WIOA state plans for program years 2020–2023

Official attachments: Attachment 1.

CLASSIFICATION
     EMPLOYMENT AND TRAINING ADMINISTRATION                            WIOA State Plans
                 ADVISORY SYSTEM                                       CORRESPONDENCE SYMBOL
            U.S. DEPARTMENT OF LABOR                                   OWI
               Washington, D.C. 20210                                 DATE
                                                                      February 3, 2020

ADVISORY:           TRAINING AND EMPLOYMENT GUIDANCE LETTER NO. 10-19

TO:                 STATE WORKFORCE AGENCIES
                    STATE WORKFORCE ADMINISTRATORS
                    STATE WORKFORCE LIAISONS
                    STATE AND LOCAL WORKFORCE BOARD CHAIRS AND DIRECTORS
                    STATE LABOR COMMISSIONERS
                    STATE LMI DIRECTORS
                    SENIOR COMMUNITY SERVICE EMPLOYMENT PROGRAM
                    GRANTEES
                    STATE APPRENTICESHIP AGENCIES
                    STATE DIRECTORS OF THE OFFICE OF APPRENTICESHIP
                    STATE DIRECTORS FOR VETERANS' EMPLOYMENT AND TRAINING
                    STATE UNEMPLOYMENT INSURANCE DIRECTORS
                    STATE WORKFORCE AGENCY VETERANS COORDINATORS

FROM:               JOHN PALLASCH /s/
                    Assistant Secretary

SUBJECT:            Technical Assistance regarding the Submission Deadline for the Unified and
                    Combined State Plans under the Workforce Innovation and Opportunity Act
                    (WIOA) for Program Years (PYs) 2020-2023 and Other Related Requirements

1. Purpose. To provide an update on technical assistance to states, territories, and outlying
   areas related to the requirements for submitting PYs 2020-2023 Unified and Combined State
   Plans under sections 102 and 103 of WIOA1. The PYs 2020-2023 Unified and Combined
   State Plans will cover the four-year period from July 1, 2020, through June 30, 2024.

2. Action Requested. As described in an email to States on November 6, 2019, to encourage
   implementation and integration of workforce development services, WIOA requires States2

1
  This is a statement of the Departments’ policy regarding the Workforce Innovation and Opportunity Act. Other
than statutory and regulatory requirements included in this document, the contents of this guidance do not have the
force and effect of law. This document is intended only to provide clarity regarding existing requirements under the
applicable law or agency policies.

2
 In this technical assistance, for purposes of both the Unified and Combined Plans, the term “State” refers to the 50
States, the District of Columbia, Puerto Rico, American Samoa, Guam, the U.S. Virgin Islands, the Northern
Mariana Islands and, as appropriate for certain programs, the Republic of Palau.

    RESCISSIONS                                                       EXPIRATION DATE
    TEGL 14-15 and TEGL 06-17                                         Continuing

    to submit a four-year Unified or Combined State Plan that covers, at a minimum, the six core
    programs of the workforce development system. In order to satisfy the submission
    requirements of sections 102(c)(1)(B) and 103(b)(1) of WIOA for these State Plans, each
    State’s Governor must submit a Unified or Combined State Plan for the four-year period
    covering PYs 2020-2023 by March 2, 2020.3 The Unified or Combined State Plan covering
    the six core programs of the workforce development system will be considered approved 90
    days after the date the Plan is submitted, unless the Secretaries of Labor and Education
    inform the State in writing within that time period that the Plan is inconsistent with the State
    Plan requirements or the provisions authorizing the core programs, as appropriate (sections
    102(c)(2)(B) and 103(c)(3)(A) of WIOA).

    While WIOA imposes no statutory penalties for submissions after March 2, 2020, for those
    States submitting Unified or Combined State Plans for the core programs after April 1, 2020,
    the Secretaries of Labor and Education, as well as the Commissioner of the Rehabilitation
    Services Administration, will do their best to approve the Unified or Combined State Plans
    prior to July 1, 2020, which is the start of PY 2020. However, because Plans submitted after
    April 1, 2020, will not give the Secretaries the full 90 days allowed by law to review and
    approve the Plans, the awarding of core program funds for those States could be delayed.4

    Section 103(a)(1) of WIOA permits States to submit a Combined State Plan that includes the
    six core programs and one or more programs identified in section 103(a)(2). At least two of
    those partner programs — the Carl D. Perkins Career and Technical Education Act of 2006,
    as amended by the Strengthening Career and Technical Education Act for the 21st Century
    Act (Perkins V), and the Supplemental Nutrition Assistance Program Employment and
    Training (SNAP E&T) — were recently reauthorized. The U.S. Departments of Labor
    (DOL) and Education (ED) (collectively, Departments) encourage the inclusion of Perkins V
    and SNAP E&T in strategic planning, and are available to provide technical assistance on
    plan submission and timing to ease inclusion. Under these circumstances, States should
    contact the appropriate Employment and Training Administration (ETA) Regional Office and
    federal program contact in writing to discuss the timing of state submission and the potential
    core program funding implications for plans that may not be approved until after the
    commencement of PY 2020.

