[Federal Register Volume 65, Number 10 (Friday, January 14, 2000)]
[Notices]
[Pages 2463-2489]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 00-811]



[[Page 2463]]



Part II





Department of Labor





_______________________________________________________________________



Employment and Training Administration



_______________________________________________________________________



Workforce Investment Act: Final Unified Planning Guidance; Notice

[[Page 2464]]


  Federal Register / Vol. 65, No. 10 / Friday, January 14, 2000 / 
Notices  

DEPARTMENT OF LABOR

Employment and Training Administration


Workforce Investment Act: Final Unified Planning Guidance 
(Developed by the Departments of Labor, Education, Health and Human 
Services, Agriculture, and Housing and Urban Development)

ACTION: Notice.

-----------------------------------------------------------------------

SUMMARY: On October 6, 1999 the U.S. Departments of Labor, Education, 
Health and Human Services, Agriculture, and Housing and Urban 
Development published for comment a Proposed Unified Plan Guidance. 
During the 60-day comment period, the Departments received 18 comments 
from a diverse group of public and private stakeholders and 
participants in the workforce investment system. Generally, the 
comments reflect an appreciation for the efforts of the Federal 
government in developing the guidance. Many commenters felt that the 
Guidance will be a useful tool for States both in their preparation of 
Unified Plans and in their efforts to coordinate service delivery among 
multiple Federal and State programs. Some commenters viewed the 
guidance as a good first step, but felt in order to achieve a truly 
integrated system, more work is needed on both the Guidance, and on 
other critical areas of Workforce Investment Act implementation, 
including guidance on common cost allocation, evaluation, planning 
cycles and time frames, performance outcomes, reporting, and methods of 
service delivery. The Federal partners agree that more needs to be done 
and look forward to continuing a working partnership with stakeholders 
to achieve these important goals.
    Many of the comments and suggestions received have been 
incorporated into this final version of the Guidance. Questions have 
been removed and replaced by certifications and assurances to ease the 
paperwork burden. However, some of the comments reflect certain 
misconceptions about the purpose of the Unified Plan Guidance. In light 
of these comments, the Federal partners would like to clarify the 
following:
     This Guidance is not a mandatory format for submission of 
Unified Plans. It is simply one approach to preparing a Unified Plan. 
If a State chooses not to follow this Unified Planning Guidance, the 
State must submit its Unified Plan by meeting the requirements of the 
individual programs' planning guidelines.
     This Guidance is our first attempt to assist the States in 
developing Unified Plans. Currently, it is the only planning approach 
that streamlines current non-statutory planning requirements. However, 
as the Federal partners work with the States to acquire more experience 
with unified planning, we may develop alternative approaches that could 
offer greater flexibility and reduce burden.
     This Guidance does not, in any way, supercede any of the 
provisions and requirements of the underlying authorizing or 
appropriations statutes.
     In addition, it was designed so that a State following it 
will meet those information collection requirements in lieu of 
completing the individual program State planning requirements. If a 
State chooses not to follow this Unified Planning Guidance, the State 
must submit its Unified Plan by meeting the requirements of the 
individual programs' planning guidelines.
     In order to trigger funding for certain programs included 
in the Unified Plan, States may need to submit their plan, whether it 
be a unified or individual plan, by April 7, 2000. However, a State is 
not precluded from modifying a previously submitted Unified Plan at any 
time during the planning cycle, or from submitting a Unified Plan at a 
later date. For example, it would be entirely appropriate for a State 
to add programs in subsequent years, as the Unified Plan matures and 
States incorporate refinements in their plans.
     Unified Plans are not required annually. For each program 
included in the Unified Plan, States should consult the underlying 
statute to assess whether annual planning requirements apply, and the 
appropriate duration of the planning cycle.
    One major change made based on the public comments relates to the 
programs administered by the U.S. Department of Housing and Urban 
Development (HUD). While the statute specifies that States may submit a 
Unified Plan that includes ``training activities'' carried out by HUD, 
for a number of reasons, the Federal Partners agree that the unique 
nature of HUD's training activities warrants special treatment in a 
Unified Plan. As pointed out in the comments, HUD's relevant State 
formula grant programs are not specifically employment and training 
programs. These grant programs authorize a wide range of allowable 
activities, and training activities account for only about 5 percent of 
HUD expenditures. Commenters noted that because of statutory 
constraints, in order to trigger HUD funding, the Unified Plan would 
have to include dozens of housing questions that are not directly 
related to workforce development. Commenters also noted that HUD 
programs are funded and implemented predominantly through local 
entities, rather than States.
    Accordingly, the Federal Partners agreed that the revised Unified 
Plan guidance would provide for informal inclusion of HUD's programs. 
Since HUD programs are generally funded and implemented through local 
communities, and HUD's relevant State formula grant programs are not 
specifically employment and training programs, States that follow the 
final Unified Plan guidance will not trigger funding for HUD's formula 
programs through their Unified Plans. However, to encourage States to 
think strategically about developing a comprehensive workforce 
investment system--including how that system relates to the housing and 
workforce investment needs of the population receiving housing 
assistance--the final guidance includes references to HUD customers and 
services, as well as local housing agencies, in the overarching 
questions pertaining to the Unified Plan's vision and goals, One-Stop 
service delivery, and needs assessment.
    Finally, some of the commenters provided valuable suggestions that 
we believe may be useful to States in preparing Unified Plans. In the 
interest of providing as streamlined a model as possible, we chose not 
to incorporate the suggestions in the Guidance itself, but provide them 
here for your consideration:
     Provide a description of how linkages between the State 
Rehabilitation Council and the State Workforce Investment Boards could 
be accomplished. [See Section II.E(1)(c)]
     Describe how your State will improve its technical and 
staff capacity to provide services to customers and improve entered 
employment outcomes in accordance with Section 3(a) of the Wagner-
Peyser Act.
     Include a ``sunshine'' assurance that the public has 
access to State and local board meetings, and information on board 
activities, membership, and minutes.

FOR FURTHER INFORMATION CONTACT: Mr. Eric Johnson, U. S. Department of 
Labor, Employment and Training Administration, Office of Workforce 
Security, 200 Constitution Avenue, NW, Room S-4231, Washington, DC 
20210. Telephone 202-219-7831 (voice) (This is not a toll free number) 
or 1-800-326-2577 (TDD). Information may also be found at the website--
http://usworkforce.org.

Paperwork Reduction Act

    The Department of Labor cannot reasonably comply with the normal 
clearance procedures because (a) public harm is reasonably likely to 
result

[[Page 2465]]

if normal clearance procedures are followed; and, (b) the public needs 
the maximize time available to adhere to the guidance provided herein. 
Therefore, the 30-day public comment period has been waived for the 
State Unified Plan Planning Guidance. OMB has approved the information 
collection requirements under OMB control number 1205-0407. The 
approval expiration date is January 31, 2003. Persons are not required 
to respond to the collection of information unless it displays a 
currently valid OMB control number. Public reporting burden for this 
collection of information is estimated to average 335 hours per 
response, including the time for reviewing instructions, searching 
existing data sources, gathering and maintaining the data needed, and 
completing and reviewing the collection of information. Send comments 
regarding this burden estimate or any other aspect of this collection 
of information, including suggestions for reducing this burden, to 
Dolores Hall-Beran, U.S. Department of Labor, Employment and Training 
Administration, Office of Workforce Security, Division of One-Stop 
Operations, 200 Constitution Avenue, NW, Room S-4231, Washington, DC 
20210.

    Dated: January 7, 2000.
Raymond J. Uhalde,
Deputy Assistant Secretary, Employment and Training Administration.

    The text of the final guidance is reprinted as follows:

BILLING CODE 4510-30-P
[GRAPHIC] [TIFF OMITTED] TN14JA00.000


BILLING CODE 4510-30-C

[[Page 2466]]

State Unified Plan Planning Guidance

A. Statement of Purpose

    The purpose of this document is to provide guidance to States which 
submit a State Unified Plan authorized by Title V, Section 501 of the 
Workforce Investment Act of 1998 (WIA). The State Unified Plan Planning 
Guidance facilitates the development and submission of such a plan, 
which addresses two or more of the programs or activities specified at 
Section 501(b)(2). Please note that this document provides a model the 
State may choose to follow, but is not required to follow, in 
developing unified plans.

B. Background

    President Clinton signed the Workforce Investment Act of 1998 (WIA) 
and the Carl D. Perkins Vocational and Technical Education Act of 1998 
(Perkins III) into law on August 7, 1998, and October 31, 1998, 
respectively. These Acts will have a major impact on the Nation's 
education and workforce investment systems. Implementation requires 
collaboration at the Federal, State, and local levels to create a more 
comprehensive, customer-focused workforce investment system.

C. Section 501 Programs and Activities

    Below is a listing of the programs and activities covered in 
Section 501 of WIA, along with the commonly used name. In this 
document, we generally refer to the activities and programs by their 
commonly used names. Should State staff need information on the 
programs listed, a staff contact is provided here also.
     Secondary Vocational Education programs (Perkins III/
Secondary) Note that inclusion of this program in the unified plan 
requires prior approval of State legislature. Administered by 
Department of Education, Office of Vocational and Adult Education.
    Staff Contact: Jon Weintraub: 202-205-5602 (phone); 202-260-9183 
(fax) (E-mail: [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 (Workforce Investment Activities for Adults, Dislocated Workers 
and Youth, or WIA Title I) Administered by Department of Labor, 
Employment and Training Administration.
    Staff Contact: Eric Johnson: 202-219-7831 (phone); 202-219-8506 
(fax) (E-mail: [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]).
     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, 
USC, and 20 CFR 1001 and 1005 (Veterans Programs, including Veterans 
Employment, Disabled Veterans' Outreach Program, and Local Veterans' 
Employment Representative Program) Administered by Department of Labor, 
Veterans' Employment and Training Service.
    Staff Contact: Effie Baldwin: 202-693-4742 (phone); 202-693-4755 
(fax) (E-mail: Baldwin-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 (fax) (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: Libby Queen: 202-219-0024 (phone); 202-219-0312 
(fax) (E-mail: [email protected]).
     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 funded by the Department of Housing 
and Urban Development under the Community Development Block Grants 
(CDBG) and Public Housing Programs).1
---------------------------------------------------------------------------

    \1\ While HUD programs may be included in a unified plan, 
following this Unified Planning Guidance and approval of a Unified 
Plan will not trigger funding for those programs.
---------------------------------------------------------------------------

    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]).
    While the statute specifies that States may submit a Unified Plan 
that includes ``training activities'' carried out by HUD, for a number 
of reasons, the Federal Partners agree that the unique nature of HUD's 
training activities warrants special treatment in a Unified Plan.
    Accordingly, the final Unified Plan guidance provides for informal

[[Page 2467]]

inclusion of HUD's programs. Since HUD programs are generally funded 
and implemented through local communities, and HUD's relevant State 
formula grant programs are not specifically employment and training 
programs, States that follow the final Unified Plan guidance will not 
trigger funding for HUD's formula programs through their Unified Plans. 
However, to encourage States to think strategically about developing a 
comprehensive workforce investment system--including how that system 
relates to the housing and workforce investment needs of the population 
receiving housing assistance--the final guidance includes references to 
HUD customers and services, as well as local housing agencies, in the 
overarching questions pertaining to the Unified Plan's vision and 
goals, One-Stop service delivery, and needs assessment.

D. Questions and Answers

1. What Is a State Unified plan?

    One of the most innovative reforms introduced by WIA is the State 
unified plan, which creates a new opportunity to maximize joint 
planning and coordination among programs and activities. States have 
the option of submitting a single plan for up to 16 Federal education 
and training programs. This unified plan may include the programs and 
activities set forth in Title V of WIA at Section 501(b)(2). The 
Departments of Agriculture (USDA), Education (DEd), Health and Human 
Services (DHHS), Housing and Urban Development (HUD), and Labor (DOL) 
are responsible for administering these programs and activities.
    The five titles of the Workforce Investment Act reform Federal 
employment, adult education, and vocational rehabilitation programs and 
create a new, comprehensive workforce investment system which is 
customer focused. Some of WIA's key principles are streamlining 
services, empowering individuals, universal access, increased 
accountability, integrated and coordinated services, State and local 
flexibility, and improved youth programs. WIA helps Americans access 
the tools they need to manage their careers through information and 
high quality services, and helps U.S. companies find skilled workers. 
Title I authorizes a variety of employment and training programs 
superseding the Job Training Partnership Act; Title II contains the 
Adult Education and Family Literacy Act; Title III amends the Wagner-
Peyser Act to require that Employment Service/Job Service activities 
become part of the ``One-Stop'' system and Title IV includes the 
Rehabilitation Act Amendments of 1998. Title V contains the authority 
for the State unified plan and other general provisions. States may 
also include Perkins III in a unified plan. Perkins III supports 
reforms and improvement activities in vocational and technical 
education to improve student achievement and preparation for 
postsecondary education, further learning, and careers.

2. What Is the Purpose of the State Unified Plan Option?

    Building on the requirements in WIA Titles I and II that States 
develop five-year plans, this option encourages States toward program 
coordination through a unified planning process. A number of States 
across the country have been pioneers in coordinating the multitude of 
Federally-funded programs to maximize the resources available to their 
citizens. As reinvention efforts proceed in governmental organizations, 
creativity is needed at all levels--local, State, and Federal. In order 
to effectively implement WIA, a collaboration clearly focused on 
customer service, cutting red tape, and performance partnership must be 
built and maintained.
    The Federal partners recognize that the development of State 
unified plans presents a unique challenge: while coordinating planning 
activities across department and agency lines, States are not relieved 
of meeting the Federal statutory requirements for each of the programs 
and activities they include in the unified plan. This planning guidance 
and the accompanying instructions were developed to enhance the quality 
of that planning process and make it less burdensome. We have attempted 
to reduce the burden by eliminating duplicative requirements and 
finding common elements among the planning guidance for each of the 
programs and activities included in Section 501. This document reflects 
the efforts of the Federal agencies to identify areas of overlap. 
States may use this guidance as an alternative to the individual plan 
guidance developed by Federal agencies for each of the Federal programs 
that may be included in a unified plan. The plans for each program 
submitted as a part of a unified plan will, of course, be reviewed to 
be sure that their content meets the requirements of the statute 
authorizing the program.

3. How Is This Guidance Related to State Planning Guidance Documents 
Which the Federal Agencies Have Already Published for the Programs and 
Activities Listed Above?

