20 C.F.R. PART 661—STATEWIDE AND LOCAL GOVERNANCE OF THE WORKFORCE INVESTMENT SYSTEM UNDER TITLE I OF THE WORKFORCE INVESTMENT ACT
Title 20 - Employees' Benefits
Authority: Sec. 506(c), Pub. L. 105–220; 20 U.S.C. 9276(c).
Source: 65 FR 49390, Aug. 11, 2000, unless otherwise noted.
Under title I of WIA, the workforce investment system provides the framework for delivery of workforce investment activities at the State and local levels to individuals who need those services, including job seekers, dislocated workers, youth, incumbent workers, new entrants to the workforce, veterans, persons with disabilities, and employers. Each State's Governor is required, in accordance with the requirements of this part, to establish a State Board; to designate local workforce investment areas; and to oversee the creation of Local Boards and One-Stop service delivery systems in the State. (a) Successful governance of the workforce investment system will be achieved through cooperation and coordination of Federal, State and local governments. (b) The Department of Labor sees as one of its primary roles providing leadership and guidance to support a system that meets the objectives of title I of WIA, and in which State and local partners have flexibility to design systems and deliver services in a manner designed to best achieve the goals of WIA based on their particular needs. The WIA regulations provide the framework in which State and local officials can exercise such flexibility within the confines of the statutory requirements. Wherever possible, system features such as design options and categories of services are broadly defined, and are subject to State and local interpretation. (c) The Secretary, in consultation with other Federal Agencies, as appropriate, may publish guidance on interpretations of statutory and regulatory provisions. State and local policies, interpretations, guidelines and definitions that are consistent with interpretations contained in such guidance will be considered to be consistent with the Act for purposes of §661.120. (a) Local areas should establish policies, interpretations, guidelines and definitions to implement provisions of title I of WIA to the extent that such policies, interpretations, guidelines and definitions are not inconsistent with the Act and the regulations issued under the Act, Federal statutes and regulations governing One-Stop partner programs, and with State policies. (b) States should establish policies, interpretations, guidelines and definitions to implement provisions of title I of WIA to the extent that such policies, interpretations, guidelines and definitions are not inconsistent with the Act and the regulations issued under the Act, as well as Federal statutes and regulations governing One-Stop partner programs. (a) The State Board is a board established by the Governor in accordance with the requirements of WIA section 111 and this section. (b) The membership of the State Board must meet the requirements of WIA section 111(b). The State Board must contain two or more members representing the categories described in WIA section 111(b)(1)(C)(iii)–(v), and special consideration must be given to chief executive officers of community colleges and community based organizations in the selection of members representing the entities identified in WIA section 111(b)(1)(C)(v). (c) The Governor may appoint any other representatives or agency officials, such as agency officials responsible for economic development, child support and juvenile justice programs in the State. (d) Members who represent organizations, agencies or other entities must be individuals with optimum policy making authority within the entities they represent. (e) A majority of members of the State Board must be representatives of business. Members who represent business must be individuals who are owners, chief executive officers, chief operating officers, or other individuals with optimum policy making or hiring authority, including members of Local Boards. (f) The Governor must appoint the business representatives from among individuals who are nominated by State business organizations and business trade associations. The Governor must appoint the labor representatives from among individuals who are nominated by State labor federations. (g) The Governor must select a chairperson of the State Board from the business representatives on the board. (h) The Governor may establish terms of appointment or other conditions governing appointment or membership on the State Board. (i) For the programs and activities carried out by One-Stop partners, as described in WIA section 121(b) and 20 CFR 662.200 and 662.210, the State Board must include: (1) The lead State agency officials with responsibility for such program, or (2) In any case in which no lead State agency official has responsibility for such a program service, a representative in the State with expertise relating to such program, service or activity. (3) If the director of the designated State unit, as defined in section 7(8)(B) of the Rehabilitation Act, does not represent the State Vocational Rehabilitation Services program (VR program) on the State Board, then the State must describe in its State plan how the member of the State Board representing the VR program will effectively represent the interests, needs, and priorities of the VR program and how the employment needs of individuals with disabilities in the State will be addressed. (j) An individual may be appointed as a representative of more than one entity if the individual meets all the criteria for representation, including the criteria described in paragraphs (d) through (f) of this section, for each entity. (WIA sec. 111) For purposes of selecting representatives to State and local workforce investment boards: (a) A representative with “optimum policy making authority” is an individual who can reasonably be expected to speak affirmatively on behalf of the entity he or she represents and to commit that entity to a chosen course of action. (b) A representative with “expertise relating to [a] program, service or activity” includes a person who is an official with a One-stop partner program and a person with documented expertise relating to the One-stop partner program. The State Board must assist the Governor in the: (a) Development of the State Plan; (b) Development and continuous improvement of a Statewide system of activities that are funded under subtitle B of title I of WIA, or carried out through the One-Stop delivery system, including— (1) Development of linkages in order to assure coordination and nonduplication among the programs and activities carried out by One-Stop partners, including, as necessary, addressing any impasse situations in the development of the local Memorandum of Understanding; and (2) Review of local plans; (c) Commenting at least once annually on the measures taken under section 113(b)(14) of the Carl D. Perkins Vocational and Technical Education Act; (d) Designation of local workforce investment areas, (e) Development of allocation formulas for the distribution of funds for adult employment and training activities and youth activities to local areas, as permitted under WIA sections 128(b)(3)(B) and 133(b)(3)(B); (f) Development and