3
 The Departments determined this due date based on a calendar calculation of the statutory requirements of sections
102(c)(1)(B) and 103(b)(1) of WIOA.
4
 The Departments award grant funds to five of the six core programs at the start of each PY on July 1: the Adult,
Dislocated Worker, and Youth programs authorized under title I of WIOA and administered by DOL; the Adult
Education and Family Literacy Act (AEFLA) program, authorized under title II of WIOA and administered by ED;
and the Employment Service (ES) program, authorized under the Wagner-Peyser Act as amended by title III of
WIOA and administered by DOL. The Vocational Rehabilitation (VR) program, authorized under title I of the
Rehabilitation Act of 1973 as amended by title IV of WIOA and administered by ED, receives its funding at the start
of each Federal Fiscal Year.

    States are expected to submit Plans via the State Plan Portal described in Section 4e of this
    technical assistance.

3. Summary and Background.
    Summary – This updated technical assistance – developed jointly by DOL, ED, the U.S.
     Departments of Health and Human Services (HHS), Agriculture (USDA), and Housing
     and Urban Development (HUD) – provides information and instructions to states on the
     WIOA planning requirements for the required four-year state plan, explains technical
     adjustments to the planning requirements, and instructs states regarding submission
     deadlines and procedures, particularly with respect to the newly developed State Plan
     Portal. The technical assistance is similar to that which the Departments provided prior
     to the submission of the PYs 2016-2019 Unified or Combined State Plans (ETA TEGL
     14-15, OCTAE PM 16-1, and RSA PD 16-03) and the submission of the PY 2018
     modifications to those Unified or Combined State Plans (ETA TEGL 6-17, OCTAE PM
     18-1, and RSA TAC 18-01), but has been updated to reflect the fact that States now have
     experience in developing these Plans and that there will be a new State Plan portal for
     submitting the PYs 2020-2023 State Plans.

       Background –WIOA requires the Governor of each state to submit a Unified or
        Combined State Plan that includes a four-year strategy and operational plan for the
        continuing implementation of the state’s workforce development system. States must
        have federally approved state plans to receive funding under the six core programs
        (Adult, Dislocated Worker, Youth, AEFLA, Wagner-Peyser, and the VR programs). The
        Office of Management and Budget approved the joint WIOA State Plan information
        collection request (ICR) on September 5, 2019 (OMB No. 1205-0522)5. Subsequently,
        OMB approved changes to the ICR to implement the Wagner-Peyser Act Staffing
        Flexibility final rule, released on January 6, 2020.

        Under WIOA, the Unified and Combined State Plans communicate the state’s vision for
        the state workforce system and serve as a vehicle for alignment and integration across
        federal programs. WIOA planning requirements aim to foster better alignment of federal
        investments in job training and education, to integrate service delivery across programs,
        to improve efficiency in service delivery, and to ensure that the workforce system
        matches job creators with skilled individuals. Cross-program planning promotes a shared
        understanding of the workforce needs within each state. Such planning cultivates
        development of more comprehensive and integrated approaches, such as career pathways
        and sector strategies, for addressing the needs of job creators and workers. Additionally,
        it enables the system to provide a wider range of coordinated and streamlined services to
        their shared customers.

5
 DOL, which manages this joint ICR, published a 60-day Notice for the draft State Plan ICR on January 2, 2019, at
84 FR 19. On July 31, 2019, DOL published a 30-day Notice for the State Plan ICR in the Federal Register at 84 FR
37349. The Office of Management and Budget approved the ICR without change on September 5, 2019; the
approval expires September 30, 2022. The Departments informed the States of the newly approved State Plan ICR
via email on October 10, 2019.