    The Departments of Agriculture, Education, Health and Human 
Services, Housing and Urban Development, and Labor, and the Office of 
Management and Budget, jointly developed this planning document. For 
States submitting a unified plan, this document is an alternative to 
previously issued planning guidance for programs and activities 
included in the plan. (However, the unified plan will not trigger 
funding for or replace planning guidance pertinent to the broader grant 
programs under which training activities administered by the Department 
of Housing and Urban Development may be funded.) Please note that this 
document provides a model the State may choose to follow, but is not 
required to follow, in developing unified plans. However, following 
this model application will reduce burden on the State and ensure that 
the State has sufficiently met the information collection requirements 
in lieu of completing the individual program State planning 
requirements.
    Materials related to funding, such as jointly executed funding 
instruments, grant agreements, or Governor/Secretary Agreements, items 
such as negotiated corrective action plans and program specific 
amendments are not considered planning materials for purposes of WIA 
Sec. 501(c)(2). WIA's State unified plan provisions do not allow any 
specific statutory requirements to be superseded. For example, if a 
program has a statutory requirement for an annual plan, inclusion in a 
unified plan would not change that program's plan to a five-year plan 
nor would inclusion in the unified plan change the requirement to 
negotiate new performance levels and amend the unified plan to reflect 
these as required by such programs as Perkins III, AEFLA, and Title I 
of WIA. Funds provided under each program included in a unified plan 
must be used in accordance with the program's statutory and regulatory 
requirements.
    This document also provides the ``Unified Planning Guidance'' cited 
in DOL's State Planning Guidance for submission of the strategic five-
year State plan for Title I of WIA and the Wagner-Peyser Act under 
option four. Section 661.240 of WIA interim final regulations, 
published on April 15, 1999, addresses the State unified plan 
provisions as they apply to DOL programs. If a State chooses not to 
follow this Unified Planning Guidance,

[[Page 2468]]

the State must submit its Unified Plan by meeting the requirements of 
the individual programs' planning guidelines.

4. What Is Planning in the State Unified Plan Context?

    Submission of a unified plan signals the State's determination to 
use Federal resources efficiently by looking across programs to 
identify coordination opportunities. For instance, given a mix of 
performance measures and programs, the State would decide what 
resources from each program can best respond to a given performance 
measure.
    The unified planning process also balances the desire for States to 
achieve WIA's strategic planning objectives with the need to 
demonstrate compliance with the statutory and regulatory requirements 
for each of the programs in the unified plan. The Federal partners 
recognize that joint planning is a time-consuming and difficult 
endeavor. The unified plan option may accrue several benefits to 
States:
    Improved customer service, based on a holistic approach to serving 
customers which facilitates non-duplication of services and reaches new 
client groups.
    Improved strategic planning, reflecting the sharing of knowledge at 
the State level concerning a wide range of programs and resources.
    Increased computer and information technology (IT) system 
networking, providing the opportunity to learn about other and new IT 
systems and to promote the integrated use of technology.
    Burden reduction, achieved through non-duplication of efforts and 
the need for less paper as opportunities for boilerplate language and 
certifications are identified.
    Increased coordination at the local level, as the State fosters 
seamless services, through the coordination of education, training and 
employment resources and the provision of critical ancillary services.
    Improved use of State and Federal resources, leading to greater 
effectiveness and efficiency.

5. What Is a Consolidated Education Plan?

    Another significant Federal initiative which encourages States 
toward integrated planning is the Department of Education's option for 
Consolidated Education Plans. Section 14302 of the Elementary and 
Secondary Education Act (ESEA), as reauthorized by Title I of the 
Improving America's Schools Act, allows State Education Agencies (SEAs) 
to apply for funding for Perkins III and a number of Federal elementary 
and secondary education formula grant programs through a single, 
simplified consolidated plan, rather than through separate funding 
applications or plans. An SEA may consolidate administrative funds 
under the specified programs, but may not commingle program funds. 
States that are interested in pursuing the option of submitting a 
consolidated plan for Perkins III funding should contact the Division 
for Vocational and Technical Education at the U.S. Department of 
Education.

6. What Does WIA Require for the State Unified Plan?

    Programs Included: According to Title V of WIA, the State may 
develop and submit a State unified plan for two or more of the 
activities and programs listed at Section 501. Your State unified plan 
must include at least one program from (a) through (d). These programs 
are listed below.
    Section 501(b)(1) requires all State unified plans to cover one or 
more of the following programs and activities:
    (a) Perkins III/Secondary.

    Note: Secondary vocational education programs may only be 
included with prior approval of the State legislature.

    (b) Perkins III/Postsecondary.

    Note: For the purposes of what the State unified plans cover, 
Perkins III/Secondary and Perkins III/Postsecondary count as one 
program.

    (c) Workforce Investment Activities for Adults, Dislocated Workers 
and Youth, or WIA Title I and Wagner-Peyser Act.

    Note: If the unified plan covers programs authorized under WIA 
Title I, then it must also cover programs authorized under the 
Wagner-Peyser Act.

    (d) Adult Education and Family Literacy Programs.
    The State unified plan may cover one or more of the following 
activities:
    (e) Food Stamp Employment & Training Program (FSET).
    (f) Work programs authorized under Sec. 6(o) of the Food Stamp Act 
of 1977.
    (g) Trade Act Programs.
    (h) Vocational Rehabilitation.
    (i) Veterans Programs, including Veterans Employment, Disabled 
Veterans' Outreach Program, and Local Veterans' Employment 
Representative Program.
    (j) Unemployment Insurance.
    (k) Temporary Assistance for Needy Families (TANF).
    (l) Welfare-to-Work.
    (m) Senior Community Service Employment Program (SCSEP).
    (n) Training activities funded by the Department of Housing and 
Urban Development.

    Note: Training programs funded under CDBG and Public Housing may 
be included in your State Unified Plan if the State is the funds 
recipient, but following this unified planning guidance will not 
trigger funding for these programs.

    (o) Community Services Block Grant (CSBG).
    States may include additional programs in their unified plans that 
do not appear on this list. For example, the Department of Health and 
Human Services' Child Care Development Fund (CCDF) may be included. 
However, States should contact the applicable Federal agencies and 
carefully review the statutory and regulatory provisions governing 
these additional programs to determine whether any impediments exist to 
their inclusion in the unified plan. The statutory and regulatory 
program and planning requirements for such programs remain in place and 
are not superceded by the WIA Unified Planning requirements.
    In addition, you may submit your application for funding under the 
Tech-Prep program authorized by Title II of Perkins III as part of the 
unified plan.
    Coordination: In addition to meeting the statutory requirements as 
outlined in Section II-H of Attachment A for each program included in 
the State unified plan, a State unified plan must include: (1) a 
description of the methods used for joint planning and coordination of 
the programs and activities included in the unified plan, and (2) an 
assurance that the methods included an opportunity for the entities 
responsible for planning or administering such programs and activities 
to review and comment on all portions of the unified plan.
    Jurisdiction: The appropriate Secretary has the authority to 
approve the portion of the State unified plan relating to the activity 
or program over which the appropriate Secretary exercises 
administrative authority. Once the appropriate Secretary approves the 
portion of the plan relating to the activity or program, that program 
may be implemented by the State under the applicable portion of the 
State unified plan. A State that submits a unified plan covering an 
activity or program that is approved is not required to submit any 
other plan or application as a condition to receive funds under that 
Federal statute. However, as noted above, inclusion of a particular 
program in the State unified plan does not remove the statutory 
requirement for certain programs, such as Perkins III, to amend a plan 
to reflect newly negotiated performances levels.
    Approval by the Appropriate Secretaries (The term ``appropriate

[[Page 2469]]

Secretary'' means the head of the Federal agency who exercises 
administrative authority over an activity or program.)
    In General: A portion of the State unified plan covering an 
activity or program described in Section 501 that is submitted to the 
appropriate Secretary under this section is considered to be approved 
by the appropriate Secretary at the end of the 90-day period beginning 
on the day the appropriate Secretary receives the portion, unless the 
Secretary makes a written determination, during the 90-day period that: 
(1) the portion is not consistent with the requirements of the Federal 
statute authorizing the activity or program including the criteria for 
approval of a plan or application, if any, under such statute, or (2) 
the plan is not consistent with the coordination requirements listed 
above regarding joint planning and the opportunity for each entity to 
review and comment on all portions of the unified plan.
    Criteria for approval of the State unified plan, relating to 
activities carried out under title I or II of WIA or under the Carl D. 
Perkins Vocational and Technical Education Act, includes a requirement 
for agreement between the State and the appropriate Secretary regarding 
State performance measures, including levels of performance.

7. How Can Local Input Improve the Unified Planning Process?

    While WIA only requires the involvement of State Board and Local 
Boards in the planning and coordination of the programs and activities 
authorized under Title I, the intent of the unified plan approach is to 
enable all the relevant parties in an area, if they so choose, to come 
together more readily to coordinate their activities in the best 
interests of the population to be served. However if coordination is 
achieved, nothing in the unified plan or in WIA itself permits a Board 
or any other entity to alter the decisions made by another program 
grantee in accord with that grantee's statutes.
    Local stakeholders can play an important role in informing the 
State unified planning process, customizing the system to respond to 
local labor market needs. Chief elected officials, local boards, local 
education agencies, institutions of higher education, the business 
community, community-based organizations, representatives of special 
populations, service providers and other stakeholders can assist State 
planners in identifying needs, objectives and appropriate collaborative 
strategies for attaining them. Consulting these stakeholders during the 
development of the unified plan would help ensure that the State's plan 
is broad enough to encompass different State and local approaches, yet 
specific enough to reflect local visions, needs, and economic 
development strategies.

E. Submission Options for State Unified Plans

1. Submission of the Unified Plan

    States have the option of submitting a unified plan under Section 
501 of the Workforce Investment Act of 1998 either in an electronic or 
hard-copy format. Incorporated in these options are new options for 
States to submit their unified plan to a single contact point. Several 
submission options are discussed in this notice. We strongly urge each 
State to submit its unified plan in electronic format so as to reduce 
burden and to ensure the timely receipt and review of the plan by the 
Federal agencies whose programs are included in the plan.

2. Submission Options

    We are offering States four streamlined options for submitting 
their unified plans; three for electronic submission and one for hard-
copy submission. These options are in addition to the option for a 
State to submit a hard copy of the unified plan to each Federal agency 
whose programs are included in the unified plan.
(a) Electronic Submission Options
    A State can submit its unified plan electronically either by: (1) 
posting it on an Internet web site which then can be accessed by the 
Federal agencies whose programs are included in the unified plan; (2) 
transmitting it by electronic mail to the Department of Labor, which, 
as the State Unified Plan Review Process Coordinator (Coordinator), 
will be responsible for distributing the electronic plan to each 
Federal agency affected; or (3) transmitting it by electronic mail 
directly to the Federal Departments whose programs are included in the 
plan. Information regarding the use of each of these three electronic 
options is provided in this notice.
(b) Streamlined Paper Submission Option
    A State can choose to submit its unified plan in hard-copy by 
mailing one copy to the Coordinator, rather than mailing one copy to 
each program(s) included in the unified plan.

3. Processes for Electronic Submission

    If a State chooses to submit its unified plan by transmitting 
documents via electronic mail, we request that the submission be in 
either WordPerfect or Microsoft Word (PC format, or an ASCII text file) 
to accommodate the technological capabilities of the various Federal 
agencies that will be recipients of the unified plan. If a State 
chooses to use a software program other than WordPerfect or Microsoft 
Word for the entire unified plan or for portions of the unified plan, 
it will be necessary for the State to submit those components of the 
unified plan in hard-copy using the instructions provided later in this 
notice for hard-copy submissions. In this instance, the agency's 90-day 
period for the review of the plan will not start until all components 
of the plan have been integrated and received by the affected Federal 
agencies.
    We believe that each of the options for electronic submission will 
significantly reduce the burden on the States and ensure the timely 
start of the plan review and approval process. State plan 
certifications with electronic signatures will be acceptable. If a 
State does not have the capacity to produce electronic signatures, then 
the signature page must be submitted in hard-copy. Information on where 
to submit the signature page can be found in the section of this notice 
that describes the option for the submission of plans in a hard-copy 
format. The Office of Management and Budget or individual agencies may 
issue additional guidance concerning the acceptable format and mode of 
transmission for electronic signatures.
    We encourage each State to include a table of contents at the 
beginning of its State unified plan so as to facilitate access to its 
various components. Within 48 hours of the receipt of the plan on a 
work day the Coordinator will confirm to the State receipt of the 
unified plan and indicate the date for the start of the 90-day review 
period. The electronic mail address for the Coordinator (Dolores H. 
Beran) is [email protected]. The Coordinator may be contacted by phone 
at 202-219-8395, ext. 143.
Electronic Option 1: Posting Plans on an Internet Web Site
    We believe that this approach offers the best opportunity to 
dramatically reduce both process and paperwork burden on the States and 
to ensure the timely review of the unified plan. Under this option, a 
State need only post its unified plan on an Internet web site; inform, 
through electronic mail, the Coordinator of the documents location on 
the web site; provide contact information in the event of problems with 
accessing the web site; and certify that no changes will be made to the 
version of the plan posted on the web site after it is submitted, 
unless the

[[Page 2470]]

changes have been approved by the reviewing agency. It is the 
responsibility of the designated State agency to circulate the 
modifications among the other agencies that may be affected by the 
changes. The Coordinator will provide the web site location information 
to all the other Federal agencies whose programs are included in the 
unified plan so that they can access the unified plan for review.
Electronic Option 2: Submitting Plans to the Coordinator of the State 
Unified Plan Review Process
    A second option is to send the entire unified plan by electronic 
mail directly to the Coordinator, who will ensure that the other 
Federal agencies whose programs are included in the unified plan 
receive the electronic version of the unified plan. Again, this 
approach will significantly reduce burden on the States and contribute 
to the timely start of the 90-day period for the review of the unified 
plan.
Electronic Option 3: Submitting Plans to the Federal Departments Whose 
Programs Are Included in the Plan
    A third option is for a State to submit its unified plan by 
electronic mail directly to each Federal Department whose programs are 
included in the unified plan. To reduce burden on the States, the 
unified plan need be sent only to the designated Federal Departmental 
State Unified Plan Contact (hereafter, Departmental Contact). The 
Departmental Contact will be responsible for ensuring that affected 
agencies and appropriate Regional Offices in that Department receive 
electronic versions of the unified plan. For example, if a unified plan 
contains plans for both the Vocational Rehabilitation and the 
Postsecondary Vocational Education programs, both of which are 
administered by different agencies within the United States Department 
of Education, the State need only submit the plan to the U.S. 
Department of Education once. Electronic mail addresses for the 
Departmental Contacts are as follows:

Department of Labor: [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-
4231, Washington, D.C. 20210. The Coordinator can be reached by 
telephone at (202) 219-8395, ext. 143, 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 State agency to circulate the 
modifications among the other agencies that may be affected by the 
changes. As noted above, inclusion of a particular program in the State 
unified plan does not remove the statutory requirement for certain 
programs to annually review the plan and submit amendments as needed or 
to amend a State plan to reflect newly negotiated performance levels.