continuous improvement of comprehensive State performance measures, including State adjusted levels of performance, to assess the effectiveness of the workforce investment activities in the State, as required under WIA section 136(b); (g) Preparation of the annual report to the Secretary described in WIA section 136(d); (h) Development of the Statewide employment statistics system described in section 15(e) of the Wagner-Peyser Act; and (i) Development of an application for an incentive grant under WIA section 503. (WIA sec. 111(d).) The State Board must conduct its business in an open manner as required by WIA section 111(g), by making available to the public, on a regular basis through open meetings, information about the activities of the State Board. This includes information about the State Plan prior to submission of the plan; information about membership; the development of significant policies, interpretations, guidelines and definitions; and, on request, minutes of formal meetings of the State Board. (a) The State may use any State entity that meets the requirements of WIA section 111(e) to perform the functions of the State Board. (b) If the State uses an alternative entity, the State workforce investment plan must demonstrate that the alternative entity meets all three of the requirements of WIA section 111(e). Section 111(e) requires that such entity: (1) Was in existence on December 31, 1997; (2)(i) Was established under section 122 (relating to State Job Training Coordinating Councils) or title VII (relating to State Human Resource Investment Councils) of the Job Training Partnership Act (29 U.S.C.1501 et seq.), as in effect on December 31, 1997, or (ii) Is substantially similar to the State Board described in WIA section 111(a), (b), and (c) and §661.200; and (3) Includes, at a minimum, two or more representatives of business in the State and two or more representatives of labor organizations in the State. (c) If the alternative entity does not provide for representative membership of each of the categories of required State Board membership under WIA section 111(b), the State Plan must explain the manner in which the State will ensure an ongoing role for any unrepresented membership group in the workforce investment system. The State Board may maintain an ongoing role for an unrepresented membership group, including entities carrying out One-stop partner programs, by means such as regularly scheduled consultations with entities within the unrepresented membership groups, by providing an opportunity for input into the State Plan or other policy development by unrepresented membership groups, or by establishing an advisory committee of unrepresented membership groups. (d) If the membership structure of the alternative entity is significantly changed after December 31, 1997, the entity will no longer be eligible to perform the functions of the State Board. In such case, the Governor must establish a new State Board which meets all of the criteria of WIA section 111(b). (e) A significant change in the membership structure includes any significant change in the organization of the alternative entity or in the categories of entities represented on the alternative entity which requires a change to the alternative entity's charter or a similar document that defines the formal organization of the alternative entity, regardless of whether the required change to the document has or has not been made. A significant change in the membership structure is considered to have occurred when members are added to represent groups not previously represented on the entity. A significant change in the membership structure is not considered to have occurred when additional members are added to an existing membership category, when non-voting members are added, or when a member is added to fill a vacancy created in an existing membership category. (f) In 20 CFR parts 660 through 671, all references to the State Board also apply to an alternative entity used by a State. (a) The Governor of each State must submit a State Workforce Investment Plan (State Plan) in order to be eligible to receive funding under title I of WIA and the Wagner-Peyser Act. The State Plan must outline the State's five year strategy for the workforce investment system. (b) The State Plan must be submitted in accordance with planning guidelines issued by the Secretary of Labor. The planning guidelines set forth the information necessary to document the State's vision, goals, strategies, policies and measures for the workforce investment system (that were arrived at through the collaboration of the Governor, chief elected officials, business and other parties), as well as the information required to demonstrate compliance with WIA, and the information detailed by WIA and the WIA regulations, including 29 CFR part 37, and the Wagner-Peyser Act and the Wagner-Peyser regulations at 20 CFR part 652: (c) The State Plan must contain a description of the State's performance accountability system, and the State performance measures in accordance with the requirements of WIA section 136 and 20 CFR part 666. (d) The State must provide an opportunity for public comment on and input into the development of the State Plan prior to its submission. The opportunity for public comment must include an opportunity for comment by representatives of business, representatives of labor organizations, and chief elected official(s) and must be consistent with the requirement, at WIA section 111(g), that the State Board makes information regarding the State Plan and other State Board activities available to the public through regular open meetings. The State Plan must describe the State's process and timeline for ensuring a meaningful opportunity for public comment. (e) The Secretary reviews completed plans and must approve all plans within ninety days of their submission, unless the Secretary determines in writing that: (1) The plan is inconsistent with the provisions of title I of WIA or the WIA regulations, including 29 CFR part 37. For example, a finding of inconsistency would be made if the Secretary and the Governor have not reached agreement on the adjusted levels of performance under WIA section 136(b)(3)(A), or there is not an effective strategy in place to ensure development of a fully operational One-Stop delivery system in the State; or (2) The portion of the plan describing the detailed Wagner-Peyser plan does not satisfy the criteria for approval of such plans as provided in section 8(d) of the Wagner-Peyser Act or the Wagner-Peyser regulations at 20 CFR part 652. (3) A plan which is incomplete, or which does not contain sufficient information to determine whether it is consistent with the statutory or regulatory requirements of title I of WIA or of section 8(d) of the Wagner-Peyser Act, will be considered to be inconsistent with those requirements. (a) The State may submit a modification of its workforce investment plan at any time during the five-year life of the plan. (b) Modifications are required when: (1) Changes in Federal or State law or policy substantially change the assumptions upon which the plan is based. (2) 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. (3) The State has failed to meet performance goals, and must