[Federal Register Volume 73, Number 233 (Wednesday, December 3, 2008)]
[Notices]
[Pages 73730-73759]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: E8-28406]



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Part III





Department of Labor





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Employment and Training Administration



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 Planning Guidance for State Unified Plans and Unified Plan 
Modifications Submitted Under Section 501 of the Workforce Investment 
Act (WIA); Notice

  Federal Register / Vol. 73, No. 233 / Wednesday, December 3, 2008 / 
Notices  

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DEPARTMENT OF LABOR

Employment and Training Administration


Planning Guidance for State Unified Plans and Unified Plan 
Modifications Submitted Under Section 501 of the Workforce Investment 
Act (WIA)

AGENCY: Employment and Training Administration.

ACTION: Notice.

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SUMMARY: The purpose of this notice is to provide interested parties 
with the planning guidance for use by states in submitting their 
Unified State Plans under section 501 of the Workforce Investment Act 
of 1998 as well as Plan modifications. The Planning Guidance provides a 
framework for the collaboration of governors, local elected officials, 
businesses and other partners to continue the development of workforce 
investment systems that address customer needs, deliver integrated 
user-friendly services, and are accountable to the customers and the 
public.

FOR FURTHER INFORMATION CONTACT: Ms. Gay Gilbert, Administrator, Office 
of Workforce Investment, U.S. Department of Labor, 200 Constitution 
Ave., NW., Room S-4231, Washington, DC 20210. Telephone: (202) 693-3980 
(voice) (this is not a toll free number) or (202) 693-7755 (TTY).

SUPPLEMENTARY INFORMATION: 

Planning Guidance for State Unified Plans and Unified Plan 
Modifications Submitted Under Section 501 of the Workforce Investment 
Act (WIA)

    OMB Control Number 1205-0398.
    Expiration Date: Nov 30, 2011.

Table of Contents

Part I. State Planning Instructions
    A. Statement of Purpose
    B. Background
    C. Section 501 Programs and Activities
    D. Submission of State Unified Plans
    E. Federal Government Review and Approval of Unified Plan
    F. How to Use ``Attachment B''
    G. Negotiated WIA and Wagner-Peyser Act Performance Indicators
    H. Modifications to State Plan
    I. Inquiries
Part II. National Strategic Direction
    A. Vision and Goals Related to WIA Title I and Wagner-Peyser Act
    B. Demand-Driven Workforce Investment System Within a Regional 
Economic Development Context
    C. System Reform and Increased Focus on Workforce Education and 
Training
    D. Enhanced Integration Through the One-Stop Delivery System 
with Improved Service Delivery and Increased Efficiencies
    E. Vision for Serving Youth Most In Need
    F. Increased Economic and Workforce Information Data Integration 
and Analysis
    G. Effective Utilization of Faith-based and Community Based 
Organizations
    H. Increased Use of Flexibility Provisions in WIA
    I. An Integrated and Enhanced Performance Accountability System 
That Provides Improved System Results
Part III. Unified Planning Instructions
    A. State Vision and Priorities
    B. One-Stop Delivery System
    C. Plan Development and Implementation
    D. Needs Assessment
    E. State and Local Governance
    F. Funding
    G. Activities To Be Funded
    H. Coordination and Non-Duplication
    I. Special Populations and Other Groups
    J. Professional Development and System Improvement
    K. Performance Accountability
    L. Data Collection
    M. Corrective Action
    N. Waiver and Work-Flex Requests
Part IV. Certifications and Assurances
Attachments
    A. ETA Regional Administrators (for reference only)
    B. Unified Plan Activities and Program Checklist
    C. Optional Table for WIA State Performance Indicators and Goals

State Unified Plan Planning Guidance

Part I. State Planning Instructions

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 
WIA section 501(b)(2). This Planning Guidance updates the requirements 
for the WIA/Wagner-Peyser Act and Senior Community Service Employment 
Program (SCSEP) portions of the Unified Plan. Options for programs 
funded by the U.S. Department of Education that are included in a 
Unified Plan also are discussed in this notice. Minor reference updates 
have been made for other programs authorized to be included in the 
Unified Plan.
    An approved Strategic State Plan is required in order for States to 
receive formula allotments under WIA title I and the Wagner-Peyser Act. 
The current Plans expire June 30, 2009. States which choose to submit 
the WIA title I/Wagner-Peyser Plan as part of a Unified Plan must 
comply with the requirements of these guidelines. Guidelines for the 
submission of a Stand-Alone WIA title I Plan are being issued 
separately.
B. Background
    The State Unified Plan Planning Guidance provides a framework for 
the collaboration of governors, local elected officials, businesses and 
other partners to design and build workforce investment systems that 
address customer needs; deliver integrated, user-friendly services; and 
are accountable to the customers and the public. Unified Planning 
Guidance provisions related to the SCSEP and Perkins IV have changed. 
There are only minor changes to the Unified Planning Guidance items 
that relate to WIA title I and Wagner-Peyser Act Plan. The Unified Plan 
requirements for other programs remain the same as those outlined in 
the April 12, 2005, version of this document (70 Federal Register 
19222).
Senior Community Service Employment Program
    On October 17, 2006, the President signed into law the Older 
Americans Act Amendments of 2006, Public Law 109-365, which authorizes 
SCSEP. The purpose of SCSEP is to foster individual economic self-
sufficiency and promote useful opportunities in community service 
activities for unemployed low-income persons who are age 55 or older, 
particularly persons who have poor employment prospects, and to 
increase the number of persons who may enjoy the benefits of 
unsubsidized employment in both the public and private sectors. The 
2006 Amendments instituted a number of program changes. The amendments 
increased the emphasis on placements into unsubsidized employment; 
imposed a time limit on enrollees' program participation; restricted 
fringe benefits for participants; enabled grantees to spend additional 
funds on training; and mandated the adoption of core indicators of 
performance aligned with the Employment and Training Administration 
(ETA)'s common measures. The new law became effective July 1, 2007. 
Each State SCSEP grantee must prepare an application for funding each 
year. This application is a thorough explanation of how the project 
will operate. A State that chooses to include the SCSEP program in a 
Unified Plan must prepare a separate grant application according to 
SCSEP program requirements.
Options for Programs Funded by the U.S. Department of Education
    With respect to the programs authorized by the Adult Education and 
Family Literacy Act (AEFLA), the U.S.

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Department of Education has already issued guidance to States that 
discusses the option of extending the existing State plans with certain 
necessary revisions, and requests for extending plans were due April 1, 
2008. Further, the U.S. Department of Education anticipates that the 
States will have the option of extending their State plans again in 
April 2009, in the absence of a reauthorization of the AEFLA. This 
option of extending the existing plan applies as well to any 
subsections of a Unified State Plan that are related to programs under 
AEFLA. A State's request to extend subsections of a unified plan must 
be submitted directly to the U.S. Department of Education and is due 
April 1, 2009, for AEFLA programs. See Guide for the Development of a 
State Plan under the Adult Education and Family Literacy Act (OMB 
Control Number 1830-0026). The U.S. Department of Education anticipates 
that States will choose the option of extending their existing 
subsections of the currently approved Unified State Plans with only the 
revisions discussed in the above-referenced guidance. However, any 
State that chooses to submit new subsections related to AEFLA programs 
in its Unified State Plan submitted in accordance with this notice must 
fully comply with all the planning, content, and other requirements 
that applied when the Unified Plan was originally developed, adopted, 
and submitted. These requirements are summarized together with 
references to the underlying statutory and regulatory requirements in 
the second section of this notice.
    The U.S. Department of Education issued a program memorandum and 
guidance to States on March 12, 2007, regarding their options for 
submission of State plans under the newly authorized Carl D. Perkins 
Career and Technical Education Act of 2006 (Perkins IV), 20 U.S.C. 2301 
et seq. as amended by Public Law 109-270. States were given the option 
of submitting a one-year transitional plan (starting July 1, 2007), or 
a six-year full plan (starting July 1, 2007). The guidance also 
provided States direction for submitting a Unified Plan under WIA. See 
Program Memorandum Transmittal of the Carl D. Perkins Career and 
Technical Education Act of 2006 State Plan Guide and the Guide for the 
Submission of State Plans (OMB Control Number: 1830-0029) at: http://www.ed.gov/policy/sectech/guid/cte/perkinsiv/stateplanmemo.pdf or 
http://www.ed.gov/policy/sectech/guid/cte/perkinsiv/stateplan.doc.
    The U.S. Department of Education also issued a program memorandum 
on October 30, 2007, that required each eligible agency that submitted 
a one-year transition plan for the first program year to submit a five-
year State plan (starting July 1, 2008), covering the remaining program 
years, that meet all the requirements of Perkins IV, as covered in the 
March 2007 memo and guidance. See Program Memorandum Submission of 
Five-Year State Plans under the Carl D. Perkins Career and Technical 
Education Act of 2006 at http://www.ed.gov/policy/sectech/guid/cte/perkinsiv/fiveyear-stateplan.pdf. All States, including the outlying 
areas as defined in section 3(21) of Perkins IV, have submitted a five-
year plan, or will submit a five-year plan. No State has notified the 
Department of Education that it plans to submit a Unified Plan under 
WIA that includes Perkins IV requirements. These Perkins IV State plans 
will remain in effect for five years once the U.S. Department of 
Education approves these plans (starting July 1, 2008, or the date of 
approval if later). If a State wishes to revise or amend its Perkins IV 
State plan in the future to make it part of its State Unified Plan, 
then the State would have to meet the requirements for revising or 
amending its State plan that are in section 122(a)(2) of Perkins IV and 
Department of Education Administrative Regulations (EDGAR) at 34 CFR 
76.140, as well as the Department of Labor's requirements for amending 
a Unified State Plan. Additionally, a State would have to satisfy the 
requirements of section 501 of WIA with respect to State plans, e.g. 
legislature approval to include secondary Perkins IV programs.
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 Career and Technical Education programs (Perkins 
IV/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: Dale King: 202-245-7405 (phone); 202-245-7837 (fax); (E-
mail: [email protected]).
     Postsecondary Career and Technical Education programs 
(Perkins IV/Postsecondary) Administered by Department of Education, 
Office of Vocational and Adult Education. Staff Contact: Dale King: 
202-245-7405 (phone); 202-245-7837 (fax); (E-mail: [email protected]).
     Tech-Prep Education (title II of Perkins IV) Administered 
by Department of Education, Office of Vocational and Adult Education. 
Staff Contact: Dale King: 202-245-7405 (phone); 202-245-7837 (fax); (E-
mail: [email protected]).
     Activities authorized under title I, Workforce Investment 
Systems (Workforce Investment Activities for Youth, or WIA title I 
Youth) Administered by Department of Labor, Employment and Training 
Administration. Staff Contact: Gregg Weltz: 202-693-3527 (phone); 202-
693-3861 (fax); (E-mail: [email protected]).
     Activities authorized under title I, Workforce Investment 
Systems (Workforce Investment Activities for Adults, and Dislocated 
Workers, or WIA title I) Administered by Department of Labor, 
Employment and Training Administration. Staff Contact: Christine D. 
Ollis: 202-693-3937 (phone); 202-693-3015 (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: Dale King: 202-245-7405 (phone); 
202-245-7837 (fax); (E-mail: [email protected]).
     Food Stamp Employment and Training Program (FSET) 
Administered by USDA, Food and Nutrition Service. Staff Contact: 
Micheal Atwell: 703-305-2449 (phone); 703-305-2486 (fax); (E-mail: 
[email protected]).
     Activities authorized under chapter 2 of title II of the 
Trade Act of 1974 (Trade Act Programs) Administered by Department of 
Labor, Employment and Training Administration. Staff Contact: Terry 
Clark: 202-693-3707 (phone); 202-693-3585 (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: Maggie Ewell: 202-693-3160 
(phone); 202-693-3787 (fax); (E-mail: [email protected]).
     Programs authorized under Part B of title I of the 
Rehabilitation Act of 1973, other than section 112 of such Act 
(Vocational Rehabilitation) Administered by Department of Education, 
Rehabilitation Services Administration. Staff Contact: Jerry Elliott: 
202-245-7335 (phone); 202-

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245-7590 (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: Patrick J. 
Hecker: 202-693-4709 (phone); 202-693-4755 (fax); (E-mail: 
[email protected]).
     Programs authorized under State unemployment compensation 
laws (Unemployment Insurance) Administered by Department of Labor, 
Employment and Training Administration. Staff Contacts: Mary Vrany: 
202-693-3357 (phone); 202-693-3975 (fax); (E-mail: [email protected]); 
or Delores Mackall: 202-693-3183 (phone); 202-693-3975; (E-mail: 
[email protected]).
     Programs authorized under part A of title IV of the Social 
Security Act (Temporary Assistance for Needy Families (TANF) 
Administered by Health and Human Services, Administration for Children 
and Families. Staff Contact: Robert M. Shelbourne: 202-401-5150 
(phone); 202-401-5554 (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: Alexandra Kielty: 202-693-3730 (phone); 
202-693-3587 (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. Staff Contact: Manuel Ochoa: 202-
708-2111; Fax: 202-708-3672; (E-mail: [email protected]).
     Programs authorized under the Community Services Block 
Grant Act (CSBG) Administered by Health and Human Services, 
Administration for Children and Families. Staff Contact: Brandy RayNor: 
202-205-5926 (phone); 202-402-5718 (fax); (E-mail: 
[email protected]).
    While the statute specifies that States may submit a Unified Plan 
that includes ``training activities'' carried out by the Department of 
Housing and Urban Development (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 Unified Plan guidance provides 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 Unified Planning guidance will not 
automatically receive 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 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. Submission of State Unified Plans
    1. Requirements for Submission and Points of Contact:
    States have the option of submitting a Unified Plan to meet the 
requirements for submission of a State Plan.
    a. AEFLA Extensions. A State's request to extend subsections of a 
Unified Plan related to programs under AEFLA must be submitted directly 
to the U.S. Department of Education and is due April 1, 2009 for AEFLA 
programs. See Guide for the Development of a State Plan under the Adult 
Education and Family Literacy Act (OMB Control number 1830-0026).
    b. Federal Coordinator. To reduce the reporting and processing 
burden, States have the option of submitting their Unified Plan to 
either [email protected] or to the designated Federal Coordinator for 
Plan Review and Approval (hereafter, ``Federal Coordinator''), 
depending upon the submission option chosen by the State (as discussed 
below). The Federal Coordinator is Janet Sten, E-mail: 
[email protected]; phone: 202-693-3045.
    c. Federal Departments. States also have the option of submitting 
their Unified Plans directly to each Federal Department whose programs 
are included in the Unified Plan, except for AEFLA simple extensions, 
which must be submitted to the U.S. Department of Education as stated 
above. States choosing this option are only required to send the Plan 
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 copies of the Unified Plan. 
For example, if a Unified Plan contains plans for both the Vocational 
Rehabilitation and the Adult 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, and it should be sent to the Departmental 
Contact. E-mail addresses for the Departmental Contacts are as follows:

Department of Labor: [email protected]
Department of Education: [email protected]
Department of Health and Human Services: [email protected]
Department of Agriculture: [email protected]
Department of Housing and Urban Development: [email protected]

    2. Submission Options--Electronic, CD-ROM or Hard Copy Format:
    States have the option to submit Unified Plans in an electronic, 
hard copy, or CD-ROM format. The Federal Government is encouraging 
States to submit Unified Plans in electronic format to reduce the 
reporting and process burden and to ensure timely receipt by each 
Federal agency whose programs are included in the Unified Plan.
    a. Electronic Submission. States can submit a Unified Plan 
electronically either by posting it on an Internet Web site that is 
accessible to the Department of Labor or by transmitting it through e-
mail to the Department. Unified Plan certifications with electronic 
signatures are acceptable. If a State chooses not to use an electronic 
signature, then the Plan Signature(s) Page (Attachment B) must be 
submitted in hard copy.
    i. Posting Unified Plans on an Internet Web Site. Under this 
option, a State should post its Plan on an Internet Web site; inform 
the Federal Coordinator through electronic mail of the URL and the 
location of the document 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 has been submitted to the Department, unless the Federal 
Coordinator or Federal agency overseeing the portion to be changed 
gives prior approval. The Federal Coordinator will ensure that Federal 
agencies whose programs are included

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in the Unified Plan, and the appropriate DOL Regional Office, receive 
the relevant information.
    ii. Transmitting Unified Plans by E-Mail. Any State submitting its 
Plan by e-mail should send it to [email protected]. The Federal 
Coordinator will ensure that Federal agencies whose programs are 
included in the Unified Plan receive a copy. The Federal Coordinator 
will also provide a copy to the appropriate DOL Regional Office. If a 
State chooses to submit its Unified Plan by transmitting it through 
electronic mail, the State must submit it in Microsoft Word or PDF 
format.
    b. Hard Copy or CD-ROM Submission. States choosing to submit a hard 
copy should submit one copy of the Plan with an original signature to 
Janet Sten, the Federal Coordinator for Plan Review and Approval, at 
the following address: Division of Workforce System Support, Employment 
and Training Administration, U.S. Department of Labor, 200 Constitution 
Ave., NW, Room S-4231, Washington, DC 20210, ATTN: Janet Sten.
    States submitting a Unified Plan on CD-ROM should submit one copy 
of the Plan to Janet Sten, the Federal Coordinator for Plan Review and 
Approval. The Federal Coordinator will ensure that each Federal agency 
whose programs are included in the Unified Plan, and the appropriate 
DOL Regional Office, receive copies of the Plan.
    If the Plan on the CD-ROM does not include the signature of the 
governor on the signature page, the State must submit separately an 
electronic signature or a signature page in hard copy. Plans submitted 
on a CD-ROM must be in Microsoft Word or PDF format.
    States submitting a hard copy of their Plan are encouraged to 
provide an unbound copy to facilitate duplication.
    3. Table of Contents:
    States are encouraged to include a table of contents at the 
beginning of the State Unified Plan. This will provide easy reference 
on the Plan's details to the public as well as aid the Federal 
Government in the review of the Unified Plan.
    4. Receipt Confirmation:
    The Federal Coordinator, without regard to which option the State 
uses for submission, will confirm receipt of the State Unified Plan 
within two workdays of receipt and indicate the date for the start of 
the review period. When a State submits an incomplete Plan, the period 
for review will not start until all required components of the Unified 
Plan have been received.
E. Federal Government Review and Approval of Unified Plan
    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.
    The appropriate Secretary, or his/her representative, will advise 
the State by letter, as soon as possible, that the portion of the 
Unified Plan over which his/her agency exercises administrative 
authority is approved or disapproved. If the Plan is not approved, the 
appropriate Secretary, or his/her representative, will advise the State 
by letter that the portion of the Unified Plan over which his/her 
agency exercises administrative authority is not consistent with the 
requirements of the Federal statute authorizing the activity or 
program, or with section 501(c)(3) of WIA, and clearly indicate the 
reasons for disapproval and specify what additional information is 
required or what action needs to be taken for the Unified Plan to be 
approved.
F. How To Use ``Attachment B''
    1. Forms for State Use:
    In Attachment B you will find three forms for use in submitting the 
State Unified Plan. These forms are available for electronic download, 
along with this entire guidance, at http://www.doleta.gov/usworkforce.
    a. Unified Plan Activities and Programs Checklist: Please provide a 
list of the section 501 programs and activities you have included in 
the Plan. Use of this specific format is optional.
    b. Contact Information: Please provide the contact information 
requested for each of the Section 501 programs and activities that you 
have included in the Plan. Programs and activities may be combined on 
one form if they have the same contact information. Use of this 
specific format is optional.
    c. Plan Signature(s): Please provide the required signatures as 
appropriate for the programs and activities you have included in the 
State Unified Plan. Use of this specific format is optional, but the 
wording on the 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 the 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 the State's Unified 
Plan.
G. Negotiated WIA and Wagner-Peyser Act Performance Indicators
    WIA allows considerable flexibility in system design and service 
delivery, in exchange for both accountability for a key set of outcomes 
and improving those outcomes over time. To accomplish this, the 
Secretary of Labor and the governor of each State must reach agreement 
on the State's negotiated performance levels for the core indicators of 
performance, and for customer satisfaction indicators of employers' and 
participants' satisfaction. These levels of performance become the 
basis for sanctions for failed performance and, with additional 
performance levels for WIA title II Adult Education and Family Literacy 
Act programs and Carl D. Perkins Career and Technical Education Act of 
2006 programs, the basis for incentive grants.
    At a minimum, the State Plan should include proposed performance 
goals for WIA and Wagner-Peyser Act programs for each of the 
performance indicators for each program year covered by the Plan. While 
the State Plan is under review, the ETA Regional Administrator and the 
State will discuss the performance levels, and negotiate on them as 
appropriate. The Department expects States to enter into preliminary 
discussions with the Local Workforce Investment Boards and the ETA 
Regional Administrators before submitting the State Plan. States are 
expected to come to the negotiating table with support from their Local 
Workforce Investment Boards for the proposed performance goals. 
Entering into preliminary discussions prior to Plan submission will 
maximize the time available to States, local areas, and the Department 
to develop a shared set of goals. ETA Regional Administrators will 
coordinate with other DOL program administrators, including the 
Veterans' Employment and Training Service (VETS) Regional 
Administrators, to assure comprehensive Departmental participation.
    States should note that the proposed levels of performance are 
subject to public review and comment requirements. States that have 
completed negotiations with ETA

[[Page 73734]]

should include their agreed-upon levels of performance for each program 
year covered by the Plan for the WIA and Wagner-Peyser Act programs.
    In cases where final agreement on performance goals is reached 
after the State Plan is submitted to ETA for review and approval, but 
before ETA approval of the State Plan, the letter advising the States 
of approval of the State Plan will include ETA's approval of the 
agreed-upon goals.
    In cases where final agreement on performance goals has not been 
reached until after the State Plan has been approved, the ETA Regional 
Administrator's letter advising the State of the agreed-upon goals will 
constitute a modification to the State Plan. For subsequent revisions 
to performance goals during the life of the State Plan, the ETA 
Regional Administrator's letter advising the State of the agreed upon 
goals will also constitute a modification to the State Plan. The State 
must ensure that the agreed-upon goals are included in the State's 
official copy of the State Plan, and that any published State Plan, on 
the State's Web site or through other forums, includes the agreed-upon 
goals. ETA will incorporate these performance goals into the Regional 
and National Office copies of the State's Plan.
H. Modifications to State Plan
    1. Reasons for Modifications:
    Modifications may be needed in any number of areas to keep the 
Unified Plan a viable, living document over its life span. WIA 
regulations permit states to modify their Plan at any time and 20 CFR 
652.212 and 661.230 outline the circumstances under which modifications 
must be submitted. Modifications are required when:
    a. Changes in Federal or State law or policy substantially change 
the assumptions upon which the Plan is based.
    b. There are changes in the statewide vision, strategies, policies, 
performance indicators, the methodology used to determine local 
allocation of funds, reorganizations which change the working 
relationship with system employees, changes in organizational 
responsibilities, changes to the membership structure of the State 
Board or alternative entity and similar substantial changes to the 
State's workforce investment system.
    c. The State has failed to meet performance goals, and must adjust 
service strategies.
    The WIA regulations, at 20 CFR 652.212, which relate to the Wagner-
Peyser Act portions of the Plan, also require modifications when there 
is any reorganization of the State agency designated to deliver 
services under the Wagner-Peyser Act, any change in service delivery 
strategy, any change in levels of performance when performance goals 
are not met, or any change in services delivered by State merit-staff 
employees. In general, it is substantial changes to the Unified Plan 
that require a modification, i.e., any change that significantly 
impacts the operation of the state's workforce investment system.
    2. Submitting a Modification:
    Plan modifications must be submitted to the Federal Coordinator, 
who will ensure that Federal agencies whose programs are included in 
the unified plan receive a copy, in accordance with the procedures of 
the affected agency. Prior to submission of the modification for review 
and approval by the Federal Government, the designated State agency 
must circulate the modifications among the other State and/or local 
agencies that may be affected by the changes. Inclusion of a program in 
the State Unified Plan does not remove the statutory requirement for 
certain programs to annually review the Plan and submit modifications 
as needed.
    Modifications to the Unified Plan are subject to the same public 
review and comment requirements that apply to the development of the 
original Plan. States wishing to submit a State Plan modification 
should follow the submission guidelines listed in Section D 
``Submission of Unified Plans.'' States should direct any questions 
about the need to submit a Plan modification to the Federal 
Coordinator, the Departmental Contacts listed above, or to the Regional 
Administrator or Regional Commissioner who exercises administrative 
authority over the activity or program(s) impacted by the modification.
I. Inquiries
    General inquiries about the State Unified Plan process may be 
directed to Janet Sten, the Federal Coordinator for Plan Review and 
Approval. The electronic mail address for the Federal Coordinator is 
[email protected]. The Federal Coordinator may be contacted by phone 
at 202-693-3045. Inquiries related to specific activities and programs 
can be directed to the staff contacts listed above.

Part II. National Strategic Direction

    The purpose of Part II is to communicate ETA's national direction 
and strategic priorities for the workforce investment system.
A. Vision and Goals Related to WIA Title I and Wagner-Peyser Act
    The U.S. economy and its labor markets are undergoing changes of 
historic proportion. Globalization has forced change in every region in 
the country and impacted every aspect of our economy. While global 
competition is typically seen as a national challenge, the front lines 
of the battlefield are regional, where businesses create competitive 
advantage by collaborating with researchers, entrepreneurs, and 
government entities. That advantage stems from the ability to transform 
new ideas and knowledge into advanced, high-quality products or 
services--in other words, to innovate. Those regions that will be most 
successful will connect three key elements: Talent, infrastructure, and 
investment. In particular, they will connect workforce skills and 
lifelong learning strategies; regional infrastructure and economic 
development strategies; and investment and entrepreneurship strategies. 
Entrepreneurship plays a critical role in fueling innovation, as 
entrepreneurs account for more than half of all technological 
innovation which powers America's competitiveness.
    Maintaining America's competitive position in the global economy 
requires a workforce with postsecondary education credentials, the 
capacity to work in a high-technology environment, and the opportunity 
to engage in lifelong learning to keep pace with change. Preparing 
workers to be part of such a workforce is the role of our system. ETA 
envisions that the workforce investment system will operate as a talent 
development system; it is no longer defined only as a job training 
system. A talent development system not only meets the needs of 
industry, but contributes to economic prosperity by collaborating with 
economic development to identify emerging industries that it can help 
foster and grow. Its vision is an educated and prepared workforce that 
is able to compete in the global economy.
    Broadly, the ETA strategic priorities for the workforce investment 
system for this planning cycle include:
     Building a demand-driven system within a regional economic 
development context;
     Implementing system reform, with streamlined governance 
and alignment of economic and workforce development regions;
     Enhancing an integrated service delivery system that 
focuses on functions and services rather than programs or funding 
streams;

[[Page 73735]]