H. Inquiries

    General inquiries about the State unified plan process may be 
directed to the Coordinator of the State Unified Plan Review Process. 
The electronic mail address for the Coordinator (Dolores H. Beran) is 
[email protected]. The Coordinator may be contacted by phone at 202-
219-8395, ext. 143. Inquiries related to specific activities and 
programs can be directed to the staff contacts listed above in Section 
C of this Guidance.

[[Page 2471]]

I. Submission Date

    States may submit unified plans at any time up until April 7, 
2000.2
---------------------------------------------------------------------------

    \2\ Please note that for programs administered by OVAE, the 
unified plan will not go into effect for any particular program 
until a new grant is awarded under that program. The time period for 
submittal and coverage of the TANF plan is governed by section 
402(a) of the Social Security Act. Detailed guidance on the 
submittal of a TANF plan is contained in a policy announcement dated 
May 15, 1999 (see publication TANF-ACF-PA-98-3). To retain 
eligibility for a TANF grant, States need to submit a plan based on 
a 27-month rule.
---------------------------------------------------------------------------

J. Timing of Plan Approval

    Section 501(d)(2) of WIA states that a portion of a State unified 
plan covering an activity or program is to be considered to be approved 
by the appropriate Secretary at the end of the 90-day period beginning 
on the day the appropriate Secretary receives the portion unless the 
appropriate Secretary makes a written determination, during the 90-day 
period, that the portion is not consistent with the requirements of the 
Federal statute authorizing the activity or program or section 
501(c)(3) of WIA. Written determinations would include, for example, a 
written request from a representative of that agency for more 
information or documentation related to the requirements of WIA or the 
particular activity or program.

Attachment A

A. Unified Plan Activities and Programs Checklist

    Under Section 501 of the Workforce Investment Act, the following 
activities or programs may be included in a State's unified plan. 
From the list below, please place a check beside the programs and 
activities your State or Commonwealth is including in this Unified 
Plan.
    The State unified plan shall cover one or more of the following 
programs and activities:

______ Secondary vocational education programs (Perkins III/
Secondary) Note that inclusion of this program requires prior 
approval of State legislature. (Carl D. Perkins Vocational and 
Technical Education Act of 1998 (20 U.S.C. 2301 et seq.))
______ Postsecondary vocational education programs (Perkins III/
Postsecondary) Note that for the purposes of what the State unified 
plan shall cover, Perkins III/Secondary and Perkins III/
Postsecondary count as one program. (Carl D. Perkins Vocational and 
Technical Education Act of 1998 (20 U.S.C. 2301 et seq.))
______ Activities authorized under Title I, Workforce Investment 
Systems (Workforce Investment Activities for Adults, Dislocated 
Workers and Youth, or WIA Title I, and the Wagner-Peyser Act) 
(Workforce Investment Act of 1998 (29 U.S.C. 2801 et seq.))
______ Activities authorized under Title II, Adult Education and 
Family Literacy (Adult Education and Family Literacy Programs) 
(Workforce Investment Act of 1998 (20 U.S.C. 9201 et seq.))
    The State unified plan may cover one or more of the following 
programs and activities:

______ Food Stamp Employment and Training Program, or FSET (7 U.S.C. 
2015(d))
______ Activities authorized under chapter 2 of title II of the 
Trade Act of 1974 (Trade Act Programs) (19 U.S.C. 2271 et seq.)
______ Programs authorized under Part B of title I of the 
Rehabilitation Act of 1973 (29 U.S.C. 720 et seq.), other than 
Sec. 112 of such Act (29 U.S.C. 732) (Vocational Rehabilitation)
______ Activities authorized under chapters 41 & 42 of Title 38, 
USC, and 20 CFR 1001 and 1005 (Veterans Programs, including Veterans 
Employment, Disabled Veterans' Outreach Program, and Local Veterans' 
Employment Representative Program)
______ Programs authorized under State unemployment compensation 
laws (Unemployment Insurance) (in accordance with applicable Federal 
law which is authorized under Title III, Title IX and Title XII of 
the Social Security Act and the Federal Unemployment Tax Act)
Programs authorized under part A of title IV of the Social Security 
Act (Temporary Assistance for Needy Families (TANF) and Welfare-to-
Work (WtW)) (42 U.S.C. 601 et seq.)
______Temporary Assistance for Needy Families
______Welfare-to-Work
______Programs authorized under title V of the Older Americans Act 
of 1965 (Senior Community Service Employment Program (SCSEP)) (42 
U.S.C. 3056 et seq.)
Training activities funded by the Department of Housing and Urban 
Development under the Community Development Block Grants (CDBG) and 
Public Housing Programs) Note that programs funded by the CDBG and 
Public Housing programs can only be included in your State unified 
plan if the State is the funds recipient, and approval of the 
unified plan will not trigger funding for these programs.
______ Community Development Block Grants
______ Public Housing
______Programs authorized under the Community Services Block Grant 
Act (Community Services Block Grant, or CSBG) (42 U.S.C. 9901 et 
seq.)

B. Contact Information

    Please complete one copy for EACH of the separate activities and 
programs included in your State unified plan.

Program:---------------------------------------------------------------
State Name for Program/Activity:
----------------------------------------------------------------------

Name of Grant Recipient Agency for Program/Activity:
----------------------------------------------------------------------
Address:---------------------------------------------------------------
Telephone Number:------------------------------------------------------
Facsimile Number:------------------------------------------------------
E-mail Address:--------------------------------------------------------

Name of State Administrative Agency (if different from the Grant 
Recipient):
----------------------------------------------------------------------
Address:---------------------------------------------------------------
Telephone Number:------------------------------------------------------
Facsimile Number:------------------------------------------------------
E-mail Address:--------------------------------------------------------

Name of Signatory Official:
----------------------------------------------------------------------
Address:---------------------------------------------------------------
Telephone Number:------------------------------------------------------
Facsimile Number:------------------------------------------------------
E-mail Address:--------------------------------------------------------

Name of Liaison:
----------------------------------------------------------------------
Address:---------------------------------------------------------------
Telephone Number:------------------------------------------------------
Facsimile Number:------------------------------------------------------
E-mail Address:--------------------------------------------------------

C. Plan Signature(s)

Governor (if applicable)

    As the Governor, I certify that for the State/Commonwealth of 
______________, for those activities and programs included in this 
plan that are under my jurisdiction, the agencies and officials 
designated above under ``Contact Information'' have been duly 
designated to represent the State/Commonwealth in the capacities 
indicated for the programs and activities indicated. Subsequent 
changes in the designation of officials will be provided to the 
designated program or activity contact as such changes occur.
    I further certify that, for those activities and programs 
included in this plan that are under my jurisdiction, we will 
operate the workforce development programs included in this Unified 
Plan in accordance with this Unified Plan and the assurances 
described in Section III of this Unified Plan.
----------------------------------------------------------------------
Typed Name and Signature of Governor
Date-------------------------------------------------------------------

Responsible State Official for Eligible Agency for Vocational 
Education (if Applicable)

    I certify that for the State/Commonwealth of ______________, for 
those activities and programs included in this plan that are under 
my jurisdiction, the agencies and officials designated above under 
``Contact Information'' have been duly designated to represent the 
State/Commonwealth in the capacities indicated for the programs and 
activities indicated. Subsequent changes in the designation of 
officials will be provided to the designated program or activity 
contact as such changes occur.
    I further certify that, for those activities and programs 
included in this plan that are under my jurisdiction, we will 
operate the programs included in this Unified Plan in accordance 
with this Unified Plan and the applicable assurances described in 
Section III of this Unified Plan.

----------------------------------------------------------------------
Typed Name, Title, and Agency of Responsible State Official for 
Vocational Education

[[Page 2472]]

Signature--------------------------------------------------------------
Date-------------------------------------------------------------------

Responsible State Official for Eligible Agency for Vocational 
Rehabilitation (if applicable)

    I certify that for the State/Commonwealth of______________, for 
those activities and programs included in this plan that are under 
my jurisdiction, the agencies and officials designated above under 
``Contact Information'' have been duly designated to represent the 
State/Commonwealth in the capacities indicated for the programs and 
activities indicated. Subsequent changes in the designation of 
officials will be provided to the designated program or activity 
contact as such changes occur.
    I further certify that we will operate those activities and 
programs included in this Unified Plan that are under my 
jurisdiction in accordance with this Unified Plan and the assurances 
described in Section III of this Unified Plan.

----------------------------------------------------------------------
Typed Name, Title, and Agency of Responsible State Official for 
Vocational Rehabilitation
Signature--------------------------------------------------------------
Date-------------------------------------------------------------------

Responsible State Official for Eligible Agency for Adult Education 
(if applicable)

    I certify that for the State/Commonwealth of______________, for 
those activities and programs included in this plan that are under 
my jurisdiction, the agencies and officials designated above under 
``Contact Information'' have been duly designated to represent the 
State/Commonwealth in the capacities indicated for the programs and 
activities indicated. Subsequent changes in the designation of 
officials will be provided to the designated program or activity 
contact as such changes occur.
    I further certify that, for those activities and programs 
included in this plan that are under my jurisdiction, we will 
operate the programs included in this Unified Plan in accordance 
with this Unified Plan and the applicable assurances described in 
Section III of this Unified Plan.

----------------------------------------------------------------------
Typed Name, Title, and Agency of Responsible State Official for 
Adult Education
----------------------------------------------------------------------
Signature--------------------------------------------------------------
Date-------------------------------------------------------------------

II. Unified Planning Instructions and Questions

    Note: The statutes cited in parentheses refer to the authorizing 
legislation for each respective program. This unified planning 
guidance only relates to planning requirements; it does not affect 
the statutory and regulatory requirements relating to other aspects 
of programs included in the plan.

A. Vision and Goals

    1. Provide the State's comprehensive vision of a workforce 
investment system, including broad economic, education, training, 
workforce development and related goals. Describe how the State 
considered a broad range of issues, such as the needs of public housing 
residents, in the development of the State's vision and goals. Describe 
any challenges to achieving your vision, including any economic 
development, legislative or reorganization initiatives anticipated that 
could impact on the performance and effectiveness of your State's 
workforce investment system. Describe how each of the programs included 
in the plan will contribute to achieving these goals.
    In answering the above question, if your unified plan includes:
    (a) Vocational Rehabilitation:
    (i) In accordance with sections 101(a)(15)(C) and (D), identify the 
goals and priorities of the State in carrying out the program and 
identify the strategies to address the State's needs and achieve the 
State's goals and priorities (Sec. 101 (a)(15)(C) and (D))
    (ii) Specify the goals and plans of the State with respect to the 
distribution of funds received under section 622 (Sec. 625(b)(3)).
    (b) Unemployment Insurance, provide a concise summary of the SESA's 
key direction and strategies for the plan, identifying the goal/main 
objective of each focus area.

B. One-Stop Delivery System

    1. Describe the State's comprehensive vision of an integrated 
service delivery system, including the role each program incorporated 
in the unified plan in the delivery of services through that system.
    In answering this question, if your unified plan includes:
    (a) WIA Title I and Wagner-Peyser Act and/or Veterans Programs:
    (i) Describe major State policies and requirements that have been 
established to direct and support the development of a statewide 
workforce investment system not described elsewhere in this Plan. These 
policies may include, but are not limited to:
     State guidelines for the selection of One-Stop operators 
by Local Boards.
     The State's process to work with local boards and local 
Chief Elected Officials to certify existing One-Stop operators.
     Procedures to resolve impasse situations at the local 
level in developing MOUs to ensure full participation of all required 
partners in the One-Stop delivery system.
    (ii) Describe the existing local One-Stop delivery systems and how 
the services provided by each of the required and optional One-Stop 
partners will be coordinated and made available through the One-Stop 
system. Be sure to address statewide requirements, how technical 
assistance will be provided, and availability of the State WIA reserved 
funds for One-Stop development. (Sec. 112(b)(14))

C. Plan Development and Implementation

    1. Describe the methods used for joint planning and coordination of 
the programs and activities included in the unified plan. (WIA 
Sec. 501(c)(3)(A))
    State Consultation with Local Areas in Development of Plan: The 
authorizing statutes for many of the programs that may be included in a 
unified plan require that the State plan be developed in consultation 
with various public and private entities, as well as members of the 
general public. Some statutes also require formal public hearings. 
Depending upon the programs that a State chooses to include in its 
unified plan, it may be possible for the State to satisfy many of these 
consultation requirements through a single set of processes. For 
example, both WIA Title I and Perkins III require that the business 
community be involved in the development of the State plans for these 
programs. The State may satisfy both of these requirements by involving 
the business community in the development of a unified plan that 
includes the two programs. Separate consultations are not necessary.
    2. Describe the process used by the State to provide an opportunity 
for public comment and participation for each of the programs covered 
in the unified plan.
    In addition, if your unified plan includes:
    (a) Perkins III, the eligible agency must hold public hearings and 
include a summary of the recommendations made by all segments of the 
public and interested organizations and groups and the eligible 
agency's response to the recommendations in the State plan. 
(Sec. 122(a)(3)).
    (b) WIA Title I and Wagner-Peyser Act and/or Veterans Programs, 
describe the process used by the State, consistent with section 111(g) 
of WIA, to provide an opportunity for public comment, including comment 
by representatives of business and representatives of labor 
organizations, and input into development of the plan, prior to 
submission of the plan.
    (c) Adult Education and Family Literacy, describe the process that 
will be used for public participation and comment with respect to the 
AEFLA portion of the unified plan. (Sec. 224(b)(9)).
    (d) TANF, the State shall make available to the public a summary of 
any plan or plan amendment submitted by the State under this section. 
(Sec. 402(c)).

