The State has annually monitored local areas to ensure
compliance with the uniform administrative requirements as required
under section 184(a)(4); and
C. The State has taken appropriate action to secure compliance
pursuant to section 184(a)(5). (Sec. 184(a)(6))
4. The State assures that the adult and youth funds received under
the Workforce Investment Act will be distributed equitably throughout
the State, and that no local areas will suffer significant shifts in
funding from year to year during the period covered by this plan.
(Sec. 112(b)(12)(B))
5. The State assures that veterans and other preference eligible
persons will be afforded a priority service, in accordance with the
requirements of chapter 41 of title 38 and 20 CFR 1001, in the One-Stop
system for the provision of labor exchange services funded under the
Wagner-Peyser Act.
6. The State assures that the Governor shall, once every two years,
certify one local board for each local area in the State.
(Sec. 117(c)(2))
7. The State assures that it will comply with the confidentiality
requirements of section 136(f)(3)
8. The State assures that no funds received under the Workforce
Investment Act will be used to assist, promote, or deter union
organizing. (Sec. 181(b)(7))
9. The State assures that it will comply with the nondiscrimination
provisions of section 188, and its implementing regulations at 29 CFR
part 37, including an assurance that a Methods of Administration has
been developed and implemented. (Sec. 188 and Sec. 112(b)(17))
10. The State assures that it will collect and maintain data
necessary to show compliance with the nondiscrimination provisions of
section 188, as provided in the regulations implementing that section.
(Sec. 185)
11. The State certifies that the Wagner-Peyser Act Plan, which is
part of this document, has been certified by the State Employment
Security Administrator.
12. The State assures that veterans workforce investment programs
funded
[[Page 2481]]
under WIA, Section 168 will be carried out in accordance with that
section, and further assures veterans will be afforded employment and
training services under WIA section 134, to the extent practicable.
13. The State certifies that Workforce Investment Act section 167
grantees, advocacy groups, the State monitor advocate, agricultural
organizations, and employers were given the opportunity to comment on
the Wagner-Peyser Act agricultural services submission, including any
local office affirmative action plans.
14. The State assures that it will comply with the annual Migrant
and Seasonal Farmworker significant office requirements in accordance
with 20 CFR part 653.
15. The State has developed this Plan in consultation with local
elected officials, local workforce boards, the business community,
labor organizations and other partners.
16. The State assures that funds will be expended in accordance
with the requirements of the WIA, the Wagner-Peyser Act, chapter 41 of
Title 38, the regulations implementing such laws, written guidance
issued by the Department of Labor, grant agreements, and other
applicable Federal laws.
17. The State certifies that labor exchange activities funded under
the Wagner-Peyser Act will be provided by State merit-staff employees.
The State assures that it will submit a plan modification to the
Department if there is any change in policy regarding the public merit-
staffed delivery of Wagner-Peyser Act services in any local workforce
investment area.
18. The State Workforce Investment system and entities carrying out
activities in the community who are in receipt of assistance from the
workforce investment system or from the workforce investment system
partners shall comply with the Architectural Barriers Act of 1968,
sections 503 and 504 of the Rehabilitation Act of 1973, as amended, and
the Americans with Disabilities Act of 1990.
19. The State assures to include State and local EO officers and
advocates for groups protected from discrimination under WIA Section
188 in the planning process in a meaningful way, beginning with the
earliest stages.
20. The State assures that it will comply with the grant procedures
prescribed by the Secretary (pursuant to the authority at section
189(c) of the Act) which are necessary to enter into grant agreements
for the allocation and payment of funds under the Act. The procedures
and agreements will be provided to the State by the ETA Office of
Grants and Contract Management and will specify the required terms and
conditions and assurances and certifications, including, but not
limited to, the following:
General Administrative Requirements
29 CFR part 97--Uniform Administrative Requirements for
State and Local Governments (as amended by the Act).
29 CFR part 96 (as amended by OMB Circular A-133)--Single
Audit Act.
OMB Circular A-87--Cost Principles (as amended by the
Act).
Assurances and Certifications
SF 424 B--Assurances for Nonconstruction Programs.
29 CFR part 31, 32--Nondiscrimination and Equal
Opportunity Assurance (and regulation).
CFR part 93--Certification Regarding Lobbying (and
regulation).
29 CFR part 98--Drug Free Workplace and Debarment and
Suspension.
21. The State certifies that, in providing an opportunity for
public comment and input into the development of the plan, the State
has consulted with persons of disabilities and has provided information
regarding the plan and the planning process, including the plan and
supporting documentation in alternative formats when requested.
Adult Education and Family Literacy
By signing the Unified Plan signature page, you are certifying
that:
1. The eligible agency will award not less than one grant to an
eligible provider who offers flexible schedules and necessary support
services (such as child care and transportation) to enable individuals,
including individuals with disabilities, or individuals with other
special needs, to participate in Adult Education and Literacy
activities, which eligible provider shall attempt to coordinate with
support services that are not provided under this subtitle prior to
using funds for Adult Education and Literacy activities provided under
AEFLA for support services. (Sec. 224(b)(5))
2. The funds received under subtitle A of Title II of WIA will not
be expended for any purpose other than for activities under subtitle A
of Title II of WIA. (Sec. 224(b)(6))
3. The eligible agency will expend the funds under subtitle A of
Title II of WIA only in a manner consistent with fiscal requirements in
section 241. (Sec. 224(b)(8))
Food Stamp Employment and Training (FSET)
By signing the Unified Plan signature page, you are certifying
that:
1. Federal funds allocated by the Department of Agriculture to the
State under section 16(h)(1) of the Food Stamp Act of 1977 (the Act),
or provided to the State as reimbursements under sections 16(h)(2) and
16(h)(3) of the Act will be used only for operating an employment and
training program under section 6(d)(4) of the Act.
2. The State will submit to the Food and Nutrition Service (FNS)
annual updates to its Employment and Training Plan for the coming
fiscal year. The updates are due by August 15 of each year. The annual
update must include any changes the State anticipates making in the
basic structure or operation of its program. At a minimum, the annual
update must contain revisions to Tables 1 (Estimated Participant
Levels), 2 (Estimated E&T Placement Levels), 4 (Operating Budget), and
5 (Funding Categories).