     Advancing a vision for serving youth most in need;
     Expanding the workforce information system as the 
foundation for strategic planning and career guidance;
     Strengthening partnerships with community and faith-based 
organizations;
     Increasing the use of flexibility provisions in WIA to 
design innovative programs that fuel regional economic competitiveness 
and create employment opportunities for career seeker customers; and
     Utilizing an integrated and enhanced performance 
accountability system.
B. Demand-Driven Workforce Investment System Within a Regional Economic 
Development Context
    In today's economy, the workforce investment system has an 
opportunity to play a critical role in fueling competitiveness by 
developing talent--one of the three key requirements for innovation. To 
become a dynamic catalyst, the workforce investment system must evolve 
beyond its current configuration and status. Ideally, the system will 
be positioned to respond to a variety of economic conditions with 
talent development strategies that range from retrofitting an economy 
in an area where an entire industry is being reengineered, to building 
new industries from the ground up, to building an entrepreneurial 
culture that fosters job creation.
    The challenge for the workforce investment system is to become 
agile enough to serve an economy driven by innovation, recognizing the 
reality that approximately two-thirds of all new jobs are created by 
small businesses. Jobs in today's economy increasingly hinge on 
specialized skills, as 90 percent of the fastest growing jobs require 
education and training past high school.
    Therefore, it is imperative that the system continue its 
transformation as a catalyst in reshaping talent development strategies 
in support of regional economic competitiveness. While the workforce 
investment system has implemented a number of key strategies to become 
increasingly demand-driven, new strategies are needed in the workforce 
investment system to drive regional economic growth. The workforce 
system must transform to be relevant in the 21st century economy. 
Elements of transformation include:
    (1) The workforce investment system operates as a talent 
development system; it is no longer defined as a job training system. 
Its goal is an educated and prepared workforce--on a U.S. or global 
standard.
    (2) Workforce investment system formula funds are transformed, 
providing significantly increased opportunity for postsecondary 
education for lifelong learning aligned with the region's talent 
development strategy.
    (3) The workforce investment system no longer operates as an array 
of siloed programs and services.
    (4) Workforce Investment Boards are structured and operate on a 
regional basis and are composed of regional strategic partners who 
drive investments by aligning spending with a regional economic vision 
for talent development.
    (5) Economic and workforce development activities within regions 
are aligned, leading to the adoption of common and innovative policies 
across the workforce, education, and economic development systems and 
structures that support talent development and the regional economy.
    (6) The workforce investment system is agile enough to serve the 
innovation economy, recognizing the reality that two-thirds of all new 
jobs are created by small businesses.
    (7) The workforce investment system actively collaborates with 
economic development, business, and education partners to gather and 
analyze a wide array of current and real-time workforce and economic 
data in order to create new knowledge about regional economies and 
support strategic planning, routinely track economic conditions, 
measure outcomes, and benchmark economic competitiveness in the global 
marketplace.
C. System Reform and Increased Focus on Workforce Education and 
Training
    The needs of the 21st century labor market are radically different 
from what we have known in the past, and for which most workers are 
currently trained. As a result, the American economy is facing a 
shortage of skilled workers which necessitates a talent development 
system that cultivates an educated and prepared workforce committed to 
life-long learning. The following strategies can help advance an 
essential culture of life-long learning:
     K-12 and alternative education curricula must be designed 
to academically prepare students to successfully move into 
postsecondary education as well as prepare students for success in the 
workplace through a range of strategies.
     Educational strategies for adult learners must offer more 
entry and exit points in recognition that students will need to earn 
and learn simultaneously. Such strategies may need to approach 
education and career progression incrementally rather than on one 
continuous path to a specific degree with the aim of moving the learner 
to the workplace. This is particularly essential for incumbent workers 
who need lifelong education to remain in economically self-sustaining 
jobs.
     New education models are needed to support the development 
of cross-disciplinary learning that matches the expanding number of 
cross-functional competencies and skill sets that are needed on the 
job.
    States have multiple ways to drive system transformation and 
integration through policies, required practices, and investment of 
State set-aside funds, among others. There are a number of key areas 
the State may consider addressing in its Strategic Plan to respond to 
the current challenges of maintaining a competitive advantage and 
ensuring a prepared and educated workforce. These key areas may 
include, but are not limited to, the following:
     Aligning economic and workforce development strategies and 
facilitating the adoption of common and innovative policies across the 
workforce, education, and economic development systems and structures 
that support talent development in a regional economy;
     Reorganizing governance structures to operate on a 
regional basis and in a way that reduces administrative costs, 
streamlines service delivery systems, and increases flexibility to 
address the needs of State and regional economies;
     Promoting the engagement of strategic partners who drive 
investments in economic regions and align spending within a regional 
economic vision for talent development;
     Using State set-aside funds to respond more efficiently to 
economic trends and shocks, enabling State and Local Workforce 
Investment Boards greater agility;
     Increasing use of system resources for training through 
targeted policies such as setting a specific percentage of WIA funding 
that must be devoted to training and transforming the use of WIA 
formula funds to postsecondary education and lifelong learning 
opportunities aligned with the region's talent development strategy;
     Promoting the use of Registered Apprenticeship as an 
important talent development strategy and a critical postsecondary 
education, employment and training opportunity as part of the suite of 
options offered through the workforce system;
     Developing statewide polices to guide the use of 
assessments of

[[Page 73736]]

individuals to enhance service delivery for business and job seekers; 
and
     Developing comprehensive, user-friendly economic data and 
skills information to enable informed decisions by the system, and its 
customers and partners.
D. Enhanced Integration Through the One-Stop Delivery System With 
Improved Service Delivery and Increased Efficiencies
    The workforce investment system, as currently constituted, 
struggles to meet the challenges of educating and training a workforce 
that is prepared to compete in today's economy. This is partly due to 
the lack of integration, which causes too much money to be spent on 
competing bureaucracies, overhead costs, and unnecessary 
infrastructure, and not enough on meaningful skills training that leads 
to job growth and economic prosperity. The ultimate objective is a 
workforce system that eliminates duplicative costs for physical 
infrastructure, information systems, and administrative and managerial 
personnel; this will enable the system to devote scarce resources to 
more efficiently and effectively implement talent development 
strategies across multiple programs.
    In addition to infrastructure integration, integrated service 
delivery remains essential to a demand-driven workforce system that 
effectively serves businesses and individuals. The workforce investment 
system must operate as a seamless system functionally organized around 
service delivery rather than an array of separate programs with 
separate processes. The objective is for ``customers'' to be seen as 
customers of the workforce investment system, not of a particular 
program. This goal is particularly important when focusing on targeted 
populations such as veterans, individuals with disabilities, military 
spouses, migrant and seasonal farm workers, older workers, and others. 
All of these populations need access to all of the services in a One-
Stop Career Center.
    Achieving the goal of integrated service delivery requires strong 
State leadership to overcome administrative challenges and to foster a 
policy environment conducive to the integration of funding, facilities, 
and service delivery. The WIA State planning process offers a vehicle 
for the governor and State Workforce Investment Board to set forth 
policy expectations for integration and to help eliminate obstacles.
E. A Vision for Serving Youth Most in Need
    Currently, there are nearly four million youth who are not in 
school, do not have a diploma, and are not working. Over 30 percent of 
our youth are dropping out of high school nationally, and the number is 
closer to 50 percent in many urban areas. In an attempt to address this 
problem, the U.S. Department of Labor has developed a Youth Vision 
which proposes that the public workforce investment system serve the 
neediest youth: youth aging out of foster care, those involved with the 
juvenile justice system, children of incarcerated parents, migrant 
youth, Native American youth, and youth with disabilities. Transforming 
the system to meet this objective requires that the current capacity, 
knowledge, and models in the workforce investment system be 
strengthened. Transformation is also necessary if the system is to meet 
new performance expectations and the specific performance measures for 
out-of-school youth literacy and numeracy gains, diploma attainment, 
and transition to postsecondary education.
    Governors must continue to provide strong leadership in advancing 
the vision for serving youth most in need. States should expand upon 
existing efforts by aligning resources to address barriers and 
challenges and increase opportunities to access postsecondary 
education. States are encouraged to expand their cross-agency 
partnerships to ensure the right set of agencies:
     Are represented in the development of a coordinated 
strategic plan;
     Build upon State-level collaborative efforts by conducting 
strategic planning sessions to better understand the range of issues 
that impact their ability to serve the neediest youth;
     Develop a comprehensive understanding of resources that 
are available in the State for serving the neediest youth;
     Conduct analyses that identify where gaps in services and 
resource coordination exist; and
     Develop new strategies for serving the neediest youth 
through jointly funded solicitations.
    States should also engage employers and civic leaders to identify 
demand-driven workforce solutions that address the unique challenges 
that out-of-school youth present. This includes building the capacity 
of the workforce system to provide services to these youth in a 
business solutions environment by identifying replicable models and 
innovative business solutions which connect secondary and postsecondary 
education, businesses and industry associations, and the workforce 
system.
    Recognizing the critical need to reconnect out-of-school youth with 
high quality educational opportunities, the Youth Vision emphasizes the 
development of academically rigorous alternative education pathways. 
WIA-funded Youth programs should serve as a catalyst for increasing 
both the quality and quantity of alternative learning environments and 
connecting out-of-school youth with secondary and postsecondary 
educational opportunities and high-growth employment opportunities. A 
system for serving out-of-school youth should include high quality 
educational programs that will meet the learning styles and needs of 
youth who need to be reconnected to educational opportunities.
F. Increased Economic and Workforce Information Data Integration and 
Analysis
    ETA reaffirms and strengthens its message about the centrality of 
workforce information for the workforce system leaders, and their 
economic development, business, and education partners. To be 
successful in its new role as a catalyst for leading talent 
development, the workforce investment system needs to actively 
collaborate with its partners to gather and analyze a wide array of 
current and real-time workforce and economic data in order to compile 
new knowledge about regional economies and support strategic planning, 
routinely track economic conditions, measure outcomes, and benchmark 
economic competitiveness in the global marketplace.
    Not only is workforce information critical to support decisions of 
the national State and local political leadership, economic developers, 
business and industry, investors, and educators and to drive the 
investments of the workforce investment system, it is also a 
fundamental tool for guidance counselors, students, job seekers, and 
workers. The provision of workforce information in an economic context, 
through easy-to-use electronic tools will empower customers in career 
planning and lifelong learning required by today's dynamic global 
economy.
    Fulfilling the mandate for leadership in workforce and economic 
information can only occur by embracing a wide array of data sources, 
greater integration of the data, more complex analysis, new strategies 
for making it available to strategic partners engaged in developing 
regional economic agendas and talent development strategies. 
Accomplishing this requires collaboration among the owners of the data 
and developing methods to leverage public and private

[[Page 73737]]

resources to produce the economic and workforce intelligence needed in 
a regional economy.
G. Effective Utilization of Faith-Based and Community Organizations
    In every community, including those facing high poverty rates and 
other serious challenges, there are faith-based and community 
organizations (FBCOs) working to improve their community. These 
organizations can be valuable partners for the workforce investment 
system. The Department of Labor (DOL) encourages States to build and 
strengthen both monetary and non-monetary partnerships with FBCOs.
    These partnerships can strengthen participant outcomes by expanding 
access to services that complement those provided by the One-Stop 
Career Center, including job readiness and life skills training and 
niche and specialized services. These partnerships can also create new 
``points of access'' to the One-Stop's electronic tools and job search 
assistance in many struggling communities.
    Two distinct activities are critical to utilizing fully the 
complementary strengths of FBCOs. First, States must ensure compliance 
with the DOL's equal treatment regulations 29 CFR part 2, subpart D. 
Compliance includes taking the administrative steps necessary to create 
a ``level playing field'' for all organizations willing to join with 
the government in service, including faith-based groups and other non-
traditional community partners.
    Second, States should actively cultivate FBCO partnerships to 
expand the reach of the workforce investment system and to improve 
outcomes for participants, including high-need individuals.
H. Increased Use of Flexibility Provisions in WIA
    To fuel regional economic competitiveness and create employment 
opportunities for workers, States should exercise their authority to 
design and implement innovative strategies. States should take 
advantage of flexibility provisions under current legislative 
authority, including waivers and work-flex, to tailor service delivery 
and program design to fit the unique characteristics of their workforce 
areas.
    The State planning process is a vehicle for identifying waiver 
opportunities and formally requesting waivers, including extensions of 
approved waivers, in concert with overall strategic planning. States 
are strongly encouraged to think about flexibility in broad terms and 
to utilize the flexibility provided by WIA to advance their strategic 
goals. States have received waivers in multiple program areas, during 
this and the previous five-year planning cycle, that have allowed them 
to implement a wide range of innovations to transform their workforce 
systems. States have received waivers that:
     Increase training opportunities by permitting the use of a 
portion of local area formula funds or funds reserved for rapid 
response activities to provide incumbent worker training.
     Decrease the amount that small and medium-sized businesses 
need to invest in order to take advantage of WIA's provision for 
customized and on-the-job training.
     Allow States to choose the most appropriate mix of youth 
services needed within each local and regional economy.
    DOL provides technical assistance on waivers and work-flex and 
provides information on the waiver strategies States have utilized to 
date.
I. An Integrated and Enhanced Performance Accountability System That 
Provides Improved System Results
    In an effective accountability system, a clear link exists between 
the State's program and service delivery design and the results 
achieved. Further, the performance information should be available and 
easily understood by all customers, stakeholders, and operators of the 
workforce investment system.
    While great strides have been made in our reporting system in 
recent years, the accountability outcomes for the workforce investment 
system have not yet reached all goals. In addition, various reporting 
requirements for the multiple programs operated by the workforce 
investment system impede the integrated service delivery system 
required for the demand-driven workforce systems that support regional 
economic competitiveness. To address this issue, DOL implemented a set 
of common performance measures for many of its workforce programs, 
including WIA title IB, the Wagner-Peyser Act, and the Trade Adjustment 
Assistance Act. The common measures allow DOL to clearly state the core 
purposes of all the programs operated by the workforce investment 
system--helping people find jobs; stay employed; and improve earnings.
    The common measures are the foundation of DOL's evolving 
performance accountability system. DOL continues to collect from States 
and grantees other information on program activities, participants, and 
outcomes necessary for program management, including data that support 
the existing WIA performance measures that are required to convey full 
and accurate information on the performance of workforce programs to 
policymakers and stakeholders.

Part III. Unified Planning Instructions

    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. State Vision and Priorities
    Describe the governor's vision for a statewide workforce investment 
system. Provide a summary articulating the governor's vision for 
utilizing the resources of the workforce investment system in support 
of the State's economic development that addresses the issues and 
questions below. States are encouraged to attach more detailed 
documents to expand upon any aspect of the summary response if 
available. (WIA Sec.  112(a) and (b)(4)(A-C).)
    1. What are the State's economic development goals for attracting, 
retaining and growing business and industry within the State? (Sec.  
112(a) and (b)(4)(A-C).)
    2. Given that a skilled workforce is a key to the economic success 
of every business, what is the governor's vision for maximizing and 
leveraging the broad array of Federal and State resources available for 
workforce investment flowing through the State's cabinet agencies and/
or education agencies in order to ensure a skilled workforce for the 
State's business and industry? (Sec.  112(a) and (b)(4)(A-C).)
    3. Given the continuously changing skill needs that business and 
industry have as a result of innovation and new technology, what is the 
governor's vision for ensuring a continuum of education and training 
opportunities that support a skilled workforce? (Sec.  112(a) and 
(b)(4)(A-C).)
    4. What is the governor's vision for bringing together the key 
players in workforce development including business and industry, 
economic development, education, and the workforce system to 
continuously identify the workforce challenges facing the State and to 
develop innovative strategies and solutions that effectively leverage 
resources to address those challenges? (Sec.  112(b)(10).)
    5. What is the governor's vision for ensuring that every youth has 
the opportunity to develop and achieve career goals through education 
and workforce training, including youth most in need, such as youth who 
are:

[[Page 73738]]