adjust service strategies. (c) Modifications are required in accordance with the Wagner-Peyser provisions at 20 CFR 652.212. (d) Modifications to the State Plan are subject to the same public review and comment requirements that apply to the development of the original State Plan. (e) State Plan modifications will be approved by the Secretary based on the approval standard applicable to the original State Plan under §661.220(e). (a) A State may submit to the Secretary a unified plan for any of the programs or activities described in WIA section 501(b)(2). This includes the following DOL programs and activities: (1) The five-year strategic WIA and Wagner-Peyser plan; (2) Trade adjustment assistance activities and NAFTA-TAA; (3) Veterans' programs under 38 U.S.C. Chapter 41; (4) Programs authorized under State unemployment compensation laws; (5) [Reserved] (6) Senior Community Service Employment Programs under title V of the Older Americans Act. (b) For purposes of paragraph (a) of this section: (1) A State may submit, as part of the unified plan, any plan, application form or any other similar document, that is required as a condition for the approval of Federal funding under the applicable program. These plans include such things as the WIA plan. They do not include jointly executed funding instruments, such as grant agreements, or Governor/Secretary Agreements or items such as corrective actions plans. (2) A state may submit a unified plan meeting the requirements of the Interagency guidance entitled State Unified Plan, Planning Guidance for State Unified Plans Under Section 501 of the Workforce Investment Act of 1998, in lieu of completing the individual State planning guidelines of the programs covered by the unified plan. (c) A State which submits a unified plan covering an activity or program described in subsection 501(b) of WIA that is approved under subsection 501(d) of the Act will not be required to submit any other plan or application in order to receive Federal funds to carry out the activity or program. (d) Each portion of a unified plan submitted under paragraph (a) of this section is subject to the particular requirements of Federal law authorizing the program. All grantees are still subject to such things as reporting and record-keeping requirements, corrective action plan requirements and other generally applicable requirements. (e) A unified plan must contain the information required by WIA section 501(c) and will be approved in accordance with the requirements of WIA section 501(d). [65 FR 49390, Aug. 11, 2000, as amended at 71 FR 35525, June 21, 2006] (a) The Governor must designate local workforce investment areas in order for the State to receive funding under title I of WIA. (b) The Governor must take into consideration the factors described in WIA section 116(a)(1)(B) in making designations of local areas. Such designation must be made in consultation with the State Board, and after consultation with chief elected officials. The Governor must also consider comments received through the public comment process described in the State workforce investment plan under §661.220(d). (c) The Governor may approve a request for designation as a workforce investment area from any unit of general local government, including a combination of such units, if the State Board determines that the area meets the requirements of WIA section 116(a)(1)(B) and recommends designation. (d) The Governor of any State that was a single service delivery area State under the Job Training Partnership Act as of July 1, 1998, and only those States, may designate the State as a single local workforce investment area State. (WIA sec.116.) The requirements for automatic designation relating to units of local government with a population of 500,000 or more and to rural concentrated employment programs are contained in WIA section 116(a)(2). The Governor has authority to determine the source of population data to use in making these designations. The requirements for temporary and subsequent designation relating to areas that had been designated as service delivery areas under JTPA are contained in WIA section 116(a)(3). (a) A unit of local government (or combination of units) or a rural concentrated employment program grant recipient (as described at WIA section 116(a)(2)(B), which has requested but has been denied its request for designation as a workforce investment area under §§661.260 through 661.270, may appeal the decision to the State Board, in accordance with appeal procedures established in the State Plan. (b) If a decision on the appeal is not rendered in a timely manner or if the appeal to the State Board does not result in designation, the entity may request review by the Secretary of Labor, under the procedures set forth at 20 CFR 667.640(a). (c) The Secretary may require that the area be designated as a workforce investment area, if the Secretary determines that: (1) The entity was not accorded procedural rights under the State appeals process; or (2) The area meets the automatic designation requirements at WIA section 116(a)(2) or the temporary and subsequent designation requirements at WIA section 116(a)(3), as appropriate. (a) The State may require Local Boards within a designated region (as defined at 20 CFR 660.300) to: (1) Participate in a regional planning process that results in regional performance measures for workforce investment activities under title I of WIA. Regions that meet or exceed the regional performance measures may receive regional incentive grants; (2) Share, where feasible, employment and other types of information that will assist in improving the performance of all local areas in the designated region on local performance measures; and (3) Coordinate the provision of WIA title I services, including supportive services such as transportation, across the boundaries of local areas within the designated region. (b) Two or more States may designate a labor market area, economic development region, or other appropriate contiguous subarea of the States as an interstate region. In such cases, the States may jointly exercise the State's functions described in this section. (c) Designation of intrastate regions and interstate regions and their corresponding performance measures must be described in the respective State Plan(s). For interstate regions, the roles of the respective Governors, State Boards and Local Boards must be described in the respective State Plans. (d) Unless agreed to by all affected chief elected officials and the Governor, these regional planning activities may not substitute for or replace the requirements applicable to each local area under other provisions of the WIA. (WIA sec. 116(a).) (a) The Local Workforce Investment Board (Local Board) is appointed by the chief elected official in each local area in accordance with State criteria established under WIA section 117(b), and is certified by the Governor every two years, in accordance with WIA section 117(c)(2). (b) In partnership with the chief elected official(s), the Local Board sets policy for the portion of the Statewide workforce investment system within the local area. (c) The Local Board and the chief elected official(s) may enter into an agreement that describes the respective