3. If significant changes are to be made to its E&T program during
the fiscal year, the State will submit to FNS a request to modify its
plan. FNS must approve the modification request before the proposed
change is implemented. The State may be liable for costs associated
with implementation prior to approval. See ``The Handbook on Preparing
State Plans for Food Stamp Employment and Training Programs'' for
additional information.
4. The State will submit a quarterly E&T report, FNS-583. Reports
are due no later than 45 days after the end of each Federal fiscal
quarter. The information required on the FNS-583 is listed in Exhibit 3
of the ``The Handbook on Preparing State Plans for Food Stamp
Employment and Training Programs.''
5. The State will submit E&T program financial information on the
SF-269, Financial Status Report. It must include claims for the 100
percent Federal grant, 50 percent matched funding, and participant
reimbursements. The SF-269 is due 30 days after the end of each Federal
fiscal quarter.
6. The State will deliver each component of its E&T program through
the One-Stop delivery system, an inter-connected strategy for providing
comprehensive labor market and occupational information to job seekers,
employers, core services providers, other workforce employment activity
providers, and providers of workforce education activities. If the
component is not available locally through such a
[[Page 2482]]
system, the State may use another source.
Vocational Rehabilitation
By signing the Unified Plan signature page, you are certifying
that:
1. As a condition for the receipt Federal funds under title I, part
B of the Rehabilitation Act 3 for the provision of
vocational rehabilitation services, the designated State agency
4 agrees to operate and administer the State Vocational
Rehabilitation Services Program in accordance with provisions of this
Title I State plan 5, the Act and all applicable regulations
6, policies and procedures established by the Secretary.
Funds made available under section 111 of the Act are used solely for
the provision of vocational rehabilitation services under title I and
the administration of the title I State plan.
---------------------------------------------------------------------------
\3\ Unless otherwise specified, any references to ``the Act''
means to the Rehabilitation Act of 1973, as amended, (Public Law 93-
112, as amended by Public Laws 93-516, 95-602, 99-506, 100-630, 102-
569, 103-073, and 105-220).
\4\ All references in this plan to ``designated State agency''
or to ``the State agency'' relate to the agency identified in this
paragraph.
\5\ No funds under title I of the Act may be awarded without an
approved State plan in accordance with section 101(a) of the Act and
34 CFR part 361.
\6\ Applicable regulations include Education Department General
Administrative Regulations (EDGAR) in 34 CFR parts 74, 76, 77, 79,
80, 81, 82, 85 and 86 and the State Vocational Rehabilitation
Services Program regulations in 34 CFR part 361.
---------------------------------------------------------------------------
2. As a condition of the receipt of Federal funds under title VI,
part B of the Act for supported employment services, the designated
State agency agrees to operate and administer the State Supported
Employment Services Program in accordance with the provisions of the
supplement to this State plan 7, the Act, and all applicable
regulations 8, policies, and procedures established by the
Secretary. Funds made available under title VI, part B are used solely
for the provision of supported employment services and the
administration of the supplement to the title I State plan.
---------------------------------------------------------------------------
\7\ No funds under title VI, part B of the Act may be awarded
without an approved supplement to the title I State plan in
accordance with section 625(a) of the Act.
\8\ Applicable regulations include Education Department General
Administrative Regulations (EDGAR) in 34 CFR parts 74, 76, 77, 79,
80, 81, 82, 85 and 86; 34 CFR part 361; and 34 CFR 363.
---------------------------------------------------------------------------
3. The designated State agency or designated State unit is
authorized to submit this State plan under title I of the Act and its
supplement under title VI, part B of the Act.
4. The State submits only those policies, procedures, or
descriptions required under this State plan and its supplement that
have not been previously submitted to and approved by the Commissioner
of the Rehabilitation Services Administration. (Sec. 101(a)(1)(B))
5. The State submits to the Commissioner at such time and in such
manner as the Secretary determines to be appropriate, reports
containing annual updates of the information relating to the:
comprehensive system of personnel development; assessments, estimates,
goals and priorities, and reports of progress; innovation and expansion
activities; and requirements under title I, part B or title VI, part B
of the Act. (Sec. 101(a)(23))
6. The State plan and its supplement are in effect subject to the
submission of such modifications as the State determines to be
necessary or as the Commissioner may require based on a change in State
policy, a change in Federal law, including regulations, an
interpretation of the Act by a Federal court or the highest court of
the State, or a finding by the Commissioner of State noncompliance with
the requirements of the Act, until the State submits and receives
approval of a new State plan or plan supplement. (Sec. 101(a)(1)(C))
7. The State has an acceptable plan for carrying out part B of
title VI of the Act, including the use of funds under that part to
supplement funds made available under part B of title I of the Act to
pay for the cost of services leading to supported employment.
