Workforce Investment Act; Proposed Unified Plan Guidance (Developed by the Departments of Labor, Education, Health and Human Services, Agriculture, and Housing and Urban Development); Proposed Information Collection Request Submitted for Public Comment and Recommendations
Federal RegisterOct 6, 1999
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SUMMARY: The Departments of Labor, Education, Health and Human
Services, Agriculture, and Housing and Urban Development, as part of
continuing efforts to reduce paperwork and respondent burden, conducts
a preclearance consultation program to provide the general public and
Federal agencies with an opportunity to comment on proposed and/or
continuing collections of information in accordance with the Paperwork
Reduction Act of 1995 (44 U.S.C. 3506(c)(2)(A)). This program helps to
ensure that reporting burden (time and financial resources) is
minimized; collection instruments are clearly understood; and the
impact of collection requirements on respondents can be properly
assessed. This notice by the Employment and Training Administration (on
behalf of all the aforementioned agencies) is to solicit comments
concerning proposed guidance for States to submit a Unified Plan under
Section 501 of the Workforce Investment Act of 1998. A copy of this
proposed guidance is provided at the end of this notice. The proposed
guidance is published for the purpose of obtaining comment on its
information collection requirements from the public.
DATES: Written comments must be submitted to the office listed in the
addressee's section below on or before December 6, 1999.
ADDRESSES: Comments may be submitted to: Dolores Hall-Beran,
Coordinator of the State Unified Plan Review Process, U.S. Department
of Labor, 200 Constitution Avenue, NW, Room S-5513, Washington, D.C.
20210. The Coordinator can be reached by telephone at (202) 219-0316,
ext. 146, or by e-mail at [email protected].
FOR FURTHER INFORMATION CONTACT: Mr. Eric Johnson, Workforce Investment
Implementation Task Force Office, U.S. Department of Labor, 200
Constitution Ave, NW, Room S-5513, Washington, DC 20210, Telephone:
(202) 219-0316 (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.
SUPPLEMENTARY INFORMATION:
I. 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, training and workforce development systems. Successful
implementation requires collaboration at the Federal, State, and local
levels to ensure creation of a comprehensive, customer-focused
workforce investment system as well as the creation of a seamless
system of service delivery. The purpose of this proposed document is to
provide guidance to facilitate States' development and submission of a
State Unified Plan authorized by Title V, Section 501 of the Workforce
Investment Act of 1998 (WIA). Please note that this document provides a
model the State may choose to follow in developing its unified plan,
but does not represent a required format for submission. For a more
detailed description of the purpose and role of this proposed guidance,
please see the copy of the proposed guidance published herein.
II. Review Focus
The Departments of Labor, Education, Health and Human Services,
Agriculture, and Housing and Urban Development are particularly
interested in comments which:
--Evaluate whether the proposed collection of information is necessary
for the proper performance of the functions of the agencies, including
whether the information will have practical utility;
--Evaluate the accuracy of the agencies estimate of the burden of the
proposed collection of information, including the validity of the
methodology and assumptions used;
--Enhance the quality, utility, and clarity of the information to be
collected; and
--Minimize the burden of the collection of information on those who are
to respond, including through the use of appropriate automated,
electronic, mechanical, or other technological collection techniques or
other forms of information technology, e.g., permitting electronic
submission of responses; and
-- Evaluate whether the proposed guidance will facilitate States'
development of comprehensive unified plans.
III. Current Actions
This is a request for OMB approval (under the Paperwork Reduction
Act of 1995 (44 U.S.C. 3506(c)(2)(A)) to approve a new collection of
information.
Type of Review: New Collection.
Agency: Employment and Training Administration, on behalf of the
Departments of Labor, Education, Health and Human Services,
Agriculture, and Housing and Urban Development.
Title: Proposed State Unified Plan Planning Guidance for State
Unified Plans Submitted Under Section 501 of the Workforce Investment
Act of 1998.
Frequency: Annually.
Affected Public: Individuals; businesses; other for-profit/not-for-
profit institutions; Federal, State, Local, or Tribal Governments.
Number of Respondents: 57.
Burden and Cost Estimates: Assuming a respondents opts to include
all 16 programs in the Unified Plan, the following burden estimates
would apply. [Note: Estimates were derived by analyzing the current
burden estimates for current State plan requirements for the individual
programs included in Section 501. Using burden estimated from each of
the existing planning requirements, it takes an average of 84 minutes
(or 1.4 hours) to complete each narrative question. There are
approximately 230 narrative questions in the unified plan guidance.
