Laws & Guidance VOCATIONAL EDUCATION
Responsibilities and Opportunities Created by Title I of the Workforce Investment Act of 199

Program Memorandum - OVAE/DVTE - 99-11

Date: May 24, 1999
To: State Directors of Vocational-Technical Education
State Directors of Community, Technical and Junior Colleges
State Tech-Prep Coordinators
From: Patricia W. McNeil
Subject: Responsibilities and Opportunities Created by Title I of the Workforce Investment Act of 1998

The foundation of the comprehensive reforms made by Title I of the Workforce Investment Act of 1998 (WIA) (Public Law 105-220) is the creation of a One-Stop service delivery system that will make it easier for individuals in every community to access the education, training, and information resources they need to pursue lifelong learning and advance their careers. Programs assisted under section 132 of the Carl D. Perkins Vocational and Technical Education Act of 1998 (Perkins III) are important components of this new, customer-friendly service delivery system.

The One-Stop provisions of WIA offer vocational and adult education and other One-Stop partner programs exciting opportunities both to expand access to their programs and to improve the variety of services they provide. By working together, One-Stop partners will be able to achieve collectively goals that each partner could not accomplish by working independently.

On April 15, 1999, the U.S. Department of Labor issued Interim Final Regulations for Title I of WIA (64 Federal Register 72, pp. 18662 - 18764, April 15, 1999). These regulations may be viewed on the Department of Labor's WIA website at http://www.doleta.gov/usworkforce/ or on the Government Printing Office website at http://www.access.gpo.gov/.

While these regulations clarify many of the issues related to the design and implementation of the One-Stop delivery system and the participation of One-Stop partners in the system's governance and operation, these provisions interact with, and are affected by, the provisions of the authorizing statutes of One-Stop partner programs. Section 121(b)(1)(A)(i) of WIA, for example, requires One-Stop partners to make available through the One-Stop system core services "that are applicable to such program or activities" and section 121(b)(1)(A)(ii) requires that the participation of mandatory partners in the One-Stop system be "consistent with...the requirements of the Federal law in which the program or activities are authorized."

The purpose of this non-regulatory guidance is to provide additional information concerning the application of Title I of WIA to eligible agencies and recipients of funds under section 132 of Perkins III. This information is intended to facilitate your early and effective participation in the implementation of the One-Stop service delivery system within your State. Our goal is to define more clearly for you the legal parameters for State and local decision-making, rather than dictate any particular implementation approach or system design. You and the other One-Stop partners have considerable flexibility to determine how to fulfill the One-Stop requirements of Title I of WIA in a manner which best addresses State and local needs, priorities, and circumstances. This flexibility is key to the success of the implementation of the One-Stop delivery system, as well as Perkins III. There is no single, best way to implement the customer-friendly, seamless delivery system envisioned in WIA. The most effective One-Stop delivery systems will spring from State and local creativity, innovation, and commitment.

The Department wishes to emphasize that the responsibilities established by Title I of WIA are not secondary or subsidiary to the responsibilities and requirements established by Perkins III. The requirements of both Title I of WIA and Perkins III must be satisfied. Eligible agencies and recipients of funds under Perkins III section 132 must design their programs and plan for the use of funds in a manner that will enable them to satisfy both sets of requirements.

What entity serves as the One-Stop partner for the Perkins III program in each local area?

Section 121(b)(1) of WIA, 20 CFR §662.200 and 20 CFR §662.220 identify mandatory One-Stop partner programs that have certain responsibilities with respect to the One-Stop delivery system in each local workforce investment area designated under section 116 of WIA. Entities that carry out "postsecondary vocational education activities" under Perkins III are among the mandatory One-Stop partners.

Recipients of funds under section 132 of Perkins III are the sole entities to which these provisions refer. Thus, each recipient of funds under Perkins III section 132 is a mandatory One-Stop partner and must fulfill the responsibilities set out in Title I of WIA and the implementing regulations. If the recipient of Perkins III section 132 funds is a consortium, the consortium as a whole, and not each individual member, is the mandatory One-Stop partner.