(Sec. 101(a)(22))
8. The designated State agency, prior to the adoption of any
policies or procedures governing the provision of vocational
rehabilitation services under the State plan and supported employment
services under the supplement to the State plan, including making any
amendment to such policies and procedures, conducts public meetings
throughout the State after providing adequate notice of the meetings,
to provide the public, including individuals with disabilities, an
opportunity to comment on the policies or procedures, and actively
consults with the Director of the client assistance program, and, as
appropriate, Indian tribes, tribal organizations, and Native Hawaiian
organizations on the policies or procedures. (Sec. 101(a)(16)(A))
9. The designated State agency takes into account, in connection
with matters of general policy arising in the administration of the
plan, the views of individuals and groups of individuals who are
recipients of vocational rehabilitation services, or in appropriate
cases, the individual's representatives; personnel working in programs
that provide vocational rehabilitation services to individuals with
disabilities; providers of vocational rehabilitation services to
individuals with disabilities; the Director of the client assistance
program; and the State Rehabilitation Council, if the State has such a
Council. (Sec. 101(a)(16)(B))
10. The designated State agency (or, as appropriate, agencies) is a
State agency that is:
a.____ primarily concerned with vocational rehabilitation, or
vocational and other rehabilitation, of individuals with disabilities;
or
b.____ not primarily concerned with vocational rehabilitation, or
vocational and other rehabilitation, of individuals with disabilities,
and includes within the State agency a vocational rehabilitation
bureau, or division, or other organizational unit that: is primarily
concerned with vocational rehabilitation, or vocational and other
rehabilitation, of individuals with disabilities, and is responsible
for the designated State agency's vocational rehabilitation program;
has a full-time director; has a staff, all or substantially all of whom
are employed full time on the rehabilitation work of the organizational
unit; and is located at an organizational level and has an
organizational status within the designated State agency comparable to
that of other major organizational units of the designated State
agency. (Sec. 101(a)(2)(B))
11. The designated State agency (or, as appropriate, agencies):
a.____ is an independent commission that is responsible under State
law for operating, or overseeing the operation of, the vocational
rehabilitation program in the State; is consumer-controlled by persons
who are individuals with physical or mental impairments that
substantially limit major life activities; and represent individuals
with a broad range of disabilities, unless the designated State unit
under the direction of the commission is the State agency for
individuals who are blind; includes family members, advocates, or other
representatives, of individuals with mental impairments; and undertakes
the functions set forth in Sec. 105(c)(4) of the Act; or
b.____ has established a State Rehabilitation Council that meets
the criteria set forth in section 105 of the Act and the designated
State unit: jointly with the Council develops, agrees to, and reviews
annually State goals and priorities, and jointly submits annual reports
of progress with the Council, in accordance with the provisions of
Sec. 101(a)(15) of the Act; regularly consults with the Council
regarding the development,
[[Page 2483]]
implementation, and revision of State policies and procedures of
general applicability pertaining to the provision of vocational
rehabilitation services; includes in the State plan and in any revision
to the State plan, a summary of input provided by the Council,
including recommendations from the annual report of the Council
described in section 105(c)(5) of the Act, the review and analysis of
consumer satisfaction described in section 105(c)(4), and other reports
prepared by the Council, and the response of the designated State unit
to such input and recommendations, including explanations for rejecting
any input or recommendation; and transmits to the Council all plans,
reports, and other information required under this title to be
submitted to the Secretary; all policies, and information on all
practices and procedures, of general applicability provided to or used
by rehabilitation personnel in carrying out this title; and copies of
due process hearing decisions issued under this title, which shall be
transmitted in such a manner as to ensure that the identity of the
participants in the hearings is kept confidential. (Sec. 101(a)(21))
12. The State provides for financial participation, or if the State
so elects, by the State and local agencies, to provide the amount of
the non-Federal share of the cost of carrying out title I, part B of
the Act. (Sec. 101(a)(3))
13. The plan is in effect in all political subdivisions of the
State, except that in the case of any activity that, in the judgment of
the Commissioner, is likely to assist in promoting the vocational
rehabilitation of substantially larger numbers of individuals with
disabilities or groups of individuals with disabilities, the
Commissioner may waive compliance with the requirement that the plan be
in effect in all political subdivisions of the State to the extent and
for such period as may be provided in accordance with regulations
prescribed by the Commissioner, but only if the non-Federal share of
the cost of the vocational rehabilitation services involved is met from
funds made available by a local agency (including funds contributed to
such agency by a private agency, organization, or individual); and in a
case in which earmarked funds are used toward the non-Federal share and
such funds are earmarked for particular geographic areas within the
State, the earmarked funds may be used in such areas if the State
notifies the Commissioner that the State cannot provide the full non-
Federal share without such funds. (Sec. 101(a)(4))
14. The State agency employs methods of administration found by the
Commissioner to be necessary for the proper and efficient
administration of the State plan. (Sec. 101(a)(6)(A))
15. The designated State agency and entities carrying out community
rehabilitation programs in the State, who are in receipt of assistance
under title I of the Act, take affirmative action to employ and advance
in employment qualified individuals with disabilities covered under and
on the same terms and conditions as set forth in Sec. 503 of the Act.
(Sec. 101(a)(6)(B))
16. Facilities used in connection with the delivery of services
assisted under the State plan comply with the provisions of the Act
entitled ``An Act to insure that certain buildings financed with
federal funds are so designed and constructed as to be accessible to
the physically handicapped,'' approved on August 12, 1968 (commonly
known as the ``Architectural Barriers Act of 1968''), with Sec. 504 of
the Act and with the Americans with Disabilities Act of 1990.
(Sec. 101(a)(6)(C))
17. If, under special circumstances, the State plan includes
provisions for the construction of facilities for community
rehabilitation programs--
a. The Federal share of the cost of construction for the facilities
for a fiscal year will not exceed an amount equal to 10 percent of the
State's allotment under section 110 for such year;
b. The provisions of section 306 (as in effect on the day before
the date of enactment of the Rehabilitation Act Amendments of 1998)
shall be applicable to such construction and such provisions shall be
deemed to apply to such construction; and
c. There shall be compliance with regulations the Commissioner
shall prescribe designed to assure that no State will reduce its
efforts in providing other vocational rehabilitation services (other
than for the establishment of facilities for community rehabilitation
programs) because the plan includes such provisions for construction.