4. Planning Requirements and Submission Instructions.
   a. Plan Options. States must submit, at minimum, a Unified State Plan encompassing the
      six WIOA core programs (See Section 102 of WIOA). Alternatively, states may submit a
      Combined State Plan that includes the six core programs plus one or more of the partner
      programs listed below. States that developed and implemented a Unified State Plan for
      PYs 2016-2019 may elect to submit a Combined State Plan for the next four-year
      planning period, drawing on the improved alignment and coordination with partner
      programs during the past few years. The Combined State Plan partner programs are:

      Career and technical education programs authorized under Perkins V (20 U.S.C. § 2301
       et seq.);
      Temporary Assistance for Needy Families program (42 U.S.C. § 601 et seq.);
      Employment and training programs under the Supplemental Nutrition Assistance
       Program (programs authorized under Section 6(d)(4) of the Food and Nutrition Act of
       2008 (7 U.S.C. § 2015(d)(4));
      Work programs authorized under Section 6(o) of the Food and Nutrition Act of 2008 (7
       U.S.C. § 2015(o));
      Trade Adjustment Assistance for Workers programs (Activities authorized under chapter
       2 of Title II of the Trade Act of 1974 (19 U.S.C. § 2271 et seq.));
      Jobs for Veterans State Grants program (programs authorized under 38 U.S.C. § 4100 et.
       seq.);
      Unemployment Insurance (UI) programs (UI Federal-State programs administered under
       state unemployment compensation laws in accordance with applicable federal law);
      Employment and training activities carried out by HUD (See section 103(a)(2)(I) of
       WIOA);
      Community Services Block Grant (CSBG) (employment and training activities carried
       out under the Community Services Block Grant Act (42 U.S.C. § 9901 et seq.)); and
      Senior Community Service Employment Program (programs authorized under title V of
       the Older Americans Act of 1965 (42 U.S.C. § 3056 et seq.)). Reauthorized by the OAA
       Reauthorization Act of 2016, Pub. L. No. 114-144 (April 19, 2016).

   b. WIOA Planning Priorities. States have accumulated four years of WIOA implementation
      experience since the first WIOA State Plans were developed, and they have worked
      through challenges to find what works best for their state’s workforce development
      system. As states think about goals and specific implementation milestones for the next
      four years of WIOA, the Departments request that planning advance some or all of these
      key priorities:

      Engaging partners to align workforce investment, economic development, and education
       systems, particularly with community colleges, to maximize services to customers and
       eliminate redundant services;
      Investing in workforce development strategies grounded in sound economic and labor
       market analysis with program and other funds, consistent with authorizing statutes;
      Promoting opportunity for economic mobility, especially by implementing human
       services programs to increase work participation;

   Using flexibility within WIOA to better serve those most in need by advancing the use of
    evidence-based strategies such as apprenticeship, work-based learning, customized
    training, and the full array of employment and training options;
   Providing multiple career pathways, skill-building, and stackable credential opportunities
    for labor market entry and advancement to both youth participants and new labor force
    participants;
   Informing job-seekers and learners of the skills, credentials, and jobs in demand;
   Increasing the competitiveness of employers through the provision of quality labor
    market information, sector-based approaches, and a well-trained talent pipeline; and
   Measuring effectiveness through performance reporting, evaluation, and data systems
    that support these activities.

c. State Plan Information Collection Request (ICR) and Technical Changes to
   Requirements. States must use the ICR Required Elements for Submission of the Unified
   or Combined State Plan and Plan Modifications Under the Workforce Innovation and
   Opportunity Act, approved under Office of Management and Budget (OMB) control
   number 1205-0522, to develop and submit the four-year State Plan. A copy of the ICR,
   which complies with Sections 102 and 103 of WIOA, is available on ETA’s website at
   https://www.doleta.gov/wioa/docs/State-Plan-ICR.pdf.

    OMB approved a three-year ICR extension through September 30, 2022, that includes a
    small number of changes to the requirements. These changes include removal of
    references to past dates, correction of typographical errors, introduction of an optional
    data element to provide an executive summary, updating title II Section 243 narrative and
    assurance requirements, and updating instructions for Appendix I of the ICR. The
    Wagner-Peyser Act Staffing Flexibility final rule, published on January 6, 2020 and
    effective beginning February 5, 2020, makes additional changes to the requirements,
    specifically to requirements regarding staffing for Wagner-Peyser Act programs.