What are the responsibilities of Perkins III section 132 grantees with respect to participation in the One-Stop system?

Recipients of funds under section 132 of Perkins III must:

  • Be represented on the Local Workforce Investment Board (Local Board).
  • Enter into a memorandum of understanding (MOU) with the Local Workforce Investment Board relating to the operation of the One-Stop system, including a description of services, how the cost of the identified services and operating costs of the system will be funded, and methods for referral.
  • Make available the core services that are applicable to Perkins III through the One-Stop delivery system, either in lieu of or in addition to making these services available at the site of the particular program.
  • Use a portion of funds provided under Perkins III section 132 (or provide services with such funds) to create and maintain the One-Stop delivery system and to provide applicable core services through the One-Stop delivery system.

The participation of Perkins III section 132 grantees in the One-Stop delivery system (including the expenditure of section 132 funds related to that participation) must be consistent with the provisions of Perkins III. (secs. 121(b)(1)(A)(ii) & 134(d)(1)(b) of WIA).

Are Perkins III section 132 grantees represented on the Local Workforce Investment Board?

The workforce investment system established by Title I of WIA is governed at the local level by the chief elected official in the local area in partnership with a Local Workforce Investment Board (Local Board). Membership requirements for the Local Board are set out in section 117(b)(2) of WIA and 20 CFR §661.315.

At least one member of the Local Board must be a representative of a Perkins III section 132 grantee in the local area (20 CFR §661.315(a)). All members of the Local Board must be "individuals with optimum policy making authority within the organizations, agencies, or entities they represent" (sec. 117(b)(3) of WIA). Perkins III section 132 grantees have the flexibility to determine the individual who is most appropriate to fulfill these responsibilities.

In the event that there are multiple Perkins III section 132 grantees within the local area and the opportunity to serve on the Local Board is not made available to all of these grantees, the Department encourages grantees to agree jointly on a single grantee who will be responsible for representing their collective interests in the work of the Local Board.

Are Perkins III section 132 grantees represented on "alternative entities" used in local areas in lieu of the Local Workforce Investment Boards established under Title I of WIA?

Section 117(i) of WIA sets out some limited circumstances in which a Governor may choose to use an alternative entity in the local area to carry out the responsibilities of the Local Board, such as a Private Industry Council. 20 CFR §661.330(c) further provides that:

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 sec. 117(a), (b), and (c) and (h)(1) and (2). A significant change in the membership structure does not mean the filling of a vacancy on the alternative entity, but does include any change in the organization of the alternative entity or in the categories of entities represented on the alternative entity that requires a change to the alternative entity's charter or a similar document that defines the formal organization of the alternative entity.

If an alternative entity is used to perform the functions of a Local Board, the State and local workforce investment plans must "explain the manner in which the Local Board will ensure an ongoing role for" any category of member that is excluded from membership on the alternative entity (20 CFR §661.330(b)(2)). This requirement would include a role in the local workforce investment system for Perkins III section 132 grantees or other One-Stop partner programs that are not represented on the alternative entity.

In the preamble to the regulations, the Department of Labor emphasizes that groups that have been omitted from membership on the Local Board must "have periodic regular meaningful opportunities for input into decisions made by the Local Board." (64 Federal Register 72, p. 18868). The Department of Education expects that Perkins III section 132 grantees will be consulted and involved in all decisions by alternative boards that pertain to postsecondary vocational and technical education and the coordination of Perkins III with other One-Stop partner programs.

Can all Perkins III section 132 grantees within a local area be excluded from membership on a Local Workforce Investment Board because they are also eligible providers of training services under Title I of WIA or have been designated or certified as a One-Stop operator?

No. Section 117(b)(2)(A)(vi) of WIA and 20 CFR §661.315(a) require that the Local Board include at least one member representing each One-Stop partner. The statute and the regulations include provisions that address conflict-of-interest concerns that may arise if a Perkins III section 132 grantee is also an eligible provider of training services under WIA Title I or has been designated or certified as a One-Stop operator.

Does the responsibility to make "applicable" core services available through the One-Stop system require Perkins III section 132 grantees to provide any new or additional services that they otherwise would not have provided using Perkins III funds?