(Sec. 101(a)(17))
18. The designated State unit submits, in accordance with section
101(a)(10) of the Act, reports in the form and level of detail and at
the time required by the Commissioner regarding applicants for and
eligible individuals receiving services under the State plan and the
information submitted in the reports provides a complete count, unless
sampling techniques are used, of the applicants and eligible
individuals in a manner that permits the greatest possible cross-
classification of data and ensures the confidentiality of the identity
of each individual. (Sec. 101(a)(10)(A) and (F))
19. The designated State agency has the authority to enter into
contracts with for-profit organizations for the purpose of providing,
as vocational rehabilitation services, on-the-job training and related
programs for individuals with disabilities under part A of title VI of
the Act, upon the determination by the designated State agency that
such for-profit organizations are better qualified to provide such
vocational rehabilitation services than non-profit agencies and
organizations. (Sec. 101(a)(24)(A))
20. The designated State agency has cooperative agreements with
other entities that are components of the statewide workforce
investment system of the State in accordance with section 101(a)(11)(A)
of the Act and replicates these cooperative agreements at the local
level between individual offices of the designated State unit and local
entities carrying out activities through the statewide workforce
investment system. (Sec. 101(a)(11)(A) and (B))
21. The designated State unit, the Statewide Independent Living
Council established under section 705 of the Act, and the independent
living centers described in part C of title VII of the Act within the
State have developed working relationships and coordinate their
activities. (Sec. 101(a)(11)(E))
22. If there is a grant recipient in the State that receives funds
under part C of the Act, the designated State agency has entered into a
formal agreement that meets the requirements of section 101(a)(11)(F)
of the Act with each grant recipient. (Sec. 101(a)(11)(F))
23. Except as otherwise provided in part C of title I of the Act,
the designated State unit provides vocational rehabilitation services
to American Indians who are individuals with disabilities residing in
the State to the same extent as the designated State agency provides
such services to other significant populations of individuals with
disabilities residing in the State. (Sec. 101(a)(13))
24. No duration of residence requirement is imposed that excludes
from services under the plan any individual who is present in the
State. (Sec. 101(a)(12))
25. The designated State agency has implemented an information and
referral system that is adequate to ensure that individuals with
disabilities are provided accurate vocational rehabilitation
information and guidance, using appropriate modes of communication, to
assist such individuals in preparing for, securing, retaining, or
regaining employment, and
[[Page 2484]]
are appropriately referred to Federal and State programs, including
other components of the statewide workforce investment system in the
State. (Sec. 101(a)(20))
26. In the event that vocational rehabilitation services cannot be
provided to all eligible individuals with disabilities in the State who
apply for the services, individuals with the most significant
disabilities, in accordance with criteria established by the State for
the order of selection, will be selected first for the provision of
vocational rehabilitation services and eligible individuals, who do not
meet the order of selection criteria, shall have access to services
provided through the information and referral system implemented under
section 101 (a)(20) of the Act. (Sec. 101(a)(5)(C) and (D))
27. Applicants and eligible individuals, or, as appropriate, the
applicants' representatives or the individuals' representatives, are
provided information and support services to assist the applicants and
eligible individuals in exercising informed choice throughout the
rehabilitation process, consistent with the provisions of section
102(d) of the Act. (Sec. 101(a)(19))
28. An individualized plan for employment meeting the requirements
of section 102(b) of the Act will be developed and implemented in a
timely manner for an individual subsequent to the determination of the
eligibility of the individual for services, except that in a State
operating under an order of selection, the plan will be developed and
implemented only for individuals meeting the order of selection
criteria; services under this plan will be provided in accordance with
the provisions of the individualized plan for employment.
(Sec. 101(a)(9))
29. Prior to providing any vocational rehabilitation services,
except:
a. Assessment for determining eligibility and vocational
rehabilitation needs by qualified personnel, including, if appropriate,
an assessment by personnel skilled in rehabilitation technology;
b. Counseling and guidance, including information and support
services to assist an individual in exercising informed choice
consistent with the provisions of section 102(d) of the Act;
c. Referral and other services to secure needed services from other
agencies through agreements developed under section 101(a)(11) of the
Act, if such services are not available under this State plan;
d. Job-related services, including job search and placement
assistance, job retention services, follow-up services, and follow-
along services;
e. Rehabilitation technology, including telecommunications,
sensory, and other technological aids and devices; and
f. Post-employment services consisting of the services listed under
subparagraphs (a) through (e), to an eligible individual, or to members
of the individual's family, the State unit determines whether
comparable services and benefits exist under any other program and
whether those services and benefits are available to the individual
unless the determination of the availability of comparable services and
benefits under any other program would interrupt or delay:
Progress of the individual toward achieving the employment
outcome identified in the individualized plan for employment;
An immediate job placement; or
Provision of such service to any individual who is
determined to be at extreme medical risk, based on medical evidence
provided by an appropriate qualified medical professional.
(Sec. 101(a)(8)(A))
30. The Governor of the State in consultation with the designated
State vocational rehabilitation agency and other appropriate agencies
ensures that there is an interagency agreement or other mechanism for
interagency coordination that meets the requirements of section
101(a)(8)(B)(i)-(iv) of the Act between any appropriate public entity,
including the State Medicaid program, public institution of higher
education, and a component of the statewide workforce investment
system, and the designated State unit so as to ensure the provision of
the vocational rehabilitation services identified in section 103(a) of
the Act, other than the services identified as being exempt from the
determination of the availability of comparable services and benefits,
that are included in the individualized plan for employment of an
eligible individual, including the provision of such services during
the pendency of any dispute that may arise in the implementation of the
interagency agreement or other mechanism for interagency coordination.
(Sec. 101(a)(8)(B))
31. The State agency conducts an annual review and reevaluation of
the status of each individual with a disability served under this State
plan who has achieved an employment outcome either in an extended
employment setting in a community rehabilitation program or any other
employment under section 14(c) of the Fair Labor Standards Act (29
U.S.C. 214(c)) for 2 years after the achievement of the outcome (and
annually thereafter if requested by the individual or, if appropriate,
the individual's representative), to determine the interests,
priorities, and needs of the individual with respect to competitive
employment or training for competitive employment; provides for the
input into the review and reevaluation, and a signed acknowledgment
that such review and reevaluation have been conducted, by the
individual with a disability, or, if appropriate, the individual's
representative; and makes make maximum efforts, including the
identification and provision of vocational rehabilitation services,
reasonable accommodations, and other necessary support services, to
assist such individuals in engaging in competitive employment.
(Sec. 101(a)(14))
32. Funds made available under title VI, part B of the Act will
only be used to provide supported employment services to individuals
who are eligible under this part to receive the services.
(Sec. 625(b)(6)(A))
33. The comprehensive assessments of individuals with significant
disabilities conducted under section 102(b)(1) of the Act and funded
under title I will include consideration of supported employment as an
appropriate employment outcome. (Sec. 625(b)(6)(B)
34. An individualized plan for employment, as required by section
102 of the Act, will be developed and updated using funds under title I
in order to specify the supported employment services to be provided;
specify the expected extended services needed; and identify the source
of extended services, which may include natural supports, or to the
extent that it is not possible to identify the source of extended
services at the time the individualized plan for employment is
developed, a statement describing the basis for concluding that there
is a reasonable expectation that such sources will become available.
