1. Who may apply and when may applications be submitted?
Any State may apply for designation as a Work-Flex State. As
required under the legislation and as discussed below, preference
will be given to States designated by the Secretary of Education
as Ed-Flex States. Initially, applications will be received until
May 30, 1997. Since the Secretary may delegate waiver authority
to only six States, applications will be accepted after that date
only if: 1) fewer than six States apply; or 2) fewer than three
States apply with a population under 3,500,000 or 3) fewer than
six applications received by May 30 are approved by the
Secretary. Please note that not more than a total of six States
will be designated under WorkFlex. If six applications are
approved in FY 1997, no additional designations will be made. If
six States are not designated in FY 1997, and proposed language
in the 1998 budget is approved, additional States up to a total
of six may be designated.
Single SDA States with one State-wide SDA/SSA may apply for
Work-Flex designation. In such States, the application must
specify the entity which may request such waivers (typically the
SJTCC or portion thereof which serves as the Private Industry
Council). The Department recommends that States which have a
single SDA identify a different body with responsibility for
making decisions on requested waivers.
2. What information should be included in a State's
Work-Flex proposal? To be considered for designation as a
Work-Flex State, the Governor must submit an application to the
Secretary. This application must include the following:
a. Plan. A plan for the provision of workforce
employment and training activities for the State. This may be a
summary of the State plan for employment and training activities,
but should be in sufficient detail to describe how the State
envisions using the Work-Flex authority to enhance the
development of a comprehensive employment and training system.
b. JTPA Requirements. A description of the process by
which service delivery areas and substate areas may apply for and
have waivers approved; and
c. W-P Act Requirements. A description of the specific
requirements in Sections 8, 9 and 10 of the W-P Act and
applicable regulations to be waived.
d. Specific Elements to be Addressed. To be responsive
to the above, the application must contain a specific description
of the process and requirements for JTPA and W-P Act waivers (as
appropriate), including:
(1) identification of the State official designated by the
Governor who would have authority to grant requested waivers,
including documentation that the Governor has granted the
official such authority;
(2) requirements for application for a waiver by service
delivery areas and substate areas;
(3) identification of the JTPA requirement(s) for which
the waivers(s) will likely be requested (either specific, if
known, or examples);
(4) description of the criteria for approval of waivers,
including a description of the process for assuring that
waivers proposed for approval are not prohibited by the
provisions of legislation (including requirements of
legislation other than JTPA), or provisions under which the
Work-Flex authority is granted ;
(5) process for providing an opportunity for public review
and comment;
(6) requirement(s) for identification of improvement in
outcomes to be expected as the result of granting a waiver,
including how the baseline will be established and what data
sources will be used;
(7) measures to be taken to ensure the appropriate
accountability for federal funds and reporting;
(8) procedures that the State will use to monitor and
evaluate the implementation of waivers by local areas,
including the outcomes to be achieved;
(9) a statement of State legislative, regulatory or other
impediments to administration of the waiver authority sought
and planned State action to resolve such matters; and
(10) assurance that the State has the capacity to
administer the waiver system.
As provided in the legislation, certain provisions are not
subject to waiver under Work-Flex. For the JTPA, these include
requirements relating to wage and labor standards, grievance
procedures, judicial review, nondiscrimination, allotment of
funds and eligibility. Also, waiver authority must be requested
by and granted to service delivery areas or substate areas. State
responsibilities or programs operated under statewide authority
are not subject to waiver under this program. For example, this
includes designation of service delivery areas or substate areas,
the State planning process, the State Education and Coordination
grants under section 123, the Services to Older Individuals under
section 204(d), the Title III funds reserved for State activities
(Governors' Reserve) under section 302(c) and grants awarded to
States with Title III National Reserve Account (NRA) funds.
Note: Some provisions (such as certain State
responsibilities) not subject to waiver under the Work-Flex
authority may be eligible for waiver under the other new
statutory or regulatory waiver authority included in the
Appropriations Act. For example, a State may apply for waivers
for State-based programs. Such general waiver requests may be
submitted as part of the Work-Flex proposal or may be submitted
separately. General waiver requests will be reviewed in the
context of the requested Work-Flex authority, but will be subject
to the one-year limit applicable to such general waivers.