roles and responsibilities of the parties. (d) The Local Board, in partnership with the chief elected official, develops the local workforce investment plan and performs the functions described in WIA section 117(d). (WIA sec.117 (d).) (e) If a local area includes more than one unit of general local government in accordance with WIA section 117 (c)(1)(B), the chief elected officials of such units may execute an agreement to describe their responsibilities for carrying out the roles and responsibilities. If, after a reasonable effort, the chief elected officials are unable to reach agreement, the Governor may appoint the members of the local board from individuals nominated or recommended as specified in WIA section 117(b). (f) If the State Plan indicates that the State will be treated as a local area under WIA title I, the Governor may designate the State Board to carry out any of the roles of the Local Board. (a) WIA section 117(d) specifies that the Local Board is responsible for: (1) Developing the five-year local workforce investment plan (Local Plan) and conducting oversight of the One-Stop system, youth activities and employment and training activities under title I of WIA, in partnership with the chief elected official; (2) Selecting One-Stop operators with the agreement of the chief elected official; (3) Selecting eligible youth service providers based on the recommendations of the youth council, and identifying eligible providers of adult and dislocated worker intensive services and training services, and maintaining a list of eligible providers with performance and cost information, as required in 20 CFR part 663, subpart E; (4) Developing a budget for the purpose of carrying out the duties of the Local Board, subject to the approval of the chief elected official; (5) Negotiating and reaching agreement on local performance measures with the chief elected official and the Governor; (6) Assisting the Governor in developing the Statewide employment statistics system under the Wagner-Peyser Act; (7) Coordinating workforce investment activities with economic development strategies and developing employer linkages; and (8) Promoting private sector involvement in the Statewide workforce investment system through effective connecting, brokering, and coaching activities through intermediaries such as the One-Stop operator in the local area or through other organizations, to assist employers in meeting hiring needs. (b) The Local Board, in cooperation with the chief elected official, appoints a youth council as a subgroup of the Local Board and coordinates workforce and youth plans and activities with the youth council, in accordance with WIA section 117(h) and §661.335. (c) Local Boards which are part of a State designated region for regional planning must carry out the regional planning responsibilities required by the State in accordance with WIA section 116(c) and §661.290. (WIA sec. 117.) The Local Board must conduct its business in an open manner as required by WIA section 117(e), by making available to the public, on a regular basis through open meetings, information about the activities of the Local Board. This includes information about the Local Plan prior to submission of the plan; information about membership; the development of significant policies, interpretations, guidelines and definitions; and, on request, minutes of formal meetings of the Local Board. (a) A Local Board may not directly provide core services, or intensive services, or be designated or certified as a One-Stop operator, unless agreed to by the chief elected official and the Governor. (b) A Local Board is prohibited from providing training services, unless the Governor grants a waiver in accordance with the provisions in WIA section 117(f)(1). The waiver shall apply for not more than one year. The waiver may be renewed for additional periods, but for not more than one additional year at a time. (c) The restrictions on the provision of core, intensive, and training services by the Local Board, and designation or certification as One-Stop operator, also apply to staff of the Local Board. (WIA sec. 117(f)(1) and (f)(2).) (a) The membership of Local Board must be selected in accordance with criteria established under WIA section 117(b)(1) and must meet the requirements of WIA section 117(b)(2). The Local Board must contain two or more members representing the categories described in WIA section 117(b)(2)(A)(ii)—(v), and special consideration must be given to the entities identified in WIA section 117(b)(2)(A)(ii), (iv) and (v) in the selection of members representing those categories. The Local Board must contain at least one member representing each One-Stop partner. (b) The membership of Local Boards may include individuals or representatives of other appropriate entities, including entities representing individuals with multiple barriers to employment and other special populations, as determined by the chief elected official. (c) Members who represent organizations, agencies or other entities must be individuals with optimum policy making authority within the entities they represent. (d) A majority of the members of the Local Board must be representatives of business in the local area. Members representing business must be individuals who are owners, chief executive officers, chief operating officers, or other individuals with optimum policymaking or hiring authority. Business representatives serving on Local Boards may also serve on the State Board. (e) Chief elected officials must appoint the business representatives from among individuals who are nominated by local business organizations and business trade associations. Chief elected officials must appoint the labor representatives from among individuals who are nominated by local labor federations (or, for a local area in which no employees are represented by such organizations, other representatives of employees). (WIA sec. 117(b).) (f) An individual may be appointed as a representative of more than one entity if the individual meets all the criteria for representation, including the criteria described in paragraphs (c) through (e) of this section, for each entity. When there is more than one grant recipient, administrative entity or organization responsible for administration of funds of a particular One-stop partner program in the local area, the chief elected official may appoint one or more members to represent all of those particular partner program entities. In making such appointments, the local elected official may solicit nominations from the partner program entities. The Local Board must elect a chairperson from among the business representatives on the board. (WIA sec. 117(b)(5).) The Local Board is appointed by the chief elected official(s) in the local area in accordance with State criteria established under WIA section 117(b), and is certified by the Governor every two years, in accordance with WIA section 117(c)(2). The criteria for certification must be described in the State Plan. (WIA sec. 117(c).) (a) The State may use any local entity that meets the requirements of WIA section 117(i) to perform the functions of the Local Board. WIA section 117(i) requires that such entity: (1) Was established to serve the local area (or the