[[Page 2473]]

    (e) CSBG, provide evidence that the public participation 
requirements were met, including documents which confirms that a 
legislative public hearing on the State plan was conducted as required 
by subsection 675(b) and that the plan was also made available for 
public inspection and review as required by 675(d)(2).
    3. Provide summaries of the consultations with appropriate 
agencies, groups and individuals in the evaluation, development and 
implementation of activities included in the plan. This section should 
describe the types of activities and outcomes that were conducted to 
meet this requirement. Demonstrate, as appropriate, how comments were 
considered in the plan development process including specific 
information on how the various WIA agency and program partners were 
involved in developing the unified State plan.
    The following agencies, groups or individuals must be consulted, if 
your unified plan includes:
    (a) Perkins III: (Sec. 122(a)(3),(b)(1), (c)(3), (e)(3)).
     Parents.
     Teachers.
     Students.
     Eligible Recipients.
     Representatives of special populations in the State.
     Representatives of business and industry in the State, 
including small-and medium-sized local businesses.
     Representatives of labor organizations in the State.
     Interested community members.
     Governor of the State.
    In addition, the eligible agency must consult with the State agency 
responsible for secondary education and the State agency responsible 
for supervision of community colleges, technical institutes, or other 
2-year post secondary institutions primarily engaged in providing 
postsecondary vocational and technical education concerning the amount 
and uses of funds proposed to be reserved for adult vocational and 
technical education, postsecondary vocational and technical education, 
tech-prep education, and secondary vocational technical education. 
Include any objections filed by either agencies in the plan and your 
response(s). (Sec. 122(e)(3)).
    (b) WIA Title I and Wagner-Peyser Act and/or Veterans Programs: 
(Sec. 112(b)(1), 112(b)(9)).
     The Governor of the State and State Board.
     Local Chief elected officials.
     Business community.
     Labor organizations.
    The following agencies, groups and individuals should also be 
consulted:
    Local Boards and Youth Councils, Educators, Vocational 
Rehabilitation Agencies, Service providers, Welfare agencies, 
Community-Based organizations and the State Employment Security Agency.
    In addition, describe the role of the State Board and Local Boards 
in planning and coordination in the unified plan (Sec. 501(c)(3)). 
[NOTE: While WIA only requires the involvement of State Board and Local 
Boards in the planning and coordination of the programs and activities 
authorized under Title I, the intent of the unified plan approach is to 
enable all the relevant parties in an area, if they so choose, to come 
together more readily to coordinate their activities in the best 
interests of the population to be served. However coordination is 
achieved, nothing in the unified plan or in WIA itself permits a Board 
or any other entity to alter the decisions made by another program 
grantee in accord with that grantee's statutes.]
    (c) Adult Education and Family Literacy:
     Governor of the State (any comments made by the Governor 
must be included in the plan) (Sec. 224(d)).
    (d) Vocational Rehabilitation:
     State Rehabilitation Council (include the response of the 
designated State unit to such input and recommendations) 
(Sec. 101(a)(21)(A)(ii)(III)).
    (e) Welfare-to-Work: (Sec. 403(a)(5)(A)(ii)(I)(cc)).
     Public, private and non-profit organizations.
     PICs or Local Boards.
     Local TANF and administrative agency.
    (f) CSBG:
     Low-income individuals.
     Community organizations.
     Religious organizations.
     Representatives of low-income individuals.

D. Needs Assessment

    1. Describe the educational and job-training needs of individuals 
in the overall State population and of relevant subgroups of all the 
programs included in the unified plan.
    Many of the programs that may be included in a unified plan require 
a needs assessment. State agencies should fulfill these assessment 
responsibilities collaboratively or, at a minimum, create a planning 
process that promotes the sharing of needs assessment information among 
all agencies involved in preparing the unified plan. Sharing of 
assessment data can create a framework for the coordinated and 
integrated services that are to be provided through the One-Stop 
delivery system. The State may organize the presentation of assessment 
data in its unified plan in a manner it deems most appropriate and 
useful for planning, such as on a program-by-program basis, by 
geographic region, or by special population.
    In answering the above question, if your unified plan includes:
    (a) WIA Title I and Wagner-Peyser Act and/or Veterans Programs, 
identify the types and availability of workforce investment activities 
currently in the State. (WIA Sec. 112(b)(4)(D)).
    (b) Adult Education and Family Literacy, objectively assess the 
adult education and literacy needs of individuals, including an 
assessment of those most in need and hardest to serve, including low 
income students, individuals with disabilities, single parents, 
displaced homemakers, and individuals with multiple barriers to 
educational enhancement (including individuals with limited English 
proficiency, criminal offenders in correctional institutions and other 
institutionalized individuals.) (Sec. 224(b)(10), Sec. 225).
    (c) Food Stamp Employment & Training, provide an answer and explain 
the method used to:
    (i) Estimate the number and characteristics of the expected pool of 
work registrants during the fiscal year.
    (ii) Estimate the number of work registrants the State agency 
intends to exempt from E&T, along with a discussion of the proposed 
exemption criteria.
    (iii) Estimate the number of placements into E&T components during 
the fiscal year.
    (iv) Estimate the number of ABAWDs (able-bodied adult without 
dependents) in the State during the fiscal year.
    (v) Estimate the number of ABAWDs in both waived and unwaived area 
of the State during the fiscal year.
    (vi) Estimate the average monthly number of ABAWDs included in the 
State's 15 percent exemption allowance, along with a discussion of how 
the State intends to apply the exemption.
    (vii) Estimate the number of qualifying education/training and 
workfare opportunities for ABAWDS the State will create during the 
fiscal year.
    (d) Vocational Rehabilitation:
    (i) Assess the needs of individuals with disabilities in the State, 
particularly the vocational rehabilitation needs of individuals with 
the most significant disabilities (including their need for supported 
employment services), individuals with disabilities who have been 
unserved or under-served by the vocational rehabilitation

[[Page 2474]]

program, and individuals with disabilities served through other 
components of the statewide workforce investment system. 
(Sec. 101(a)(15)(A)(i)(I-III) and Sec. 625(b)(2))
    (ii) Include State estimates of the number of individuals in the 
State who are eligible for services under title I of the Rehabilitation 
Act, the number of such individuals who will receive services provided 
with funds provided under part B of title I and under part B of title 
VI (including, if the designated State agency uses an order of 
selection, estimates of the number of individuals to be served under 
each priority category within the order), and the costs of the services 
provided (including, if the designated State agency uses an order of 
selection, the service costs for each priority category within the 
order.) (Sec. 101(a)(15)(B))
    (iii) Provide an assessment of the need to establish, develop, or 
improve community rehabilitation programs within the State. 
(Sec. 101(a)(15)(A)(ii))
    (e) HUD Employment and Training Programs: (Reminder: the following 
is a suggestion for incorporating HUD programs into your State's 
unified plan. However, following this guidance will not trigger funding 
for HUD programs):
    (i) Address the educational and training needs of public housing 
residents and other families receiving housing assistance.
    2. Describe the key trends that are expected to shape the economic 
environment of the State during the next five years. Which industries 
and occupations are expected to grow? Which will contract? What are the 
workforce and economic development needs of the State? Identify the 
implications of these trends in terms of overall availability of 
current and projected employment opportunities by occupation, and for 
each of your customer segments, the job skills necessary in key 
occupations. Also describe how the program services provided relate to 
State and regional occupational opportunities. (WIA Sec. 112(b)(4) and 
Perkins Sec. 122(c)(15))

E. State and Local Governance

    1. What is the organization, structure and role/function of each 
State and local entity that will govern the activities of the unified 
plan?
    In answering the above question, if your unified plan includes:
    (a) Perkins III, describe the procedures in place to develop the 
memoranda of understanding outlined in Sec. 121(c) of the Workforce 
Investment Act of 1998 concerning the provision of services only for 
postsecondary students and school dropouts. (Sec. 122(c)(21))
    (b) WIA Title I and Wagner-Peyser Act and/or Veterans Programs:
    (i) Describe the State Workforce Investment Board, or the 
authorized alternative entity including a description of the manner in 
which the Board collaborated on the State plan. (WIA Sec. 112(b)(1) and 
Sec. 111(e))
    (ii) Describe the State-imposed requirements for the statewide 
workforce investment system. (Sec. 112(b)(2))
    (iii) Identify the local areas designated in the State and include 
a description of the process used for the designation of such areas. 
(Sec. 112(b)(5))
    (iv) Describe the appeals process referred to in Sec. 116(a)(5). 
(Sec. 112(b)(15))
    (v) Identify the criteria the State has established to be used by 
the chief elected officials in the local areas for the appointment of 
local Board members and establishment of youth councils based on the 
requirements of Sec. 117. (WIA Sec. 112(b)(6))
    (vi) Identify the circumstances which constitute a conflict of 
interest for any State or State Board and Local Boards member, 
including voting on any matter regarding the provision of service by 
that member or the entity that he/she represents, and any matter that 
would provide a financial benefit to that member or his or her 
immediate family. (Sec. 112(b)(13))
    (vii) Describe the procedures the local boards will use to identify 
eligible providers of training services for the Adult and Dislocated 
worker programs (other than on-the-job training or customized 
training). (Sec. 112(b)(17)(A)(iii))
    (viii) Describe how the locally operated ITA system will be managed 
in the State to maximize usage, select services providers, and improve 
the performance information on training providers. (Sec. 112(b)(14), 
112(b)(17)(A)(iii))
    (ix) Identify the criteria to be used by local boards in awarding 
grants for youth activities, including criteria that the Governor and 
local boards will use to identify effective and ineffective youth 
activities and providers of such activities. (Sec. 112(b)(18)(B))
    (x) Describe the processes that will be used at the State level to 
award grants and contracts for activities under Title I of WIA. 
(Sec. 112(b)(16))
    (xi) Include a description of the process by which State and Local 
Boards were created.
    (c) Vocational Rehabilitation, designate a State agency as the sole 
State agency to administer the plan, or to supervise the administration 
of the plan by a local agency, in accordance with Sec. 101(a)(2)(A). 
(Sec. 101(a)(2)(A))
    (d) TANF, describe the objective criteria for the delivery of 
benefits and the determination of eligibility and for fair and 
equitable treatment, including an explanation of how the State will 
provide opportunities for recipients who have been adversely affected 
to be heard in a State administrative or appeal process. 
(Sec. 402(a)(1)(B)(iii))
    (e) Welfare-to-Work, provide a description of the implementation of 
this program by PICs (or Local Boards) across the State, including the 
roles and responsibilities of the State WtW Administrative Agency and 
the TANF agency; a list of the substate areas and the local entities 
responsible for program administration; and the program's 
implementation target dates.

F. Funding

    1. What criteria will the State use, subject to each program's 
authorizing law, to allocate funds for each of the programs included in 
the unified plan? Describe how the State will use funds the State 
receives to leverage other Federal, State, local, and private 
resources, in order to maximize the effectiveness of such resources, 
and to expand the participation of business, employees, and individuals 
in the statewide workforce investment system. (WIA Sec. 112(b)(10))
    In answering the above question, if your unified plan includes:
    (a) Perkins III:
    (i) Describe the criteria that you will use in approving 
applications by eligible recipients for funds under Perkins III. 
(Sec. 122(c)(1)(B))
    (ii) Describe how funds received through the allotment made under 
section 111 will be allocated among secondary school vocational and 
technical education, or postsecondary and adult vocational and 
technical education, or both, including the rationale for such 
allocation. (Sec. 122(c)(4)(A))
    (iii) Describe how funds received through the allotment made under 
section 111 will be allocated among consortia which will be formed 
among secondary schools and eligible institutions, and how funds will 
be allocated among the members of the consortia, including the 
rationale for such allocation. (Sec. 122(c)(4)(B))
    (iv) If the eligible agency decides to develop an alternative 
allocation formula under the authority of sections 131(c) and/or 
132(b), submit the proposed formula and supporting documentation to the 
Secretary of Education for approval prior to the submission of your 
State plan or as a part of the State unified plan. (Sec. 131(c) and 
Sec. 132(b))

[[Page 2475]]

    (b) Tech-Prep, describe how the eligible agency will award tech-
prep funds in accordance with the requirements of Sec. 204(a) and 
Sec. 205 of Perkins III, including whether grants will be awarded on a 
competitive basis or on the basis of a formula determined by the State.
    (c) WIA Title I and Wagner-Peyser Act and/or Veterans Programs:
    (i) Describe the methods and factors the State will use in 
distributing funds to local areas for youth activities and adult 
employment and training activities under sections 128(b)(3)(B) and 
133(b)(3)(B), including a description of how the individuals and 
entities represented on the State board were involved in determining 
such methods and factors of distribution and how the State consulted 
with chief elected officials in local areas throughout the State in 
determining such distributions. (Sec. 112(b)(12)(A))
    (ii) Describe the formula prescribed by the Governor for the 
allocation of funds to local areas for dislocated workers in Employment 
and Training activities. (Sec. 112(b)(12)(C))
    (iii) Describe, in detail, the plans required under Section 8 of 
the Wagner-Peyser Act which will be carried out by the State. 
(Sec. 112(7))
    (iv) Describe the guidelines, if any, the State has established for 
Local Boards regarding priority when adult funds have been determined 
to be limited. (Sec. 112(b)(17(A)(iv) and 134(d)(4)(E))
    (v) Specify how the State will use the 10 percent Wagner-Peyser Act 
funds allotted to it under section 7(b) in accordance with the three 
provisions of allowable activities: performance incentives; services 
for groups with special needs; and extra costs of exemplary service 
delivery models. (Sec. 112(b)(7) and 20 CFR 652.204)
    (d) Adult Education and Family Literacy:
    (i) Describe how the eligible agency will fund local activities in 
accordance with the considerations described in Sec. 231(e) and the 
other requirements of Title II of WIA. (Sec. 224(b))
    (ii) Describe the process to show that public notice was given of 
the availability of Federal funds to eligible recipients and the 
procedures for submitting applications to the State, including 
approximate time frames for the notice and receipt of applications. 
(Sec. 231(c))
    (iii) Describe how the eligible agency will use funds made 
available under Section 222(a)(2) for State leadership activities. 
(Sec. 223(a))
    (iv) Describe the steps the eligible agency will take to ensure 
direct and equitable access, as required in section 231(c). 
(Sec. 224(b)(12))
    (e) Food Stamp Employment & Training:
    (i) Estimate the total cost of the State's E&T program and identify 
the source of funds according to the format for Table 5, Planned Fiscal 
Year Costs, contained in the most current release of ``The Handbook on 
Preparing State Plans for Food Stamp Employment and Training 
Programs.''
    (ii) Acknowledge that the State will spend at least 80 percent of 
its total 100 percent Federal E&T grant to create qualifying work 
opportunities to permit ABAWDs to remain eligible for food stamps.
    (iii) Indicate, if applicable, whether the State agency intends to 
spend at least as much as it spent of its own funds in FY 96 for E&T 
and optional workfare administration to receive the additional 100 
percent Federal allocations provided for in the Balanced Budget Act of 
1997.
    (iv) Describe both the expected sources and the status of State 
agency funding for participant reimbursement.
    (f) Welfare-to-Work, describe the State's plans for the 
expenditure, uses and goals of the 15% funds.
    (g) TANF, indicate the name, address, and EIN number of the TANF 
administering agency and estimate for each quarter of the fiscal year 
by percentage the amount of TANF grant that it wishes to receive.
    (h) Vocational Rehabilitation:
    (i) Describe how the State will utilize funds reserved for the 
development and implementation of innovative approaches to expand and 
improve the provision of vocational rehabilitation services to 
individuals with disabilities under the State plan, particularly 
individuals with the most significant disabilities. 
(Sec. 101(a)(18)(B))
    (ii) Describe the quality, scope, and extent of supported 
employment services authorized under the Act to be provided to 
individuals who are eligible under the Act to receive the services. 
(Sec. 625(b)(3))
    (iii) In the event that vocational rehabilitation services cannot 
be provided to all eligible individuals with disabilities in the State 
who apply for services, indicate the order to be followed in selecting 
eligible individuals to be provided vocational rehabilitation services 
and provide the justification for the order. (Sec. 101(a)(5)(A)-(B))
    (i) CSBG, describe how the State intends to use discretionary funds 
made available from the remainder of the grant or allotment described 
in Sec. 675C(b), including a description of how the local entity will 
use the funds to support innovative community and neighborhood-based 
initiatives.