    The ICR contains both strategic and operational elements that support integration and
    alignment of the workforce system. The Strategic and Operational Planning Elements
    constitute the “common elements” of the Plan – elements that apply to all programs that
    states include in their plan. The Strategic Elements must include an analysis of the state’s
    current economic environment and identification of the state’s overall vision for its
    workforce development system, including an analysis of the economy and workforce
    development activities (See Section 102(b)(1) of WIOA). The Operational Elements
    must identify the state’s planned actions to implement the state’s strategic vision and
    goals identified in the Strategic Elements. This section requires description of the policy,
    infrastructure, and program integration and alignment activities the state will undertake,
    as well as planning elements specific to each of the core programs and any required one-
    stop partner programs (See Section 102(b)(2) of WIOA).
d. Stakeholder Collaboration and Comment. Stakeholder collaboration, review, and
   comment are key requirements of the four-year planning process. In accordance with
   section 101 of WIOA, State Workforce Development Boards (State Boards) must assist
   the Governor in the development, implementation, and modification of the State Plan,
   and ensure that all relevant core programs, required partners, and stakeholders contribute

        to the plan. The Departments encourage inclusion of the state labor market information
        and evaluation offices (or their equivalent) during plan development to obtain assistance
        with labor market data, evidence, and analysis. The State Plan must be developed with
        the assistance of the State Board, as required by Section 101(d) of WIOA, and in
        coordination with administrators that have optimal policymaking authority for the core
        programs and required one-stop partner programs. For Combined State Plans, the
        portions of the plan that cover partner programs other than the core programs are subject
        to any public comment requirements applicable to those partner programs.6

        States must provide the opportunity for public comment and input, which allows
        interested stakeholders to participate actively, effectively, and transparently in the
        development of the plan. The Governor must ensure that the State Plan is developed with
        an opportunity for input from representatives of:

           Local Workforce Development Boards and chief elected officials;
           businesses;
           representatives of labor organizations;
           community-based organizations;
           adult education providers;
           institutions of higher education;
           other stakeholders with an interest in the services provided by the six core programs;
            and
           the general public, including individuals with disabilities.7

        The State Board also must make information regarding the State Plan and planning
        process available to the public through electronic means and by holding regularly-
        occurring open meetings in accordance with state law prior to the submission of the
        plan.8

    e. Instructions for Plan Submission Using the WIOA State Plan Portal. States must submit
       their state plans via the State Plan Portal (https://wioaplans.ed.gov), which has been
       developed for the purpose of cross-program collaboration in states and to facilitate the
       simultaneous receipt and review of plans across multiple federal agencies. The State Plan
       Portal has been redesigned to improve the user experience. While multiple individuals in
       states may enter content into the portal, only one individual from the state may submit to
       the Departments the entire plan on behalf of all included programs. The State Plan Portal
       includes a certification that the official state “submitter” has the authority to do so on
       behalf of the Governor.

        The Departments will provide in separate communications details regarding designation
        of plan submitters, obtaining user accounts, requesting permission levels, and user

6
  See 20 C.F.R. § 676.143(c)(3), 34 C.F.R. § 361.143(c)(3), and 34 C.F.R. § 463.143(c)(3).
7
  See 20 C.F.R. § 676.130(d)(1), 34 C.F.R. § 361.130(d)(1), and 34 C.F.R. § 463.130(d)(1)
8
  See WIOA Section 101(g) and 20 C.F.R. § 676.130(d), 34 C.F.R. § 361.130(d), and 34 C.F.R. § 463.130(d).

           training. Previously approved WIOA State Plans will be available in PDF format in the
           State Plan Portal; however, content from prior plans will not be available in the data entry
           fields. After approved plans are in place for PYs 2020-2023, the portal will remain
           available to state users for submission of off-cycle modifications.

      f. Considerations for Combined State Plan partner programs. Combined State Plan partner
         programs’ state plan requirements will continue to exist under specific ICRs for those
         programs. Note that some of the other programs that a state may include in the
         Combined State Plan currently fulfill their program-specific state planning requirements
         through a separate information collection process maintained by the federal government
         agency that administers the Combined State Plan partner program. For example, Section
         103(b)(2) of WIOA specifically allows a state to include the employment and training
         activities, rather than the full program carried out under the CSBG Act administered by
         HHS and employment and training activities funded by HUD in a WIOA Combined State
         Plan. Therefore, if states choose to include programs such as these in the Combined State
         Plan, only the portion of the existing planning requirements that address the employment
         and training activities may be included in the Combined State Plan. States still must
         submit all other required elements of a complete State Plan for those programs directly to
         the Department that administers the program.