(Sec. 625(b)(6)(C))
35. The State will use funds provided under title VI, part B only
to supplement, and not supplant, the funds provided under title I, in
providing supported employment services specified in the individualized
plan for employment. (Sec. 625(b)(6)(D))
36. Services provided under an individualized plan for employment
will be coordinated with services provided under other individualized
plans established under other Federal or State programs.
(Sec. 625(b)(6)(E))
[[Page 2485]]
37. To the extent jobs skills training is provided, the training
will be provided on site. (Sec. 625(b)(6)(F))
38. Supported employment services will include placement in an
integrated setting for the maximum number of hours possible based on
the unique strengths, resources, priorities, concerns, abilities,
capabilities, interests, and informed choice of individuals with the
most significant disabilities. (Sec. 625(b)(G))
39. The State will expend not more than 5 percent of the allotment
of the State under title VI, part B for administrative costs of
carrying out this part. (Sec. 625(b)(7))
40. The supported employment supplement to the title I State plan
contains such other information and be submitted in such manner as the
Commissioner of the Rehabilitation Services Administration may require.
(Sec. 625(b)(8))
Unemployment Insurance
The Governor, by signing the Unified Plan Signature Page, certifies
that:
1. The SESA will comply with the following assurances, and that the
SESA will institute plans or measures to comply with the following
requirements. Because the Signature Page incorporates the assurances by
reference into the Unified Plan, States should not include written
assurances in their Unified Plan submittal. The assurances are
identified and explained in Paragraphs (2)-(11) below.
2. Assurance of Equal Opportunity (EO). As a condition to the award
of financial assistance from ETA:
(a) The State assures that it will comply with the
nondiscrimination provisions of section 188, and its implementing
regulations at 29 CFR part 37, including an assurance that a Method of
Administration has been developed and implemented. (Sec. 188 and
Sec. 112(b)(17));
(b) The State assures that it will collect and maintain data
necessary to show compliance with the nondiscrimination provisions of
section 188, as provided in the regulations implementing that section
(Sec. 185).
3. Assurance of Administrative Requirements and Allowable Cost
Standards. The SESA will comply with administrative requirements and
cost principles applicable to grants and cooperative agreements as
specified in 20 CFR Part 601 (Administrative Procedure), 29 CFR Part 93
(Lobbying Prohibitions), 29 CFR Part 96 (Audit Requirements), 29 CFR
Part 97 (Uniform Administrative Requirements for Grants and Cooperative
Agreements to State and Local Governments), and OMB Circular A-87
(Revised), 60 FR 26484 (May 17, 1995), further amended at 62 FR 45934
(August 29, 1997) (Cost Principles for State, Local, and Indian Tribal
Governments), and with administrative requirements for debarment and
suspension applicable to subgrants or contracts as specified in 29 CFR
Part 98 (Debarment and Suspension). The cost of State staff travel to
regional and national meetings and training sessions is included in the
grant funds. It is assured that State staff will attend mandatory
meetings and training sessions, or unused funds will be returned.
States that have subawards to organizations covered by audit
requirements of OMB Circular A-133 (Revised) (Audit Requirements of
Institutions of Higher Education and Other Non-Profits) must (1) ensure
that such subrecipients meet the requirements of that circular, as
applicable, and (2) resolve audit findings, if any, resulting from such
audits, relating to the UI program.
(a) The SESA also assures that it will comply with the following
specific administrative requirements.
(i). Administrative Requirements.
Program Income. Program income is defined in 29 CFR 97.25 as gross
income received by a grantee or subgrantee directly generated by a
grant supported activity, or earned only as a result of the grant
agreement during the grant period. States may deduct costs incidental
to the generation of UI program income from gross income to determine
net UI program income. UI program income may be added to the funds
committed to the grant by ETA. The program income must be used only as
necessary for the proper and efficient administration of the UI
program. Any rental income or user fees obtained from real property or
equipment acquired with grant funds from prior awards shall be treated
as program income under this grant.
Budget Changes. Except as specified by terms of the specific grant
award, ETA, in accordance with the regulations, waives the requirements
in 29 CFR 97.30(c)(1)(ii) that States obtain prior written approval for
certain types of budget changes.
Real Property Acquired with Reed Act Funds. The requirements for
real property acquired with Reed Act or other non-Federal funds and
amortized with UI grants are in UIPL 39-97, dated September 12, 1997,
and in 29 CFR 97.31 to the extent amortized with UI grants.
Equipment Acquired with Reed Act Funds. The requirements for
equipment acquired with Reed Act or other non-Federal funds and
amortized with UI grants are in UIPL 39-97, dated September 12, 1997,
and in 29 CFR 97.31 to the extent amortized with UI grants.
Real Property, Equipment, and Supplies. Real property, equipment,
and supplies acquired under prior awards are transferred to this award
and are subject to the relevant regulations at 29 CFR Part 97.
For super-microcomputer systems and all associated components which
were installed in States for the purpose of Regular Reports, Benefits
Accuracy Measurement, and other UI Activities, the requirements of 29
CFR Part 97 apply. The National Office reserves the right to transfer
title and issue disposition instructions in accordance with paragraph
(g) of Federal regulations at 29 CFR 97.32. States also will certify an
inventory list of system components which will be distributed annually
by ETA.
Standard Form 272, Federal Cash Transactions Report. In accordance
with 29 CFR 97.41(c), SESAs are required to submit a separate SF 272
for each sub-account under the Department of Health and Human Services
(DHHS) Payment Management System. However, SESAs are exempt from the
requirement to submit the SF 272A, Continuation Sheet.