Out of school, homeless, in foster care or aging out of foster care, 
offenders, children of incarcerated parents, migrant and seasonal 
farmworker youth, have disabilities, or are other youth at risk? (Sec.  
112(a).)
    6. Given the labor shortage that will continue to increase over the 
next 25 years, describe the governor's vision for how it will ensure 
that older individuals receive workforce training that will prepare 
them to reenter the labor market and become a workforce solution for 
employers. (Sec.  112(b)(17)(A)(iv).)
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 the Unified Plan includes WIA title 
I and Wagner-Peyser Act and/or Veterans Programs:
    a. Identify how the State will use WIA title I funds 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. (Sec.  112(b)(10).)
    b. What strategies are in place to address the national strategic 
direction discussed in Part II of this guidance, the governor's 
priorities, and the workforce development issues identified through the 
analysis of the State's economy and labor market? (Sec.  112(a) and 
112(b)(4)(D).)
    c. Based on the State's economic and labor market analysis, what 
strategies has the State implemented or does the State plan to 
implement to identify and target industries and occupations within the 
State that are high growth, high demand, and vital to the State's 
economy? (Sec.  112(a) and 112(b)(4)(A).) The State may want to 
consider:
     Industries projected to add a substantial number of new 
jobs to the economy;
     Industries that have a significant impact on the overall 
economy;
     Industries that impact the growth of other industries;
     Industries that are being transformed by technology and 
innovation that require new skill sets for workers; or
     Industries that are new and emerging and are expected to 
grow.
    d. What strategies are in place to promote and develop ongoing and 
sustained strategic partnerships that include business and industry, 
economic development, the workforce system, and education partners (K-
12, community colleges, and others) for the purpose of continuously 
identifying workforce challenges and developing solutions to targeted 
industries' workforce challenges? (Sec.  112(b)(8).)
    e. What State strategies are in place to ensure that sufficient 
system resources are being spent to support training of individuals in 
high growth/high demand industries? (Sec.  112(b)(4)(A) and 
112(b)(17)(A)(i).)
    f. What workforce strategies does the State have to support the 
creation, sustainability, and growth of small businesses and support 
for the workforce needs of small businesses as part of the State's 
economic strategy? (Sec.  112(b)(4)(A) and 112(b)(17)(A)(i).)
    g. How are the funds reserved for statewide activities used to 
incent the entities that make up the State's workforce investment 
system at the State and local levels to achieve the governor's vision 
and address the national strategic direction identified in Part I of 
this guidance? (Sec.  112(a).)
    h. Describe the State's strategies to promote collaboration between 
the workforce system, education, human services, juvenile justice, and 
others to better serve youth that are most in need and have significant 
barriers to employment, and to successfully connect them to education 
and training opportunities that lead to successful employment. (Sec.  
112(b)(18)(A).)
    i. Describe the State's strategies to identify State laws, 
regulations, and policies that impede successful achievement of 
workforce development goals and strategies to change or modify them. 
(Sec.  112(b)(2).)
    j. Describe how the State will take advantage of the flexibility 
provisions in WIA for waivers and the option to obtain approval as a 
workflex State pursuant to Sec.  189(i) and Sec.  192.
    2. Describe the actions the State has taken to ensure an integrated 
One-Stop service delivery system statewide. (Sec. Sec.  112(b)(14) and 
121).)
    a. What State policies and procedures are in place to ensure the 
quality of service delivery through One-Stop Career Centers such as 
development of minimum guidelines for operating comprehensive One-Stop 
Career Centers, competencies for One-Stop Career Center staff or 
development of a certification process for One-Stop Career Centers? 
(Sec.  112(b)(14).)
    b. What policies or guidance has the State issued to support 
maximum integration of service delivery through the One-Stop delivery 
system for both business customers and individual customers? (Sec.  
112(b)(14).)
    c. What actions has the State taken to promote identifying One-Stop 
infrastructure costs and developing models or strategies for local use 
that support integration? (Sec.  112(b)(14).)
    d. How does the State use the funds reserved for statewide 
activities pursuant to Sec. Sec.  129(b)(2)(B) and 134(a)(2)(B)(v) to 
assist in the establishment and operation of One-Stop delivery systems? 
(Sec.  112(b)(14).)
    e. How does the State ensure the full spectrum of assets in the 
One-Stop delivery system support human capital solutions for businesses 
and individual customers broadly? (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).)
    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.
    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 the Unified Plan includes:
    a. 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 
comments by representatives of business and representatives of labor 
organizations, and input into development of the Plan, prior to 
submission of the Plan.
    b. AEFLA, 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).)
    c. TANF, the State shall make available to the public a summary of 
any Plan or Plan amendment submitted by the State under this section. 
With respect to the TANF plan design, the State should describe how 
local governments and private sector organizations have been consulted 
regarding the plan and design of welfare services in the State so that 
the services are provided in a manner appropriate to

[[Page 73739]]

local populations; and have had at least 45 days to submit comments on 
the plan and the design of such services. (Sec.  402(c).)
    d. CSBG, provide evidence that the public participation 
requirements were met, including documents which confirm 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 subsection 675(d)(2).
    3. Describe the types of activities and outcomes that were 
conducted to meet the consultation 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 
the Unified Plan includes:
    a. WIA title I, Wagner-Peyser Act, or Veterans Programs: (Sec.  
112(b)(1) and 112(b)(9))

 The governor of the State
 State Board
 Local chief elected officials
 Business community
 Labor organizations

    The following agencies, groups and individuals should also be 
consulted for WIA title I, Wagner-Peyser, or Veterans Programs: Local 
Boards and Youth Councils, educators, Vocational Rehabilitation 
Agencies, service providers, welfare agencies, faith and 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.

    b. AEFLA (Sec.  224(d)):

     Governor of the State (any comments made by the governor 
must be included in the Plan)
    c. Vocational Rehabilitation (Sec.  101(a)(21)(A)(ii)(III.):

 State Rehabilitation Council (include the response of the 
designated State unit to such input and recommendations)
    d. CSBG:

 Low-income individuals
 Community organizations
 Religious organizations
 Representatives of low-income individuals
    e. TANF:

 Local governments
 Private sector organizations
    States must consult local governments and private sector 
organizations regarding the plan and design of services in the State so 
that services are provided in a manner appropriate to local 
populations. Local governments and private sector organizations must 
have had at least 45 days to submit comments on the plan and the design 
of such services.
D. Needs Assessment
    1. 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 coordination 
and integration of 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.
    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.
    In answering this question, if the 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. (Sec.  112(b)(4)(A-D).)
    b. AEFLA, 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. Sec.  224(b)(10) and 225).)
    c. Food Stamp Employment and Training (E&T), 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 adults 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 program, and 
individuals with disabilities served through other components of the 
statewide workforce investment system. (Sec. Sec.  101(a)(15)(A)(i)(I-
III) and 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: Address the educational 
and training needs of public housing

[[Page 73740]]

residents and other families receiving housing assistance.
    Reminder: this question is a suggestion for incorporating HUD 
programs into the State's Unified Plan. However, following this 
guidance will not trigger funding for HUD programs.
    2. WIA Title I and Wagner-Peyser Act Economic and Labor Market 
Analysis (Sec.  112(b)(4)): As a foundation for this Plan and to inform 
the strategic investments and strategies that flow from this Plan, 
provide a detailed analysis of the State's economy, the labor pool, and 
the labor market context. Elements of the analysis should include the 
following:
    a. What is the current makeup of the State's economic base by 
industry?
    b. What industries and occupations are projected to grow and/or 
decline in the short term and over the next decade?
    c. In what industries and occupations is there a demand for skilled 
workers and available jobs, both today and projected over the next 
decade? Estimate projected demand.
    d. What jobs/occupations are most critical to the State's economy?
    e. What are the skill needs for the available, critical and 
projected jobs?
    f. What is the current and projected demographics of the available 
labor pool (including the incumbent workforce) both now and over the 
next decade?
    g. Is the State experiencing any ``in migration'' or ``out 
migration'' of workers that impact the labor pool?
    h. Based on an analysis of both the projected demand for skills and 
the available and projected labor pool, what skill gaps is the State 
experiencing today and what skill gaps are projected over the next 
decade?
    i. Based on an analysis of the economy and the labor market, what 
workforce development issues has the State identified?
    j. What workforce development issues has the State prioritized as 
being most critical to its economic health and growth?
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 this question, if the Unified Plan includes:
    a. WIA Title I and Wagner-Peyser Act and/or Veterans Programs:
    i. Organization of State agencies:
    a. Provide an organizational chart that delineates the relationship 
to the governor of the agencies involved in the workforce investment 
system, including education and economic development and the required 
and optional One-Stop partner programs managed by each agency.
    b. In a narrative describe how the agencies involved in the public 
workforce investment system interrelate on workforce and economic 
development issues and the respective lines of authority.
    ii. State Workforce Investment Board:
    a. Describe the organization and structure of the State Board. 
(Sec.  111.)
    b. Include a description of the process by which State and Local 
Boards were created.
    c. Identify the organizations or entities represented on the State 
Board. If you are using an alternative entity which does not contain 
all the members required under section 111(b)(1), describe how each of 
the entities required under this section will be involved in planning 
and implementing the State's workforce investment system as envisioned 
in WIA. How is the alternative entity achieving the State's WIA goals? 
(Sec. Sec.  111(a-c), 111(e), and 112(b)(1).)
    d. Describe the process the State used to identify the State Board 
members. How did you select Board members, including business 
representatives, who have optimum policy-making authority and who 
represent diverse regions of the State as required under WIA? Describe 
how the Board's membership enables you to achieve the vision described 
above. (20 CFR 661.200)
    e. Describe how the Board carries out its functions as required in 
section 111(d) and 20 CFR 661.205. Include functions the Board has 
assumed that are in addition to those required. Identify any functions 
required in section 111(d) the Board does not perform and explain why.
    f. How will the State Board ensure that the public (including 
people with disabilities) has access to Board meetings and information 
regarding State Board activities, including membership and meeting 
minutes? (20 CFR 661.207).)
    g. Identify the circumstances which constitute a conflict of 
interest for any State or Local Workforce Investment Board member or 
the entity that s/he represents, and any matter that would provide a 
financial benefit to that member or his or her immediate family. 
(Sec. Sec.  111(f), 112(b)(13), and 117(g).)
    h. What resources does the State provide the Board to carry out its 
functions, e.g., staff, funding, etc.?
    iii. What is the structure/process for the State agencies and State 
Board to collaborate and communicate with each other and with the local 
workforce investment system (Sec.  112(b)(8)(A).):
    a. Describe the steps the State will take to improve operational 
collaboration of the workforce investment activities and other related 
activities and programs outlined in section 112(b)(8)(A), at both the 
State and local level (e.g., joint activities, memoranda of 
understanding, planned mergers, coordinated policies, etc.). How will 
the State Board and agencies eliminate any existing State-level 
barriers to coordination? (Sec. Sec.  111(d)(2) and 112(b)(8)(A).)
    b. Describe the lines of communication established by the governor 
to ensure open and effective sharing of information among the State 
agencies responsible for implementing the vision for the workforce 
system and between the State agencies and the State Workforce 
Investment Board.
    c. Describe the lines of communication and mechanisms established 
by the governor to ensure timely and effective sharing of information 
between the State agencies/State Board and local workforce investment 
areas and Local Boards. Include types of regularly issued guidance and 
how Federal guidance is disseminated to Local Boards and One-Stop 
Career Centers. (Sec.  112(b)(1).)
    iv. Describe any cross-cutting organizations or bodies at the State 
level designed to guide and inform an integrated vision for serving 
youth in the State within the context of workforce investment, social 
services, juvenile justice, and education. Describe the membership of 
such bodies and the functions and responsibilities in establishing 
priorities and services for youth? How is the State promoting a 
collaborative cross-agency approach for both policy development and 
service delivery at the local level for youth? (Sec.  112(b)(18)(A).)
    v. 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 as 
outlined below. (Sec.  112(b)(2).)
    a. What State policies and systems are in place or planned to 
support common data collection and reporting processes, information 
management, integrated service delivery, and performance management? 
(Sec. Sec.  111(d)(2) and 112(b)(8)(B).)
    b. What State policies are in place that promote efficient use of 
administrative resources such as requiring more co-location and fewer 
affiliate sites in local One-Stop systems to eliminate duplicative 
facility and operational costs or to require a single administrative 
structure at the local level to support Local Boards and to be

[[Page 73741]]

the fiscal agent for WIA funds to avoid duplicative administrative 
costs that could otherwise be used for service delivery and training? 
Include any specific administrative cost controls, plans, reductions, 
and targets for reductions, if the State has established them. 
(Sec. Sec.  111(d)(2) and 112(b)(8)(A).)
    c. What State policies are in place to promote universal access and 
consistency of service statewide? (Sec.  112(b)(2).)
    d. What policies support a demand-driven approach to workforce 
development, as described in Part II ``Demand-Driven Workforce 
Investment System within a Regional Economic Context,'' such as 
training on the economy and labor market data for Local Board and One-
Stop Career Center staff? (Sec. Sec.  112(b)(4) and 112(b)(17)(A)(iv).)
    e. What policies are in place to ensure that the resources 
available through the Federal and/or State Registered Apprenticeship 
programs, the Job Corps and SCSEP are fully integrated with the State's 
One-Stop delivery system? (Sec. Sec.  112)(b)(17)(A)(iv) and 
(b)(18)(C).)
    vi. Local Area Designations--Identify the State's designated local 
workforce investment areas and the date of the most recent area 
designation, including whether the State is currently re-designating 
local areas. (Sec. Sec.  112(b)(5).) Include a description of the 
process used to designate such areas. Describe how the State considered 
the extent to which such local areas are consistent with labor market 
areas: geographic areas served by local and intermediate education 
agencies, post-secondary education institutions and area vocational 
schools; and all other criteria identified in section 116(a)(1) in 
establishing area boundaries, to assure coordinated planning. Describe 
the State Board's role, including all recommendations made on local 
designation requests pursuant to Sec.  116(a)(4). (Sec. Sec.  112(b)(5) 
and 116(a)(1).) Describe the appeals process used by the State to hear 
appeals of local area designations referred to in Sec.  116(a)(5) and 
112(b)(15).
    vii. Local Workforce Investment Boards--Identify the criteria the 
State has established to be used by the Chief Elected Official(s) in 
the local areas for the appointment of Local Board members based on the 
requirements of section 117. (Sec. Sec.  112(b)(6), 117(b).)
    viii. Identify the circumstances which constitute a conflict of 
interest for any State or Local Workforce Investment Board member or 
the entity that s/he represents, and any matter that would provide a 
financial benefit to that member or his or her immediate family. 
(Sec. Sec.  111(f), 112(b)(13), and 117(g).)
    ix. Identify the policies and procedures to be applied by local 
areas for determining eligibility of local level training providers, 
how performance information will be used to determine continuing 
eligibility and the agency responsible for carrying out these 
activities. Describe how the State solicited recommendations from Local 
Boards and training providers and interested members of the public, 
including representatives of business and labor organizations, in the 
development of these policies and procedures.
    x. Individual Training Accounts (ITAs):
    a. What policy direction has the State provided for ITAs?
    b. Describe innovative training strategies used by the State to 
fill skills gaps. Include in the discussion the State's effort to 
broaden the scope and reach of ITAs through partnerships with business, 
education, economic development, and industry associations and how 
business and industry involvement is used to drive this strategy.
    c. Discuss the State's plan for committing all or part of WIA title 
I funds to training opportunities in high-growth, high-demand, and 
economically vital occupations.
    d. Describe the State's policy for limiting ITAs (e.g., dollar 
amount or duration).
    e. Describe the State's current or planned use of WIA title I funds 
for the provision of training through Registered Apprenticeship.
    f. Identify State policies that permit the use of WIA title I 
financial assistance to employ or train participants in religious 
activities when the assistance is provided indirectly, such as through 
an ITA.
    xi. 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).)
    xii. Describe the competitive and non-competitive processes that 
will be used at the State level to award grants and contracts for 
activities under title I of WIA, including how potential bidders are 
being made aware of the availability of grants and contracts. (Sec.  
112(b)(16).)
    b. 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 section 101(a)(2)(A). 
(Sec.  101(a)(2)(A).)
    c. 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).)
F. Funding
    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 this question, if the Unified Plan includes:
    1. WIA Title I and Wagner-Peyser Act and/or Veterans Programs 
(Sec.  112(b)(12):
    a. If applicable, describe the methods and factors (including 
weights assigned to each factor) the State will use to distribute funds 
to local areas for the 30 percent discretionary formula Adult 
employment and training funds and Youth funds pursuant to sections 
128(b)(3)(B) and 133(b)(3)(B).
    b. Describe how the allocation methods and factors help ensure that 
funds are distributed equitably throughout the State and that there 
will be no significant shifts in funding levels to a local area on a 
year-to-year basis.
    c. Describe the State's allocation formula for dislocated worker 
funds under 133(b)(2)(B).
    d. Describe how the individuals and entities on the State Board 
were involved in the development of the methods and factors, and how 
the State consulted with Chief Elected Officials in local areas 
throughout the State in determining such distribution.
    e. Describe the procedures and criteria that are in place under 20 
CFR 663.600 for the governor and appropriate Local Boards to direct 
One-Stop operators to give priority of service to public assistance 
recipients and other low-income individuals for intensive and training 
services if funds allocated to a local area for adult employment and 
training activities are determined to be limited. (Sec. Sec.  
112(b)(17)(A)(iv) and 134(d)(4)(E).)
    f. Specify how the State will use the 10 percent Wagner-Peyser Act 
funds allotted to it under section 7(b) in