Using previous burden estimates as a guide, approximately 13 hours were
allowed for the completion of the assurances and certifications.
Finally, a $25 per hour rate was used for staff completing the State
planning requirements.]
Estimated Time Per Response: 335 hours. [(1.4 hours * 230
narratives) + 13 hours].
Total Estimated Cost for Respondents: $477,375.
Total Burden Hours: 19,095 hours. [335 hours * 57 respondents]
Comments submitted in response to this notice will be summarized and/or
included in the request for Office of Management and Budget approval of
the information collection request; they will also become a matter of
public record.
Dated: September 29, 1999.
Raymond J. Uhalde,
Deputy Assistant Secretary, Employment and Training Administration.
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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. 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.1
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\1\ Please note that the Departments of Education and Labor may
issue additional guidance to assist States in fulfilling the
performance accountability requirements of for WIA Title I, the
Adult Education and Family Literacy Act, and Perkins III, including,
for example, the requirements to renegotiate performance levels at
statutorily defined points in the 5-year unified plan cycle.
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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: [email protected]).
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: [email protected]).
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: [email protected]).
Activities Authorized Under Title I, Workforce Investment
Systems (Employment and Training Activities for Adults, Dislocated
Workers and Youth, or WIA Title I)
Administered by Department of Labor, Employment and Training
Administration.
Staff Contact: Eric Johnson: 202-219-0316 (phone); 202-219-0323
(fax) (E-mail: [email protected]).
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: [email protected]).
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]).
Work Programs Authorized Under Sec. 6(o) of the Food Stamp Act
of 1977 (Food Stamp Work Programs)
Administered by USDA, Food and Nutrition Service.
Staff Contact: Michael Atwell: 703-305-2449 (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: [email protected]).
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: [email protected]).
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: [email protected]).
Programs Authorized Under Chapters 41 and 42 of Title 38,
U.S.C., and 20 CFR 1001 and 1005 (Veterans Programs, Including Veterans
Employment, Disabled Veterans' Outreach Program, and Local Veterans'
Employment Representative Program)
Administered by DOL, Veterans' Employment and Training Service.
Staff Contact: Effie Baldwin: 202-693-4742 (phone); 202-693-4755
(fax) (E-mail: Baldwin-E[email protected]).
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 (E-mail: [email protected]).
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: [email protected]).
WtW administered by Department of Labor, Employment and Training
Administration.
Staff Contact: Stephanie Curtis: 202-219-0024 (phone); 202-219-0312
(fax) (E-mail: [email protected]).
[[Page 54417]]
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: [email protected]).
Training Activities Carried Out by the Department of Housing
and Urban Development (Community Development Block Grants, or CDBG, and
Public Housing Plans)
Staff Contact: Deborah Greenstein: 202-708-1520 #5923 (phone); 202-708-
0573 (fax) (E-mail: Deborah__G[email protected]).
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: [email protected]).
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 development system which is
customer focused. Some of WIA's key principles are streamlining
services, empowering individuals, increased 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.
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. 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.
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. This document does not
address any requirements for submission of a Workforce Flexibility plan
provided under section 192 of WIA or for submission of a General Waiver
Plan under WIA Sec. 189(i). These waiver plans are not considered
planning materials for purposes of WIA Sec. 501(c)(2).
[[Page 54418]]
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) Employment and Training 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 carried out by the Department of Housing and
Urban Development (Note: Programs for CDBG and Public Housing can only
be included in your State unified plan if the State is the funds
recipient.)
(o) Community Services Block Grant (CSBG)
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: 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 portion
shall 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
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
[[Page 54419]]
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 [email protected]. The Coordinator may be contacted by phone
at 202-219-0316, ext 146.
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 changes have been approved by the reviewing agency. It is
the responsibility of the designated 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.
[[Page 54420]]
Electronic Option 3: Submitting Plans to the Federal Agencies 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 US Department
of Education once. Electronic mail addresses for the Departmental
Contacts are as follows:
Department of Labor: [email protected]
Department of Education: Jerry__A[email protected]
Department of Health and Human Services: [email protected]
Department of Agriculture: Michael__A[email protected]
Department of Housing and Urban Development:
Deborah__G[email protected]
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-
5513, Washington, DC 20210. The Coordinator can be reached by telephone
at (202) 219-0316, ext. 146, or by e-mail at [email protected].