(ii). Exceptions and Expansions to Cost Principles. The following
exceptions or expansions to the cost principles of OMB Circular No. A-
87 (Revised) are applicable to SESAs:
--Employee Fringe Benefits. As an exception to OMB Circular A-87
(Revised) with respect to personnel benefit costs incurred on behalf of
SESA employees who are members of fringe benefit plans which do not
meet the requirements of OMB Circular No. A-87 (Revised), Attachment B,
item 11, the costs of employer contributions or expenses incurred for
SESA fringe benefit plans are allowable, provided that:
For retirement plans, all covered employees joined the plan before
October 1, 1983; the plan is authorized by State law; the plan was
previously approved by the Secretary; the plan is insured by a private
insurance carrier which is licensed to operate this type of plan in the
applicable State; and any dividends or similar credits because of
participation in the plan are credited against the next premium falling
due under the contract.
For all SESA fringe benefit plans other than retirement plans, if
the Secretary granted a time extension after October 1, 1983, to the
existing approval of such a plan, costs of the plan are
[[Page 2486]]
allowable until such time as the plan is comparable in cost and
benefits to fringe benefit plans available to other similarly employed
State employees. At such time as the cost and benefits of an approved
fringe benefit plan are equivalent to the cost and benefits of plans
available to other similarly employed State employees, the time
extension will cease and the cited requirements of OMB Circular A-87
(Revised) will apply. (3) For retirement plans and all other fringe
benefit plans covered in (1) and (2) of this paragraph, any additional
costs resulting from improvements to the plans made after October 1,
1983, are not chargeable to UI grant funds.
--UI Claimant's Court Appeals Costs. To the extent authorized by
State law, funds may be expended for reasonable counsel fees and
necessary court costs, as fixed by the court, incurred by the claimant
on appeals to the courts in the following cases:
Any court appeal from an administrative or judicial decision
favorable in whole or in part for the claimant;
Any court appeal by a claimant from a decision which reverses a
prior decision in his/her favor;
Any court appeal by a claimant from a decision denying or reducing
benefits awarded under a prior administrative or judicial decision;
Any court appeal as a result of which the claimant is awarded
benefits;
Any court appeal by a claimant from a decision by a tribunal, board
of review, or court which was not unanimous; and
Any court appeal by a claimant where the court finds that a
reasonable basis exists for the appeal. Reed Act. Payment from the
SESA's UI grant allocations, made into a State's account in the
Unemployment Trust Fund for the purpose of reducing charges against
Reed Act funds (Section 903(c)(2) of the Social Security Act, as
amended (42 U.S.C. 1103(c)(2)), are allowable costs provided that:
The charges against Reed Act funds were for amounts appropriated,
obligated, and expended for the acquisition of automatic data
processing installations or for the acquisition or major renovation of
State-owned real property (as defined in 29 CFR 97.3); and
With respect to each acquisition or improvement of property, the
payments are accounted for as credit against equivalent amounts of Reed
Act funds previously withdrawn under the respective appropriation.
Prior Approval of Equipment Purchases. As provided for in OMB
Circular No. A-87 (Revised), Attachment B, item 19, the requirement
that grant recipients obtain prior approval from the Federal grantor
agency for all purchases of equipment (as defined in 29 CFR 97.3) is
waived and approval authority is delegated to the SESA Administrator.
4. Assurance of Management Systems, Reporting, and Record Keeping.
The SESA assures that:
--Financial systems provide fiscal control and accounting
procedures sufficient to permit timely preparation of required reports,
and the tracing of funds to a level of expenditure adequate to
establish that funds have not been expended improperly (29 CFR 97.20).
The financial management system and the program information system
provide Federally-required reports and records that are uniform in
definition, accessible to authorized Federal and State staff, and
verifiable for monitoring, reporting, audit, and evaluation purposes.
It will submit reports to ETA as required in instructions issued by
ETA and in the format ETA prescribes.
The financial management system provides for methods to insure
compliance with the requirements applicable to procurement and grants
as specified in 29 CFR Part 98 (Debarment and Suspension), and for
obtaining the required certifications under 29 CFR 98.510(b) regarding
debarment, suspension, ineligibility, and voluntary exclusions for
lower tier covered transactions.
5. Assurance of Program Quality. The SESA assures that it will
administer the UI program in a manner that ensures proper and efficient
administration. ``Proper and efficient administration'' includes
performance measured by ETA through Tier I measures, Tier II measures,
program reviews, and the administration of the UI BAM, BTQ measures,
and TPS program requirements.
6. Assurance on Use of Unobligated Funds. The SESA assures that
non-automation funds will be obligated by December 31 of the following
fiscal year, and liquidated (expended) within 90 days thereafter. ETA
may extend the liquidation date upon written request. Automation funds
must be obligated by the end of the 3rd fiscal year, and liquidated
within 90 days thereafter. ETA may extend the liquidation date upon
written request. Failure to comply with this assurance may result in
disallowed costs from audits or review findings.
7. Assurance of Disaster Recovery Capability. The SESA assures that
it will maintain a Disaster Recovery plan.
8. Assurance of Conformity and Compliance. The SESA assures that
the State law will conform to, and its administrative practice will
substantially comply with, all Federal UI law requirements, and that it
will adhere to DOL directives.
9. Assurance of Participation in UI PERFORMS. The SESA assures that
it will participate in the annual UI PERFORMS State Quality Service
Planning process by submitting: (1) Any Corrective Action Plans (CAPs)
required under UI PERFORMS, and (2) any Continuous Improvement Plans
(CIPs) negotiated with the Department of Labor as part of the State
Quality Service Planning process.
10. Assurance of Financial Reports and Planning Forms. The SESA
assures that it will submit financial reports and financial planning
forms as required by the Department of Labor to support the annual
allocation of administrative grants.
11. Assurance of Prohibition of Lobbying Costs (29 CFR Part 93).
The SESA assures and certifies that, in accordance with the DOL
Appropriations Act, no UI grant funds will be used to pay salaries or
expenses related to any activity designed to influence legislation or
appropriations pending before the Congress of the United States. (k).
Drug-Free Workplace (29 CFR Part 98). The SESA assures and certifies
that it will comply with the requirements at this part.
Temporary Assistance for Needy Families (TANF)
By signing the Unified Plan signature page, you are certifying
that:
1. During the fiscal year, the State will operate a child support
enforcement program under the State plan approved under part D.