           Portions of the Combined State Plan covering a program or activity, excluding those
           related to the core programs, are subject to approval by the head of the federal agency
           that administers that program.9 The portions of the Combined State Plan related to the
           core programs are subject to the same approval requirements applicable to the Unified
           State Plan.10

           States that include UI in their Combined State Plan, carried out under Title III, Section
           302, of the Social Security Act, including Sections 303(a)(8) and (9), which govern the
           expenditure of funds, should submit their UI State Quality Service Plan (SQSP)
           following the cycle as outlined in the current Employment & Training Handbook No.
           336, UI SQSP Planning and Reporting Guidelines.

           The Jobs for Veterans State Grants (JVSG) program, carried out under Chapter 41 of
           Title 38 of the U.S. Code, require both a JVSG State Plan and a separate annual
           application for funding. States may include the JVSG Plan in a Combined WIOA State
           Plan. For JVSG, the annual application for funding will continue to be required by
           current Veterans’ Employment and Training Service (VETS) guidance.

           For DOL or ED-administered programs in a Combined State Plan, the portions of the
           plan covering the core programs, and the common elements for all programs included in
           the State Plan, will be approved ninety (90) days after submission unless the Secretary of
           either Department informs the state in writing during the 90-day period that the plan is
           inconsistent with WIOA's State Plan requirements or the requirements authorizing the

9
    See WIOA Section 103(c)(1) and (d)(2).
10
     See WIOA Section 103(c) and 102(c).

        core program. HUD, USDA, and HHS must approve or disapprove the portions of the
        plan covering programs administered by those Departments within 120 days of
        submission. For the six core programs, DOL and ED may make decisions regarding
        approval, disapproval, or funding status separately from the determination of approval,
        disapproval, or completeness of the program-specific requirements of Combined State
        Plan partner programs and activities described in the Combined State Plan. For example,
        if a State Plan meets all the common planning elements and program specific
        requirements for the core programs, approval and funding may proceed regardless of
        specific issues that may be identified in the program-specific sections for any Combined
        State Plan partner programs.

        States that include Perkins V as part of their Combined State Plans will submit the
        narrative descriptions required for the Perkins V program-specific portion of their
        Combined State Plan as outlined in the Perkins V State Plan Guide, OMB Control
        Number 1830-0029, to the State Plan Portal for WIOA. States will then submit to the
        Perkins State Plan Portal the remaining items required for the Perkins V program-specific
        portion of their Combined State Plan: (1) cover page, including a letter providing joint
        signatory authority from the Governor; (2) assurances, certifications, and other forms
        required by statute and/or applicable Federal regulations, including the Education
        Department General Administrative Regulations (EDGAR) at 34 C.F.R. Part 76; (3)
        budget for the upcoming year; and (4) state-determined performance levels (SDPLs). ED
        will provide State Career and Technical Education (CTE) directors and staff with
        training, passwords, and technical support to input their information into the WIOA State
        Plan Portal and the Perkins State Plan Portal.

        States that include SNAP E&T as part of their Combined State Plan will submit their
        SNAP E&T specific state plans into the State Plan Portal for WIOA, but must submit
        annually to their Food and Nutrition Service (FNS) Regional offices a complete SNAP
        E&T plan that includes component details, participant levels, and annual operating
        budget.

     g. Performance Negotiations for Core Programs. The Departments will issue separate
        technical assistance to outline the requirements for reaching agreement on the negotiated
        levels of performance for the states outlined in Section 116 of WIOA. The Departments
        will continue to use a “phase-in” approach to establish negotiated and adjusted levels of
        performance for certain indicators for specific programs. The appendix in the Unified
        and Combined State Plan ICR discussed in this section, and in Appendix 111 of this
        technical assistance, reflect which indicators/programs the Departments will negotiate for
        PYs 2020 and 2021. See Attachment I of this technical assistance for more instructions
        on establishing performance levels and acceptable baseline indicators.

11
  The content of Appendix 1 is identical to that published in the Federal Register for public comment on January 2,
2019, at 84 FR 19 and on July 31, 2019, at 84 FR 37349, and as approved by OMB on September 5, 2019.

     h. Special Instructions for Single-Area States. Single-area states must complete and submit
        any information required in the local plan as part of their State Plan submission. Item
        V1.d in the Title I portion of the WIOA State Plan ICR specifies these requirements.

     i. WIOA Title I and Wagner-Peyser Act Waivers. As discussed in TEGL 08-18, Workforce
        Innovation and Opportunity Act (WIOA) Title I and Wagner-Peyser Act Waiver
        Requirements and Request Process, the Secretary of Labor may grant states additional
        flexibility through the waiver authority for portions of WIOA Title I and Wagner-Peyser
        Act requirements when permitted. Waivers are a tool for reducing barriers to WIOA
        implementation and spurring innovative programming options. States may submit waiver
        requests as part of their State Plan or as a separate waiver plan.