[[Page 73742]]

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).)
    2. Adult Education and Family Literacy:
    a. Describe how the eligible agency will fund local activities in 
accordance with the considerations described in section 231(e) and the 
other requirements of title II of WIA. (Sec.  224(b).)
    b. 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).)
    c. Describe how the eligible agency will use funds made available 
under section 222(a)(2) for State leadership activities. (Sec.  
223(a).)
    d. Describe the steps the eligible agency will take to ensure 
direct and equitable access, as required in section 231(c). (Sec.  
224(b)(12).)
    3. Food Stamp Employment and Training: 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.''
    4. 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.
    5. Vocational Rehabilitation:
    a. 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).)
    b. 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).)
    c. 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).)
    6. CSBG: Describe how the State intends to use discretionary funds 
made available from the remainder of the grant or allotment described 
in section 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
    For each of the programs in the Unified Plan, provide a general 
description of the activities the State will pursue using the relevant 
funding.
    In answering the above question, if the Unified Plan includes:
    1. WIA Title I and Wagner-Peyser Act and/or Veterans Programs:
    Describe the approaches the State will use to provide direction and 
support to Local Boards and the One-Stop Career Center delivery system 
on the strategic priorities to guide investments, structure business 
engagement, and inform service delivery approaches for all customers. 
(Sec.  112(b)(17)(A).)
    a. One-Stop Service Delivery Strategies: (Sec.  111(d)(2) and 
112(b)(2).)
    i. How will the services provided by each of the required and 
optional One-Stop partners be coordinated and made available through 
the One-Stop system? (Sec.  112(b)(8)(A).)
    ii. How are Youth formula programs funded under Sec.  128(b)(2)(A) 
integrated in the One-Stop system?
    iii. What minimum service delivery requirements does the State 
mandate in a comprehensive One-Stop Career Center or an affiliate site?
    iv. What tools and products has the State developed to support 
service delivery in all One-Stop Career Centers statewide?
    v. What models/templates/approaches does the State recommend and/or 
mandate for service delivery in the One-Stop Career Centers? For 
example, do all One-Stop Career Centers have a uniform method of 
organizing their service delivery to business customers? Is there a 
common individual assessment process utilized in every One-Stop Career 
Center? Are all One-Stop Career Centers required to have a resource 
center that is open to anyone?
    b. Workforce Information--A fundamental component of a demand-
driven workforce investment system is the integration and application 
of the best available State and local workforce information including, 
but not limited to, economic data, labor market information, Census 
data, private sources of workforce information produced by trade 
associations and others, educational data, job vacancy surveys, 
transactional data from job boards, and information obtained directly 
from businesses. (Sec. Sec.  111(d)(8), 112(b)(1), and 134(d)(2)(E).)
    i. Describe how the State will integrate workforce information into 
its planning and decision-making at the State and local level, 
including State and Local Boards, One-Stop operations, and case manager 
guidance.
    ii. Describe the approach the State will use to disseminate 
accurate and timely workforce information to businesses, job seekers, 
and employment counselors, in easy to use formats that are readily 
accessible within One-Stop Career Centers and at remote locations such 
as libraries, schools, worksites, and at home.
    iii. Describe how the activities funded through the Workforce 
Information grants are aligned with other workforce investment 
activities to ensure that the investments in core products and services 
support the State's overall strategic direction for workforce 
investment.
    iv. Describe how State workforce information products and tools are 
coordinated with the national electronic workforce information tools 
including America's Career Information Network and Career Voyages.
    c. Adults and Dislocated Workers
    i. Core Services. (Sec.  112(b)(17)(a)(i).)
    a. Describe State strategies and policies to ensure adults and 
dislocated workers have universal access to the minimum required core 
services as described in Sec.  134(d)(2).
    b. Describe how the State will ensure the three-tiered service 
delivery strategy for labor exchange services for job seekers and 
employers authorized by the Wagner-Peyser Act includes (1) self-
service, (2) facilitated self-help service, and (3) staff-assisted 
service, and is accessible and available to all customers at the local 
level.
    c. Describe how the State will integrate resources provided under 
the Wagner-Peyser Act and WIA title I for adults and dislocated workers 
as well as resources provided by required One-Stop partner programs, to 
deliver core services.
    ii. Intensive Services. Describe State strategies and policies to 
ensure adults and dislocated workers who meet the criteria in Sec.  
134(d)(3)(A) receive intensive services as defined.
    iii. Training Services. Describe the governor's vision for 
increasing training access and opportunities for individuals including 
the investment of WIA title I funds and the leveraging of other funds 
and resources.
    iv. Eligible Training Provider List. Describe the State's process 
for

[[Page 73743]]

providing broad customer access to the statewide list of eligible 
training providers and their performance information including at every 
One-Stop Career Center. (Sec.  112(b)(17)(A)(iii).)
    v. On-the-Job (OJT) and Customized Training (Sec.  112(b)(17)(A)(i) 
and 134(b).) Based on the outline below, describe the State's major 
directions, policies and requirements related to OJT and customized 
training.
    a. Describe the governor's vision for increasing training 
opportunities to individuals through the specific delivery vehicles of 
OJT and customized training.
    b. Describe how the State:
    1. Identifies OJT and customized training opportunities;
    2. Markets OJT and customized training as incentives to untapped 
employer pools including new business to the State and employer groups;
    3. Partners with high-growth, high-demand industries and 
economically vital industries to develop potential OJT and customized 
training strategies;
    4. Taps business partners to help drive the strategy through joint 
planning, competency and curriculum development; and determining 
appropriate lengths of training, and
    5. Leverages other resources through education, economic 
development and industry associations to support OJT and customized 
training ventures.
    vi. Veterans' Priority of Service. What policies and strategies 
does the State have in place to ensure that, pursuant to the Jobs for 
Veterans Act (Pub. L. 107-288) (38 U.S.C. 4215), that priority of 
service is provided to veterans and certain spouses who otherwise meet 
the eligibility requirements for all employment and training programs 
funded by the U.S. Department of Labor, in accordance with the 
provisions of Training and Employment Guidance Letter 5-03 (9/16/03)?
    vii. Rapid Response. Describe how the State provides Rapid Response 
services with the funds reserved under section 133(a)(2).
    a. Identify the entity responsible for providing Rapid Response 
services. Describe how Rapid Response activities involve Local Boards 
and Chief Elected Officials. If Rapid Response activities are shared 
between the State and local areas, describe the functions of each and 
how funds are allocated to the local areas.
    b. Describe the process involved in carrying out Rapid Response 
activities.
    1. What methods are involved in receiving notice of impending 
layoffs (include WARN Act notice as well as other sources)?
    2. What efforts does the Rapid Response team make to ensure that 
rapid response services are provided, whenever possible, prior to 
layoff date, onsite at the company, and on company time?
    3. What services are included in Rapid Response activities? Does 
the Rapid Response team provide workshops or other activities in 
addition to general informational services to affected workers? How do 
you determine what services will be provided for a particular layoff 
(including layoffs that may be trade-affected)?
    4. How does the State ensure a seamless transition between Rapid 
Response services and One-Stop activities for affected workers?
    5. Describe how Rapid Response functions as a business service. 
Include whether Rapid Response partners with economic development 
agencies to connect employees from companies undergoing layoffs to 
similar companies that are growing and need skilled workers. How does 
Rapid Response promote the full range of services available to help 
companies in all stages of the economic cycle, not just those available 
during layoffs? How does the State promote Rapid Response as a 
positive, proactive, business-friendly service, rather than only as a 
reactive service?
    6. What other partnerships does Rapid Response engage in to expand 
the range and quality of services available to companies and affected 
workers and to develop an effective early layoff warning network?
    7. What systems does the Rapid Response team use to track its 
activities? Does the State have a comprehensive, integrated Management 
Information System that includes Rapid Response, Trade Act programs, 
National Emergency Grants, and One-Stop activities?
    8. Are Rapid Response funds used for other activities not described 
above; e.g., the provision of additional assistance to local areas that 
experience increased workers or unemployed individuals due to 
dislocation events?
    d. Veterans Programs. For the grant period FY 2005-FY 2009, States 
submitted five year strategic plans to operate Disabled Veterans' 
Outreach Programs (DVOP) and Local Veterans' Employment Representative 
(LVER) programs under the Jobs for Veterans Act. These plans may be 
incorporated by reference as part of a state's Unified Plan. 
Modifications to these five year Jobs for Veterans Act plans will be 
managed in accordance with policy guidance from the Veterans' 
Employment and Training Service.
    e. Youth. ETA's strategic vision identifies youth most in need, 
such as youth who are: Out-of-school, at risk, in foster care or aging 
out of foster care, offenders, children of incarcerated parents, 
homeless, and migrant and seasonal farmworker youth as those most in 
need of service. State programs and services should take a 
comprehensive approach to serving these youth, including basic skills 
remediation; helping youth stay in or return to school, employment, or 
internships; and helping youth attain a high school diploma or GED, 
post-secondary vocational training, Registered Apprenticeship, or 
enrollment in community and four-year colleges. (Sec.  112(b)(18).)
    i. Describe the State's strategy for providing comprehensive, 
integrated services to eligible youth, including those most in need as 
described above. Include any State requirements and activities to 
assist youth who have special needs or barriers to employment, 
including those who are pregnant, parenting, or have disabilities. 
Include how the State will coordinate across State agencies responsible 
for workforce investment, foster care, education, human services, 
juvenile justice, and other relevant resources as part of the strategy. 
(Sec.  112(b)(18).)
    ii. Describe how coordination with Job Corps and other youth 
programs will occur. (Sec.  112(b)(18)(C).)
    iii. How does the State Plan to utilize the funds reserved for 
statewide activities to support the State's vision for serving youth? 
Examples of activities that would be appropriate investments of these 
funds include:
    a. Utilization of the funds to promote cross agency collaboration;
    b. Demonstration of cross-cutting models of service delivery;
    c. Development of new models of alternative education leading to 
employment; or
    d. Development of demand-driven models with business and industry 
working collaboratively with the workforce investment system and 
education partners to develop strategies for bringing these youth 
successfully into the workforce pipeline with the right skills.
    iv. Describe in general how the State will meet the Act's 
provisions regarding Youth program design. (Sec. Sec.  112(b)(18) and 
129(c).)
    f. Business Services.
    i. Describe how the needs of employers will be determined in the 
local areas and on a statewide basis.

[[Page 73744]]

    ii. Describe how integrated business services, including Wagner-
Peyser Act services, will be delivered to employers through the One-
Stop system.
    iii. How will the system streamline administration of Federal tax 
credit programs within the One-Stop system to maximize employer 
participation (20 CFR 652.3(b), Sec.  112(b)(17)(A)(i).)
    g. Innovative Service Delivery Strategies. Describe innovative 
service delivery strategies the State has or is planning to undertake 
to maximize resources, increase service levels, improve service 
quality, achieve better integration or meet other key State goals. 
Include in the description the initiative's general design, anticipated 
outcomes, partners involved and funds leveraged (e.g., title I formula, 
statewide reserve, employer contributions, education funds, non-WIA 
State funds). (Sec.  112(b)(17)(A).)
    h. Strategies for Faith-Based and Community Organizations
    i. Describe those activities to be undertaken to:
    a. Increase the opportunities for participation of faith-based and 
community organizations as committed and active partners in the One-
Stop delivery system; and
    b. Expand the access of faith-based and community organizations' 
clients and customers to the services offered by the One-Stops in the 
State.
    ii. Outline those action steps designed to strengthen State 
collaboration efforts with local workforce investment areas in 
conducting outreach campaigns to educate faith-based and community 
organizations about the attributes and objectives of the demand-driven 
workforce investment system.
    iii. Indicate how these resources can be strategically and 
effectively leveraged in the State's workforce investment areas to help 
meet the objectives of the Workforce Investment Act. (Sec.  
112(b)(17)(i).)
    2. Adult Education and Literacy Services, including workplace 
literacy services:
    a. Describe the State's family literacy services.
    b. Describe the State's English literacy programs.
    3. Food Stamp Employment and Training:
    a. Describe the components of the State's E&T program.
    b. Discuss the weekly/monthly hours of participation required of 
each program component.
    c. 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.
    4. TANF: Outline how the State intends to:
    a. 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).)
    b. 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).)
    c. 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).)
    d. 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).)
    e. 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.
    5. SCSEP: Provide a description of each project function or 
activity and how the State will implement the project. The following 
activities should be discussed separately: (title V of the Older 
Americans Act, as amended.)
    a. Describe how the services proposed support the State Senior 
Employment Services Coordination Plan.
    b. Describe how recruitment and selection of participants will be 
achieved under Training and Employment Guidance Letter 13-04 and the 
regulations at 20 CFR 641.500 and 641.525. Include a description of the 
new recruitment strategies that will be used to reach the target 
population.
    c. Describe how participant income will be recertified each year, 
including where eligibility records will be maintained.
    d. Describe the arrangements that will be made to offer physical 
examinations as a required fringe benefit.
    e. Describe the orientation procedures for participants and host 
agencies.
    f. Describe the procedures for assessing job aptitudes, job 
readiness, and job preferences of participants and their potential for 
transition into unsubsidized employment.
    g. Describe how the assessment will be used to develop the 
participant's Individual Employment Plan (IEP).
    h. Describe how the participant will be assigned to community 
service including: The types of community service activity that will be 
emphasized and how they were chosen; methods used to match participants 
with community service training; the extent to which participants will 
be placed in the administration of the project itself; the types of 
host agencies used and the procedures and criteria for selecting the 
assignments; the average number of hours in a participant's training 
week; the average wage paid during training; the fringe benefits 
offered (if any); procedures for ensuring adequate supervision.
    i. Describe the training that will be provided during community 
service training and any other types of training provided, including 
linkages with local One-Stop Career Centers, the Registered 
Apprenticeship Program, and the Disability Program Navigators.
    j. Describe the supportive services that will be offered to help 
participants obtain and retain an unsubsidized job.
    k. Describe arrangements that will be made to provide 
transportation assistance to participants.
    l. Describe the steps that will be taken to move or place 
participants into unsubsidized employment, including cooperative 
measures that will be taken with the One-Stop Delivery System, and that 
support the Administration's focus on high-growth industries. Any 
grantee that failed to meet at least 20 percent unsubsidized placements 
in program year 2004 must submit a corrective action plan.
    m. Describe any policy for maximum duration of enrollment or 
maximum time in community service.
    n. Describe procedures for terminating a participant, including 
Individual Employment Plan terminations and the grievance procedures 
that will address termination from the program.
    o. Describe the procedures for addressing and resolving participant 
complaints.
    p. Describe procedures for over enrolling participants, including 
how over enrollments will be balanced with Equitable Distribution 
requirements.
    q. Describe steps that will be taken to ensure compliance with the 
Maintenance of Effort provision of section 501(b)(1)(F).