No. Title I of WIA does not impose an obligation on Perkins III section 132 grantees to provide services that are not authorized by Perkins III or that they would not otherwise have provided using Perkins III funds.

Section 134(d)(2) of WIA delineates a set of core services that must be provided through the One-Stop delivery system to all adults and dislocated workers by each local area that receives assistance under Chapter 5 of WIA. Section 121(b)(1)(A)(i) of WIA further requires mandatory One-Stop partners, including Perkins III section 132 grantees, to "make available" any of these core services that are "applicable" to their program through the One-Stop delivery system. "Applicable" core services are services that "are authorized and provided under the partner's program" (20 CFR §662.240(a)).

Section 121(b)(1)(A)(i) of WIA does not require Perkins III section 132 grantees to provide any new or additional services that they would not have otherwise provided using grants they receive under section 132. Instead, it requires that, if a grantee uses Perkins III funds to provide a service that is one of the core services identified in section 134(d)(2) of WIA, that service must be made available through the One-Stop delivery system. The purpose of section 121(b)(1)(A)(i) is to ensure that core services provided by One-Stop partners are delivered in a coherent, coordinated manner that facilitates easy access and eliminates unnecessary duplication.

What core services are "applicable" to Perkins III and must be made available by Perkins III section 132 grantees through the One-Stop delivery system?

Unlike other mandatory One-Stop partner programs, Perkins III is not exclusively focused on providing direct services to individuals. Section 135 of Perkins III requires eligible recipients to use funds provided under the Act "to improve vocational and technical education programs" (section 135(a)) and sets out a list of activities, programs, and services that are authorized uses of funds, including professional development, technology, the development of new curricula, and support for programs for members of special populations. Perkins III gives local recipients of funds under sections 131 and 132 considerable flexibility to determine which of these authorized uses of funds best meet their particular program improvement needs.

The extent to which core services identified in WIA section 134(d)(2) are "applicable" to Perkins III and must therefore be provided through the One-Stop delivery system depends to a great extent upon how section 132 grantees elect to use Perkins III funds.

Generally, the following WIA Title I core services are applicable to Perkins III and must be made available through the One-Stop system:

  • the provision of information concerning the performance and cost of programs assisted under section 132 of Perkins III (sec. 134(d)(2)(F) of WIA; 20 CFR §662.240(b)(6)(iv));

  • the initial assessment of skill levels, aptitudes, abilities, and supportive service needs (sec. 134(d)(2)(C) of WIA; 20 CFR 662.240(b)(3)) of individuals prior to their enrollment in a vocational and technical education program, if, and to the extent that, a Perkins III section 132 grantee uses Perkins III funds for this purpose, as part of a program for members of special populations or a program that prepares individuals for nontraditional training and employment;

  • the provision of information to individuals prior to their enrollment in a vocational and technical education program relating to the availability of supportive services, including child care and transportation, available in the local area, and referral to such services, as appropriate (sec. 134(d)(2)(H) of WIA; 20 CFR §662.240(b)(80)), if, and to the extent that, a Perkins III section 132 grantee uses Perkins III funds for this purpose, as part of a program for members of special populations or a program that prepares individuals for nontraditional training and employment;

What performance and cost information must Perkins III section 132 grantees make available through the One-Stop delivery system?

Regardless of how they choose to use Perkins III funds, all Perkins III section 132 grantees must provide information through the One-Stop delivery system regarding the "performance" of programs assisted under Perkins III section 132 and the cost to individuals of enrolling in these programs (sec. 134(d)(2)(F) of WIA).

The performance and cost information that should be provided regarding programs assisted under Perkins III section 132 may be determined at the State or local level. To minimize burden on Perkins III section 132 grantees, performance information could consist of the same information the grantee reports to the eligible agency concerning the program's success in meeting the State adjusted levels of performance for the core indicators of performance described in section 113(b)(2)(A) of Perkins III, as well as any additional performance indicators established by the State under section 113(b)(2)(B) of Perkins III. Grantees may wish to provide additional information that they believe would be useful to potential students in evaluating the quality of the program. Cost information could consist of the cost of attendance as defined by section 472 of the Higher Education Act. Perkins III section 132 grantees should work with the Local Board to determine the most appropriate format and means for making this information available through the One-Stop delivery system.