        All currently approved waivers expire on June 30, 2020. Therefore, states should submit
        new waiver requests as part of the PY 2020-2023 State Plan submission if they wish to
        continue implementing particular waivers that had been approved previously (See Section
        189(i)(3) of WIOA). As articulated in waiver approval letters, states agreed to meet
        certain performance or other program performance measures resulting from the waiver.
        States requesting a waiver renewal beyond June 30, 2020, must provide the most recent
        data available about the outcomes of the waiver in the renewal request.12 DOL will
        consider this information as part of its decision to approve the requested waiver.

     j. Modifications. Given the multiyear nature of the State Plan, states must revisit State Plan
        strategies regularly, reassess their effectiveness and labor market relevance, and when
        needed, adjust these strategies to respond to the changing economic conditions and
        workforce needs of the state. At a minimum, states must submit a modification to the
        Unified or Combined State Plan at the end of the first two-year period of any four-year
        plan, and under specific circumstances.13 However, states may submit off-cycle
        modifications to the Unified or Combined State Plan to reflect major changes or revisions
        in state strategies, organizational structures, and implementation.

        The Departments have determined that for any Combined State Plan program included in
        the plan with a different planning cycle from that required by Title I of WIOA, states
        should submit program-specific modifications to the Combined State Plan that align with
        the planning cycles for those specific programs, unless the two-year WIOA modification
        cycle can accommodate programs' planning and modification cycle. For example, if a
        state chooses to include career and technical education programs under the Perkins V Act
        as a part of its Combined State Plan, the state would submit program-specific plan
        modifications annually to align with the Perkins V Act's state plan cycle, as necessary.
        These changes would not necessitate a modification to the Combined State Plan, as a
        whole, unless the revisions triggered a required State Plan modification pursuant to
        section 103(b)(1) of WIOA. Such modifications must be submitted to the Secretary of

12
  See 20 C.F.R. § 679.620(d)(7).
13
  See Section 102(c)(3)(A) of WIOA; 20 C.F.R. §§ 676.135 and 676.145; 34 C.F.R. §§ 361.135 and 361.145; and
34 C.F.R. §§ 463.135 and 463.145.

       the appropriate department for that program directly, in addition to DOL and ED via the
       WIOA State Plan Portal, as necessary. For example, the TANF law requires a state to
       submit a plan within 27 months of the end of the first fiscal quarter in order to receive
       TANF funds for that fiscal year. Therefore, adopting the more frequent two-year WIOA
       cycle for modifications should accommodate TANF's cycle, allowing a state to make all
       changes to each portion of the Combined State Plan concurrently. These modifications
       must be submitted to the Secretary of the appropriate department for that program
       directly, in addition to the Secretaries of DOL and ED via the State Plan Portal.

5. Inquiries. Please direct inquiries to the appropriate Regional Office.

6. References.
    Workforce Innovation and Opportunity Act (WIOA) (Pub. L. No. 113-128) (July 22,
      2014)
    Joint Rule for Unified and Combined State Plans, Performance Accountability, and the
      One-Stop System Joint Provisions; Final Rule (WIOA Joint Final Rule) published at 81
      FR 55792 (Aug. 19, 2016)
    Employment and Training Administration, Workforce Innovation and Opportunity Act;
      Final Rule (WIOA DOL Final Rule ) published at 81 FR 56071 (Aug. 19, 2016)
    State Vocational Rehabilitation Services Program; State Supported Employment Services
      Program; Limitations on Use of Subminimum Wage — Final Rule (WIOA Office of
      Special Education and Rehabilitative Services (OSERS) Final Rule) published at 81 FR
      55630 (August 19, 2016)
    WIOA: Miscellaneous Program Changes — Final Rule (WIOA OSERS Final Rule)
      published at 81 FR 55562 (August 19, 2016)
    Programs and Activities Authorized by the Adult Education and Family Literacy Act
      (Title II of WIOA) — Final Rule (WIOA OCTAE Final Rule) published at 81 FR 55525
      (August 19,2016)
    ICR Required Elements for Submission of the Unified or Combined State Plan and Plan
      Modifications Under the Workforce Innovation and Opportunity Act, approved under
      Office of Management and Budget (OMB) control number 1205-0522
    Training and Employment Guidance Letter No. 08-18, Workforce Innovation and
      Opportunity Act (WIOA) Title I and Wagner-Peyser Act Waiver Requirements and
      Request Process, dated December 19, 2018
    Training and Employment Notice No. 20-16, Announcing the publication and effective
      date of the Section 188 WIOA Nondiscrimination and Equal Opportunity Regulations (29
      C.F.R. Part 38) Final Rule in the Federal Register, dated December 2, 2016
    Training and Employment Notice No 10-15, Workforce Innovation and Opportunity
      Technical Amendments Act, dated September 17, 2015
    Unemployment Insurance Program Letter No. 17-14, Revised Employment and Training
      (ET) Handbook No. 336, 18th Edition: “Unemployment Insurance (UI) State Quality
      Service Plan (SQSP) Planning and Reporting Guidelines
    Unemployment Insurance Program Letter No. 20-15, Unemployment Insurance and the
      Workforce Innovation and Opportunity Act of 2014