(Sec. 402(a)(2))
2. During the fiscal year, the State will operate a foster care and
adoption assistance program under the State plan approved under part E,
and that the State will take such actions as are necessary to ensure
that children receiving assistance under such part are eligible for
medical assistance under the State plan under title XIX.
(Sec. 402(a)(3))
3. Which State agency or agencies will administer and supervise the
TANF program for the fiscal year, which shall include assurances that
local governments and private sector organizations have been consulted
regarding the plan and design of welfare services in the State so that
services are provided in a manner appropriate to local populations; and
have had at least 45 days to submit comments on the plan and the design
of such services. (Sec. 402(a)(4))
[[Page 2487]]
4. That, during the fiscal year, the State will provide each member
of an Indian tribe, who is domiciled in the State and is not eligible
for assistance under a tribal family assistance plan approved under
section 412, with equitable access to federally-funded assistance under
the State's TANF program (Sec. 402(a)(5))
5. That the State has established and is enforcing standards and
procedures to ensure against program fraud and abuse, including
standards and procedures concerning nepotism, conflicts of interest
among individuals responsible for the administration and supervision of
the State program, kickbacks, and the use of political patronage.
(Sec. 402(a)(6))
6. (Optional) that the State has established and is enforcing
standards and procedures to:
Screen and identify individuals receiving assistance under
this part with a history of domestic violence while maintaining the
confidentiality of such individuals;
Refer such individuals to counseling and supportive
services; and
Waive, pursuant to a determination of good cause, other
program requirements such as time limits (for so long as necessary) for
individuals receiving assistance, residency requirements, child support
cooperation requirements, and family cap provisions, in cases where
compliance with such requirements would make it more difficult for
individuals receiving assistance under this part to escape domestic
violence or unfairly penalize such individuals who are or have been
victimized by such violence, or individuals who are at risk of further
domestic violence. (Sec. 402(a)(7)(A)(i), (ii), (iii)
Welfare-to-Work (WtW)
By signing the Unified Plan signature page, you are certifying
that:
1. The State is an eligible State, pursuant to SSA section 402(a)
for the fiscal year. (SSA Sec. 402(a); SSA Sec. 403(a)(5)(A)(ii)(IV))
2. The State assures that qualified State expenditures (within the
meaning of SSA section 409(a)(7)) for the fiscal year will not be less
than the applicable percentage of historic State expenditures (within
the meaning of SSA section 409(a)(7)) with respect to the fiscal year.
(SSA section 403(5)(A)(ii)(V); SSA Section 409(a)(7))
3. The State has consulted and coordinated with the appropriate
entities in the substate areas regarding the plan and the design of WtW
services in the State. Statutory Citation: SSA section
403(a)(5)(A)(ii)(I)(cc).
4. The State will make available to the public a summary of the WtW
plan. Statutory Citation: SSA section 402(b).
5. The State has agreed to negotiate in good faith with the
Secretary of Health and Human Services with respect to the substance
and funding of any evaluation under SSA section 413(j) and to cooperate
with the conduct of such an evaluation. (SSA
Sec. 403(a)(5)(A)(ii)(III); SSA Sec. 413(j))
6. The State shall not use any part of these grant funds, nor any
part of state expenditures made to match the funds, to fulfill any
obligation of any State, political subdivision, or private industry
council to contribute funds under SSA sections 403(b) or 418 or any
other provision of the Social Security Act or other Federal law.
Note: There is an exception to this requirement for Access to
Jobs. Statutory Citation: SSA section 403(a)(5)(C)(vi).
7. The State will return to The Secretary of Labor any part of the
WtW funds that are not expended within 3 years after the date the funds
are so provided. Statutory Citation: SSA section 403(a)(5)(C)(vii).
8. The State WtW program will be conducted in accordance with the
WtW legislation, regulatory provisions, future written guidance
provided by the Department, and all other applicable Federal and State
laws.
9. The State will apply the TANF law and regulations to the
operation of the WtW program, unless otherwise specified by the
Department or defined in SSA section 403(a)(5) or the applicable WtW
regulations.
10. The State will provide services under the WtW grant to eligible
participants only.
11. The State will maintain and submit accurate, complete and
timely participant and financial records reports, as specified by the
Secretary of Labor and the Secretary of Health and Human Services.
12. The State will establish a mechanism to exchange information
and coordinate the WtW program operated by the State and PICs with
other programs available that will assist in providing welfare
recipients employment.
13. The State shall adhere to the certifications required under
TANF and will meet the TANF maintenance of effort requirements.
14. The State will comply with the ``common rule'' Uniform
Administrative Requirements for Grants and Cooperative Agreements to
State and Local Governments codified for DOL at 29 CFR Part 97.
15. The State will follow the audit requirements of The Single
Audit Act Amendments of 1996 and OMB-Circular A-133.
16. The State will follow the allowable cost/cost principles of OMB
Circular A-87.
17. The State will establish policies to enforce the provisions
regarding nondisplacement in work activities under a program operated
with funds provided under WtW. Statutory Citation: SSA section
403(a)(5)(J)(i).
18. Assures that the Health and Safety standards established under
Federal and State law otherwise applicable to working conditions of
employees shall be equally applicable to working conditions of other
participants engaged in a work activity under a program operated with
funds provided under WtW. Statutory Citation: SSA section
403(a)(5)(J)(ii).
19. The State will enforce the provision that an individual may not
be discriminated against by reason of gender with respect to
participation in work activities under a program operated with funds
provided under WtW. Statutory Citation: SSA section 403(a)(5)(J)(iii).
20. The State shall establish and maintain procedures for
grievances or complaints from participants and employees under the WtW
program. The procedures established will be consistent with the
requirements of SSA section 403(a)(5)(J)(iv). Statutory Citation: SSA
section 403(a)(5)(J)(iv).
21. The State shall establish and enforce standards and procedures
to ensure against fraud and abuse, including standards and procedures
against nepotism, conflicts of interest among individuals responsible
for the administration and supervision of the State WtW program,
kickbacks, and the use of political patronage.
22. The State will comply with the nondiscrimination provisions of
the laws enumerated at SSA section 408(d), with respect to
participation in work activities engaged in under the WtW program.
