2011 WIA performance incentive grant application

Accessible letter PDF: https://www.dol.gov/sites/dolgov/files/ETA/advisories/TEGL/2013/TEGL_20_01_Chg11_Acc.pdf

CLASSIFICATION
   EMPLOYMENT AND TRAINING ADMINISTRATION                WIA/Performance Measures
               ADVISORY SYSTEM                           CORRESPONDENCE SYMBOL
          U.S. DEPARTMENT OF LABOR                       OPDR
             Washington, D.C. 20210                      DATE
                                                         June 17, 2013


ADVISORY:         TRAINING AND EMPLOYMENT GUIDANCE LETTER NO. 20-01,
                  Change 11

TO:               STATE WORKFORCE LIAISONS
                  STATE WORKFORCE AGENCIES

FROM:             GERRI FIALA /s/
                  Acting Assistant Secretary

SUBJECT:          Application Process for Workforce Investment Act (WIA) Section 503
                  Incentive Grants, Based on Program Year (PY) 2011 Performance

1. Purpose. This guidance letter updates the procedures states should follow to apply for WIA
Section 503 Incentive Grants.

2. References.
   • WIA (Pub. L. 105-220) Sections 174, 211, and 503, (29 U.S.C. 2919, 20 U.S.C. §§ 9211,
       9273);
   • Adult Education and Family Literacy Act (AEFLA) Section 211, (20 U.S.C. 9211(a)(3))
   • Carl D. Perkins Vocational and Technical Education Act of 1998 (Perkins III) (20 U.S.C.
       2301 et seq., as amended by Pub. L. 105-332);
   • 20 CFR part 664, 666.200 - 666.230, and 666.205(c);
   • Carl D. Perkins Career and Technical Education Act of 2006 (Perkins IV) (20 U.S.C.
       2301 et seq., as amended by Pub. L. 109-270, and its predecessor);
   • Training and Employment Guidance Letter (TEGL) No. 9-07, Revised Incentive and
       Sanction Policy for Workforce Investment Act Title IB Programs (October 10, 2007); and
   • TEGL No. 14-00, Change 3, Workforce Investment Act (WIA) Annual Report Narrative
       (August 24, 2009).

3. Background. Section 503 of WIA provides for incentive grants to reward states for
successful performance in workforce and education programs. The provisions authorizing
funding for incentive grant awards are found in WIA Section 174(b)(2)(D) for workforce
investment services (29 U.S.C. 2919(b)(2)(D)) and AEFLA Section 211(a)(3) for adult education
activities. A total of $10,428,273 is appropriated for AEFLA and available for incentive grants
based on PY 2011 performance. The Department of Labor’s (DOL) regulations on incentive
awards may be found at 20 CFR 666.200 through 666.230.


 RESCISSIONS                                            EXPIRATION DATE
 None                                                   Continuing

4. Eligibility. The list of states eligible to receive incentive grant awards based on PY 2011
performance, and the amounts of the awards for which they are eligible, was published in the
Federal Register on May 24, 2013. Eligibility for a Section 503 incentive grant award was
determined by state performance under WIA Title IB and AEFLA programs. States that are
eligible for incentive grant awards have 45 days from the May 24, 2013 Federal Register notice
to submit their applications for these awards.

5. Amount of Incentive Awards. WIA Section 503(c)(1) sets the range of incentive grant
awards from $750,000 to $3 million, depending upon the amount of appropriated funds
available. If the total amount available for grants is insufficient to award the minimum grant to
each eligible state, the minimum and maximum grant amounts will be adjusted by a uniform
percentage as required by WIA Section 503(c)(2). For PY 2011 incentive awards, the total
amount of available funding was insufficient to award the minimum grant amount of $750,000
for each state. In order to keep all state awards near the statutorily required amount, while
considering the difference in overall state program funding, DOL used a formula where 95
percent of the total available funds were distributed evenly among all eligible states and the
remaining 5 percent of funds were allotted based on overall WIA and AEFLA funding.

6. Authorized Use of Funds. Regulations in 20 CFR 666.210 authorize the state to use its
incentive grant award to carry out an innovative program consistent with the requirements of any
one or more of the programs within Title IB of WIA, AEFLA, or the Perkins Act. This provides
states greater flexibility in using these funds, and governors and state agencies are not limited to
only one type of innovative program.

Incentive grant funds awarded to states will be identified as WIA Title V PY 2012 funds and
must be expended by June 30, 2015. 1 Since this timeframe differs from the typical program
timeframes used by AEFLA and Perkins IV programs, cooperation among state agencies to
ensure timely expenditure of these funds is strongly encouraged.

States may expend funds for activities authorized under WIA Title IB, AEFLA, and/or the
Perkins Act. While DOL administrative provisions apply to the statutory life of the funds, the
individual program provisions apply to the use of funds. For example, if the incentive funds will
be used for a WIA Title IB activity for youth services, the applicable program requirements for
youth programs in 20 CFR 664 and WIA Title IB would apply to that portion of the funds. If
innovative AEFLA and/or Perkins IV programs are planned, the provisions of AEFLA and/or
Perkins IV would apply to that portion of the funds.

States are encouraged to plan activities that promote cooperation and collaboration among the
agencies administering WIA Title IB, AEFLA, and Perkins Act programs. The Secretaries of
Labor and Education encourage governors and their state agency representatives to take
advantage of the broad flexibility Congress intended for these funds by planning for activities
that are:


1
 Typically, states would have three years to spend a program year’s funds. However, because incentive grants, taken from Fiscal Year 2012
funds, will be awarded at the end of PY 2012, states will be given through June 30, 2015, to expend the funds.