      Training and Employment Notice No. 13-19, Announcing the Release of the Wagner-
       Peyser Act Staffing Flexibility Final Rule and Amended Information Collections
       Associated with this Rulemaking, dated January 13, 2020
      Section 4215 of Title 38, United States Code (38 U.S.C. § 4215), Priority of service for
       veterans in Department of Labor job training programs

7. Attachment(s). Appendix 1: Performance Goals and Instructions for the Core Programs
   Consistent with Section 116(b)(3) of WIOA.

          Appendix 1: Performance Goals and Instructions for the Core Programs
                       Consistent with Section 116(b)(3) of WIOA

Each state submitting a Unified or Combined State Plan is required to identify expected levels of
performance for each of the primary indicators of performance for the first two years covered by
the plan. The state is required to reach agreement with the Secretary of Labor, in conjunction
with the Secretary of Education, on state-negotiated levels of performance for the indicators for
each of the first two years of the plan.

For PY 2016-2019 plans, the Departments used the transition authority under section 503(a) of
WIOA to designate certain primary indicators of performance as “baseline” indicators to ensure
an orderly transition from the requirements of the Workforce Investment Act of 1998 to those
under WIOA. A “baseline” indicator was one for which states did not propose an expected level
of performance and did not come to agreement with the Departments on negotiated levels of
performance because sufficient data were not available to establish such performance levels. As
a result, “baseline” indicators were not used in the end of the year adjustment of performance
levels and were not used to determine failure to meet adjusted levels of performance for purposes
of sanctions. The Departments designated indicators as “baseline” based on the likelihood of a
State having insufficient data with which to make a reasonable determination of an expected
level of performance.

For PYs 2020-2023 State Plans, the Adult, Dislocated Worker, Youth, and AEFLA programs
will have two full years of data available to make reasonable determinations of expected levels
of performance for the following indicators for PY 2020 and PY 2021:
            Employment (Second Quarter after Exit);
            Employment (Fourth Quarter after Exit);
            Median Earnings (Second Quarter after Exit);
            Credential Attainment Rate; and
            Measurable Skill Gains.

The Wagner-Peyser program will have two full years of data available to make a reasonable
determination of expected levels of performance for the following indicators for PY 2020 and
PY 2021:
            Employment (Second Quarter after Exit);
            Employment (Fourth Quarter after Exit); and
            Median Earnings (Second Quarter after Exit).

The Credential Attainment Rate and Measurable Skill Gains indicators do not apply to the
Wagner-Peyser Act ES program; therefore, this program will not submit expected levels of
performance for these indicators.

For the first two years of PYs 2020-2023 State Plans, the VR program will have two full years of
data available for the Measurable Skill Gains indicator only. Therefore, the Departments will
designate the following indicators as “baseline” for the VR program for PY 2020 and PY 2021:
             Employment (Second Quarter after Exit);
             Employment (Fourth Quarter after Exit);

              Median Earnings (Second Quarter after Exit); and
              Credential Attainment Rate.

VR agencies must continue to collect and report on all indicators, including those that have been
designated as “baseline, pursuant to section 116(d) of WIOA.” The actual performance data
reported by these programs for indicators designated as “baseline” for PY 2020 and PY 2021
will serve as baseline data in future years. The Departments will require VR agencies to submit
expected levels of performance for these indicators for PY 2022 and PY 2023.