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 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
[email protected]. The Coordinator may be contacted by phone at 202-
219-0316, ext 146. Inquiries related to specific activities and
programs can be directed to the staff contacts listed above Question 3.
I. Submission Date
States may submit unified plans at any time up until April 1,
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.
---------------------------------------------------------------------------
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.
[[Page 54421]]
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
(Employment and Training Activities for Adults, Dislocated Workers and
Youth, or WIA Title I, including the Wagner-Peyser Plan)
(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:
____Programs authorized under Sec. 6(d) of the Food Stamp Act of 1977
(Food Stamp Employment and Training Program, or FSET)
(7 U.S.C. 2015(d))
____Food Stamp Employment and Training Program, or FSET
(7 U.S.C. 2015(o))
____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 carried out by the Department of Housing and
Urban Development (Community Development Block Grants (CDBG) and Public
Housing)
Note that programs for CDBG and Public Housing can only be included
in your State unified plan if the State is the funds recipient.
____ 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
[[Page 54422]]
assurances described in Section III of this Unified Plan.
----------------------------------------------------------------------
Typed Name, Title, and Agency of Responsible State Official for
Vocational Education
----------------------------------------------------------------------
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 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) Sspecify 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 delivery 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 state funding 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 Locals 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, you 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
[[Page 54423]]
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))
(e) CDBG, provide a summary of any public or citizens' comments or
views not accepted and the reasons therefore. (Sec. 91.115(b)(5))
(f) 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).
4. 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 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 should 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, you 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 elected officials
Local boards and youth councils
Business community
Labor organizations
Educators
Vocational rehabilitation agencies
Service providers
Welfare agencies
Community based organizations
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) CDBG:
Social service agencies (Sec. 91.300(b))
(g) 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.
[[Page 54424]]
(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 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) CDBG:
(i) Describe the State's estimated housing needs projected for the
ensuring five-year period. (Sec. 91.305(a))
(ii) Estimate the number and type of families in need of housing
assistance for extremely low income, low-income, moderate-income, and
middle-income families, for persons with HIV/AIDS and their families,
and for persons with disabilities. Include a discussion of the cost
burden and severe cost burden, overcrowding, and substandard housing
conditions being experienced by the renters and owners compared to the
State as a whole. (Sec. 91.305(b)(1) and Sec. 91.205(d)(2))
(iii) Estimate the needs of any racial or ethnic group in the above
mentioned income categories, if they have are disproportionately in
greater need. (Disproportionately greater need exists when the
percentage of persons in a category of need is at least 10 percentage
points higher that the percentage of persons in the category as a
whole.) (Sec. 91.305(b)(2))
(iv) Describe the nature and extent of homelessness within the
State, including a narrative description of the nature and extent
homelessness by racial and ethnic group, as well as the need for
facilities and services for the homeless (Sec. 91.305(c))
(v) Estimate the number of housing units within the State that are
occupied by low-income families or moderate-income families that
contain lead-based paint hazards, as defined in part 91.1.
(Sec. 91.305(e))
(vi) Describe the State's priority non-housing community
development needs that affect more than one unit of general local
government and involve activities typically funded by the State under
the CDBG program. (Sec. 91.315(e)(1))
(vii) Describe the significant characteristics of the State's
housing markets. (Sec. 91.310(a))
(viii) Provide a brief inventory of facilities and services that
meet the needs for emergency shelter and transitional housing needs of
homeless persons within the State. (Sec. 91.310(b))
(f) Public Housing:
(i) Assess the housing needs of low income and very low income
families in the jurisdiction of the public housing agency during the
five fiscal years immediately following the date on which the plan is
submitted. (Sec. 5A(a)(1), (d)(1))
(ii) Describe the need for measures to ensure the safety of public
housing residents and for crime prevention measures.
(Sec. 5A(d)(13)(C))
2. Describe the key trends that are expected to shape the economic
environment of the State during the next five years. Which industries
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 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 s/he 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 competitive and non-competitive processes that
will be used at the State level to award grants and contracts for
activities under Title I of
[[Page 54425]]
WIA, including how potential bidders are being made aware of the
availability of grants and contracts. (Sec. 112(b)(16))
(xi) Include a description of the process by which these entities
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) CDBG:
(i) Describe the State's procedures for handling complaints from
citizens related to the plan, amendments and performance report.