For the W-P Act, only the requirements of sections 8-10, which
relate to the development, review and approval of State plans,
recordkeeping and reporting may be waived. The law also
specifically excludes from waivers any requirements relating to
provision of services to unemployment insurance claimants and
veterans and to universal access to basic labor exchange services
without cost to job seekers.
e. Public Consultation and Comment Process. The
Department expects the State to involve the local elected
officials, the private industry councils, and community-based
organizations and other stakeholders in the process when
developing the Work-Flex application. Consistent with the general
waiver request, the State must provide interested parties an
opportunity to review and comment on the proposed application. At
a minimum, the following groups must be afforded the opportunity
to review and comment on the proposed application: (1) The State
Job Training Coordinating Council; (2) each house of the State
legislature; (3) local elected officials and Private Industry
Councils; (4) appropriate local education and other public and
non-profit agencies in the service delivery areas; and (5) labor
organizations in the area which represent employees having the
skills in which training is proposed and public sector unions,
where they may be affected. Also, the proposed application must
be made reasonably available to the general public through such
means as public hearings and local news facilities.
The Work-Flex authority is intended to provide States with the
ability to enhance the development of a comprehensive workforce
development system, including implementation of the One-Stop
Career Center system and the School-to-Work system. Another area
of importance is the area of improving both the quality and
quantity of outcomes of individuals served. Both of these will be
of substantial importance in reviewing of proposals requesting
the granting of the Secretary's authority for issuing waivers
under Work-Flex.
CRITERIA FOR EVALUATION OF WORK-FLEX APPLICATIONS
Criteria for evaluation of Work-Flex proposals include:
1. Plan and Outcomes. The extent to which the authority
sought will result in:
a. improving the outcomes to persons served, and
b. enhancing implementation of a comprehensive workforce
development system in one or more areas.
The extent to which the authority sought will enhance the
implementation of the One-Stop Career Center system and/or the
School-to-Work system will be major factors in the evaluation of
proposals.
2. Responsiveness. The extent to which the application
meets the requirements of the legislation and this Notice for
submission of an application. This includes the quality of the
process for reviewing and approving local applications for
waivers and for documenting and monitoring the results of
waivers.
3. Accountability of Funds. Measures to be taken to
ensure the accountability of federal funds, including monitoring,
evaluation and reports.
4. Preference for Ed-Flex States - Tie-Breaking Procedures.
Proposals will be evaluated based on the quality and specificity
of the proposal. In the event that proposals submitted are judged
to be substantially equal, preference will be given to States
designated as Ed-Flex States on or before May 30, 1997.
5. Public Comments. All comments received on the
application should be forwarded with the application to the
Department of Labor together with the State's disposition of such
comments.
CONDITIONS
1. Federal Review of Work-Flex Waivers Granted. In
applying for waivers, States must recognize that the impact of
the use of Work-Flex authority to achieve goals and outcomes
specified in the State proposal will be reviewed annually against
stated goals. The Department reserves the right to withdraw the
authority to issue waivers if: goals specified are not met for
two consecutive years; or the State grants waivers for
non-waivable provisions or for provisions of other legislation
not subject to waiver.
2. Duration and Coverage. Work-Flex authority may be
granted for up to five years. States granted such authority may
approve waivers requested from all service delivery areas or
substate areas or from selected areas.
3. Notification of the Granting of Waivers. States will
be required to submit reports on a semi-annual basis concerning
the administration of the waiver authority and on the
accomplishments under this authority. After one year, annual
reporting will be required. States shall notify the appropriate
ETA Regional Administrator of the granting of a waiver(s)
semi-annually. This notification shall include the area for which
the waiver is granted, the provision of legislation and/or
regulation waived and the duration of the waiver.
4. Federal Assistance. States are encouraged to
regularly consult with the ETA Regional Office regarding any
matters in which the discussion and assistance in the Work-Flex
administration would be useful. Because Work-Flex is an important
demonstration program with implications for future job training
and employment service delivery, it is important that Work-Flex
be tested to ensure that appropriate accountability can be
maintained. ETA Regional staff will be responsible for providing
information on Work-Flex administration and implementation.
States granted Work-Flex authority are strongly urged to work
closely -- on an ongoing basis -- with Regional Office staff so
that both the federal and State partners are fully informed on
the status and issues under Work-Flex. States may be asked to
participate with ETA staff in designing and conducting the
planned evaluation of the effectiveness of Work-Flex.