Section 121(D)(ii) of Perkins III requires the eligible agency to provide a "listing of all school dropout, postsecondary, and adult programs" assisted under Title I of Perkins III to the State Workforce Investment Board. To facilitate coordination and reduce burden on Perkins III section 132 grantees, the State eligible agency may choose to provide performance and cost information concerning Perkins III section 132 grantees as part of this listing.

It is important to note that if a Perkins III section 132 grantee wishes to become an eligible provider of training services under WIA Title I, it may be required to provide additional information regarding program performance and cost (20 CFR § 663.515, §663.540).

What are the responsibilities of Perkins III section 132 grantees with respect to making available initial assessments of skill levels, aptitudes, abilities, and supportive service needs through the One-Stop delivery system?

Under some circumstances, Perkins III section 132 grantees may choose to use Perkins III funds to provide preliminary intake and related services to individuals prior to their enrollment as a student, as part of a "program for special populations " (sec. 135(c)(4) of Perkins III) or as part of "nontraditional training and employment activities" (sec. 135(c)(14) of Perkins III). As part of these intake services, the program may use Perkins III funds to administer interest inventories or carry out other types of assessments of prospective students for the purposes of identifying an appropriate course of study. If and to the extent that a section 132 grantee uses Perkins III funds for this purpose, the grantee must make these services available through the One-Stop delivery system.

The Perkins III section 132 grantee has the flexibility to determine, in consultation with the Local Board and other One-Stop partners, the nature and extent of the assessment, as well as the particular instrument or strategy, that is made available through the One-Stop delivery system. WIA and its implementing regulations articulate a "no wrong door" approach to the delivery of education and workforce development services (64 Federal Register 72, p. 18669). Generally, the type of assessment that is made available at the comprehensive One-Stop center should be comparable to the type of assessment that is used by a Perkins III section 132 grantee during initial intake when an individual presents him or herself at the program site prior to his or her enrollment in vocational and technical education program. Grantees should consult with other One-Stop partners and the Local Board in determining an One-Stop service strategy.

What are the responsibilities of Perkins III section 132 grantees with respect to making available through the One-Stop delivery system information relating to the availability of supportive services and referral to such services, as appropriate?

Under some circumstances, Perkins III section 132 grantees may choose to use Perkins III funds to provide preliminary intake and related services to individuals prior to their enrollment as a student as part of a "program for special populations " (sec. 135(c)(4) of Perkins III) or as part of "nontraditional training and employment activities" (sec. 135(c)(14) of Perkins III). As part of these intake services, the grantee may use Perkins III funds to provide information to prospective students concerning the availability of support services, such as child care, that are available through a vocational and technical education program or through other sources in the community. If, and to the extent that, a Perkins III section 132 grantee uses Perkins III funds for this purpose, the grantee must also make this information available through the One-Stop delivery system.

The Perkins III section 132 grantee has the flexibility to determine, in consultation with the Local Board and other One-Stop partners, the nature and extent of the information concerning support services that is made available through the One-Stop delivery system. WIA and its implementing regulations articulate a "no wrong door" approach to the delivery of education and workforce development services (64 Federal Register 72, p. 18669 ). Generally, the information concerning support services that is made available at the comprehensive One-Stop center should be comparable to the type and extent of the information that is made available by a Perkins III section 132 grantee during initial intake when an individual presents him or herself at the program site prior to his or her enrollment in vocational and technical education program. Grantees should consult with other One-Stop partners and the Local Board in determining an appropriate One-Stop service delivery strategy.

Are Perkins III section 132 grantees required to make job placement and career guidance and academic counseling services available through the One-Stop delivery system?