(Sec. 91.115(h))
(ii) Explain whether the cost of housing or the incentives to
develop, maintain, or improve affordable housing in the State are
affected by its policies, including tax policies, affecting land and
other property, land use controls, zoning ordinance, building codes,
fees and charges, growth limits, and policies that affect the return on
residential investment. (Sec. 91.310(d))
(iii) Describe the State's strategy to remove its policies that
serve as barriers to affordable housing. (Sec. 91.315(f))
(iv) Explain the institutional structure, including private
industry, non-profit organizations, and public institutions, through
which the State will carry out its housing and community development
plan, assessing the strengths and gaps in that delivery system.
(Sec. 91.315(i))
(g) Public Housing:
(i) Provide a statement of the grievance procedures of the public
housing agency. (Sec. 5A(d)(6))
(ii) Provide a statement of how the agency will carry out its asset
management functions with respect to the public housing inventory of
the agency, including how the agency will plan for the long-term
operating, capital investment, and rehabilitation, modernization,
disposition, and other needs for such inventory. (Sec. 5A(d)(17))
(iii) Provide a statement of the rules, standards, and policies, of
the public housing agency, governing maintenance and management of
housing owned, assisted, or operated, by the public housing agency and
management of the public housing agency and programs of the public
housing agency. (Sec. 5A(d)(5))
(iv) Provide the requirements of the agency relating to pet
ownership in public housing. (Sec. 5A(d)(14))
F. Funding
1. What criteria will the State use, consistent with 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 you decide 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))
(b) Tech-Prep, describe how you 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 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 undertaken to ensure that dislocated workers who need
intensive or training services (including those individuals with
multiple barriers to employment and training) are identified and
receive needed services as early as possible.
(iii) Identify the State dislocated worker unit which will be
responsible for carrying out rapid response activities and how the
State will provide such assistance in collaboration with the local
Board and chief elected officials, economic development agencies, etc.
(iv) 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))
(v) 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))
(vi) 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))
(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))
[[Page 54426]]
(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) CDBG:
(i) Indicate the general priorities for allocating investment and
direct assistance geographically within the State and among priority
needs during the ensuing program year. (Sec. 91.315(a)(1) and
Sec. 91.320(d))
(ii) Indicate how the characteristics of the housing market will
influence the use of funds made available for rental assistance,
production of new units, rehabilitation of old units or acquisition of
existing units. (Sec. 91.315(b)(2))
(iii) Describe the Federal resources expected to be available to
address the priority needs and specific objectives identified in the
strategic plan, in accordance with Sec. 91.315. (Sec. 91.320(b)(1))
(iv) Indicate the resources from private and non-Federal public
sources that are reasonably expected to be made available to address
the needs in the plan, including how Federal funds will leverage those
additional resources such as how matching requirements of the HUD
programs will be satisfied. (Sec. 91.320(b)(2))
(v) Describe the State's method for selecting and distributing
funds to local governments and nonprofit organizations to carry out
activities including the relative importance of the criteria and how
all CDBG resources will be allocated among all funding categories and
the threshold factors and grant size limits that are to be applied.
(Sec. 91.320(g)(1), (c))
(j) Public Housing:
(i) Provide a statement of financial resources available to the
agency. (Sec. 5A(d)(2))
(ii) Provide the results of the most recent fiscal year audit of
the Public Housing Authority under section 5(h)(2) (H.R. 4194).
(Sec. 5A(d)(16))
(k) 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 you 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 you 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))
(b) Tech-Prep, describe how funds will be used in accordance with
the requirements of Sec. 204(c).
(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 your State's strategies to ensure that Wagner-Peyser
Act-funded services will be delivered by public merit staff employees
including identification of the State agency responsible for Wagner-
Peyser Act funds and their distribution, and identification of the
public merit-staff agency responsible for the delivery of services in
each workforce investment area.
(iii) Describe how your State will ensure that veterans receive
priority in the One-Stop system for labor exchange services.
(iv) 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
[[Page 54427]]
maximize customer choice in the selection of training activities?