[[Page 73745]]

    r. Describe payroll procedures and how workers' compensation 
premiums are paid.
    s. Describe collaboration efforts with the One-Stop System and with 
other partner programs under the Workforce Investment Act to maximize 
opportunities for SCSEP participants.
    t. Describe efforts to work with local economic development offices 
in rural locations.
    u. Describe current slot imbalances and proposed steps to correct 
inequities to achieve equitable distribution.
    v. List the cities and counties where the project and subprojects 
will be conducted. Include the number of SCSEP authorized positions and 
indicate where the positions changed from the prior year.
    w. Describe the organizational structure of the project and how 
subprojects will be managed, including assurances that adequate 
resources for administrative costs will be provided. Also describe the 
training that will be provided to local staff and describe how projects 
will be monitored for program and financial compliance, including audit 
plans.
    x. Describe how the State will manage its providers and how it will 
transfer participants if new providers are selected to serve in the 
State.
    y. Include a proposed level for each performance measure for each 
of the program years covered by the Plan. While the Plan is under 
review or through a subsequent modification, the State will negotiate 
with the Division of Adult Services, Older Worker Unit to set the 
appropriate levels for the next year. At a minimum, States must 
identify the performance indicators required under the Interim Final 
Rule for performance accountability published on June 29, 2007, and, 
for each indicator, the State must develop an objective and 
quantifiable performance goal for the next year. The performance 
measures include: Entered employment, employment retention, average 
earnings, service level, service to most in need, and community 
service.
    z. Describe any request for an increase in administrative costs 
consistent with section 502(c)(3) of the Older Americans Act.
    aa. Describe plans to provide a copy of this section to Area 
Agencies on Aging consistent with section 502(d) of the Older American 
Act.
    6. CSBG, explain how the activities funded will:
    a. 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.
    b. Secure and retain meaningful employment.
    c. 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.
    d. Make better use of available income.
    e. Obtain and maintain adequate housing and a suitable living 
environment.
    f. Obtain emergency assistance through loans, grants, or other 
means to meet immediate and urgent family and individual needs.
    g. 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.
    h. 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.
    i. 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
    Describe how the 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 the Unified Plan includes:
    1. WIA Title I and Wagner-Peyser Act and/or Veterans Programs
    Structure/Process for State agencies and State Board to collaborate 
and communicate with each other and with the local workforce investment 
system. (Sec.  112(b)(8)(A).)
    a. Describe the steps the State will take to improve operational 
collaboration of the workforce investment activities and other related 
activities and programs outlined in section 112(b)(8)(A), at both the 
State and local level (e.g., joint activities, memoranda of 
understanding, planned mergers, coordinated policies, etc.). How will 
the State Board and agencies eliminate any existing State-level 
barriers to coordination? (Sec. Sec.  111(d)(2) and 112(b)(8)(A).)
    b. Describe the lines of communication and mechanisms established 
by the governor to ensure timely and effective sharing of information 
between the State agencies/State Board and local workforce investment 
areas and Local Boards. Include types of regularly issued guidance and 
how Federal guidance is disseminated to Local Boards and One-Stop 
Career Centers. (Sec.  112(b)(1).)
    c. Describe any cross-cutting organizations or bodies at the State 
level designed to guide and inform an integrated vision for serving 
youth in the State within the context of workforce investment, social 
services, juvenile justice, and education. Describe the membership of 
such bodies and the functions and responsibilities in establishing 
priorities and services for youth. How is the State promoting a 
collaborative cross-agency approach for both policy development and 
service delivery at the local level for youth? (Sec.  112(b)(18)(A).)
    2. 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).)
    3. Vocational Rehabilitation:
    Describe the State agency's plans, policies, and procedures for 
coordination with the following agencies or programs:
    a. 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 of 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).)
    b. 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).)

[[Page 73746]]

    c. Private, nonprofit vocational rehabilitation service providers 
through the establishment of cooperative agreements. (Sec.  
101(a)(24)(B).)
    d. Other State agencies and appropriate entities to assist in the 
provision of supported employment services. (Sec.  625(b)(4).)
    e. 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).)
    4. Unemployment Insurance, summarize requests for any Federal 
partner assistance (primarily non-financial) that would help the SWA 
attain its goal.
    5. CSBG, describe how the State and eligible entities will 
coordinate programs to serve low-income residents with other 
organizations, including:
    a. Religious organizations.
    b. Charitable groups.
    c. Community organizations.
I. Special Populations and Other Groups
    1. Describe how the 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 the Unified Plan includes any of 
the programs listed below, please address the following specific 
relevant populations:
    a. WIA Title I and Wagner-Peyser Act and/or Veterans Programs 
(Sec.  112(b)(17)(A)(iv) and 112(b)(17)(B)):
    i. Describe the State's strategies to ensure that the full range of 
employment and training programs and services delivered through the 
State's One-Stop delivery system are accessible to and will meet the 
needs of dislocated workers, displaced homemakers, low-income 
individuals such as migrants and seasonal farmworkers, women, 
minorities, individuals training for non-traditional employment, 
veterans, public assistance recipients and individuals with multiple 
barriers to employment (including older individuals, limited English 
proficiency (LEP) individuals, and people with disabilities). (Sec.  
112(b)(17)(iv).)
    ii. Describe the reemployment services you will provide to 
unemployment insurance claimants and the Worker Profiling services 
provided to claimants identified as most likely to exhaust their 
unemployment insurance benefits in accordance with section 3(c)(3) of 
the Wagner-Peyser Act.
    iii. Describe how the State administers the unemployment insurance 
work test and how feedback requirements (under Sec.  7(a)(3)(F) of the 
Wagner-Peyser Act) for all UI claimants are met.
    iv. Describe the State's strategy for integrating and aligning 
services to dislocated workers provided through the WIA rapid response, 
WIA dislocated worker, and Trade Adjustment Assistance (TAA) programs. 
Does the State have a policy supporting co-enrollment for WIA and TAA? 
(Sec.  112(b)(17)(A)(ii and iv).)
    v. How is the State's workforce investment system working 
collaboratively with business and industry and the education community 
to develop strategies to overcome barriers to skill achievement and 
employment experienced by the populations listed above in section 
(b)(i)(a.) of this section and to ensure they are being identified as a 
critical pipeline of workers?
    vi. Describe how the State will ensure that the full array of One-
Stop services are available to individuals with disabilities and that 
the services are fully accessible.
    vii. Describe the role LVER/DVOP staff have in the One-Stop 
delivery system. How will the State ensure adherence to the legislative 
requirements for veterans' staff? How will services under this Plan 
take into consideration the agreement reached between the Secretary and 
the State regarding veterans' employment programs? (Sec. Sec.  
112(b)(7), 322, 38 U.S.C. Chapter 41 and 20 CFR 1001.120.)
    viii. Department of Labor regulations at 29 CFR 37 require all 
recipients of Federal financial assistance from DOL to provide 
meaningful access to LEP individuals. Federal financial assistance 
includes grants, training, equipment usage, donations of surplus 
property, and other assistance. The regulations also apply to sub-
recipients when Federal DOL funds are passed through from one recipient 
to a sub-recipient. Describe how the State will ensure access to 
services through the State's One-Stop delivery system by persons with 
limited English proficiency and how the State will meet the 
requirements of ETA Training and Employment Guidance Letter (TEGL) 26-
02 (May 29, 2003) which provides guidance on methods of complying with 
the Federal rule.
    ix. Describe the State's strategies to enhance and integrate 
service delivery through the One-Stop delivery system for migrant and 
seasonal farmworkers and agricultural employers. How will the State 
ensure that migrant and seasonal farmworkers have equal access to 
employment opportunities through the State's One-Stop delivery system? 
Include the number of migrant and seasonal farmworkers the State 
anticipates reaching annually through outreach to increase their 
ability to access core, intensive, and training services in the One-
Stop Career Center System.
    b. Adult Education and Family Literacy:
    i. Low income students (Sec.  224(b)(10)(A).)
    ii. Individuals with disabilities (Sec.  224(b)(10)(B).)
    iii. Single parents and displaced homemakers (Sec.  224(b)(10)(C).)
    iv. Individuals with multiple barriers to educational enhancement, 
including individuals with limited English proficiency (Sec.  
224(b)(10)(D).)
    v. Criminal offenders in correctional institutions and other 
institutionalized individuals (Sec.  225.)
    c. TAA and NAFTA-TAA, describe how rapid response and basic 
readjustment services authorized under other Federal laws will be 
provided to trade-impacted workers.
    d. Vocational Rehabilitation:
    i. Minorities with most significant disabilities. (Sec.  21(c).)
    e. TANF: indicate whether the State intends to:
    i. 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;
    ii. Provide assistance under the program to individuals who are not 
citizens of the United States, and if so, include an overview of such 
assistance (Sec.  402(a)(1)(B) (i) and (ii)); and
    iii. 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).)
    f. SCSEP (Sec.  3(a)(1).): Indicate how the State will meet the 
priority for serving individuals age 65 and older and individuals
    i. with a disability;
    ii. with limited English proficiency or low literacy skills;
    iii. who live in a rural area;
    iv. who are veterans;
    v. who have low employment prospects;

[[Page 73747]]

    vi. who have failed to find employment after utilizing services 
under WIA;
    vii. who are homeless or at risk for homelessness.
    g. CSBG: Please address the following specific relevant populations 
in answering question 1:
    i. Low-income families.
    ii. Families and individuals receiving assistance under part A of 
title IV of the Social Security Act (42 U.S.C. 601 et seq.).
    iii. Homeless families and individuals.
    iv. Migrant or seasonal farmworkers.
    v. Elderly low-income individuals and families.
    vi. Youth in low-income communities.
    h. HUD Employment and Training Programs: (Reminder: The following 
is a suggestion for incorporating HUD programs into the State's Unified 
Plan. However, following this guidance will not trigger funding for HUD 
programs):
    i. Public housing residents.
    ii. 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 the Plan includes 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
    How will the State develop personnel to achieve the performance 
indicators for the programs included in the Plan?
    In answering this question, if the Unified Plan includes:
    1. WIA Title I and Wagner-Peyser Act and/or Veterans Programs:
    a. Capacity of Local Boards--How will the State build the capacity 
of Local Boards to develop and manage high performing local workforce 
investment system? (Sec. Sec.  111(d)(2) and 112(b)(14).)
    b. Local Planning Process--Describe the State mandated requirements 
for local workforce areas' strategic planning. What assistance does the 
State provide to local areas to facilitate this process, (Sec.  
112(b)(2) and 20 CFR 661.350(a)(13)), including:
    i. What oversight of the local planning process is provided, 
including receipt and review of Plans and negotiation of performance 
agreements? and
    ii. How does the local plan approval process ensure that local 
plans are consistent with State performance goals and State strategic 
direction?
    c. Oversight/Monitoring Process--Describe the monitoring and 
oversight criteria and procedures the State utilizes to move the system 
toward the State's vision and achieve the goals identified above, such 
as the use of mystery shoppers, performance agreements. (Sec.  
112(b)(14).)
    2. 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 
section 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 
titles I and II, including, for example, the requirements to 
renegotiate performance levels at statutorily defined points. 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 the Unified Plan includes:
    a. WIA Title I and Wagner-Peyser Act and/or Veterans Programs:
    Improved performance and accountability for customer-focused 
results are central features of WIA. To improve, States need not only 
reporting systems in place to collect data and track outcomes based on 
service delivery, but also performance management and accountability 
systems to analyze the information and modify strategies to improve 
performance. (See Training and Employment Guidance Letter (TEGL) 17-05, 
Common Measures Policy for the Employment and Training Administration's 
(ETA) Performance Accountability System and Related Performance Issues, 
issued February 17, 2006.)
    In this section, describe how the State measures the success of its 
strategies in achieving its goals, and how the State uses these data to 
continuously improve the system.
    i. Describe the State's performance accountability system, 
including any State-system measures and the State's performance goals 
established with local areas. Identify the performance indicators and 
goals the State has established to track its progress toward meeting 
its strategic goals and implementing its vision for the workforce 
investment system. For each of the core indicators, explain how the 
State worked with Local Boards to determine the level of the 
performance goals. Include a discussion of how the levels compare with 
the State's previous outcomes as well as 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. Include a description of how the levels will help the State 
achieve continuous improvement over the life of the Plan. (Sec. Sec.  
112(b)(3) and 136(b)(3).)
    ii. Describe any targeted applicant groups, such as TANF 
recipients, Veterans, ex-offenders, and migrant and seasonal 
farmworkers, under WIA title I, the Wagner-Peyser Act or Title 38 
Chapters 41 and 42 (Veterans Employment and Training Programs) that the 
State tracks. (Sec. Sec.  111(d)(2), 112(b)(3) and 136(b)(2)(C).)
    iii. Identify any performance outcomes or measures in addition to 
those prescribed by WIA and what process is the State using to track 
and report them.
    iv. Describe the State's common data system and reporting processes 
in place to track progress. Describe what performance information will 
be collected from the various One-Stop partners (beyond that required 
by DOL), use of quarterly wage records, and how the statewide system 
will have access to the information needed to continuously improve. 
(Sec.  112(b)(8)(B).)
    v. Describe any actions the governor and State Board will take to 
ensure collaboration with key partners and continuous improvement of 
the statewide workforce investment system. (Sec. Sec.  111(d)(2) and 
112(b)(1).)
    vi. How do the State and Local Boards evaluate performance? What 
corrective actions (including sanctions and technical assistance) will 
the State take if performance falls short of expectations? How will the 
State and Local Boards use the review process to reinforce the 
strategic direction of the

