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TRAINING AND EMPLOYMENT GUIDANCE LETTER NO. 20-01, Change 2
1. Purpose. This guidance letter updates the procedures states should follow to apply for WIA Section 503 Incentive Grants. 2. References. Workforce Investment Act of 1998 (WIA) (Pub. L. 105-220) sections 174, 211, and 503, (29 U.S.C. 2919, 20 U.S.C. 9211, 9273); Training and Employment Guidance Letter (TEGL) No. 8-99, Negotiating Performance Goals, and Incentives and Sanctions Process under title I of the Workforce Investment Act (WIA) (March 3, 2000); TEGL No. 14-00, Change 1, Workforce Investment Act Performance Reporting System (November 19, 2001); TEGL No. 14-03, Performance Reporting Submission Procedures for the Workforce Investment Act Standardized Record Data (WIASRD) and the Annual Report under title 1-B of the Workforce Investment Act (November 13, 2003); 20 CFR part 664, 666.200 - 666.230, and 666.205(c); and Carl D. Perkins Vocational and Technical Education Act (Perkins Act) (Pub. L. 105-332) section 111(a) (20 U.S.C. 2302(9), 2321(a)). 3. Background. Section 503 of the Workforce Investment Act 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 development services (29 U.S.C. 2919(b)(2)(D)), Adult Education and Family Literacy Act (AEFLA) section 211(a)(3) for adult education activities (20 U.S.C. 9211(a)(3)), and the Carl D. Perkins Vocational and Technical Education Act (Perkins Act) section 111(a)(1)(C) for vocational education activities (20 U.S.C. 2321(a)(1)(c)). Fiscal Year 2003 funding available for PY 2002 performance totals $24,460,031 made up of $7,922,000 from WIA title I, and $16,538,031 from the Department of Education.
Department of Labor regulations on incentive awards may be found at 20 CFR 666.200 through 666.230. 4. Eligibility. The list of states eligible to receive incentive grant awards for PY 2002 performance, and the amounts of the awards for which they are eligible, are scheduled for publication in the Federal Register on April 19, 2004. Eligibility for a section 503 incentive grant award was determined by state performance under WIA title I, AEFLA, and Perkins Act programs. States that are eligible for incentive grant awards have 45 days from the April 19, 2004, 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 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 awards for PY 2002 performance, the criterion for determining the amount of the incentive grant within this range will be the size of the state's programs, as measured by the state's relative share of the combined title I, AEFLA, and Perkins III formula grants awarded to that state. 6. Authorized Use of Funds. 20 CFR 666.210 authorizes 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 I of WIA, AEFLA, or the Perkins Act. As a result, states have great flexibility in using these funds, and the 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, Program Year 2003 funds and must be expended by June 30, 2006. Because this time frame differs from the typical time frames used by programs under AEFLA and the Perkins Act, cooperation among state agencies to ensure timely expenditure of these funds is highly encouraged. States may expend funds for activities authorized under WIA title I, 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 I activity for youth services, the applicable program requirements for youth programs in 20 CFR 664 and WIA title I would apply to that portion of the funds. If innovative Adult Education and Literacy and/or Perkins Act programs were planned, the provisions of AEFLA, the Perkins Act and the Education Department's General Administrative Regulations (EDGAR) (34 CFR 74-77, 79-82, 85-86, and 97-99) would apply to that portion of the funds. 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: In addition, states are encouraged to plan activities that promote cooperation and collaboration among the agencies administering WIA title I, AEFLA, and Perkins Act programs. 7. Application Process. States that qualify must apply by sending an original and two copies of an application for an incentive grant to the Department of Labor, which will work with the Department of Education to review the applications (electronic transmissions are allowable as long as electronic signatures are included). The application may take the form of a letter from the governor to the Assistant Secretary of Labor (addresses are listed below), and must include the following:
A. Assurances 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 the WIA title I, AEFLA, and/or Perkins Act, as required by WIA section 503(a). When describing the planned activities in response to number 2, below, the state should note which program the activities fall under. The other descriptive information (see numbers 3 and 4, below) about the state's plan is requested for inclusion in the state's grant document. The Departments of Labor and Education will use this information in monitoring the use of incentive grants and in reports to Congress on state performance. (Note: The state's receipt of an incentive grant is not contingent on this other descriptive information, but this information is required for the WIA title V Grant Agreement.)
8. Action Required.
Emily Stover DeRocco Funds must be obligated by June 30, 2004. States are encouraged to submit their applications prior to the due date. The Regional Administrators will be available to provide any technical assistance to states in preparing and expediting the applications. 9. Attachments.
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