(Sec. 112(b)(17)(A)(i))
(v) 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))
(vi) 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))
(vii) 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))
(viii) 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))
(ix) 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))
(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) CDBG:
(i) Describe the basis for assigning the priority given to each
category of priority needs. The basis for assigning relative priority
to each category of priority need shall state how the analysis of the
housing market and the severity of housing problems and needs of
extremely low-income, low-income, and moderate-income renters and
owners. (Sec. 91.315(a)(2) and (b)(1))
(ii) Describe the State's strategy for the following:
Helping low-income families avoid becoming homeless
(Sec. 91.315(c))
Reaching out to homeless persons and assessing their
individual needs
Addressing the emergency shelter and transitional housing
needs of homeless persons
Helping homeless persons make the transition to permanent
housing and independent living
Addressing obstacles to meeting underserved needs
(Sec. 91.320(f))
Fostering and maintaining affordable housing
Removing barriers to affordable housing
Evaluating and reducing lead-based paint hazards
Reducing the number of poverty level families
Developing institutional structure
Enhancing coordination between public and private housing and
social service agencies
Fostering public housing resident initiatives
Encouraging public housing residents to become more involved
in management and participate in homeownership. (Sec. 91.315(l))
(iii) HOME (Sec. 92.320(g)(2):
Describe other forms of investment that are not described in
Sec. 92.205(b) of the subtitle.
If the State intends to use HOME funds for homebuyers or to
refinance existing debt secured by multifamily housing that is being
rehabilitated, it must state the guidelines for resale or recapture as
required in Sec. 92.254 of the subtitle or it must state its
refinancing guidelines required under 24 CFR 92.206(b).
State whether the new investment is being made to maintain
current affordable units, create additional affordable units, or both.
Specify the required period of affordability, whether it is
the minimum 15 years or longer.
Specify whether the invest of HOME funds may be jurisdiction-
wide or limited to a specific geographic area
State the process for awarding grants to State recipients and
a description of how the State intends to make its
[[Page 54428]]
allocation available to units of local government and nonprofit
organizations.
(j) Public Housing:
(i) Describe the policies governing eligibility, selection,
admissions (including any preferences,) before assignment and occupancy
of families with respect to public housing dwelling units and housing
assistance under section 8(o), including the procedures for maintaining
waiting lists for admissions to public housing projects and the
admissions policy under section 16(a)(3)(B) for deconcentration of
lower-income families. (Sec. 5A(d)(3)(A-B))
(ii) Provide a statement of the policies of the public housing
agency governing rents charged for public housing dwelling units and
rental contributions of families assisted under section 8(o).
(Sec. 5A(d)(4))
(iii) Describe any housing for which the PHA will apply for
demolition of disposition under section 18 (H.R. 4194) and a timetable
for the demolition or disposition. (Sec. 5A(d)(8))
(iv) Describe the building that the PHA will convert to tenant-
based assistance under section 33 or section 22. (Sec. 5A(d)(10))
(v) Describe any homeownership programs of the agency under section
8(y) or section 32. (Sec. 5A(d)(11))
(vi) describe any activities conducted to ensure the safety of
public housing residents and for crime prevention measures
(Sec. 5A(d)(13)(C))
(vii) In terms of Community Service and Self Sufficiency, describe
--Any programs relating to services and amenities provided or offered
to assisted families;
--Any policies or programs of the public housing agency for the
enhancement of the economic and social self sufficiency of assisted
families;
--How the public housing agency will comply with the requirements of
subsections (c) and (d) of Section 12 (relating to community service
and treatment of income changes resulting from welfare program
requirements). (Sec. 5A(d)(12))
(k) 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.
(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))
Other Federal education programs, including any methods
proposed for joint planning (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 1998, 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
[[Page 54429]]
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) CDBG:
(i) Describe how the actions taken to reduce lead-based paint
hazards will be integrated into housing policies and programs.
(Sec. 91.315(g))
(ii) Describe coordination between (Sec. 91.315(j)) and
Public and assisted housing providers
Private and governmental health, mental health and service
agencies
Low-income Housing Tax Credit and the development of
affordable housing (Sec. 91.315(k))
(j) Public Housing, describe coordination with the applicable
comprehensive housing affordability strategy (or any consolidated plan
incorporating such strategy) for the jurisdiction in which the public
housing agency is located. (Sec. 5A(c)(2)(B))
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)(12))
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 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))
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))
(i) 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) CDBG:
(i) Estimate the number of persons who are not homeless but require
supportive housing including: (Sec. 91205(d)(1))
The elderly
The frail elderly
Persons with disabilities
Persons with alcohol or other drug addiction
Persons with HIV/AIDS and their families
(vii) Describe the facilities and services that assist persons who
are not homeless but who require supportive housing, and programs for
ensuring that persons returning from mental and physical health
institutions receive appropriate supportive housing. (Sec. 91.310(b))
(i) 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
(j) Public Housing:
(i) Describe coordination with the applicable comprehensive housing
affordability strategy (or any
[[Page 54430]]
consolidated plan incorporating such strategy) for the jurisdiction in
which the public housing agency is located. (Sec. 5A(c)(2)(B))
(ii) Describe any projects (with respect to public housing projects
owned, assisted, or operated by the public housing agency) that the
public housing agency has designated or will apply for designation for
occupancy by elderly and disabled families. (Sec. 5A(d)(9))
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 you 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))
2. If Public Housing is part of your unified plan, describe the
capital improvements necessary to ensure long-term physical and social
viability of the projects. (Sec. 5A(d)(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 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:
(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 outlaying 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
[[Page 54431]]
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 you 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?