G. Activities To Be Funded

    1. For each of the programs in your unified plan, provide a general 
description of the activities the State will pursue using the relevant 
funding.
    In answering the above question, if your unified plan includes:
    (a) Perkins III:
    (i) Describe the vocational and technical education activities to 
be assisted that are designed to meet or exceed the State adjusted 
levels of performance. (Sec. 122(c)(1))
    (ii) Describe the secondary and postsecondary vocational and 
technical education programs to be carried out, including programs that 
will be carried out by the eligible agency to develop, improve, and 
expand access to quality, state-of-the-art technology in vocational and 
technical education programs. (Sec. 122(c)(1)(A))
    (iii) Describe how funds will be used to improve or develop new 
vocational and technical education courses and effectively link 
secondary and postsecondary education. (Sec. 122(c)(1)(D) and 
Sec. 122(c)(19))
    (iv) Describe how the eligible agency will improve the academic and 
technical skills of students participating in vocational and technical 
education programs, including strengthening the academic, and 
vocational and technical, components of vocational and technical 
education programs through the integration of academics with vocational 
and technical education to (1) Ensure learning in the core academic, 
vocational and technical subjects; (2) provide students with strong 
experience in, and understanding of, all aspects of an industry; and 
(3) prepare students for opportunities in post-secondary education or 
entry into high skill and high wage jobs in current and emerging 
occupations. (Sec. 122(c)(1)(C) and (5)(A))
    (v) Describe how the eligible agency will ensure that students who 
participate in such vocational and technical education programs are 
taught to the same challenging academic proficiencies as are taught to 
all other students. (Sec. 122(c)(5)(B))
    (vi) Describe how the eligible agency will actively involve 
parents, teachers, local businesses (including small-and medium-sized 
businesses), and labor organizations in the planning, development, 
implementation and evaluation of vocational and technical education 
programs.
    (b) Tech-Prep, describe how funds will be used in accordance with 
the requirements of Sec. 204(c).

[[Page 2476]]

    (c) WIA Title I and Wagner-Peyser Act and/or Veterans Programs,:
    (i) Describe how Wagner-Peyser Act funds will provide a statewide 
capacity for a three-tiered labor exchange service strategy that 
includes: (1) Self-service; (2) facilitated self-help service; and (3) 
staff-assisted service.
    (ii) Describe how your State will ensure that veterans receive 
priority in the One-Stop system for labor exchange services by Wagner-
Peyser and DVOP/LVER staff members.
    (iii) Describe the types of employment and training activities that 
will be carried out with the adult and dislocated worker funds received 
by the State through the allotments under Section 132. How will the 
State maximize customer choice in the selection of training activities? 
(Sec. 112(b)(17)(A)(i))
    (iv) Define the sixth youth eligibility criterion at 
Sec. 101(13)(C)(vi), if this responsibility was not delegated to local 
Boards. (Sec. 112(b)(18)(A))
    (v) Describe the assistance available to employers and dislocated 
workers, particularly how your State determines what assistance is 
required based on the type of lay-off, and the early intervention 
strategies to ensure that dislocated workers who need intensive or 
training services (including those individuals with multiple barriers 
to employment and training) are identified as early as possible. 
Additionally, identify the State dislocated worker unit which will be 
responsible for carrying out the rapid response activities. 
(Sec. 112(b)(17)A)(ii))
    (vi) Describe your State's strategy for providing comprehensive 
services to eligible youth, including any coordination with foster 
care, education, welfare and other relevant resources. 
(Sec. 112(b)(18))
    (vii) Describe the strategies to assist youth who have special 
needs or significant barriers to employment, including those who are 
deficient in basic literacy skills, school drop-outs, offenders, 
pregnant, parenting, homeless, foster children, runaways or have 
disabilities. (Sec. 112(b)(18))
    (viii) Describe how coordination with Job Corps, youth opportunity 
grants, and other youth programs will occur. (Sec. 112(b)(18))
    (d) Adult Education and Family Literacy, describe the Adult 
Education and Family Literacy activities the State will provide within 
the following categories: (Sec. 224(b)(2), Sec. 231(b))
     Adult Education and Literacy services, including workplace 
literacy services.
     Family literacy services.
     English literacy programs.
    (e) Food Stamp Employment & Training:
    (i) Describe the components of the State's E&T program.
    (ii) Discuss the weekly/monthly hours of participation required of 
each program component.
    (iii) Describe planned combinations of components to meet the 
statutory requirement of 20 hours of participation per week to qualify 
as a work program for ABAWDS.
    (f) TANF, outline how the State intends to:
    (i) Conduct a program, designed to serve all political subdivisions 
in the State (not necessarily in a uniform manner), that provides 
assistance to needy families with (or expecting) children and provides 
parents with job preparation, work, and support services to enable them 
to leave the program and become self-sufficient. (Sec. 402(a)(1)(A)(i))
    (ii) Require a parent or caretaker receiving assistance under the 
program to engage in work (as defined by the State) once the State 
determines the parent or caretaker is ready to engage in work, or once 
the parent or caretaker has received assistance under the program for 
24 months (whether or not consecutive,) whichever is earlier, 
consistent with section 407(e)(2). (Sec. 402(a)(1)(A)(ii))
    (iii) Ensure that parents and caretakers receiving assistance under 
the program engage in work activities in accordance with section 407. 
(Sec. 402(a)(1)(A)(iii))
    (iv) Take such reasonable steps as deemed necessary to restrict the 
use and disclosure of information about individuals and families 
receiving assistance under the program attributable to funds provided 
by the Federal government. (Sec. 402(a)(1)(A)(iv))
    (v) Describe the financial eligibility criteria and corresponding 
benefits and services covered with State Maintenance of Effort (MOE) 
funds. This description applies to State MOE funds that are used in the 
State's TANF program or used to fund a separate State program.
    (g) Welfare-to-Work, describe State and local strategies regarding:
    (i) The employment activities that are planned under this grant.
    (ii) The utilization of contracts with public and private providers 
of job readiness, placement and post-employment services; job vouchers 
for placement, readiness, and post-employment services; job retention, 
or support services, if not otherwise available to the individual 
participants receiving WtW services, that are planned under this grant.
    (h) SCSEP, provide a description of each project function or 
activity and how the applicant will implement the project. The 
following activities should be discussed separately: (Sec. 3(A))
      Recruitment and selection of enrollees.
      Continued eligibility for enrollment in the SCSEP.
      Physical examinations.
      Orientations.
      Assessment.
      Individual development plan (IDP).
      Placement into subsidized employment.
      Training during community service employment and for 
other employment.
      Supportive services.
      Enrollee transportation.
      Placement into unsubsidized employment.
      Maximum duration of enrollment.
      IDP related terminations.
      Enrollee complaint resolution.
      Over-enrollment
    (i) CSBG, explain how the activities funded will:
    (i) Remove obstacles and solve problems that block the achievement 
of self-sufficiency, including those families and individuals who are 
attempting to transition off a State program carried out under part A 
of Title IV of the Social Security Act.
    (ii) Secure and retain meaningful employment.
    (iii) Attain an adequate education, with particular attention 
toward improving literacy skills of the low-income families in the 
communities involved, which may include carrying out family literacy 
initiatives.
    (iv) Make better use of available income.
    (v) Obtain and maintain adequate housing and a suitable living 
environment.
    (vi) Obtain emergency assistance through loans, grants, or other 
means to meet immediate and urgent family and individual needs.
    (vii) Achieve greater participation in the affairs of the 
communities involved, including the development of public and private 
grassroots partnerships with local law enforcement agencies, local 
housing authorities, private foundation, and other public and private 
partners.
    (viii) Create youth development programs that support the primary 
role of the family, give priority to the prevention of youth problems 
and crime, and promote increased community coordination and 
collaboration in meeting the needs of youth, and support development 
and expansion of innovative community-based youth development programs 
that have demonstrated success in preventing or reducing youth crime.

[[Page 2477]]

    (ix) Provide supplies, services, nutritious foods, and related 
services, as may be necessary to counteract conditions of starvation 
and malnutrition among low-income individuals.

H. Coordination and Non-Duplication

    1. Describe how your State will coordinate and integrate the 
services provided through all of the programs identified in the unified 
plan in order to meet the needs of its customers, ensure there is no 
overlap or duplication among the programs, and ensure collaboration 
with key partners and continuous improvement of the workforce 
investment system. (States are encouraged to address several 
coordination requirements in a single narrative, if possible.)
    In answering the above question, if your unified plan includes:
    (a) Perkins III, describe coordination with the following agencies 
or programs:
     Programs listed in section 112(b)(8)(A) of the Workforce 
Investment Act of 1998 (Sec. 122(c)(21)) concerning the provision of 
services for postsecondary students and school dropouts.
     Other Federal education programs, including any methods 
proposed for joint planning and coordination. (Sec. 122(c)(16))
    (b)WIA Title I and Wagner-Peyser Act and/or Veterans Programs:
    (i) Describe the strategies of the State to assure coordination, 
avoid duplication and improve operational collaboration of the 
workforce investment activities among programs outlined in Section 
112(b)(8)(A) and Section 112(b)(18)(C)&(D) of WIA, at both the State 
and local levels (e.g., joint activities, MOUs, planned mergers, 
coordinated policies, non-discrimination obligations, etc.).
    (ii) Describe how the State Board and Agencies will eliminate any 
existing state-level barriers to coordination. (Sec. 112(b)(8)(A))
    (c) Adult Education and Family Literacy, describe how the Adult 
Education and Family Literacy activities that will be carried out with 
any funds received under AEFLA will be integrated with other adult 
education, career development, and employment and training activities 
in the State or outlying area served by the eligible agency. 
(Sec. 224(b)(11))
    (d) Vocational Rehabilitation:
    (i) Describe the State agency's plans policies, and procedures for 
coordination with the following agencies or programs:
     Federal, State and local agencies and programs, including 
programs carried out by the Under Secretary for Rural Development of 
the Department of Agriculture and State use contracting programs to the 
extent that such agencies and programs are not carrying out activities 
through the statewide workforce investment system. (Sec. 101(a)(11)(C))
     Education officials responsible for the public education 
of students with disabilities, including a formal interagency agreement 
with the State educational agency. (Sec. 101(a)(11)(D))
     Private, non-profit vocational rehabilitation service 
providers through the establishment of cooperative agreements. 
(Sec. 101(a)(24)(B))
     Other State agencies and appropriate entities to assist in 
the provision of supported employment services. (Sec. 625(b)(4))
     Other public or nonprofit agencies or organizations within 
the State, employers, natural supports, and other entities with respect 
to the provision of extended services. (Sec. 625(b)(5))
    (e) Unemployment Insurance, summarize requests for any Federal 
partner assistance (primarily non-financial) that would help the SESA 
attain its goal.
    (f) Welfare-to-Work, describe the strategies of the State and PICs 
(or State Board and Local Boards) to prevent duplication of services 
and promote coordination among the following agencies or programs:
     TANF.
     JTPA/WIA.
     One-Stop centers/employment services.
     Other employment and training systems throughout the 
State.
     State Department of Transportation.
     Metropolitan planning organizations.
     Transit operators.
     Other transportation providers.
     State Housing Finance Agencies.
     Public and assisted housing providers and agencies and 
other community-based organizations.
     Public and private health, mental health and service 
agencies.
     Vocational rehabilitation and related agencies.
    (g) SCSEP, describe the cooperative relationships and working 
linkages that have been established or will be established with the 
following employment related programs and agencies:
     JTPA/WIA. (Sec. 3(a)(11))
     One-Stop Delivery Centers.
     Vocational Rehabilitation.
     Job Corps.
     State employment security agencies.
     Agencies administering Titles III, IV and VI of the Older 
Americans Act.
    (h) CSBG, describe how the State and eligible entities will 
coordinate programs to serve low-income residents with other 
organizations, including:
     Religious organizations.
     Charitable groups.
     Community organizations.

I. Special Populations and Other Groups

    1. Describe how your State will develop program strategies, to 
target and serve special populations. States may present information 
about their service strategies for those special populations that are 
identified by multiple Federal programs as they deem most appropriate 
and useful for planning purposes, including by special population or on 
a program by program basis. In providing this description, if your 
unified plan includes any of the programs listed below, please address 
the following specific relevant populations:
    (a) Perkins III:
     Each category of special populations defined in Sec. 3(23) 
of the Act. (Sec. 122(c)(7))
     Students in alternative education programs, if 
appropriate. (Sec. 122(c)(13))
     Individuals in State correctional institutions. 
(Sec. 122(c)(18))
    (i) Describe how funds will be used to promote preparation for 
nontraditional training and employment. (Sec. 122(c)(17))
    (ii) Describe how individuals who are members of special 
populations will be provided with equal access to activities assisted 
under Title I of Perkins III and will not be discriminated against on 
the basis of their status as members of special populations. 
(Sec. 122(c)(8)(B))
    (b) WIA Title I and Wagner-Peyser Act and/or Veterans Programs 
(Sec. 112(b)(17)(A)(iv) and Sec. 112(b)(17)(B)):
     Dislocated workers, including displaced homemakers.
     Low-income individuals, including recipients of public 
assistance.
     Individuals training for non-traditional employment.
     Individuals with multiple barriers to employment 
(including older individuals, people with limited English-speaking 
ability, and people with disabilities).
     Veterans, including veterans' preferences under 38 U.S.C. 
Chapters 41 and 42.
     The agricultural community that serves the migrant and 
seasonal farmworker population.
     UI claimants who are identified under Worker Profiling and 
Reemployment Services.
    (c) Adult Education and Family Literacy:
     Low income students (Sec. 224(b)(10)(A)).