service delivery area that most closely corresponds to the local area); (2) Was in existence on December 31, 1997; (3)(i) Is a Private Industry Council established under section 102 of the Job Training Partnership Act, as in effect on December 31, 1997; or (ii) Is substantially similar to the Local Board described in WIA section 117 (a), (b), and (c) and (h)(1) and (2); and, (4) Includes, at a minimum, two or more representatives of business in the local area and two or more representatives of labor organizations nominated by local labor federations or employees in the local area. (b)(1) If the Governor certifies an alternative entity to perform the functions of the Local Board; the State workforce investment plan must demonstrate that the alternative entity meets the requirements of WIA section 117(i), set forth in paragraph (a) of this section. (2) If the alternative entity does not provide for representative membership of each of the categories of required Local Board membership under WIA section 117(b), including all of the One-stop partner programs, the local workforce investment plan must explain the manner in which the Local Board will ensure an ongoing role for the unrepresented membership group in the local workforce investment system. (3) The Local Board may provide an ongoing role for an unrepresented membership group, including entities carrying out One-stop partner programs, by means such as regularly scheduled consultations with entities within the unrepresented membership groups, by providing an opportunity for input into the local plan or other policy development by unrepresented membership groups, or by establishing an advisory committee of unrepresented membership groups. The Local Board must enter into good faith negotiations over the terms of the MOU with all entities carrying out One-stop partner programs, including programs not represented on the alternative entity. (c) If the membership structure of an alternative entity is significantly changed after December 31, 1997, the entity will no longer be eligible to perform the functions of the Local Board. In such case, the chief elected official(s) must establish a new Local Board which meets all of the criteria of WIA section 117(a), (b), and (c) and (h)(1) and (2). (d) A significant change in the membership structure includes any significant change in the organization of the alternative entity or in the categories of entities represented on the alternative entity which requires a change to the alternative entity's charter or a similar document that defines the formal organization of the alternative entity, regardless of whether the required change to the document has or has not been made. A significant change in the membership structure is considered to have occurred when members are added to represent groups not previously represented on the entity. A significant change in the membership structure is not considered to have occurred when additional members are added to an existing membership category, when non-voting members (including a Youth Council) are added, or when a member is added to fill a vacancy created in an existing membership category. (e) In 20 CFR parts 660 through 671, all references to the Local Board must be deemed to also apply to an alternative entity used by a local area. (WIA sec. 117(i).) (a) A youth council must be established as a subgroup within each Local Board. (b) The membership of each youth council must include: (1) Members of the Local Board, such as educators, which may include special education personnel, employers, and representatives of human service agencies, who have special interest or expertise in youth policy; (2) Members who represent service agencies, such as juvenile justice and local law enforcement agencies; (3) Members who represent local public housing authorities; (4) Parents of eligible youth seeking assistance under subtitle B of title I of WIA; (5) Individuals, including former participants, and members who represent organizations, that have experience relating to youth activities; and (6) Members who represent the Job Corps, if a Job Corps Center is located in the local area represented by the council. (c) Youth councils may include other individuals, who the chair of the Local Board, in cooperation with the chief elected official, determines to be appropriate. (d) Members of the youth council who are not members of the Local Board must be voting members of the youth council and nonvoting members of the Local Board. The youth council is responsible for: (a) Coordinating youth activities in a local area; (b) Developing portions of the local plan related to eligible youth, as determined by the chairperson of the Local Board; (c) Recommending eligible youth service providers in accordance with WIA section 123, subject to the approval of the Local Board; (d) Conducting oversight with respect to eligible providers of youth activities in the local area, subject to the approval of the Local Board; and (e) Carrying out other duties, as authorized by the chairperson of the Local Board, such as establishing linkages with educational agencies and other youth entities. (a) WIA section 118 requires that each Local Board, in partnership with the appropriate chief elected officials, develops and submits a comprehensive five-year plan to the Governor which identifies and describes certain policies, procedures and local activities that are carried out in the local area, and that is consistent with the State Plan. (b) The Local Board must provide an opportunity for public comment on and input into the development of the local workforce investment plan prior to its submission, and the opportunity for public comment on the local plan must: (1) Make copies of the proposed local plan available to the public (through such means as public hearings and local news media); (2) Include an opportunity for comment by members of the Local Board and members of the public, including representatives of business and labor organizations; (3) Provide at least a thirty (30) day period for comment, beginning on the date on which the proposed plan is made available, prior to its submission to the Governor; and (4) Be consistent with the requirement, in WIA section 117(e), that the Local Board make information about the plan available to the public on a regular basis through open meetings. (c) The Local Board must submit any comments that express disagreement with the plan to the Governor along with the plan. (a) The local workforce investment plan must meet the requirements of WIA section 118(b). The plan must include: (1) An identification of the workforce investment needs of businesses, job-seekers, and workers in the local area; (2) An identification of current and projected employment opportunities and job skills necessary to obtain such opportunities; (3) A description of the One-Stop delivery system to be established or designated in the local area, including: (i) How the Local Board will ensure continuous improvement of eligible providers of services and ensure that such providers meet the employment needs of local employers and participants; and (ii) A copy of the local Memorandum(s) of Understanding between the Local Board and each of the One-Stop partners concerning the operation of the