In addition, if your plan includes:
(a) WIA Title I and Wagner-Peyser Act and/or Veterans Programs,
describe the common data collection and reporting processes used for
the programs and activities described in Sec. 112 (b)(8)(A).
(Sec. 112(b)(8)(B))
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.
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
agency. It is the responsibility of the designated agency to circulate
the modifications among the other agencies that may be affected by the
changes.
In addition, the following certifications and assurances apply to
the extent that the programs and activities are included in your State
Unified Plan.
3. Nonconstruction Programs:
By signing the Unified Plan signature page, you are certifying
that:
1. The grantee has filed the Government-wide standard assurances
for nonconstruction programs (SF 424). States can print SF 424 from
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.
[[Page 54432]]
Perkins III
By signing the Unified Plan signature page, you are certifying
that:
1. The State plan complies with the requirements of Title I 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 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 C.F.R. 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 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 as described in the Wagner-Peyser Act (e.g.,
veterans, migrant and seasonal farmworkers, people with disabilities,
UI claimants), the State monitor advocate, agricultural organizations,
and employers were given the opportunity to comment on the Wagner-
Peyser Act grant document for agricultural services and local office
affirmative action plans and that affirmative action plans have been
included for designated offices.
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 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.
18. 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.
19. 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
[[Page 54433]]
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
27. 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.
(Sec. 112(b)(9))
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 this subtitle will not be expended for
any purpose other than for activities under this subtitle.
(Sec. 224(b)(6))
3. The eligible agency will expend the funds under this subtitle
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 interconnected strategy for providing
comprehensive labor market and occupational information to job seekers,
employers, core services providers, other workforce employment activity
providers, and providers of workforce education activities. If the
component is not available locally through such a system, the State may
use another source.
Vocational Rehabilitation
By signing the Unified Plan signature page, you are certifying
that:
1. As a condition for the receipt Federal funds under title I, part
B of the Rehabilitation Act 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
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 this 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
[[Page 54434]]
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, 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
[[Page 54435]]
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. 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))
18. 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))
19. 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))
20. 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))
21. 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))
22. 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))
23. 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))
24. 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 are appropriately referred to Federal and
State programs, including other components of the statewide workforce
investment system in the State. (Sec. 101(a)(20))
25. 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))
26. 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))
27. 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))
28. Prior to providing any vocational rehabilitation services,
except:
Assessment for determining eligibility and vocational
rehabilitation needs by qualified personnel, including, if appropriate,
an assessment by personnel skilled in rehabilitation technology;
Counseling and guidance, including information and support
services to assist an individual in exercising informed choice
consistent with the provisions of section 102(d) of the Act;
Referral and other services to secure needed services from
other agencies through agreements developed under section 101(a)(11) of
the Act, if such services are not available under this State plan;
Job-related services, including job search and placement
assistance, job retention services, follow-up services, and follow-
along services;
Rehabilitation technology, including telecommunications,
sensory, and other technological aids and devices; and
Post-employment services consisting of the services listed
under subparagraphs (a) through (f), 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))
38. 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
[[Page 54436]]
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))
39. 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))
40. 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))
41. 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)
42. 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))
43. 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))
44. 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))
45. To the extent jobs skills training is provided, the training
will be provided on site. (Sec. 625(b)(6)(F))
46. 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))
47. 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))
48. 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 must comply with administrative requirements and
cost principles applicable to grants and cooperative agreements as
specified in 20 CFR part 601 (Administrative Procedure), 29 CFR part 93
(Lobbying Prohibitions), 29 CFR part 96 (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.
[[Page 54437]]
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 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
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