While section 135(c) (14) of Perkins III authorizes the use of funds to provide job placement assistance, a core service listed in section 134(d)(2) of WIA, it restricts the use of Perkins III funds to providing these services to "students who have participated in services and activities under this title [Title I of Perkins III]." Similarly, section 135(c)(2) of Perkins III authorizes the use of funds to provide "career guidance and academic counseling," but specifies that services may be provided only to "students participating in vocational and technical education", which is defined by Perkins III as "a sequence of courses of that provides individuals with the academic and technical knowledge and skills the individuals need to prepare for further education and for careers" (sec. 3 (29) of Perkins III).

If a Perkins III section 132 grantee expends Perkins III funds to provide these services to students following their enrollment in a vocational and technical education program, it is not required to make these services available through the One-Stop delivery system. Providing these services to individuals who are not enrolled in a vocational and technical education program is not an authorized use of funds under Perkins III.

However, Perkins III section 132 grantees should work with the Local Board and other One-Stop partners to explore opportunities for providing these services more efficiently through collaboration. Job development and job placement services, for example, might be more cost-effectively provided in a local area if they are undertaken collaboratively on behalf of all of the One-Stop partners, rather than through separate efforts undertaken by each partner independently. A Perkins III section 132 grantee might decide to contract with the One-Stop operator in the local area to provide job placement services to its students. Alternatively, other One-Stop partners may wish to contract with a Perkins III section 132 grantee to provide these services to their clients.

Similarly, a community college that receives Perkins III section 132 funds may choose to use its own funds to provide career guidance and academic counseling services at the comprehensive One-Stop center to individuals who are not students or provide these services on a contractual basis for other One-Stop partner programs. Perkins III funds, however, may only be expended on career guidance and counseling services that serve students who are participating in at least one of "a sequence of courses of that provides individuals with the academic and technical knowledge and skills the individuals need to prepare for further education and for careers" (sec. 3 (29) of Perkins III).

The One-Stop delivery system presents a wide variety of opportunities for workforce development and education programs to work together to eliminate duplication, promote greater efficiency in service delivery, and enhance access to quality services.

What does the requirement to "make available" applicable core services through the One-Stop delivery system entail? Where and to what extent must applicable core services be made available?

Each local area must provide the core services specified in section 134(d)(2) of WIA at "at least one comprehensive physical center" in the local area (20 CFR §662.100(c)). Applicable core services provided by One-Stop partners must be "made available" at this comprehensive One-Stop center "to individuals attributable to the partner's program"(20 CFR §662.250(a)).

The regulations provide One-Stop partners and the Local Board the flexibility to determine the most appropriate means of providing applicable core services at the comprehensive One-Stop center. Applicable core services "may be made available by the provision of appropriate technology at the comprehensive One-Stop center, by co-locating personnel at the Center, cross-training of staff, or through cost-reimbursement or other agreement between service providers at the comprehensive One-Stop center" (20 CFR §662.250(b)). The manner in which applicable core services will be made available at the center must be described in the MOU signed by the Perkins III section 132 grantee and the Local Board.

For example, if a Perkins III section 132 grantee uses Perkins III funds to administer interest inventories to prospective students as part of a nontraditional training and employment program, it must make this service available at the comprehensive One-Stop center. The grantee may provide this service directly at the One-Stop center through technology or staff or it may wish to collaborate with other One-Stop partner programs to integrate this service with other similar activities carried out by these programs.

The responsibility of Perkins III section 132 grantees for providing applicable core services "must be proportionate to the use of the services at the comprehensive One-Stop center by the individuals attributable to" the program assisted with Perkins III section 132 funds (20 CFR §662.250(c)). The method for determining the grantee's proportionate responsibility must also be described in the MOU.

If a Perkins III section 132 grantee uses Perkins III funds to provide a service that is an applicable core service under WIA Title I, must these services be provided exclusively at the One-Stop center, rather than at the institution or program site?

No. At a minimum, the service must be made available at the comprehensive center. A Perkins III section 132 grantee may also provide this service at the program site or other locations if it considers this appropriate. For example, if a Perkins III section 132 grantee uses Perkins III funds to administer interest inventories as part of a program for special populations or a program that prepares individuals for nontraditional training and employment, this service must be made available through the One-Stop delivery system at the comprehensive center, but the service may also continue to be provided at the program site or at other locations. WIA Title I does not require that the comprehensive center be the exclusive service delivery site for applicable core services provided by One-Stop partners.