local One-Stop delivery system; (4) A description of the local levels of performance negotiated with the Governor and the chief elected official(s) to be used by the Local Board for measuring the performance of the local fiscal agent (where appropriate), eligible providers, and the local One-Stop delivery system; (5) A description and assessment of the type and availability of adult and dislocated worker employment and training activities in the local area, including a description of the local ITA system and the procedures for ensuring that exceptions to the use of ITA's, if any, are justified under WIA section 134(d)(4)(G)(ii) and 20 CFR 663.430; (6) A description of how the Local Board will coordinate local activities with Statewide rapid response activities; (7) A description and assessment of the type and availability of youth activities in the local area, including an identification of successful providers of such activities; (8) A description of the process used by the Local Board to provide opportunity for public comment, including comment by representatives of business and labor organizations, and input into the development of the local plan, prior to the submission of the plan; (9) An identification of the fiscal agent, or entity responsible for the disbursal of grant funds; (10) A description of the competitive process to be used to award grants and contracts for activities carried out under this subtitle I of WIA, including the process to be used to procure training services that are made as exceptions to the Individual Training Account process (WIA section 134(d)(4)(G)), (11) A description of the criteria to be used by the Governor and the Local Board, under 20 CFR 663.600, to determine whether funds allocated to a local area for adult employment and training activities under WIA sections 133(b)(2)(A) or (3) are limited, and the process by which any priority will be applied by the One-Stop operator; (12) In cases where an alternate entity functions as the Local Board, the information required at §661.330(b), and (13) Such other information as the Governor may require. (b) The Governor must review completed plans and must approve all such plans within ninety days of their submission, unless the Governor determines in writing that: (1) There are deficiencies identified in local workforce investment activities carried out under this subtitle that have not been sufficiently addressed; or (2) The plan does not comply with title I of WIA and the WIA regulations, including the required consultations, the public comment provisions, and the nondiscrimination requirements of 29 CFR part 37. (c) In cases where the State is a single local area: (1) The Secretary performs the roles assigned to the Governor as they relate to local planning activities. (2) The Secretary issues planning guidance for such States. (3) The requirements found in WIA and in the WIA regulations for consultation with chief elected officials apply to the development of State and local plans and to the development and operation of the One-Stop delivery system. (d) During program year 2000, if a local plan does not contain all of the elements described in paragraph (a) of this section, the Governor may approve a local plan on a transitional basis. A transitional approval under this paragraph is considered to be a written determination that the local plan is not approved under paragraph (b) of this section. The Governor must establish procedures governing the modification of local plans. Situations in which modifications may be required by the Governor include significant changes in local economic conditions, changes in the financing available to support WIA title I and partner-provided WIA services, changes to the Local Board structure, or a need to revise strategies to meet performance goals. (a) The purpose of the general statutory and regulatory waiver authority is to provide flexibility to States and local areas and enhance their ability to improve the statewide workforce investment system. (b) A waiver may be requested to address impediments to the implementation of a strategic plan, including the continuous improvement strategy, consistent with the key reform principles of WIA. These key reform principles include: (1) Streamlining services and information to participants through a One-Stop delivery system; (2) Empowering individuals to obtain needed services and information to enhance their employment opportunities; (3) Ensuring universal access to core employment-related services; (4) Increasing accountability of States, localities and training providers for performance outcomes; (5) Establishing a stronger role for Local Boards and the private sector; (6) Providing increased State and local flexibility to implement innovative and comprehensive workforce investment systems; and (7) Improving youth programs through services which emphasize academic and occupational learning. (a) The Secretary may waive any of the statutory or regulatory requirements of subtitles B and E of title I of WIA, except for requirements relating to: (1) Wage and labor standards; (2) Non-displacement protections; (3) Worker rights; (4) Participation and protection of workers and participants; (5) Grievance procedures and judicial review; (6) Nondiscrimination; (7) Allocation of funds to local areas; (8) Eligibility of providers or participants; (9) The establishment and functions of local areas and local boards; (10) Procedures for review and approval of State and Local plans; and (b) The Secretary may waive any of the statutory or regulatory requirements of sections 8 through 10 of the Wagner-Peyser Act (29 U.S.C. 49g–49i) except for requirements relating to: (1) The provision of services to unemployment insurance claimants and veterans; and (2) Universal access to the basic labor exchange services without cost to job seekers. (c) The Secretary does not intend to waive any of the statutory or regulatory provisions essential to the key reform principles embodied in the Workforce Investment Act, described in §661.400, except in extremely unusual circumstances where the provision can be demonstrated as impeding reform. (WIA sec. 189(i).) (a) A Governor may request a general waiver in consultation with appropriate chief elected officials: (1) By submitting a waiver plan which may accompany the State's WIA 5-year strategic Plan; or (2) After a State's WIA Plan is approved, by directly submitting a waiver plan. (b) A Governor's waiver request may seek waivers for the entire State or for one or more local areas. (c) A Governor requesting a general waiver must submit to the Secretary a plan to improve the Statewide workforce investment system that: (1) Identifies the statutory or regulatory requirements for which a waiver is requested and the goals that the State or local area, as appropriate, intends to achieve as a result of the waiver and how those goals relate to the Strategic Plan goals; (2) Describes the actions that the State or local area, as appropriate, has undertaken to remove State or local statutory or regulatory barriers; (3) Describes the goals of the waiver and the expected programmatic outcomes if the request is granted; (4) Describes the individuals affected by the waiver; and (5) Describes the processes used to: (i) Monitor