[[Page 73748]]

system? (Sec. Sec.  111(d)(2), 112(b)(1), and 112(b)(3).)
    vii. Include a proposed level for each performance measure for each 
program year covered by the Plan. While the Plan is under review, the 
State will negotiate with the respective ETA Regional Administrator to 
set the appropriate levels for the applicable year. States must 
identify the performance indicators required under section 136, and, 
for each indicator, the State must develop an objective and 
quantifiable performance goal for each program year covered by the 
Plan. States are encouraged to address how the performance goals for 
local workforce investment areas and training providers will help them 
attain their statewide performance goals. (Sec. Sec.  112(b)(3) and 
136).)
    b. Adult Education and Family Literacy:
    i. Include a description of how the eligible agency will evaluate 
annually the effectiveness of the Adult Education and Family Literacy 
activities, such as a comprehensive performance accountability system, 
based on the performance measures in section 212.
    ii. Identify levels of performance for the core indicators of 
performance described in section 212(b)(2)(A) for the first three 
program years covered by the Plan (Sec.  212(b)(3)(A)(ii).), and any 
additional performance indicators selected by the eligible agency. 
(Sec.  212 (b)(2)(B).)
    iii. Describe how such performance indicators or 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).)
    c. 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. (Sec.  
402(a)(1)(A)(v).)
    d. SCSEP: Provisions on performance are set forth in section G.1. 
(g)(xxv) of these instructions.
    e. CSBG:
    i. Describe how the State and all eligible entities in the State 
will participate in the Results Oriented Management and Accountability 
System, a performance measure system pursuant to section 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/sub-
grantees accountable?
    In answering the above question, if the Unified Plan includes:
    a. WIA Title I and Wagner-Peyser Act and/or Veterans Programs, 
describe the State's common data system and reporting processes in 
place to track progress. Describe what data will be collected from the 
various One-Stop partners (beyond that required by DOL), use of 
quarterly wage records, and how the statewide system will have access 
to the information needed to continuously improve. (Sec.  
112(b)(8)(B).)
    b. 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 employment & training 
(E&T) reporting.
    2. What common data elements and reporting systems are in place to 
promote integration of Unified Plan activities?
M. Corrective Action
    Describe the corrective actions the State will take for each 
program, as applicable, if performance does not meet expectations.
    In answering the above question, if the Unified Plan includes:
    1. 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:
    a. An evaluation of the extent to which program goals were achieved 
and a description of the strategies that contributed to achieving the 
goals.
    b. To the extent the goals were not achieved, a description of the 
factors that impeded that achievement.
    c. 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).)
    2. Unemployment Insurance,
    a. Explain the reason(s) for the measurement areas in which the 
State's performance is deficient.
    b. Include a description of the actions/activities which will be 
undertaken to improve performance.
    c. If a Corrective Action 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.
    d. Describe plans for monitoring and assessing accomplishments of 
planned actions and for controlling quality after achieving performance 
goals.
N. Waiver and Work-Flex Requests
    Will the State be requesting waivers as a part of this Unified 
Plan?
    In answering this question, the following waiver provisions apply 
if the Unified Plan includes:
    1. WIA Title I and Wagner-Peyser Act and/or Veterans Programs: 
States may submit a Workforce Flexibility (Work-Flex) Plan under WIA 
section 192 and/or a General Statutory Waiver Plan under WIA section 
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.
    2. Vocational Rehabilitation: If a State requests a waiver of the 
statewide 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).

Part IV. Certifications and Assurances

    The following certifications and assurances apply to the extent 
that the programs and activities are included in the State Unified 
Plan.
A. 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

[[Page 73749]]

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. (WIA, Sec.  501(c)(3)(B).)
    If you submit the 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 responsibility of the designated agency to 
circulate the modifications among the other agencies that may be 
affected by the changes.
B. Non-Construction Programs
    By signing the Unified Plan signature page, you are certifying that 
the grantee has filed the Government-wide standard assurances for non-
construction programs (SF 424). States can print SF 424 from http://ocfo.ed.gov/grntinfo/appforms.htm.
C. EDGAR Certifications
    You must include the following certifications for each of the State 
agencies that administer one of these programs: 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.
    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]
D. Debarment, Drug-Free Work Place, and Lobbying Certification
    By signing the Unified Plan signature page, you are certifying that 
the Department of Education 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.
E. WIA Title I/Wagner-Peyser Act/Veterans Programs
    By signing the Unified Plan signature page, you are certifying 
that:
    1. 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).)
    2. 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).)
    3. 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).)
    4. The State assures that veterans will be afforded employment and 
training activities authorized in section 134 of the Workforce 
Investment Act, and the activities authorized in chapters 41 and 42 of 
Title 38 U.S. code. The State assures that it will comply with the 
veterans priority established in the Jobs for Veterans Act. (38 U.S.C. 
4215.)
    5. 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).)
    6. The State assures that it will comply with the confidentiality 
requirements of section 136(f)(3).
    7. 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).)
    8. The State assures that it will comply with the nondiscrimination 
provisions of section 188, including an assurance that a Methods of 
Administration has been developed and implemented. (Sec.  188.)
    9. The State assures that it will collect and maintain data 
necessary to show compliance with the nondiscrimination provisions of 
section 188. (Sec.  185.)
    10. 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:
    a. General Administrative Requirements:
    i. 29 CFR part 97--Uniform Administrative Requirements for State 
and Local Governments (as amended by the Act).
    ii. 29 CFR part 96 (as amended by OMB Circular A-133)--Single Audit 
Act.
    iii. OMB Circular A-87--Cost Principles (as amended by the Act).
    b. Assurances and Certifications:
    i. SF 424 B--Assurances for Non-construction Programs.
    ii. 29 CFR part 37--Nondiscrimination and Equal Opportunity 
Assurance (and regulation) 29 CFR Sec.  37.20.
    iii. CFR part 93--Certification Regarding Lobbying (and 
regulation).
    iv. 29 CFR part 98--Drug Free Workplace and Debarment and 
Suspension Certifications (and regulation).
    c. Special Clauses/Provisions: Other special assurances or 
provisions as may be required under Federal law or policy, including 
specific appropriations legislation, the Workforce Investment Act, or 
subsequent Executive or Congressional mandates.
    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 certifies that veterans' services provided with 
Wagner-Peyser Act funds will be in compliance with 38 U.S.C. Chapter 41 
and 20 CFR part 1001.
    13. The State certifies that Wagner-Peyser Act-funded labor 
exchange activities will be provided by merit-

[[Page 73750]]

based public employees in accordance with DOL regulations.
    14. The State assures that it will comply with the MSFW significant 
office requirements in accordance with 20 CFR part 653.
    15. The State certifies it has developed this Plan in consultation 
with local elected officials, Local Workforce Boards, the business 
community, labor organizations and other partners.
    16. As a condition to the award of financial assistance from the 
Department of Labor under title I of WIA, the grant applicant assures 
that it will comply fully with the nondiscrimination and equal 
opportunity provisions of the following laws:
    a. Section 188 of the Workforce Investment Act of 1998 (WIA), which 
prohibits discrimination against all individuals in the United States 
on the basis of race, color, religion, sex, national origin, age, 
disability, political affiliation or belief, and against beneficiaries 
on the basis of either citizenship/status as a lawfully admitted 
immigrant authorized to work in the United States or participation in 
any WIA title I financially-assisted program or activity;
    b. Title VI of the Civil Rights Act of 1964, as amended, which 
prohibits discrimination on the bases of race, color and national 
origin;
    c. Section 504 of the Rehabilitation Act of 1973, as amended, which 
prohibits discrimination against qualified individuals with 
disabilities;
    d. The Age Discrimination Act of 1975, as amended, which prohibits 
discrimination on the basis of age; and
    e. Title IX of the Education Amendments of 1972, as amended, which 
prohibits discrimination on the basis of sex in educational programs.
    f. The grant applicant also assures that it will comply with 29 CFR 
part 37 and all other regulations implementing the laws listed above. 
This assurance applies to the grant applicant's operation of the WIA 
title I financially-assisted program or activity, and to all agreements 
the grant applicant makes to carry out the WIA title I financially-
assisted program or activity. The grant applicant understands that the 
United States has the right to seek judicial enforcement of this 
assurance.
    17. The State assures that funds will be spent in accordance with 
the Workforce Investment Act and the Wagner-Peyser Act and their 
regulations, written Department of Labor Guidance implementing these 
laws, and all other applicable Federal and State laws.
F. 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).)
G. 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 system, the State may 
use another source.
H. 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 for the provision of vocational 
rehabilitation services, the designated State agency agrees to operate 
and administer the State Vocational Rehabilitation Services Program in 
accordance with provisions of this title I State Plan, the Act and all 
applicable regulations, 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.
    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, the Act, and all applicable regulations, 
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.
    3. The designated State agency or designated State unit is 
authorized to submit this State Plan under title I of the

[[Page 73751]]

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 section 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 
section 101(a)(15) of the Act; regularly consults with the Council 
regarding the development, implementation, and revision of State 
policies and procedures of general applicability pertaining to the 
provision of vocational rehabilitation services; includes in the State 
Plan and in any revision to the State Plan, a summary of input provided 
by the Council, including recommendations from the annual report of the 
Council described in section 105(c)(5) of the Act, the review and 
analysis of consumer satisfaction described in section 105(c)(4), and 
other reports prepared by the Council, and the response of the 
designated State unit to such input and recommendations, including 
explanations for rejecting any input or recommendation; and transmits 
to the Council all Plans, reports, and other information required under 
this title to be submitted to the Secretary; all policies, and 
information on all practices and procedures, of general applicability 
provided to or used by rehabilitation personnel in carrying out this 
title; and copies of due process hearing decisions issued under this 
title, which shall be transmitted in such a manner as to ensure that 
the identity of the participants in the hearings is kept confidential. 
(Sec.  101(a)(21).)
    12. The State provides for financial participation, or if the State 
so elects, by the State and local agencies, to provide the amount of 
the non-Federal share of the cost of carrying out title I, part B of 
the Act. (Sec.  101(a)(3).)
    13. The Plan is in effect in all political subdivisions of the 
State, except that in the case of any activity that, in the judgment of 
the Commissioner, is likely to assist in promoting the vocational 
rehabilitation of substantially larger numbers of individuals with 
disabilities or groups of individuals with disabilities, the 
Commissioner may waive compliance with the requirement that the Plan be 
in effect in all political subdivisions of the State to the extent and 
for such period as may be provided in accordance with regulations 
prescribed by the Commissioner, but only if the non-Federal share of 
the cost of the vocational rehabilitation services involved is met from 
funds made available by a local agency (including funds contributed to 
such agency by a private agency, organization, or individual); and in a 
case in which earmarked funds are used toward the non-Federal share and 
such funds are earmarked for particular geographic areas within the 
State, the earmarked

[[Page 73752]]

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 section 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 section 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 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.  
01(a)(9).)
    29. Prior to providing any vocational rehabilitation services, 
except:
     Assessment for determining eligibility and vocational 
rehabilitation needs by qualified personnel, including, if appropriate, 
an assessment by personnel skilled in rehabilitation technology;
     Counseling and guidance, including information and support 
services to assist an individual in exercising informed choice 
consistent with the provisions of section 102(d) of the Act;
     Referral and other services to secure needed services from 
other agencies through agreements developed under section 101(a)(11) of 
the Act, if such

[[Page 73753]]

services are not available under this State Plan;
     Job-related services, including job search and placement 
assistance, job retention services, follow-up services, and follow-
along services;
     Rehabilitation technology, including telecommunications, 
sensory, and other technological aids and devices; and
     Post-employment services consisting of the services listed 
under subparagraphs (a) through (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 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).)
    37. To the extent job 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).)
I. Unemployment Insurance (UI)
    By signing the Unified Plan/SQSP Signature Page, the State 
administrator is certifying that the State will comply with the 
following assurances, and that the State will institute plans or 
measures to comply with the following requirements. The assurances are 
identified and explained below:
    A. Assurance of Equal Opportunity (EO). As a condition to the award 
of financial assistance from ETA, the State must assure that the 
operation of its program, and all agreements or arrangements to carry 
out the programs for which assistance is awarded, will comply with the 
following laws:
     Title VI of the Civil Rights Act of 1964, as amended;
     Sections 504 and 508(f) of the Rehabilitation Act of 1973, 
as amended;
     Age Discrimination Act (ADA) of 1975, as amended,
     Section 188 of the Workforce Investment Act; and
     Title IX of the Education Amendments of 1972, as amended.
    Further, the State must assure that it will establish and adhere to 
Methods of Administration that give a reasonable guarantee of 
compliance with the above equal opportunity and nondiscrimination laws 
and regulations regarding the program services it provides and in its 
employment practices. These Methods of Administration must, at a 
minimum, include the following:
    1. Designation of an Equal Opportunity Officer. The state must 
designate a senior-level individual to coordinate its EO 
responsibilities. The