Senior Community Service Employment Program (SCSEP)
1. By signing the Unified Plan signature page, you are certifying
that the State agrees to follow the provisions of Title V of the Older
Americans Act of 1965 as amended or its successor legislation, the
regulations at 20 CFR part 641 and Department of Labor guidance when
administering funds provided pursuant to that Act.
Community Services Block Grant (CSBG)
By signing the Unified Plan signature page, you are certifying
that:
[[Page 2488]]
1. Funds made available through the grant or allotment will be
used--
To support activities that are designed to assist low-
income families and individuals, including families and individuals
receiving assistance under part A of title IV of the Social Security
Act (42 U.S.C. 601 et seq.), homeless families and individuals, migrant
or seasonal farmworkers, and elderly low-income individuals and
families, and a description of how such activities will enable the
families and individuals--
To remove obstacles and solve problems that block the
achievement of self-sufficiency (including self-sufficiency for
families and individuals who are attempting to transition off a State
program carried out under part A of title IV of the Social Security
Act); to secure and retain meaningful employment;
To attain an adequate education, with particular attention
toward improving literacy skills of the low-income families in the
communities involved, which may include carrying out family literacy
initiatives;
To make better use of available income;
To obtain and maintain adequate housing and a suitable
living environment;
To obtain emergency assistance through loans, grants, or
other means to meet immediate and urgent family and individual needs;
and to achieve greater participation in the affairs of the communities
involved, including the development of public and private grassroots
partnerships with local law enforcement agencies, local housing
authorities, private foundations, and other public and private partners
to--
Document best practices based on successful grassroots
intervention in urban areas, to develop methodologies for widespread
replication; and strengthen and improve relationships with local law
enforcement agencies, which may include participation in activities
such as neighborhood or community policing efforts.
2. The needs of youth in low-income communities are being met
through youth development programs that support the primary role of the
family, give priority to the prevention of youth problems and crime,
and promote increased community coordination and collaboration in
meeting the needs of youth, and support development and expansion of
innovative community-based youth development programs that have
demonstrated success in preventing or reducing youth crime, such as--
Programs for the establishment of violence-free zones that
would involve youth development and intervention models (such as models
involving youth mediation, youth mentoring, life skills training, job
creation, and entrepreneurship programs); and
After-school child care programs. There is an effective
use of, and to coordinate, other programs related to the purposes of
this subtitle (including State welfare reform efforts).
3. There is an effective use of, and to coordinate with, other
programs related to the purposes of this subtitle (including State
welfare reform efforts).
4. A description is provided on how the State intends to use
discretionary funds made available from the remainder of the grant or
allotment described in section 675C(b) in accordance with this
subtitle, including a description of how the State will support
innovative community and neighborhood-based initiatives related to the
purposes of this subtitle.
5. Information is provided by eligible entities in the State,
containing--
A description of the service delivery system, for services
provided or coordinated with funds made available through grants made
under section 675C(a), targeted to low-income individuals and families
in communities within the State;
A description of how linkages will be developed to fill
identified gaps in the services, through the provision of information,
referrals, case management, and followup consultations;
A description of how funds made available through grants
made under section 675C(a) will be coordinated with other public and
private resources; and
A description of how the local entity will use the funds
to support innovative community and neighborhood-based initiatives
related to the purposes of this subtitle, which may include fatherhood
initiatives and other initiatives with the goal of strengthening
families and encouraging effective parenting.
6. Eligible entities in the State will provide, on an emergency
basis, for the provision of such supplies and services, nutritious
foods, and related services, as may be necessary to counteract
conditions of starvation and malnutrition among low-income individuals.
7. The State and the eligible entities in the State will
coordinate, and establish linkages between, governmental and other
social services programs to assure the effective delivery of such
services to low-income individuals and to avoid duplication of such
services, and a description of how the State and the eligible entities
will coordinate the provision of employment and training activities, as
defined in section 101 of such Act, in the State and in communities
with entities providing activities through statewide and local
workforce investment systems under the Workforce Investment Act of
1998.
8. The State will ensure coordination between antipoverty programs
in each community in the State, and ensure, where appropriate, that
emergency energy crisis intervention programs under title XXVI
(relating to low-income home energy assistance) are conducted in such
community.
9. The State will permit and cooperate with Federal investigations
undertaken in accordance with section 678D.
10. Any eligible entity in the State that received funding in the
previous fiscal year through a community services block grant made
under this subtitle will not have its funding terminated under this
subtitle, or reduced below the proportional share of funding the entity
received in the previous fiscal year unless, after providing notice and
an opportunity for a hearing on the record, the State determines that
cause exists for such termination or such reduction, subject to review
by the Secretary as provided in section 678C(b).
11. The State will require each eligible entity in the State to
establish procedures under which a low-income individual, community
organization, or religious organization, or representative of low-
income individuals that considers its organization, or low-income
individuals, to be inadequately represented on the board (or other
mechanism) of the eligible entity to petition for adequate
representation.
12. The State will require each eligible entity in the State to
establish procedures under which a low-income individual, community
organization, or religious organization, or representative of low-
income individuals that considers its organization, or low-income
individuals, to be inadequately represented on the board (or other
mechanism) of the eligible entity to petition for adequate
representation.
13. The State will secure from each eligible entity in the State,
as a condition to receipt of funding by the entity through a community
services block grant made under this subtitle for a program, a
community action plan (which shall be submitted to the Secretary, at
the request of the Secretary, with the State plan) that includes a
community-needs assessment for the community served, which may be
coordinated with community-needs assessments conducted for other
programs.
[[Page 2489]]
14. The State and all eligible entities in the State will, not
later than fiscal year 2001, participate in the Results Oriented
Management and Accountability System, another performance measure
system for which the Secretary facilitated development pursuant to
section 678E(b), or an alternative system for measuring performance and
results that meets the requirements of that section, and a description
of outcome measures to be used to measure eligible entity performance
in promoting self-sufficiency, family stability, and community
revitalization.
15. The information describing how the State will carry out the
assurances is described in this subsection.
[FR Doc. 00-811 Filed 1-13-00; 8:45 am]
BILLING CODE 4510-30-P