the progress in implementing the waiver; (ii) Provide notice to any Local Board affected by the waiver; (iii) Provide any Local Board affected by the waiver an opportunity to comment on the request; and (iv) Ensure meaningful public comment, including comment by business and organized labor, on the waiver. (d) The Secretary issues a decision on a waiver request within 90 days after the receipt of the original waiver request. (e) The Secretary will approve a waiver request if and only to the extent that: (1) The Secretary determines that the requirements for which a waiver is requested impede the ability of either the State or local area to implement the State's plan to improve the Statewide workforce investment system; (2) The Secretary determines that the waiver plan meets all of the requirements of WIA section 189(i)(4) and §§661.400 through 661.420; and (3) The State has executed a Memorandum of Understanding with the Secretary requiring the State to meet, or ensure that the local area meets, agreed-upon outcomes and to implement other appropriate measures to ensure accountability. (f) The Secretary will issue guidelines under which the States may request general waivers of WIA and Wagner-Peyser requirements. (WIA sec. 189(i).) (a) A State may submit to the Secretary, and the Secretary may approve, a workforce flexibility (work-flex) plan under which the State is authorized to waive, in accordance with the plan: (1) Any of the statutory or regulatory requirements under title I of WIA applicable to local areas, if the local area requests the waiver in a waiver application, except for: (i) Requirements relating to the basic purposes of title I of WIA; (ii) Wage and labor standards; (iii) Grievance procedures and judicial review; (iv) Nondiscrimination; (v) Eligibility of participants; (vi) Allocation of funds to local areas; (vii) Establishment and functions of local areas and local boards; (viii) Review and approval of local plans; (ix) Worker rights, participation, and protection; and (x) Any of the statutory provisions essential to the key reform principles embodied in the Workforce Investment Act, described in §661.400. (2) Any of the statutory or regulatory requirements applicable to the State under section 8 through 10 of the Wagner-Peyser Act (29 U.S.C. 49g–49i), except for requirements relating to: (i) The provision of services to unemployment insurance claimants and veterans; and (ii) Universal access to basic labor exchange services without cost to job seekers; and (3) Any of the statutory or regulatory requirements under the Older Americans Act of 1965 (OAA) (42 U.S.C. 3001 et seq.), applicable to State agencies on aging with respect to activities carried out using funds allotted under OAA section 506(a)(3) (42 U.S.C. 3056d(a)(3)), except for requirements relating to: (i) The basic purposes of OAA; (ii) Wage and labor standards; (iii) Eligibility of participants in the activities; and (iv) Standards for agreements. (b) A State's workforce flexibility plan may accompany the State's five-year Strategic Plan or may be submitted separately. If it is submitted separately, the workforce flexibility plan must identify related provisions in the State's five-year Strategic Plan. (c) A workforce flexibility plan submitted under paragraph (a) of this section must include descriptions of: (1) The process by which local areas in the State may submit and obtain State approval of applications for waivers; (2) The statutory and regulatory requirements of title I of WIA that are likely to be waived by the State under the workforce flexibility plan; (3) The statutory and regulatory requirements of sections 8 through 10 of the Wagner-Peyser Act that are proposed for waiver, if any; (4) The statutory and regulatory requirements of the Older Americans Act of 1965 that are proposed for waiver, if any; (5) The outcomes to be achieved by the waivers described in paragraphs (c)(1) to (4) of this section including, where appropriate, revisions to adjusted levels of performance included in the State or local plan under title I of WIA; and (6) The measures to be taken to ensure appropriate accountability for Federal funds in connection with the waivers. (d) The Secretary may approve a workforce flexibility plan for a period of up to five years. (e) Before submitting a workforce flexibility plan to the Secretary for approval, the State must provide adequate notice and a reasonable opportunity for comment on the proposed waiver requests under the workforce flexibility plan to all interested parties and to the general public. (f) The Secretary will issue guidelines under which States may request designation as a work-flex State. (a)(1) Under work-flex waiver authority a State must not waive the WIA, Wagner-Peyser or Older Americans Act requirements which are excepted from the work-flex waiver authority and described in §661.430(a). (2) Requests to waive statutory and regulatory requirements of title I of WIA applicable at the State level may not be granted under work-flex waiver authority granted to a State. Such requests may only be granted by the Secretary under the general waiver authority described at §§661.410 through 661.420. (b) As required in §661.430(c)(5), States must address the outcomes to result from work-flex waivers as part of its workforce flexibility plan. Once approved, a State's work-flex designation is conditioned on the State demonstrating it has met the agreed-upon outcomes contained in its workforce flexibility plan.
Title 20: Employees' Benefits
PART 661—STATEWIDE AND LOCAL GOVERNANCE OF THE WORKFORCE INVESTMENT SYSTEM UNDER TITLE I OF THE WORKFORCE INVESTMENT ACT
Section Contents
§ 661.100 What is the workforce investment system?
§ 661.110 What is the role of the Department of Labor as the Federal governmental partner in the governance of the workforce investment system?
§ 661.120 What are the roles of the local and State governmental partner in the governance of the workforce investment system?
§ 661.200 What is the State Workforce Investment Board?
§ 661.203 What is meant by the terms “optimum policy making authority” and “expertise relating to [a] program, service or activity”?
§ 661.205 What is the role of the State Board?
§ 661.207 How does the State Board meet its requirement to conduct business in an open manner under the “sunshine provision” of WIA section 111(g)?
§ 661.210 Under what circumstances may the Governor select an alternative entity in place of the State Workforce Investment Board?
§ 661.220 What are the requirements for the submission of the State Workforce Investment Plan?
§ 661.230 What are the requirements for modification of the State Workforce Investment Plan?
§ 661.240 How do the unified planning requirements apply to the five-year strategic WIA and Wagner-Peyser plan and to other Department of Labor plans?
§ 661.250 What are the requirements for designation of local workforce investment areas?
§ 661.260 What are the requirements for automatic designation of workforce investment areas relating to units of local government with a population of 500,000 or more?
§ 661.270 What are the requirements for temporary and subsequent designation of workforce investment areas relating to areas that had been designated as service delivery areas under JTPA?