What other considerations must be taken into account in fulfilling the responsibility to provide applicable core services through the One-Stop delivery system?

Many of the core services specified in section 134(d)(2) of WIA are currently provided in local areas by the Employment Service as labor exchange services funded under the Wagner-Peyser Act. 20 CFR §662.250(a) clarifies that the minimum responsibility of One-Stop partner programs to provide applicable core services is limited to core services that are "in addition to the basic labor exchange services traditionally provided in the local area under the Wagner-Peyser program." The preamble to the regulations further explains that "[w]hile a partner would not, for example, be required to duplicate an assessment provided under the Wagner-Peyser Act, the partner would be expected to be responsible for any needed assessment that includes additional elements specifically tailored to participants under the partner's program" (64 Federal Register 72, p. 18669).

What services in addition to applicable core services must be made available by Perkins III section 132 grantees through the One-Stop delivery system?

In addition to providing any applicable core services through the One-Stop delivery system, Perkins III section 132 grantees must also provide "access" through the One-Stop delivery system to other services and activities that provide direct services to students or potential students and that are carried out with Perkins III funds (20 CFR §662.260). The means by which the grantee will provide access to these services must be described in the MOU.

What is the responsibility of Perkins III section 132 grantees for contributing to the costs of creating and maintaining the One-Stop system?

As required One-Stop partners, Perkins III section 132 grantees must use a portion of the funds provided under Perkins III section 132, or provide services using such funds, to "create and maintain the One-Stop delivery system" (20 CFR §662.230(a)(2)(i)). The amount that each grantee must contribute to the operating costs of the One-Stop delivery system in the local area is negotiated with the Local Board as part of the MOU. Contributions may be cash or in-kind.

Decision-making and negotiation with respect to this contribution must take into account the following factors:

  1. Proportionality. The contribution must be "proportionate to the use of the system by individuals attributable to" the program that receives assistance under Perkins III section 132 (20 CFR §662.270). The method of attributing individuals to a partner program is negotiated as part of the MOU (§662.250(c)). Other related considerations, such as how the system is used by attributable individuals, including the level or intensity of services that are provided to them, might also be considered in applying this principle of proportionality.
  2. Limitations on Administrative Costs under Perkins III. Contributions to the operating costs of the One-Stop delivery system, such as the rental of space occupied by an employee performing administrative functions, are presumptively administrative costs under Perkins III. Perkins III section 132 grantees may not expend more than 5% of their federal grant on administrative costs (sec. 135(d) of Perkins III). The term "administration" is defined by section 3(1) of Perkins III as "activities necessary for the proper and efficient performance of the eligible agency or eligible recipient's duties under this Act, including supervision, but does not include curriculum development activities, personnel development, or research activities."
  3. Costs of Other Responsibilities under Perkins III. Perkins III Section 132 grantees have administrative responsibilities under Perkins III, including, particularly, the implementation of performance accountability systems necessary to enable States to fulfill the accountability requirements of section 113 of Perkins III. Perkins III section 132 grantees should retain sufficient funds from federal or non-federal sources to enable them fulfill these responsibilities.
  4. Allowable Costs under Perkins III. Grantees may only contribute toward costs that are allowable costs under Perkins III and Department of Education regulations for State-administered programs (34 CFR Part 76). 34 CFR §76.533, for example, prohibits the use of funds "for the acquisition of real property or for construction unless specifically permitted by the authorizing statute" for the program. Perkins III does not authorize the use of funds for the acquisition of real property or for construction.

Section 132 grantees and the Local Board may determine the amount, and manner, of the contribution within these parameters. Contributions may be made on an in-kind basis or directly through a transfer of funds.

How does Perkins III's prohibition against supplanting non-Federal funds relate to a Perkins III section 132 grantee's responsibility to participate in the One-Stop delivery system?