[[Page 73754]]

person designated must report to the top official on equal opportunity 
and nondiscrimination matters and be assigned sufficient staff and 
resources to ensure the capability to fulfill the agency's equal 
opportunity and nondiscrimination obligations.
    2. Equal Opportunity Notice and Communication. The state must take 
affirmative steps to prominently display the Equal Opportunity is the 
Law poster in all of its facilities and inform applicants for programs, 
participants, applicants for employment, and employees:
    a. that the state does not discriminate in admission, access, 
treatment, or employment; and
    b. of their right to file a complaint and how to do so.
    Other than the Equal Opportunity is the Law poster, methods of 
notification of this information may include placement of notices in 
offices and publication of notices in newsletters, newspapers, or 
magazines.
    3. Assurances. The state must develop and implement procedures for 
transferring nondiscrimination and EO obligations in sub-contracts and 
sub-agreements.
    4. Universal Access. The state must take appropriate steps to 
ensure that they are providing universal access to their programs. 
These steps should include reasonable efforts to include members of 
both sexes, various racial and ethnic groups, individuals with 
disabilities and individuals in differing age groups.
    5. Compliance with Section 504. The state must take the necessary 
measures to ensure access to its programs and facilities for persons 
with disabilities, as well as make certain communication with persons 
with disabilities is as effective as that with others.
    6. Data Collection and Recordkeeping. The state must collect such 
data and maintain such records in accordance with procedures prescribed 
by the Director of the U.S. Department of Labor's Civil Rights Center. 
These characteristics data (e.g., race, sex, national origin, age, 
disability) are utilized to determine whether the state and its local 
office are in compliance with Federal nondiscrimination and equal 
opportunity statutes and regulations.
    7. Monitoring. The state must establish a system for periodically 
monitoring the delivery of program services for compliance.
    8. Discrimination Complaint Procedures. The state must develop and 
follow procedures for handling complaints of discrimination covering 
all of the regulations applicable to it as a recipient of Federal 
financial assistance.
    9. Corrective Actions and Sanctions. The state must establish 
procedures for taking prompt corrective action regarding any 
noncompliance finding relating to the administration, management, and 
operation of its programs and activities.
    B. Assurance of Administrative Requirements and Allowable Cost 
Standards. The State must comply with administrative requirements and 
cost principles applicable to grants and cooperative agreements as 
specified in 20 CFR part 601 (Administrative Procedure), 29 CFR part 93 
(Lobbying Prohibitions), 29 CFR part 96 and part 99 (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), 2 CFR 225, (Cost Principles for State, 
Local, and Indian Tribal Governments), and with administrative 
requirements for debarment and suspension applicable to sub-grants or 
contracts as specified in 29 CFR part 98 (Debarment and Suspension). 
The state assures that state staff will attend mandatory meetings and 
training sessions, or return unused funds.
    States that have subawards to organizations covered by audit 
requirements of 29 CFR Part 99 (Audit of States, Local Governments, and 
Non-Profit Organizations) 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.
    The state also assures that it will comply with the following 
specific administrative requirements:
    1. Administrative Requirements.
    a. 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 shall 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.
    b. 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.
    c. 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, 
29 CFR 97.31 to the extent amortized with UI grants; and in TEGL 7-04, 
Issues Related to Real Property Used for ETA Program Purposes.
    d. 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, and UIPL 39-97 Changes 1 
and 2, and in 29 CFR 97.31, to the extent amortized with UI grants.
    e. Real Property, Equipment, and Supplies.
    (1) 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.
    (2) For computer 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.
    2. 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 states:
    a. Employee Fringe Benefits. As an exception to OMB Circular A-87 
(Revised) with respect to personnel benefit costs incurred on behalf of 
state 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 
state fringe benefit plans are allowable, provided that:
    (1) 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

[[Page 73755]]

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.
    (2) For all state fringe benefit plans other than retirement plans, 
if the Secretary granted a time extension after October 1, 1983, to the 
existing approval of such a plan, costs of the plan are allowable until 
such time as the plan is comparable in cost and benefits to fringe 
benefit plans available to other similarly employed state employees. At 
such time as the cost and benefits of an approved fringe benefit plan 
are equivalent to the cost and benefits of plans available to other 
similarly employed state employees, the time extension will cease and 
the cited requirements of OMB Circular A-87 (Revised) will apply.
    (3) For retirement 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.
    b. 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:
    (1) Any court appeal from an administrative or judicial decision 
favorable in whole or in part for the claimant;
    (2) Any court appeal by a claimant from a decision which reverses a 
prior decision in his/her favor;
    (3) Any court appeal by a claimant from a decision denying or 
reducing benefits awarded under a prior administrative or judicial 
decision;
    (4) Any court appeal as a result of which the claimant is awarded 
benefits;
    (5) Any court appeal by a claimant from a decision by a tribunal, 
board of review, or court which was not unanimous;
    (6) Any court appeal by a claimant where the court finds that a 
reasonable basis exists for the appeal.
    c. Reed Act. Payment from the state'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:
    (1) 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 buildings, but not land;
    (2) 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.
    d. 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 state administrator.
    e. Federal Cash Transaction Report. The state is exempt from 
submission of the SF 272, Federal Transactions Report, and the SF 272A, 
Continuation Sheet, per 29 CFR 97.41 (c) discretion.
    C. Assurance of Management Systems, Reporting, and Record Keeping.
    The state assures that:
    1. 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).
    2. 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.
    3. It will submit reports to ETA as required in instructions issued 
by ETA and in the format ETA prescribes.
    4. It will retain all financial and programmatic records, 
supporting documents, and other required records at least three years 
as specified in 29 CFR 97.42(b).
    5. 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.
    D. Assurance of Program Quality. The state 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 Core measures, Management 
Information measures, program reviews, and the administration of the UI 
BAM, BTQ, Data Validation (DV), and TPS program requirements.
    E. Assurance on Use of Unobligated Funds. The state assures that 
non-automation funds will be obligated by December 31 of the following 
fiscal year, and liquidated 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.
    Note. Travel costs for state agency personnel are considered 
obligated when the travel is actually performed.
    F. Assurance of Prohibition of Lobbying Costs (29 CFR Part 93). The 
state 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.
    G. Drug-Free Workplace (29 CFR Part 98). The state assures and 
certifies that it will comply with the requirements at this part. (29 
CFR part 93)
    H. Assurance of Disaster Recovery Capability. The state assures 
that it will maintain a Disaster Recovery plan.
    I. Assurance of Conformity and Compliance. The state 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.
    J. Assurance of Automated Information Systems Security. The state 
assures that its automated information systems have security 
protections commensurate with the risk and magnitude of harm.
    K. Assurance of Confidentiality. The state will keep confidential 
any business information, as defined at 29 CFR 90.33 and any successor 
provision(s), it obtains or receives in the course of administering the 
Trade Adjustment Assistance or Alternative Trade Adjustment Assistance 
programs under this Agreement. The state shall not disclose such 
information to any person, organization, or other entity except as 
authorized by applicable state and Federal laws.
J. Temporary Assistance for Needy Families (TANF)
    By signing the Unified Plan signature page, you are certifying 
that:

[[Page 73756]]

    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).)
    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:
    a. Screen and identify individuals receiving assistance under this 
part with a history of domestic violence while maintaining the 
confidentiality of such individuals;
    b. Refer such individuals to counseling and supportive services; 
and
    c. 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).)
K. Senior Community Service Employment Program (SCSEP)
    By signing this Unified Plan you also certify that the State agrees 
to meet the requirements of or submit the following documents as 
applicable, in addition to the general ETA requirements for receipt of 
Federal funds:
    1. General Administrative Requirements:
    a. 29 CFR part 97--Uniform Administrative Requirements for State 
and Local Governments (as amended by the Act).
    b. 29 CFR part 96 (as amended by OMB Circular A-133)--Single Audit 
Act.
    c. OMB Circular A-87--Cost Principles (as amended by the Act).
    2. Assurances and Certifications:
    a. SF 424--Application for Federal Assistance.
    b. SF 424A--Budget Information--Non-construction Programs.
    c. SF 424 B--Assurances for Non-construction Programs.
    d. Hatch Act Notices must be placed in all work locations.
    e. Privacy Statement must be provided to all participants.
    f. ETA-8705--Equitable Distribution Report.
L. Community Services Block Grant (CSBG)
    By signing the Unified Plan signature page, you are certifying 
that:
    1. Funds made available through the grant or allotment will be 
used--
    a. 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:
    b. 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;
    c. 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;
    d. To make better use of available income;
    e. To obtain and maintain adequate housing and a suitable living 
environment;
    f. 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:
    g. 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--
    a. 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
    b. 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. A description of the service delivery system, for services 
provided or coordinated with funds made available through grants made 
under section

[[Page 73757]]

675C(a), targeted to low-income individuals and families in communities 
within the State;
    b. A description of how linkages will be developed to fill 
identified gaps in the services, through the provision of information, 
referrals, case management, and follow-up consultations;
    c. A description of how funds made available through grants made 
under section 675C(a) will be coordinated with other public and private 
resources; and
    d. 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 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.
    13. The State and all eligible entities in the State will 
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.
    14. The information describing how the State will carry out the 
assurances is described in this subsection.
M. OMB Burden Statement
    These reporting instructions have been approved under the Paperwork 
Reduction Act of 1995. Persons are not required to respond to this 
collection of information unless it displays a valid OMB control 
number. Public reporting burden for this collection of information 
includes the time for reviewing instructions, searching existing data 
sources, gathering and maintaining the data needed, and completing and 
reviewing the collection of information. Submission is required by the 
Workforce Investment Act section 112(a). Send comments regarding this 
burden estimate or any other aspect of this collection of information, 
including suggestions for reducing this burden, to the U.S. Department 
of Labor, Office of Workforce Investment, Room S-4231, 200 Constitution 
Ave., NW., Washington, DC 20210.

Attachment A

ETA REGIONAL ADMINISTRATORS

November 2008

REGION 1--BOSTON

Grace Kilbane, Regional Administrator, U.S. Department of Labor/ETA, 
JFK Building, Room E-350, Boston, Massachusetts 02203, (617) 788-
0170, FAX: 617-788-0101, [email protected].

REGION 2--PHILADELPHIA

Lenita Jacobs-Simmons, Regional Administrator, U.S. Department of 
Labor/ETA, The Curtis Center, 170 South Independence Mall West, 
Suite 825 East, Philadelphia, Pennsylvania 19106, (215) 861-5205, 
FAX: 215-861-5260, [email protected].

REGION 3--ATLANTA

Helen N. Parker, Regional Administrator, U.S. Department of Labor/
ETA, Sam Nunn Atlanta Federal Center Rm. 6M12, 61 Forsyth Street, 
S.W., Atlanta, Georgia 30303, (404) 302-5300, FAX: (404) 302-5382,  
[email protected].

REGION 4--DALLAS

Joseph C. Juarez, Regional Administrator, U.S. Department of Labor/
ETA, A. Maceo Smith Fed. Bldg, Rm317, 525 Griffin Street, Dallas, 
Texas 75202, (972) 850-4600, FAX: (972) 850-4605, 
[email protected].

REGION 5--CHICAGO

Byron Zuidema, Regional Administrator, U.S. Department of Labor/ETA, 
John Kluczynski Building, 230 S. Dearborn Street, Rm. 638, Chicago, 
Illinois 60604, (312) 596-5400, FAX: (312)596-5401, 
[email protected].

REGION 6--SAN FRANCISCO

Richard Trigg, Regional Administrator, U.S. Department of Labor/ETA, 
George W. Bush Federal Building, 90 7th Street, Suite 17-300, San 
Francisco, California 94103, (415) 625-7900, FAX: 415-625-7903, 
[email protected].

Attachment B

1. 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 the State or Commonwealth is including in this Unified 
Plan.
    The State Unified Plan shall cover one or more of the following 
programs and activities:

---- a. Secondary vocational education programs (Perkins IV/
Secondary). Note that inclusion of this program requires prior 
approval of State legislature. (Carl D. Perkins Career and Technical 
Education Act of 2006 (20 U.S.C. 2301 et seq.)
----b. Postsecondary vocational education programs (Perkins IV/
Postsecondary). Note that for the purposes of what the State Unified 
Plan shall cover, Perkins IV/Secondary and Perkins IV/Postsecondary 
count as one program. (Carl D. Perkins

[[Page 73758]]

Career and Technical Education Act of 2006 (20 U.S.C. 2301 et seq.))
----c. 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.))
----d. 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:
----a. Food Stamp Employment and Training Program, or FSET (7 U.S.C. 
2015(d))
----b. Activities authorized under chapter 2 of title II of the 
Trade Act of 1974 (Trade Act Programs) (19 U.S.C. 2271 et seq.)
----c. Programs authorized under Part B of title I of the 
Rehabilitation Act of 1973 (29 U.S.C. 720 et seq.), other than 
section 112 of such Act (29 U.S.C. 732) (Vocational Rehabilitation)
----d. 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)
----e. 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)
----f. Programs authorized under part A of title IV of the Social 
Security Act (Temporary Assistance for Needy Families (TANF)).
----g. 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.)
----h. 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 the 
State Unified Plan if the State is the funds recipient, and approval 
of the Unified Plan will not trigger funding for these programs.
----i. Community Development Block Grants
----j. Public Housing
----k. Programs authorized under the Community Services Block Grant 
Act (Community Services Block Grant, or CSBG) (42 U.S.C. 9901 et 
seq.)

2. Contact Information

    Please complete one copy for EACH of the separate activities and 
programs included in the 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:--------------------------------------------------------

3. 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. I will provide 
subsequent changes in the designation of officials 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 Career and Technical 
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. I will provide subsequent changes in the 
designation of officials 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 
Career and Technical Education

Signature--------------------------------------------------------------

Date-------------------------------------------------------------------

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

    I certify that for the State/Commonwealth of ------------, for 
those activities and programs included in this Plan that are under 
my jurisdiction, the agencies and officials designated above under 
``Contact Information'' have been duly designated to represent the 
State/Commonwealth in the capacities indicated for the programs and 
activities indicated. I will provide subsequent changes in the 
designation of officials 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. I will provide subsequent changes in the 
designation of officials 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-------------------------------------------------------------------

Attachment C

[[Page 73759]]



      Optional Table for WIA State Performance Indicators and Goals
------------------------------------------------------------------------
                                        Previous year      Performance
  WIA requirement at section 136(b)      performance          goal
------------------------------------------------------------------------
Adults:
    Entered Employment Rate.........
    Employment Retention Rate.......
    Average Six-Months Earnings.....
    Certificate Rate................
Dislocated Workers:
    Entered Employment Rate.........
    Employment Retention Rate.......
    Average Six-Months Earnings.....
    Certificate Rate................
Youth Aged 19-21:
    Entered Employment Rate.........
    Employment Retention Rate.......
    Six-Months Earnings Change......
    Certificate Rate................
Youth 14-18:
    Skill Attainment Rate...........
    Diploma or Equivalent Attainment
     Rate...........................
    Retention Rate..................
Youth Common Measures: \1\
    Placement in Employment or
     Education......................
    Attainment of a Degree or
     Certificate....................
    Literacy and Numeracy Gains.....
Participant Customer Satisfaction...
Employer Customer Satisfaction......
Additional State-Established
 Measures ..........................
------------------------------------------------------------------------
\1\ Goals are negotiated for these measures by states reporting common
  performance measure outcomes only.


    Dated: November 24, 2008.
Gay M. Gilbert,
Administrator, Office of Workforce Investment, Employment and Training 
Administration.

 [FR Doc. E8-28406 Filed 12-2-08; 8:45 am]
BILLING CODE 4510-FN-P