[[Page 2478]]

     Individuals with disabilities (Sec. 224(b)(10)(B)).
     Single parents and displaced homemakers 
(Sec. 224(b)(10)(C)).
     Individuals with multiple barriers to educational 
enhancement, including individuals with limited English proficiency 
(Sec. 224(b)(10)(D)).
     Criminal offenders in correctional institutions and other 
institutionalized individuals (Sec. 225).
    (d) TAA and NAFTA-TAA, describe how rapid response and basic 
readjustment services authorized under other Federal laws will be 
provided to trade-impacted workers.
    (e) Vocational Rehabilitation:
     Minorities with most significant disabilities. 
(Sec. 21(c)).
     (f) TANF, indicate whether the State intends to:
     Treat families moving into the State from another State 
differently than other families under the program, and if so, how the 
State intends to treat such families under the program;
     Provide assistance under the program to individuals who 
are not citizens of the United States, and if so, shall include an 
overview of such assistance. (Sec. 402(a)(1)(B) (i) and (ii)); and
     Outline how the State intends to conduct a program 
designed to reach State and local law enforcement officials, the 
education system, and relevant counseling services, that provides 
education and training on the problem of statutory rape so that teenage 
pregnancy prevention programs may be expanded in scope to include men. 
(Sec. 401(a)(1)(A)(vi)).
    (g) SCSEP: (Sec. 3(a)(1))
     Minority groups.
     Individuals with the greatest economic need.
     Individuals with poor employment prospects.
    (h) CSBG:
     Low-income families.
     Families and individuals receiving assistance under part A 
of Title IV of the Social Security Act (42 U.S.C. 601 et seq.).
     Homeless families and individuals.
     Migrant or seasonal farmworkers.
     Elderly low-income individuals and families.
     Youth in low-income communities.
    (i) HUD Employment and Training Programs: (Reminder: the following 
is a suggestion for incorporating HUD programs into your State's 
unified plan. However, following this guidance will not trigger funding 
for HUD programs):
     Public housing residents
     Homeless and other groups
    2. Identify the methods of collecting data and reporting progress 
on the special populations described in Question 1 of this section.
    3. If your plan includes Perkins III, Tech-Prep, Adult Education 
and Family Literacy or Vocational Rehabilitation, describe the steps 
the eligible agency will take to ensure equitable access to, and 
equitable participation in, projects or activities carried out with the 
respective funds by addressing the special needs of student, teachers, 
and other program beneficiaries in order to overcome barriers to 
equitable participation, including barriers based on gender, race, 
color, national origin, disability, and age. (Sec. 427(b) General 
Education Provisions Act.)

J. Professional Development and System Improvement

    1. How will your State develop personnel to achieve the performance 
indicators for the programs included in your plan?
    In answering the above question, if your unified plan includes:
    (a) Perkins III:
    (i) Describe how comprehensive professional development (including 
initial teacher preparation) for vocational and technical, academic, 
guidance, and administrative personnel will be provided. 
(Sec. 122(c)(2))
    (ii) Describe how the eligible agency will provide local 
educational agencies, area vocational and technical education schools, 
and eligible institutions in the State with technical assistance. 
(Sec. 122(c)(14))
    (b) WIA Title I and Wagner-Peyser Act and/or Veterans Programs, 
explain how the local and State Boards will use data collected and the 
review process to reinforce the strategic direction and continuous 
improvement of the workforce investment system.
    (c) Vocational Rehabilitation, describe the designated State 
agency's policies, procedures and activities to establish and maintain 
a comprehensive system of personnel development designed to ensure an 
adequate supply of qualified State rehabilitation professional and 
paraprofessional personnel for the designated State unit pursuant to 
Sec. 101(a)(7) of the Act. (Sec. 101(a)(7))

K. Performance Accountability

    Nothing in this guidance shall relieve a State of its 
responsibilities to comply with the accountability requirements of WIA 
Title I and II and the Carl D. Perkins Vocational and Technical 
Education Act of 1998 (Perkins III), including, for example, the 
requirements to renegotiate performance levels at statutorily defined 
points in the 5-year unified plan cycle. The appropriate Secretary will 
negotiate adjusted levels of performance with the State for these 
programs prior to approving the State plan.
    1. What are the State's performance methodologies, indicators and 
goals in measurable, quantifiable terms for each program included in 
the unified plan and how will each program contribute to achieving 
these performance goals? (Performance indicators are generally set out 
by each program's statute.)
    In answering the above question, if your unified plan includes:
    (a) Perkins III and Tech-Prep:
    (i) Identify and describe the core indicators (Sec. 113(b)(2)(A)(i-
iv)), a State level of performance for each core indicator of 
performance for the first two program years covered by the State plan 
(Sec. 113(b)(3)(A)(ii), any additional indicators identified by the 
eligible agency (Sec. 113(b)(1)(B)), and a State level of performance 
for each additional indicator (Sec. 113(b)(3)(B)).
    (ii) Describe how the effectiveness of vocational and technical 
education programs will be evaluated annually. (Sec. 122(c)(6))
    (iii) Describe how individuals who are member of special 
populations will be provided with programs designed to enable the 
special populations to meet or exceed State adjusted levels of 
performance, and how it will prepare special populations for further 
learning and for high skill, high wage careers. (Sec. 122(c)(8)(C))
    (iv) Describe what steps the eligible agency will take to involve 
representatives of eligible recipients in the development of the State 
adjusted levels of performance. (Sec. 122(c)(9))
    (b) WIA Title I and Wagner-Peyser Act and/or Veterans Programs:
    (i) Describe the State performance accountability system developed 
for the workforce investment activities to be carried out through the 
statewide workforce investment system. Include expected levels of 
performance for each of the core indicators of performance and the 
customer satisfaction indicator of performance for the first three 
program years covered by the unified plan. (Sections 112(b)(3) and 
136(b)(3)(A)(ii))
    (ii) Compare the State level of the performance goals with the 
State adjusted levels of performance established for other States (if 
available), taking into account differences in economic conditions, the 
characteristics of participants when they entered the program and the 
services to be provided. (Sections 112(b)(3) and 136(b)(3)(A)(ii))
    (c) Adult Education and Family Literacy:

[[Page 2479]]

    (i) Include a description of how the eligible agency will evaluate 
annually the effectiveness of the Adult Education and Family Literacy 
activities, such as a comprehensive performance accountability system, 
based on the performance measures in Sec. 212.
    (ii) Identify levels of performance for the core indicators of 
performance described in Sec. 212(b)(2)(A) for the first three program 
years covered by the plan (Sec. 212(b)(3)(A)(ii)), and any additional 
indicators selected by the eligible agency. (Sec. 212 (b)(2)(B))
    (iii) Describe how such performance measures will be used to ensure 
the improvement of Adult Education and Family Literacy activities in 
the State or outlying area. (Sec. 224(b)(4))
    (d) Unemployment Insurance:
    (i) Submit a plan to achieve an enhanced goal in service delivery 
for areas in which performance is not deficient. Goals may be set at a 
State's own initiative or as the result of negotiations initiated by 
the Regional Office.
    (ii) Identify milestones/intermediate accomplishments that the SESA 
will use to monitor progress toward the goals.
    (e) TANF, outline how the State intends to establish goals and take 
action to prevent and reduce the incidence of out of wedlock 
pregnancies, with special emphasis on teenage pregnancies, and 
establish numerical goals for reducing the illegitimacy ratio of the 
State for calendar years 1996 through 2005. (Sec. 402(a)(1)(A)(v))
    (f) SCSEP, specify the number of authorized employment positions 
under the program, the number of unsubsidized placements to be achieved 
during the funding period and the number of enrollees to be served 
during the program year.
    (g) CSBG:
    (i) Describe how the State and all eligible entities in the State 
will, not later than fiscal year 2001, participate in the Results 
Oriented Management and Accountability System, a performance measure 
system pursuant to Sec. 678E(b) of the Act, or an alternative system 
for measuring performance and results that meets the requirements of 
that section, and a description of outcome measures to be used to 
measure eligible entity performance in promoting self-sufficiency, 
family stability, and community revitalization.
    (ii) Describe the standards and procedures that the State will use 
to monitor activities carried out in furtherance of the plan and will 
use to ensure long-term compliance with requirements of the programs 
involved, including the comprehensive planning requirements. 
(Sec. 91.330)
    2. Has the State developed any common performance goals applicable 
to multiple programs? If so, describe the goals and how they were 
developed.

L. Data Collection

    1. What processes does the State have in place to collect and 
validate data to track performance and hold providers/operators/
subgrantees accountable?
    In answering the above question, if your unified plan includes:
    (a) Perkins III and Tech-Prep:
    (i) Describe how data will be reported relating to students 
participating in vocational and technical education in order to 
adequately measure the progress of the students, including special 
populations. (Sec. 122(c)(12))
    (ii) Describe how the data reported to the eligible agency from 
local educational agencies and eligible institutions under Perkins III 
and the data you report to the Secretary are complete, accurate, and 
reliable. (Sec. 122(c)(20))
    (b) WIA Title I and Wagner-Peyser Act and/or Veterans Programs, 
describe the common data collection and reporting processes to be used 
for the programs and activities described in Sec. 112(b)(8)(A). 
(Sec. 112(b)(8)(B))
    (c) Food Stamp Employment & Training, describe how employment and 
training data will be compiled and where responsibility for employment 
and training reporting is organizationally located at the State level. 
Include the department, agency, and telephone number for the person(s) 
responsible for both financial and non-financial E&T reporting.
    2. What common data elements and reporting systems are in place to 
promote integration of unified plan activities?

M. Corrective Action

    1. Describe the corrective actions the State will take for each 
program, as applicable, if performance falls short of expectations.
    In answering the above question, if your unified plan includes:
    (a) Vocational Rehabilitation, include the results of an evaluation 
of the effectiveness of the vocational rehabilitation program, and a 
report jointly developed with the State Rehabilitation Council (if the 
State has a Council) on the progress made in improving effectiveness 
from the previous year including:
    (i) An evaluation of the extent to which program goals were 
achieved and a description of the strategies that contributed to 
achieving the goals.
    (ii) To the extent the goals were not achieved, a description of 
the factors that impeded that achievement.
    (iii) An assessment of the performance of the State on the 
standards and indicators established pursuant to section 106 of the 
Act. (Sec. 101(a)(15)(E)(i))
    (b) Unemployment Insurance, explain the reasons for the areas in 
which the State's performance is deficient. If a plan was in place the 
previous fiscal year, provide an explanation of why the actions 
contained in that plan were not successful in improving performance and 
an explanation of why the actions now specified will be more 
successful.

N. Waiver and Work-Flex Requests

    1. Will your State be requesting waivers as a part of this unified 
plan?
    In answering the above question, the following waiver provisions 
apply if your unified plan includes:
    (a) WIA Title I and Wagner-Peyser Act and/or Veterans Programs, 
States may submit a Workforce Flexibility (Work-Flex) Plan under WIA 
Sec. 192 and/or a General Statutory Waiver Plan under WIA Sec. 189(i) 
as part of the WIA Title I Plan. These waiver plans may also be 
submitted separately, in which case they must identify related 
provisions in the State's Title I plan. State waiver plans should be 
developed in accordance with planning requirements at Subpart D of 20 
CFR Part 661.420 and planning guidelines issued by the Department of 
Labor.
    (b) Vocational Rehabilitation, if a State requests a waiver of the 
Statewideness requirement identified in assurance number 13 for the 
vocational rehabilitation program in Section III of this unified 
planning guidance, the request must be made in accordance with the 
provisions of 34 CFR 361.26(b).

III. Certifications and Assurances

General Certifications and Assurances

    By signing the Unified Plan signature page, you are certifying 
that:
    1. The methods used for joint planning and coordination of the 
programs and activities included in the unified plan included an 
opportunity for the entities responsible for planning or administering 
such programs and activities to review and comment on all portions of 
the unified plan. Workforce Investment Act, 501(c)(3)(B).
    In addition, if you submit your unified plan by posting it on an 
Internet web site, you are certifying that:
    2. The content of the submitted plan will not be changed after it 
is submitted. Plan modifications must be approved by the reviewing 
State agency. It is the

[[Page 2480]]

responsibility of the designated agency to circulate the modifications 
among the other agencies that may be affected by the changes.
    In addition, the following certifications and assurances apply to 
the extent that the programs and activities are included in your State 
Unified Plan.
    3. Nonconstruction Programs. By signing the Unified Plan signature 
page, you are certifying that:
    1. The grantee has filed the Government-wide standard assurances 
for nonconstruction programs (SF 424). States can print SF 424 from 
http://ocfo.ed.gov/grntinfo/appforms.htm.

EDGAR Certifications, Nonconstruction Programs, Debarment, Drug-Free 
Work Place and Lobbying Certifications

    You must include the following certifications for each of the State 
agencies that administer one of these programs: Perkins III, Tech-Prep, 
Adult Education and Literacy or vocational rehabilitation. A State may 
satisfy the EDGAR requirement by having all responsible State agency 
officials sign a single set of EDGAR certifications.
EDGAR Certifications
    By signing the Unified Plan signature page, you are certifying 
that:
    1. The plan is submitted by the State agency that is eligible to 
submit the plan. [34 CFR 76.104(a)(1)]
    2. The State agency has authority under State law to perform the 
functions of the State under the program. [34 CFR 76.104(a)(2)]
    3. The State legally may carry out each provision of the plan. [34 
CFR 76.104(a)(3)]
    4. All provisions of the plan are consistent with State law. [34 
CFR 76.104(a)(4)]
    5. A State officer, specified by title in the certification, has 
authority under State law to receive, hold, and disburse Federal funds 
made available under the plan. [34 CFR 76.104(a)(5)]
    6. The State officer who submits the plan, specified by title in 
the certification, has authority to submit the plan. [34 CFR 
76.104(a)(6)]
    7. The agency that submits the plan has adopted or otherwise 
formally approved the plan. [34 CFR 76.104(a)(7)]
    8. The plan is the basis for State operation and administration of 
the program. [34 CFR 76.104(a)(8)]
    9. A copy of the State plan was submitted into the State 
Intergovernmental Review Process. [Executive Order 12372]
Debarment, Drug-Free Work Place, and Lobbying
    By signing the Unified Plan signature page, you are certifying 
that:
    1. The ED grantee has filed ED 80-0013. This form also applies to 
AEFLA and RSA. States can print ED 80-0013 from http://ocfo.ed.gov/
grntinfo/appforms.htm.