Section 311(a) of Perkins III requires that funds made available under the Act be used to supplement, and not supplant, non-Federal funds expended to carry out vocational and technical education activities and tech-prep activities. This requirement applies to any expenditure of funds by a Perkins III section 132 grantee related to its participation in the One-Stop delivery system, including the provision of applicable core services and contributions to operating costs. None of these expenditures may supplant State or local funds that have previously been used by the grantee, another One-Stop partner, or other component of the One-Stop delivery system for the same purpose.

For example, if the Perkins III section 132 grantee used funds under Perkins III to provide services that the grantee or another One-Stop partner had provided with non-Federal funds in the prior year(s), it would be presumed that supplanting has occurred. This presumption is rebuttable if the grantee can demonstrate that it would not have provided the services in question with non-Federal funds had the Federal funds not been available.

What are the consequences if a Perkins III section 132 grantee is unable to execute an MOU with the Local Board?

Although the One-Stop participation requirements are set out in a separate statute, they have the same force and effect as any requirement established in Perkins III itself. Section 132 grantees have the same responsibility to fulfill the WIA Title I One-Stop requirements as they do to fulfill requirements established under Perkins III.

20 CFR §662.310(b) requires that each Perkins III section 132 grantee and Local Board "enter into good faith negotiations" to execute an MOU that meets the requirements of Title I of WIA. Each grantee must document the negotiations and the efforts they have undertaken to execute an MOU. In the event that an impasse in negotiations develops, a grantee may request assistance from the eligible agency in resolving the impasse. A grantee must inform the eligible agency if it has not been able to execute an MOU with the Local Board (20 CFR §662.310(b)). A Perkins III section 132 grantee may not serve on the Local Board if it has failed to execute an MOU (20 CFR §662.310(c)). Any local area in which the Local Board has failed to execute an MOU with all required partners is not eligible for WIA Title I State incentive grants awarded on the basis of local coordination of activities under 20 CFR §665.200(d)(2) (20 CFR §662.310(c)).

How should the One-Stop participation requirements be implemented in States with single delivery areas?

Section 116(b) of WIA permits the Governor of any State that was a single State service delivery area under the Job Training Partnership Act as of July 1, 1998 to designate the State as single State local area. If the Governor chooses to exercise this option, he or she may designate the State Workforce Investment Board to carry out any or all of the functions of the Local Board that are specified in WIA Title I and its implementing regulations (sec. 117(c)(4) of WIA).

In these States, the eligible agency has the flexibility to determine the most appropriate means of fulfilling the One-Stop participation responsibilities established by WIA Title I. An eligible agency may choose to negotiate the memorandum of understanding with the State Workforce Investment Board on behalf of the Perkins III section 132 grantees, or it may delegate this responsibility to each Perkins III section 132 grantee. Since both WIA Title I and Perkins III highlight the importance of local flexibility, eligible agencies in States with single local delivery areas should work closely with Perkins III section 132 grantees in making decisions with respect to their participation in the One-Stop delivery system.

What is the role of the eligible agency in the One-Stop delivery system?

The eligible agency is responsible for general oversight of the participation of Perkins III section 132 grantees in the One-Stop delivery system. These oversight responsibilities include ensuring that Perkins III section 132 grantees comply with the One-Stop requirements of Title I of WIA and properly expend Perkins III funds to support their participation in the system. The responsibilities may also include providing technical assistance to Perkins III section 132 grantees and seeking to resolve any disputes that may arise between Perkins III section 132 grantees and Local Boards. In carrying out these responsibilities, the eligible agency may wish to establish guidelines for One-Stop participation by Perkins III section 132 grantees, including a model memorandum of understanding, taking care to preserve local flexibility to address the specific needs, priorities, and circumstances within each community. See Section II.A.16 of the State Plan Guide (OMB Control #1830-0029) for additional information.

In addition, section 121(a)(1)(D)(ii) of Perkins III requires the eligible agency to make available to the One-Stop delivery system in each local area "a listing of all school dropout, postsecondary, and adult programs" assisted under Title I of Perkins III.

What is the eligible agency's relationship with the State Workforce Investment Board?