§ 661.280 What right does an entity have to appeal the Governor's decision rejecting a request for designation as a workforce investment area?
§ 661.290 Under what circumstances may States require Local Boards to take part in regional planning activities?
§ 661.300 What is the Local Workforce Investment Board?
§ 661.305 What is the role of the Local Workforce Investment Board?
§ 661.307 How does the Local Board meet its requirement to conduct business in an open manner under the “sunshine provision” of WIA section 117(e)?
§ 661.310 Under what limited conditions may a Local Board directly be a provider of core services, intensive services, or training services, or act as a One-Stop Operator?
§ 661.315 Who are the required members of the Local Workforce Investment Boards?
§ 661.317 Who may be selected to represent a particular One-Stop partner program on the Local Board when there is more than one partner program entity in the local area?
§ 661.320 Who must chair a Local Board?
§ 661.325 What criteria will be used to establish the membership of the Local Board?
§ 661.330 Under what circumstances may the State use an alternative entity as the Local Workforce Investment Board?
§ 661.335 What is a youth council, and what is its relationship to the Local Board?
§ 661.340 What are the responsibilities of the youth council?
§ 661.345 What are the requirements for the submission of the local workforce investment plan?
§ 661.350 What are the contents of the local workforce investment plan?
§ 661.355 When must a local plan be modified?
§ 661.400 What is the purpose of the General Statutory and Regulatory Waiver Authority provided at section 189(i)(4) of the Workforce Investment Act?
§ 661.410 What provisions of WIA and the Wagner-Peyser Act may be waived, and what provisions may not be waived?
§ 661.420 Under what conditions may a Governor request, and the Secretary approve, a general waiver of statutory or regulatory requirements under WIA section 189(i)(4)?
§ 661.430 Under what conditions may the Governor submit a Workforce Flexibility Plan?
§ 661.440 What limitations apply to the State's Workforce Flexibility Plan authority under WIA?
Subpart A—General Governance Provisions
top
§ 661.100 What is the workforce investment system?
top
§ 661.110 What is the role of the Department of Labor as the Federal governmental partner in the governance of the workforce investment system?
top
§ 661.120 What are the roles of the local and State governmental partner in the governance of the workforce investment system?
top
Subpart B—State Governance Provisions
top
§ 661.200 What is the State Workforce Investment Board?
top
§ 661.203 What is meant by the terms “optimum policy making authority” and “expertise relating to [a] program, service or activity”?
top
§ 661.205 What is the role of the State Board?
top
§ 661.207 How does the State Board meet its requirement to conduct business in an open manner under the “sunshine provision” of WIA section 111(g)?
top
§ 661.210 Under what circumstances may the Governor select an alternative entity in place of the State Workforce Investment Board?
top
§ 661.220 What are the requirements for the submission of the State Workforce Investment Plan?
top
§ 661.230 What are the requirements for modification of the State Workforce Investment Plan?
top
§ 661.240 How do the unified planning requirements apply to the five-year strategic WIA and Wagner-Peyser plan and to other Department of Labor plans?
top
§ 661.250 What are the requirements for designation of local workforce investment areas?
top
§ 661.260 What are the requirements for automatic designation of workforce investment areas relating to units of local government with a population of 500,000 or more?
top
§ 661.270 What are the requirements for temporary and subsequent designation of workforce investment areas relating to areas that had been designated as service delivery areas under JTPA?
top
§ 661.280 What right does an entity have to appeal the Governor's decision rejecting a request for designation as a workforce investment area?
top
§ 661.290 Under what circumstances may States require Local Boards to take part in regional planning activities?
top
Subpart C—Local Governance Provisions
top
§ 661.300 What is the Local Workforce Investment Board?
top
§ 661.305 What is the role of the Local Workforce Investment Board?
top
§ 661.307 How does the Local Board meet its requirement to conduct business in an open manner under the “sunshine provision” of WIA section 117(e)?
top
§ 661.310 Under what limited conditions may a Local Board directly be a provider of core services, intensive services, or training services, or act as a One-Stop Operator?
top
§ 661.315 Who are the required members of the Local Workforce Investment Boards?
top
§ 661.317 Who may be selected to represent a particular One-Stop partner program on the Local Board when there is more than one partner program entity in the local area?
top
§ 661.320 Who must chair a Local Board?
top
§ 661.325 What criteria will be used to establish the membership of the Local Board?
top
§ 661.330 Under what circumstances may the State use an alternative entity as the Local Workforce Investment Board?
top
§ 661.335 What is a youth council, and what is its relationship to the Local Board?
top
§ 661.340 What are the responsibilities of the youth council?
top
§ 661.345 What are the requirements for the submission of the local workforce investment plan?
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§ 661.350 What are the contents of the local workforce investment plan?
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§ 661.355 When must a local plan be modified?
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Subpart D—Waivers and Work-Flex Waivers
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§ 661.400 What is the purpose of the General Statutory and Regulatory Waiver Authority provided at section 189(i)(4) of the Workforce Investment Act?
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§ 661.410 What provisions of WIA and the Wagner-Peyser Act may be waived, and what provisions may not be waived?
top
§ 661.420 Under what conditions may a Governor request, and the Secretary approve, a general waiver of statutory or regulatory requirements under WIA section 189(i)(4)?
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§ 661.430 Under what conditions may the Governor submit a Workforce Flexibility Plan?
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§ 661.440 What limitations apply to the State's Workforce Flexibility Plan authority under WIA?
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