Perkins III

    By signing the Unified Plan signature page, the eligible agency is 
certifying that:
    1. The State plan complies with the requirements of Title I of 
Perkins III and the provisions of the State plan, including the 
provision of a financial audit of funds received under this title which 
may be included as part of an audit of other Federal or State programs. 
(Sec. 122(c)(10))
    2. None of the funds expended under Title I of Perkins III will be 
used to acquire equipment (including computer software) in any instance 
in which such acquisition results in a direct financial benefit to any 
organization representing the interests of the purchasing entity, the 
employees of the purchasing entity, or any affiliate of such an 
organization. (Sec. 122(c)(11))
    3. Sec. 501(b)(1) provides that secondary vocational education 
programs authorized under Perkins III may only be included in a unified 
plan ``with the prior approval of the legislature of the State.'' 
Documentation of this approval is submitted with the unified plan. 
State legislative approval may be conferred by a resolution adopted by 
votes of both houses of your State legislature (unless your State has a 
unicameral legislature) on any date following July 28, 1998. The 
resolution need not be freestanding; it may be included as an amendment 
to other legislation. In either event, the resolution should be 
specific and refer to the requirements of section 501(b)(1) and must 
clearly differentiate between secondary and postsecondary vocational 
education.

WIA Title I/Wagner-Peyser Act/Veterans Programs

    By signing the Unified Plan signature page, you are certifying 
that:
    1. The State Board will ensure that the public (including people 
with disabilities) has access to Board meetings and information 
regarding State Board activities, including membership and meeting 
minutes. (Sec. 112(b)(1))
    2. The State assures that it will establish, in accordance with 
section 184 of the Workforce Investment Act, fiscal control and fund 
accounting procedures that may be necessary to ensure the proper 
disbursement of, and accounting for, funds paid to the State through 
the allotments made under sections 127 and 132. (Sec. 112(b)(11))
    3. The State assures that it will comply with section 184(a)(6), 
which requires the Governor to, every two years, certify to the 
Secretary, that--
    A. The State has implemented the uniform administrative 
requirements referred to in section 184(a)(3);
    B. The State has annually monitored local areas to ensure 
compliance with the uniform administrative requirements as required 
under section 184(a)(4); and
    C. The State has taken appropriate action to secure compliance 
pursuant to section 184(a)(5). (Sec. 184(a)(6))
    4. The State assures that the adult and youth funds received under 
the Workforce Investment Act will be distributed equitably throughout 
the State, and that no local areas will suffer significant shifts in 
funding from year to year during the period covered by this plan. 
(Sec. 112(b)(12)(B))
    5. The State assures that veterans and other preference eligible 
persons will be afforded a priority service, in accordance with the 
requirements of chapter 41 of title 38 and 20 CFR 1001, in the One-Stop 
system for the provision of labor exchange services funded under the 
Wagner-Peyser Act.
    6. The State assures that the Governor shall, once every two years, 
certify one local board for each local area in the State. 
(Sec. 117(c)(2))
    7. The State assures that it will comply with the confidentiality 
requirements of section 136(f)(3)
    8. The State assures that no funds received under the Workforce 
Investment Act will be used to assist, promote, or deter union 
organizing. (Sec. 181(b)(7))
    9. The State assures that it will comply with the nondiscrimination 
provisions of section 188, and its implementing regulations at 29 CFR 
part 37, including an assurance that a Methods of Administration has 
been developed and implemented. (Sec. 188 and Sec. 112(b)(17))
    10. The State assures that it will collect and maintain data 
necessary to show compliance with the nondiscrimination provisions of 
section 188, as provided in the regulations implementing that section. 
(Sec. 185)
    11. The State certifies that the Wagner-Peyser Act Plan, which is 
part of this document, has been certified by the State Employment 
Security Administrator.
    12. The State assures that veterans workforce investment programs 
funded

[[Page 2481]]

under WIA, Section 168 will be carried out in accordance with that 
section, and further assures veterans will be afforded employment and 
training services under WIA section 134, to the extent practicable.
    13. The State certifies that Workforce Investment Act section 167 
grantees, advocacy groups, the State monitor advocate, agricultural 
organizations, and employers were given the opportunity to comment on 
the Wagner-Peyser Act agricultural services submission, including any 
local office affirmative action plans.
    14. The State assures that it will comply with the annual Migrant 
and Seasonal Farmworker significant office requirements in accordance 
with 20 CFR part 653.
    15. The State has developed this Plan in consultation with local 
elected officials, local workforce boards, the business community, 
labor organizations and other partners.
    16. The State assures that funds will be expended in accordance 
with the requirements of the WIA, the Wagner-Peyser Act, chapter 41 of 
Title 38, the regulations implementing such laws, written guidance 
issued by the Department of Labor, grant agreements, and other 
applicable Federal laws.
    17. The State certifies that labor exchange activities funded under 
the Wagner-Peyser Act will be provided by State merit-staff employees. 
The State assures that it will submit a plan modification to the 
Department if there is any change in policy regarding the public merit-
staffed delivery of Wagner-Peyser Act services in any local workforce 
investment area.
    18. The State Workforce Investment system and entities carrying out 
activities in the community who are in receipt of assistance from the 
workforce investment system or from the workforce investment system 
partners shall comply with the Architectural Barriers Act of 1968, 
sections 503 and 504 of the Rehabilitation Act of 1973, as amended, and 
the Americans with Disabilities Act of 1990.
    19. The State assures to include State and local EO officers and 
advocates for groups protected from discrimination under WIA Section 
188 in the planning process in a meaningful way, beginning with the 
earliest stages.
    20. The State assures that it will comply with the grant procedures 
prescribed by the Secretary (pursuant to the authority at section 
189(c) of the Act) which are necessary to enter into grant agreements 
for the allocation and payment of funds under the Act. The procedures 
and agreements will be provided to the State by the ETA Office of 
Grants and Contract Management and will specify the required terms and 
conditions and assurances and certifications, including, but not 
limited to, the following:
General Administrative Requirements
     29 CFR part 97--Uniform Administrative Requirements for 
State and Local Governments (as amended by the Act).
     29 CFR part 96 (as amended by OMB Circular A-133)--Single 
Audit Act.
     OMB Circular A-87--Cost Principles (as amended by the 
Act).
Assurances and Certifications
     SF 424 B--Assurances for Nonconstruction Programs.
     29 CFR part 31, 32--Nondiscrimination and Equal 
Opportunity Assurance (and regulation).
     CFR part 93--Certification Regarding Lobbying (and 
regulation).
     29 CFR part 98--Drug Free Workplace and Debarment and 
Suspension.
    21. The State certifies that, in providing an opportunity for 
public comment and input into the development of the plan, the State 
has consulted with persons of disabilities and has provided information 
regarding the plan and the planning process, including the plan and 
supporting documentation in alternative formats when requested.

Adult Education and Family Literacy

    By signing the Unified Plan signature page, you are certifying 
that:
    1. The eligible agency will award not less than one grant to an 
eligible provider who offers flexible schedules and necessary support 
services (such as child care and transportation) to enable individuals, 
including individuals with disabilities, or individuals with other 
special needs, to participate in Adult Education and Literacy 
activities, which eligible provider shall attempt to coordinate with 
support services that are not provided under this subtitle prior to 
using funds for Adult Education and Literacy activities provided under 
AEFLA for support services. (Sec. 224(b)(5))
    2. The funds received under subtitle A of Title II of WIA will not 
be expended for any purpose other than for activities under subtitle A 
of Title II of WIA. (Sec. 224(b)(6))
    3. The eligible agency will expend the funds under subtitle A of 
Title II of WIA only in a manner consistent with fiscal requirements in 
section 241. (Sec. 224(b)(8))

Food Stamp Employment and Training (FSET)

    By signing the Unified Plan signature page, you are certifying 
that:
    1. Federal funds allocated by the Department of Agriculture to the 
State under section 16(h)(1) of the Food Stamp Act of 1977 (the Act), 
or provided to the State as reimbursements under sections 16(h)(2) and 
16(h)(3) of the Act will be used only for operating an employment and 
training program under section 6(d)(4) of the Act.
    2. The State will submit to the Food and Nutrition Service (FNS) 
annual updates to its Employment and Training Plan for the coming 
fiscal year. The updates are due by August 15 of each year. The annual 
update must include any changes the State anticipates making in the 
basic structure or operation of its program. At a minimum, the annual 
update must contain revisions to Tables 1 (Estimated Participant 
Levels), 2 (Estimated E&T Placement Levels), 4 (Operating Budget), and 
5 (Funding Categories).
    3. If significant changes are to be made to its E&T program during 
the fiscal year, the State will submit to FNS a request to modify its 
plan. FNS must approve the modification request before the proposed 
change is implemented. The State may be liable for costs associated 
with implementation prior to approval. See ``The Handbook on Preparing 
State Plans for Food Stamp Employment and Training Programs'' for 
additional information.
    4. The State will submit a quarterly E&T report, FNS-583. Reports 
are due no later than 45 days after the end of each Federal fiscal 
quarter. The information required on the FNS-583 is listed in Exhibit 3 
of the ``The Handbook on Preparing State Plans for Food Stamp 
Employment and Training Programs.''
    5. The State will submit E&T program financial information on the 
SF-269, Financial Status Report. It must include claims for the 100 
percent Federal grant, 50 percent matched funding, and participant 
reimbursements. The SF-269 is due 30 days after the end of each Federal 
fiscal quarter.
    6. The State will deliver each component of its E&T program through 
the One-Stop delivery system, an inter-connected strategy for providing 
comprehensive labor market and occupational information to job seekers, 
employers, core services providers, other workforce employment activity 
providers, and providers of workforce education activities. If the 
component is not available locally through such a

[[Page 2482]]

system, the State may use another source.

Vocational Rehabilitation

    By signing the Unified Plan signature page, you are certifying 
that:
    1. As a condition for the receipt Federal funds under title I, part 
B of the Rehabilitation Act 3 for the provision of 
vocational rehabilitation services, the designated State agency 
4 agrees to operate and administer the State Vocational 
Rehabilitation Services Program in accordance with provisions of this 
Title I State plan 5, the Act and all applicable regulations 
6, policies and procedures established by the Secretary. 
Funds made available under section 111 of the Act are used solely for 
the provision of vocational rehabilitation services under title I and 
the administration of the title I State plan.
---------------------------------------------------------------------------

    \3\ Unless otherwise specified, any references to ``the Act'' 
means to the Rehabilitation Act of 1973, as amended, (Public Law 93-
112, as amended by Public Laws 93-516, 95-602, 99-506, 100-630, 102-
569, 103-073, and 105-220).
    \4\ All references in this plan to ``designated State agency'' 
or to ``the State agency'' relate to the agency identified in this 
paragraph.
    \5\ No funds under title I of the Act may be awarded without an 
approved State plan in accordance with section 101(a) of the Act and 
34 CFR part 361.
    \6\ Applicable regulations include Education Department General 
Administrative Regulations (EDGAR) in 34 CFR parts 74, 76, 77, 79, 
80, 81, 82, 85 and 86 and the State Vocational Rehabilitation 
Services Program regulations in 34 CFR part 361.
---------------------------------------------------------------------------

    2. As a condition of the receipt of Federal funds under title VI, 
part B of the Act for supported employment services, the designated 
State agency agrees to operate and administer the State Supported 
Employment Services Program in accordance with the provisions of the 
supplement to this State plan 7, the Act, and all applicable 
regulations 8, policies, and procedures established by the 
Secretary. Funds made available under title VI, part B are used solely 
for the provision of supported employment services and the 
administration of the supplement to the title I State plan.
---------------------------------------------------------------------------

    \7\ No funds under title VI, part B of the Act may be awarded 
without an approved supplement to the title I State plan in 
accordance with section 625(a) of the Act.
    \8\ Applicable regulations include Education Department General 
Administrative Regulations (EDGAR) in 34 CFR parts 74, 76, 77, 79, 
80, 81, 82, 85 and 86; 34 CFR part 361; and 34 CFR 363.
---------------------------------------------------------------------------

    3. The designated State agency or designated State unit is 
authorized to submit this State plan under title I of the Act and its 
supplement under title VI, part B of the Act.
    4. The State submits only those policies, procedures, or 
descriptions required under this State plan and its supplement that 
have not been previously submitted to and approved by the Commissioner 
of the Rehabilitation Services Administration. (Sec. 101(a)(1)(B))
    5. The State submits to the Commissioner at such time and in such 
manner as the Secretary determines to be appropriate, reports 
containing annual updates of the information relating to the: 
comprehensive system of personnel development; assessments, estimates, 
goals and priorities, and reports of progress; innovation and expansion 
activities; and requirements under title I, part B or title VI, part B 
of the Act. (Sec. 101(a)(23))
    6. The State plan and its supplement are in effect subject to the 
submission of such modifications as the State determines to be 
necessary or as the Commissioner may require based on a change in State 
policy, a change in Federal law, including regulations, an 
interpretation of the Act by a Federal court or the highest court of 
the State, or a finding by the Commissioner of State noncompliance with 
the requirements of the Act, until the State submits and receives 
approval of a new State plan or plan supplement. (Sec. 101(a)(1)(C))
    7. The State has an acceptable plan for carrying out part B of 
title VI of the Act, including the use of funds under that part to 
supplement funds made available under part B of title I of the Act to 
pay for the cost of services leading to supported employment. 
(Sec. 101(a)(22))
    8. The designated State agency, prior to the adoption of any 
policies or procedures governing the provision of vocational 
rehabilitation services under the State plan and supported employment 
services under the supplement to the State plan, including making any 
amendment to such policies and procedures, conducts public meetings 
throughout the State after providing adequate notice of the meetings, 
to provide the public, including individuals with disabilities, an 
opportunity to comment on the policies or procedures, and actively 
consults with the Director of the client assistance program, and, as 
appropriate, Indian tribes, tribal organizations, and Native Hawaiian 
organizations on the policies or procedures. (Sec. 101(a)(16)(A))
    9. The designated State agency takes into account, in connection 
with matters of general policy arising in the administration of the 
plan, the views of individuals and groups of individuals who are 
recipients of vocational rehabilitation services, or in appropriate 
cases, the individual's representatives; personnel working in programs 
that provide vocational rehabilitation services to individuals with 
disabilities; providers of vocational rehabilitation services to 
individuals with disabilities; the Director of the client assistance 
program; and the State Rehabilitation Council, if the State has such a 
Council. (Sec. 101(a)(16)(B))
    10. The designated State agency (or, as appropriate, agencies) is a 
State agency that is:
    a.____ primarily concerned with vocational rehabilitation, or 
vocational and other rehabilitation, of individuals with disabilities; 
or
    b.____ not primarily concerned with vocational rehabilitation, or 
vocational and other rehabilitation, of individuals with disabilities, 
and includes within the State agency a vocational rehabilitation 
bureau, or division, or other organizational unit that: is primarily 
concerned with vocational rehabilitation, or vocational and other 
rehabilitation, of individuals with disabilities, and is responsible 
for the designated State agency's vocational rehabilitation program; 
has a full-time director; has a staff, all or substantially all of whom 
are employed full time on the rehabilitation work of the organizational 
unit; and is located at an organizational level and has an 
organizational status within the designated State agency comparable to 
that of other major organizational units of the designated State 
agency. (Sec. 101(a)(2)(B))
    11. The designated State agency (or, as appropriate, agencies):
    a.____ is an independent commission that is responsible under State 
law for operating, or overseeing the operation of, the vocational 
rehabilitation program in the State; is consumer-controlled by persons 
who are individuals with physical or mental impairments that 
substantially limit major life activities; and represent individuals 
with a broad range of disabilities, unless the designated State unit 
under the direction of the commission is the State agency for 
individuals who are blind; includes family members, advocates, or other 
representatives, of individuals with mental impairments; and undertakes 
the functions set forth in Sec. 105(c)(4) of the Act; or
    b.____ has established a State Rehabilitation Council that meets 
the criteria set forth in section 105 of the Act and the designated 
State unit: jointly with the Council develops, agrees to, and reviews 
annually State goals and priorities, and jointly submits annual reports 
of progress with the Council, in accordance with the provisions of 
Sec. 101(a)(15) of the Act; regularly consults with the Council 
regarding the development,