Section 111 of WIA provides for the establishment of a State Workforce Investment Board (SWIB) that is responsible for assisting the Governor in developing the State's WIA Title I plan, promoting coordination among workforce investment and education programs, and other functions.

The "lead State agency officials with responsibility for" mandatory One-Stop partner programs, including Perkins III, must be included as members of the SWIB (sec. 111 (b)(1)(vi)(I)). These officials must be "individuals with optimum policymaking authority" within their agencies (sec. 111(b)(2)). The appropriate State official will vary according to how vocational and technical education is administered in each State. Eligible agency officials, such as the State Director for Vocational and Technical Education, or State vocational education board members with expertise in the administration of Perkins III can play a valuable role in assisting the SWIB in promoting effective coordination between Title I of WIA, Perkins III, and other One-Stop partner programs.

Section 121(a)(1)(D)(i) of Perkins III also authorizes the eligible agency to adopt "such procedures as the eligible agency considers necessary" to "implement State level coordination with the activities undertaken" by the State Workforce Investment Board.

What is the eligible agency's relationship with "alternative entities" used by States in lieu of the State Workforce Investment Board established under Title I of WIA?

Section 111(e) of WIA sets out some limited circumstances in which a Governor may choose to designate an alternative entity to carry out the responsibilities of the SWIB, such as an existing Human Resource Investment Council or State Job Training Coordinating Council. 20 CFR §661.210(d) of the WIA Title I regulations further provides that:

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 sec. 111(b). A significant change in the membership structure does not mean the filling of a vacancy on the alternative entity, but does include any 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.

If an alternative entity is designated to perform the functions of a SWIB, the WIA Title I State plan must "explain the manner in which the State will ensure an ongoing role for" any category of member that is excluded from membership on the alternative entity (20 CFR §661.210(c)). This requirement would include a role in the workforce investment system for a representative of the eligible agency or other State agency officials who are not represented on the "alternative entity."

In the preamble to the regulations, the Department of Labor emphasizes that groups that have been omitted from membership on the alternative entity must "have an opportunity for meaningful input into decisions made by the State Board" (64 Federal Register 72, p. 18866). The Department of Education expects that eligible agencies will be consulted and involved in all decisions by alternative entities that pertain to postsecondary vocational and technical education and the coordination of Perkins III with other One-Stop partner programs.

When must Perkins III section 132 grantees begin participating in the One-Stop delivery system established by WIA Title I?

Perkins III section 132 grantees must begin participating in the One-Stop delivery system on the date that the State implements the applicable provisions of its State Workforce Investment Plan under WIA Title I. The Job Training Partnership Act (JTPA) is repealed effective July 1, 2000 (sec. 199(c)(2)(B) of WIA) and States must transition to WIA Title I by no later than this date (Planning Guidance and Instructions for Submission of the Strategic Five-Year State Plan for Title I of the Workforce Investment Act, OMB Control #1205-0398, p. 11). States planning to implement WIA Title I beginning on July 1, 1999 were required to submit their State Plans to the Department of Labor by April 1, 1999. States planning to implement WIA Title I between July 1, 1999 and July 1, 2000 are permitted to submit their State Plans to the Department of Labor at any time, but no later than April 1, 2000 (Planning Guidance and Instructions for Submission of the Strategic Five-Year State Plan for Title I of the Workforce Investment Act, OMB Control #1205-0398, p. 12).

Do WIA Title I and the implementing regulations establish information collection requirements that are subject to the Paperwork Reduction Act of 1995?

Yes. The Department of Labor has submitted a copy of the sections of the WIA Title I regulations that contain information collection requirements to the Office of Management and Budget (OMB) for its review. As stated in the Interim Final Regulations for WIA Title I, "[a]ffected parties do not have to comply with the information collection requirements established in the regulations until DOL [Department of Labor] publishes in the Federal Register control numbers assigned by OMB. Publication of the control numbers notifies the public that OMB has approved this information collection requirement under the Paperwork Reduction Act of 1995" (64 Federal Register 72, p. 18662). This memorandum does not impose additional information collection requirements.


 
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Last Modified: 08/14/2006