The Departments determined that the Effectiveness in Serving Employers indicator will be
measured as a shared outcome across all six core programs within each state to ensure a holistic
approach to serving employers. The Departments will continue piloting approaches for
measuring this indicator for the first two years of PY 2020-2023 plans. Therefore, states are not
required to submit an expected level of performance for the Effectiveness in Serving Employers
indicator for PY 2020 and PY 2021. However, core programs are expected to collect data and
report on this indicator for PY 2020 and PY 2021 as they did for PYs 2016-2019 plans.

Each core program must submit an expected level of performance for all of the other indicators,
as applicable, with the exception of the four indicators designated as “baseline” for the VR
program in PY 2020 and PY 2021. The Departments will work with states during the
negotiation process to establish negotiated levels of performance for each of the primary
indicators for the core programs not listed as “baseline.” Each state must update its plan to
include the agreed-upon negotiated levels of performance before the Departments approve a
state’s plan.

States may identify additional indicators in the plan, including additional approaches to
measuring Effectiveness in Serving Employers, and may establish levels of performance for each
of the state indicators. Please identify any such state indicators under Additional Indicators of
Performance.

Include the state's expected levels of performance relating to the performance accountability
indicators based on primary indicators of performance described in section 116(b)(2)(A) of
WIOA.

                                         Title I – Adult Program
                           Program Year:                        Program Year:
                                      Negotiated                           Negotiated
                  Expected Level        Level         Expected Level         Level
 Employment
   (Second
 Quarter after
     Exit)
 Employment
(Fourth Quarter
  after Exit)
   Median
   Earnings
   (Second
 Quarter after
     Exit)
  Credential
  Attainment
     Rate
  Measurable
  Skill Gains

                                   Title I – Dislocated Worker Program
                          Program Year:                       Program Year:
                                      Negotiated                         Negotiated
                  Expected Level        Level        Expected Level        Level
 Employment
   (Second
 Quarter after
     Exit)
 Employment
(Fourth Quarter
  after Exit)
   Median
   Earnings
   (Second
 Quarter after
     Exit)
  Credential
  Attainment
     Rate
  Measurable
  Skill Gains

                                                  Title I – Youth Program
                                   Program Year:                          Program Year:
                                               Negotiated                          Negotiated
                        Expected Level           Level            Expected Level     Level
 Employment
    (Second
 Quarter after
     Exit) 14
 Employment
(Fourth Quarter
  after Exit)14
    Median
   Earnings
    (Second
 Quarter after
      Exit)
   Credential
  Attainment
      Rate
  Measurable
  Skill Gains

14
     For Title I Youth programs, employment, education or training.

                      Title II – Adult Education and Family Literacy Act Program
                          Program Year:                      Program Year:
                                     Negotiated                        Negotiated
                  Expected Level       Level        Expected Level       Level
 Employment
   (Second
 Quarter after
     Exit)
 Employment
(Fourth Quarter
  after Exit)
   Median
   Earnings
   (Second
 Quarter after
     Exit)
  Credential
  Attainment
     Rate
  Measurable
  Skill Gains

                        Wagner-Peyser Act Employment Service Program
                        Program Year:                     Program Year:
                                  Negotiated                         Negotiated
                Expected Level      Level         Expected Level       Level
 Employment
   (Second
 Quarter after
     Exit)
 Employment
(Fourth Quarter
  after Exit)
   Median
   Earnings
   (Second
 Quarter after
     Exit)
  Credential
  Attainment    Not Applicable   Not Applicable   Not Applicable   Not Applicable
     Rate
  Measurable
                Not Applicable   Not Applicable   Not Applicable   Not Applicable
  Skill Gains

                                        Vocational Rehabilitation Program
                               Program Year:                            Program Year:
                                            Negotiated                               Negotiated
                    Expected Level            Level           Expected Level           Level
 Employment
    (Second
                        Baseline             Baseline             Baseline            Baseline
 Quarter after
     Exit)15
 Employment
(Fourth Quarter         Baseline             Baseline             Baseline            Baseline
  after Exit)15
    Median
   Earnings
    (Second             Baseline             Baseline             Baseline            Baseline
 Quarter after
     Exit15
   Credential
  Attainment            Baseline             Baseline             Baseline            Baseline
     Rate15
  Measurable
  Skill Gains

                                             All WIOA Core Programs
                             Program Year:                            Program Year:
                        Expected      Negotiated                               Negotiated
                         Level          Level                 Expected Level      Level
Effectiveness
in Serving           Not applicable      Not applicable       Not applicable       Not applicable
Employers

15
  For the VR program, these indicators are Not Applicable for PY 2020 and PY 2021; however, they will be
applicable for PY 2022 and PY 2023.

Additional Indicators of Performance
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