[[Page 2483]]

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

[[Page 2484]]

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

[[Page 2485]]

    37. To the extent jobs skills training is provided, the training 
will be provided on site. (Sec. 625(b)(6)(F))
    38. Supported employment services will include placement in an 
integrated setting for the maximum number of hours possible based on 
the unique strengths, resources, priorities, concerns, abilities, 
capabilities, interests, and informed choice of individuals with the 
most significant disabilities. (Sec. 625(b)(G))
    39. The State will expend not more than 5 percent of the allotment 
of the State under title VI, part B for administrative costs of 
carrying out this part. (Sec. 625(b)(7))
    40. The supported employment supplement to the title I State plan 
contains such other information and be submitted in such manner as the 
Commissioner of the Rehabilitation Services Administration may require. 
(Sec. 625(b)(8))

Unemployment Insurance

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

[[Page 2486]]

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

Temporary Assistance for Needy Families (TANF)

    By signing the Unified Plan signature page, you are certifying 
that:
    1. During the fiscal year, the State will operate a child support 
enforcement program under the State plan approved under part D. 
(Sec. 402(a)(2))
    2. During the fiscal year, the State will operate a foster care and 
adoption assistance program under the State plan approved under part E, 
and that the State will take such actions as are necessary to ensure 
that children receiving assistance under such part are eligible for 
medical assistance under the State plan under title XIX. 
(Sec. 402(a)(3))
    3. Which State agency or agencies will administer and supervise the 
TANF program for the fiscal year, which shall include assurances that 
local governments and private sector organizations have been consulted 
regarding the plan and design of welfare services in the State so that 
services are provided in a manner appropriate to local populations; and 
have had at least 45 days to submit comments on the plan and the design 
of such services. (Sec. 402(a)(4))

[[Page 2487]]

    4. That, during the fiscal year, the State will provide each member 
of an Indian tribe, who is domiciled in the State and is not eligible 
for assistance under a tribal family assistance plan approved under 
section 412, with equitable access to federally-funded assistance under 
the State's TANF program (Sec. 402(a)(5))
    5. That the State has established and is enforcing standards and 
procedures to ensure against program fraud and abuse, including 
standards and procedures concerning nepotism, conflicts of interest 
among individuals responsible for the administration and supervision of 
the State program, kickbacks, and the use of political patronage. 
(Sec. 402(a)(6))
    6. (Optional) that the State has established and is enforcing 
standards and procedures to:
     Screen and identify individuals receiving assistance under 
this part with a history of domestic violence while maintaining the 
confidentiality of such individuals;
     Refer such individuals to counseling and supportive 
services; and
     Waive, pursuant to a determination of good cause, other 
program requirements such as time limits (for so long as necessary) for 
individuals receiving assistance, residency requirements, child support 
cooperation requirements, and family cap provisions, in cases where 
compliance with such requirements would make it more difficult for 
individuals receiving assistance under this part to escape domestic 
violence or unfairly penalize such individuals who are or have been 
victimized by such violence, or individuals who are at risk of further 
domestic violence. (Sec. 402(a)(7)(A)(i), (ii), (iii)

Welfare-to-Work (WtW)

    By signing the Unified Plan signature page, you are certifying 
that:
    1. The State is an eligible State, pursuant to SSA section 402(a) 
for the fiscal year. (SSA Sec. 402(a); SSA Sec. 403(a)(5)(A)(ii)(IV))
    2. The State assures that qualified State expenditures (within the 
meaning of SSA section 409(a)(7)) for the fiscal year will not be less 
than the applicable percentage of historic State expenditures (within 
the meaning of SSA section 409(a)(7)) with respect to the fiscal year. 
(SSA section 403(5)(A)(ii)(V); SSA Section 409(a)(7))
    3. The State has consulted and coordinated with the appropriate 
entities in the substate areas regarding the plan and the design of WtW 
services in the State. Statutory Citation: SSA section 
403(a)(5)(A)(ii)(I)(cc).
    4. The State will make available to the public a summary of the WtW 
plan. Statutory Citation: SSA section 402(b).
    5. The State has agreed to negotiate in good faith with the 
Secretary of Health and Human Services with respect to the substance 
and funding of any evaluation under SSA section 413(j) and to cooperate 
with the conduct of such an evaluation. (SSA 
Sec. 403(a)(5)(A)(ii)(III); SSA Sec. 413(j))
    6. The State shall not use any part of these grant funds, nor any 
part of state expenditures made to match the funds, to fulfill any 
obligation of any State, political subdivision, or private industry 
council to contribute funds under SSA sections 403(b) or 418 or any 
other provision of the Social Security Act or other Federal law.

    Note: There is an exception to this requirement for Access to 
Jobs. Statutory Citation: SSA section 403(a)(5)(C)(vi).

    7. The State will return to The Secretary of Labor any part of the 
WtW funds that are not expended within 3 years after the date the funds 
are so provided. Statutory Citation: SSA section 403(a)(5)(C)(vii).
    8. The State WtW program will be conducted in accordance with the 
WtW legislation, regulatory provisions, future written guidance 
provided by the Department, and all other applicable Federal and State 
laws.
    9. The State will apply the TANF law and regulations to the 
operation of the WtW program, unless otherwise specified by the 
Department or defined in SSA section 403(a)(5) or the applicable WtW 
regulations.
    10. The State will provide services under the WtW grant to eligible 
participants only.
    11. The State will maintain and submit accurate, complete and 
timely participant and financial records reports, as specified by the 
Secretary of Labor and the Secretary of Health and Human Services.
    12. The State will establish a mechanism to exchange information 
and coordinate the WtW program operated by the State and PICs with 
other programs available that will assist in providing welfare 
recipients employment.
    13. The State shall adhere to the certifications required under 
TANF and will meet the TANF maintenance of effort requirements.
    14. The State will comply with the ``common rule'' Uniform 
Administrative Requirements for Grants and Cooperative Agreements to 
State and Local Governments codified for DOL at 29 CFR Part 97.
    15. The State will follow the audit requirements of The Single 
Audit Act Amendments of 1996 and OMB-Circular A-133.
    16. The State will follow the allowable cost/cost principles of OMB 
Circular A-87.
    17. The State will establish policies to enforce the provisions 
regarding nondisplacement in work activities under a program operated 
with funds provided under WtW. Statutory Citation: SSA section 
403(a)(5)(J)(i).
    18. Assures that the Health and Safety standards established under 
Federal and State law otherwise applicable to working conditions of 
employees shall be equally applicable to working conditions of other 
participants engaged in a work activity under a program operated with 
funds provided under WtW. Statutory Citation: SSA section 
403(a)(5)(J)(ii).
    19. The State will enforce the provision that an individual may not 
be discriminated against by reason of gender with respect to 
participation in work activities under a program operated with funds 
provided under WtW. Statutory Citation: SSA section 403(a)(5)(J)(iii).
    20. The State shall establish and maintain procedures for 
grievances or complaints from participants and employees under the WtW 
program. The procedures established will be consistent with the 
requirements of SSA section 403(a)(5)(J)(iv). Statutory Citation: SSA 
section 403(a)(5)(J)(iv).
    21. The State shall establish and enforce standards and procedures 
to ensure against fraud and abuse, including standards and procedures 
against nepotism, conflicts of interest among individuals responsible 
for the administration and supervision of the State WtW program, 
kickbacks, and the use of political patronage.
    22. The State will comply with the nondiscrimination provisions of 
the laws enumerated at SSA section 408(d), with respect to 
participation in work activities engaged in under the WtW program.

Senior Community Service Employment Program (SCSEP)

    1. By signing the Unified Plan signature page, you are certifying 
that the State agrees to follow the provisions of Title V of the Older 
Americans Act of 1965 as amended or its successor legislation, the 
regulations at 20 CFR part 641 and Department of Labor guidance when 
administering funds provided pursuant to that Act.

Community Services Block Grant (CSBG)

    By signing the Unified Plan signature page, you are certifying 
that:

[[Page 2488]]

    1. Funds made available through the grant or allotment will be 
used--
     To support activities that are designed to assist low-
income families and individuals, including families and individuals 
receiving assistance under part A of title IV of the Social Security 
Act (42 U.S.C. 601 et seq.), homeless families and individuals, migrant 
or seasonal farmworkers, and elderly low-income individuals and 
families, and a description of how such activities will enable the 
families and individuals--
     To remove obstacles and solve problems that block the 
achievement of self-sufficiency (including self-sufficiency for 
families and individuals who are attempting to transition off a State 
program carried out under part A of title IV of the Social Security 
Act); to secure and retain meaningful employment;
     To attain an adequate education, with particular attention 
toward improving literacy skills of the low-income families in the 
communities involved, which may include carrying out family literacy 
initiatives;
     To make better use of available income;
     To obtain and maintain adequate housing and a suitable 
living environment;
     To obtain emergency assistance through loans, grants, or 
other means to meet immediate and urgent family and individual needs; 
and to achieve greater participation in the affairs of the communities 
involved, including the development of public and private grassroots 
partnerships with local law enforcement agencies, local housing 
authorities, private foundations, and other public and private partners 
to--
     Document best practices based on successful grassroots 
intervention in urban areas, to develop methodologies for widespread 
replication; and strengthen and improve relationships with local law 
enforcement agencies, which may include participation in activities 
such as neighborhood or community policing efforts.
    2. The needs of youth in low-income communities are being met 
through youth development programs that support the primary role of the 
family, give priority to the prevention of youth problems and crime, 
and promote increased community coordination and collaboration in 
meeting the needs of youth, and support development and expansion of 
innovative community-based youth development programs that have 
demonstrated success in preventing or reducing youth crime, such as--
     Programs for the establishment of violence-free zones that 
would involve youth development and intervention models (such as models 
involving youth mediation, youth mentoring, life skills training, job 
creation, and entrepreneurship programs); and
     After-school child care programs. There is an effective 
use of, and to coordinate, other programs related to the purposes of 
this subtitle (including State welfare reform efforts).
    3. There is an effective use of, and to coordinate with, other 
programs related to the purposes of this subtitle (including State 
welfare reform efforts).
    4. A description is provided on how the State intends to use 
discretionary funds made available from the remainder of the grant or 
allotment described in section 675C(b) in accordance with this 
subtitle, including a description of how the State will support 
innovative community and neighborhood-based initiatives related to the 
purposes of this subtitle.
    5. Information is provided by eligible entities in the State, 
containing--
     A description of the service delivery system, for services 
provided or coordinated with funds made available through grants made 
under section 675C(a), targeted to low-income individuals and families 
in communities within the State;
     A description of how linkages will be developed to fill 
identified gaps in the services, through the provision of information, 
referrals, case management, and followup consultations;
     A description of how funds made available through grants 
made under section 675C(a) will be coordinated with other public and 
private resources; and
     A description of how the local entity will use the funds 
to support innovative community and neighborhood-based initiatives 
related to the purposes of this subtitle, which may include fatherhood 
initiatives and other initiatives with the goal of strengthening 
families and encouraging effective parenting.
    6. Eligible entities in the State will provide, on an emergency 
basis, for the provision of such supplies and services, nutritious 
foods, and related services, as may be necessary to counteract 
conditions of starvation and malnutrition among low-income individuals.
    7. The State and the eligible entities in the State will 
coordinate, and establish linkages between, governmental and other 
social services programs to assure the effective delivery of such 
services to low-income individuals and to avoid duplication of such 
services, and a description of how the State and the eligible entities 
will coordinate the provision of employment and training activities, as 
defined in section 101 of such Act, in the State and in communities 
with entities providing activities through statewide and local 
workforce investment systems under the Workforce Investment Act of 
1998.
    8. The State will ensure coordination between antipoverty programs 
in each community in the State, and ensure, where appropriate, that 
emergency energy crisis intervention programs under title XXVI 
(relating to low-income home energy assistance) are conducted in such 
community.
    9. The State will permit and cooperate with Federal investigations 
undertaken in accordance with section 678D.
    10. Any eligible entity in the State that received funding in the 
previous fiscal year through a community services block grant made 
under this subtitle will not have its funding terminated under this 
subtitle, or reduced below the proportional share of funding the entity 
received in the previous fiscal year unless, after providing notice and 
an opportunity for a hearing on the record, the State determines that 
cause exists for such termination or such reduction, subject to review 
by the Secretary as provided in section 678C(b).
    11. The State will require each eligible entity in the State to 
establish procedures under which a low-income individual, community 
organization, or religious organization, or representative of low-
income individuals that considers its organization, or low-income 
individuals, to be inadequately represented on the board (or other 
mechanism) of the eligible entity to petition for adequate 
representation.
    12. The State will require each eligible entity in the State to 
establish procedures under which a low-income individual, community 
organization, or religious organization, or representative of low-
income individuals that considers its organization, or low-income 
individuals, to be inadequately represented on the board (or other 
mechanism) of the eligible entity to petition for adequate 
representation.
    13. The State will secure from each eligible entity in the State, 
as a condition to receipt of funding by the entity through a community 
services block grant made under this subtitle for a program, a 
community action plan (which shall be submitted to the Secretary, at 
the request of the Secretary, with the State plan) that includes a 
community-needs assessment for the community served, which may be 
coordinated with community-needs assessments conducted for other 
programs.

[[Page 2489]]

    14. The State and all eligible entities in the State will, not 
later than fiscal year 2001, participate in the Results Oriented 
Management and Accountability System, another performance measure 
system for which the Secretary facilitated development pursuant to 
section 678E(b), or an alternative system for measuring performance and 
results that meets the requirements of that section, and a description 
of outcome measures to be used to measure eligible entity performance 
in promoting self-sufficiency, family stability, and community 
revitalization.
    15. The information describing how the State will carry out the 
assurances is described in this subsection.

[FR Doc. 00-811 Filed 1-13-00; 8:45 am]
BILLING CODE 4510-30-P