A.   Innovative — Services and activities beyond those the state conducts with its regular funds
     from these programs, particularly activities that are authorized through more than one
     program;
B.   Comprehensive and coordinated — Combined activities and services that are authorized by
     different programs; and
C.   Targeted to improving system performance — Activities that serve needs and populations
     that are likely to result in improving state systems of employment, training, and education,
     including those linking to green occupations and high-growth industries.

As states plan how they will make use of Section 503 incentive funds, the Employment and
Training Administration (ETA) encourages them to take an expansive view of how the funds can
be integrated into efforts to improve the effectiveness of the public workforce system. State
departments of labor and education can work together to focus on workforce education and
training projects that will facilitate innovative workforce and education policies within a state.

7. Application Process. To receive grant funds, states that qualify must apply by submitting an
application for an incentive grant to DOL. The electronic application should include an
electronic signature of the state’s designee authorized to submit the application. DOL will work
with the Department of Education to review the applications. The application may take the form
of a letter from the governor to DOL’s Assistant Secretary for Employment and Training
(address is listed below), and must include the following:

A.   Assurances

     The application, developed by the state board, must include Standard Form 424 (OMB No.
     4040-004) and 424a (OMB No. 4040-0006) (Application for Federal Assistance) and
     assurances that:

         i.    The state legislature was consulted with respect to the development of the
               application;

        ii.    The application was approved by the governor, the eligible agency for adult
               education (as defined in Section 203(4) of WIA (20 U.S.C. 9202(4)), and the state
               agency responsible for career and technical education programs (as defined in
               Section 3(12) of Perkins IV (20 U.S.C. 2302(12)); and

       iii.    The state and eligible agency, as appropriate, exceeded the state adjusted levels of
               performance for WIA Title IB and the state adjusted levels of performance for
               AEFLA in PY 2011.

B.   Additional Information

     The state must provide a description of the planned use of incentive grants as part of the
     application process to ensure that the state’s planned activities are authorized under WIA
     Title IB, AEFLA, and/or Perkins Act, as required by WIA Section 503(a). When describing

    the planned activities in response to number ii below, the state should note under which
    program the authorized activities fall.

    The other descriptive information (see numbers iii and iv below) about the state’s plan is
    requested for inclusion in the state’s incentive grant document. The Department of Labor
    and the Department of Education will use this information in monitoring the use of
    incentive grants and in reports to Congress on state performance.

        i.    Identify the state agency and contact person that will receive and administer the
              funds on behalf of all the state’s agencies. The agency may be the state workforce
              agency or another state agency that receives funds under the AEFLA or Perkins
              IV grants. This agency will be responsible for reporting on the use of all funds.
              If agencies other than the grant recipient will be undertaking program activities
              with the funds, please identify the sub-grantee(s) and the amount(s) they will be
              provided.

       ii.    Describe the planned activities. This information should include the statutory
              authority for the activity and a description of how the activities are innovative,
              comprehensive and coordinated, and targeted to improving system performance in
              accordance with the major objectives set forth in the state’s current WIA Strategic
              Plan, AEFLA State Plan, or Perkins IV State Plan, as appropriate. Include
              information on how services build on, rather than duplicate, services offered
              under the state’s plans for AEFLA, Perkins IV, or WIA Title IB. Describe how
              these funds are being used collaboratively with other partner programs to benefit
              service to clients.

      iii.    Describe ways in which the activities are related to improving performance levels
              on the state indicators of performance for each different activity planned. For
              example, describe how the activities will strengthen the state’s ability to improve
              literacy levels, increase employment, increase transitions to further education and
              training, and/or improve technical and academic skills.

       iv.    Describe any state consultation with stakeholder groups and the public on the use
              of incentive award funds. States are encouraged to seek public input on the use of
              state incentive funding, including that of representatives of adult education, career
              and technical education programs, and other workforce system partners.

       v.     Provide a completed set of the attached Standard Form 424 and 424(A), Budget
              Sections A, D and E only, as well as a brief budget narrative.

8. Inquiries. Questions concerning the WIA incentive grant application process should be
directed to Karen Staha at [email protected] (202-693-2917) or Luke Murren at
[email protected] (202-693-3733) in the Division of Strategic Planning and Performance,
Office of Policy Development and Research.

9. Action Requested. As explained in 20 CFR 666.205(c), states will have 45 days from the
publication date of the Federal Register notice, announcing eligible states and incentive amounts,
to submit the required application materials. Applicants are advised that mail in the Washington,
D.C. area may be delayed due to mail decontamination procedures. Therefore, states are
encouraged to submit applications electronically. To ensure funds can be appropriately allotted
by the end of the program year, application materials are due by Monday, June 24, 2013, and
should be sent electronically to:
        Karen Staha at [email protected]
        Luke Murren at [email protected]

The street address follows:

       U.S. Department of Labor
       Employment and Training Administration
       Attn: Luke Murren
       200 Constitution Avenue, NW, Room N-5641
       Washington, D.C. 20210

States are encouraged to submit their applications prior to the due date. Funds must be obligated
by DOL to states by June 30, 2013. ETA regional staff will be available to provide any technical
assistance to states in preparing and expediting the applications.

10. Attachments. Standard Forms 424 and 424(A) are also available at:
    • Standard Form 424
    • Standard Form 424A

The complete PDF includes blank Standard Forms 424 and 424A on pages 6-11. Their field layouts are retained in the linked official PDF. Official separate forms: https://www.dol.gov/sites/dolgov/files/ETA/advisories/TEGL/2013/SF424_2_1-V2.1.pdf and https://www.dol.gov/sites/dolgov/files/ETA/advisories/TEGL/2013/SF424A-V1.0.pdf.