[Federal Register Volume 62, Number 17 (Monday, January 27, 1997)]
[Notices]
[Pages 3916-3921]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 97-1796]
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DEPARTMENT OF LABOR
Office of the Secretary
Submission for OMB Emergency Review; Comment Request
AGENCY: Employment and Training Administration, Labor.
ACTION: Supplemental information.
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SUMMARY: In notice document 97-1226 beginning on page 2689 in the issue
of Friday, January 17, 1997, and in notice document 97-1228 beginning
on page 2689, the supplemental information is being provided.
On January 14, 1997, the Department of Labor submitted an emergency
processing public information collection request (ICR) to the Office of
Management and Budget (OMB) for review and clearance under the
Paperwork Reduction Act of 1995 (Pub. L. 104-13, 44 U.S.C. Chapter 35).
As indicated, a copy of the applicable supporting documentation, may be
obtained by calling the Department of Labor Acting Departmental
Clearance Officer, Theresa M. O'Malley ((202) 219-5096, x. 143).
However, to assist persons interested in reviewing the documents
contained in these emergency processing public information collection
requests, the Department of Labor is publishing the text of the two
draft Training and Employment Guidance Letters.
Dated: January 21, 1997.
Theresa M. O'Malley,
Departmental Clearance Officer.
Directive: Training and Employment Guidance Letter No.
To: All State JTPA Liaisons, All State Worker Adjustment Liaisons, All
State Employment Security Agencies, All One-stop Career Center System
Leads
From: Barbara Ann Farmer, Administrator for Regional Management
Subject: Workforce Flexibility (Work-Flex) Partnership Demonstration
Program
1. Purpose. To announce the request for applications from States
for the Workforce Flexibility (Work-Flex) Partnership Demonstration
Program.
2. Background. The 1997 Department of Labor's Appropriations Act
(Public Law 104-208) authorizes the Workforce Flexibility (Work-Flex)
Partnership Demonstration Program. This directive transmits the
excerpts from the draft Federal Register Notice describing the process
for submittal of applications.
The appropriations legislation provides that the Secretary of Labor
may authorize Work-Flex demonstration program for provision of
workforce employment and training activities in ``* * * not more than
six States, of which at least three States shall each have populations
not in excess of 3,500,000 * * *''. The Work-Flex waiver may be for a
period of up to five years. Under this provision, the Secretary would
authorize a State ``to waive any statutory or regulatory requirement
applicable to service delivery areas or substate areas within the State
under titles I-III of the Job Training Partnership Act, with certain
exceptions and ``any of the statutory or regulatory requirements of
sections 8-10 of the Wagner-Peyser Act''.
The legislation authorizes the granting of the Work-flex waiver to
a state pursuant to a plan submitted by the State and approved by the
Secretary. Preference is to be given to States that have been
designated as Ed-Flex partnership States under section 311(e) of Public
Law 103-227. Excerpts from the draft Federal Register Notice which
announces this application process is attached.
Unlike the legislative provisions for Ed-Flex, the legislative
report language for Work-flex does not permit the Secretary of Labor to
consider State waiver requests. Instead, such authority is restricted
to the general waivers provisions. To address this deficiency, States
may submit both a Work-flex application and a general waiver request at
the same time. While there are differences in time coverage and
exceptions for the two sets of waiver authorities, a combined request
would permit a State to obtain waivers for both the State level and the
service delivery area/substate level for a minimum of one year. We are
entertaining joint submissions to permit streamlined submission and to
facilitate the objectives of the overall waiver authority. If the
general waiver authority is continued, then subsequent approvals of
State waiver requests could be continued.
3. Process for Submitting Applications. Applications will be
accepted by the Department until March 28, 1997. After that date,
proposals will
[[Page 3917]]
be accepted only if fewer than six States apply or fewer than three
with a population under 3,500,000 or fewer than six applications
received by that date are approved by the Secretary.
4. Action Required. States which are interested in obtaining
authority to grant waivers under the legislative authority provided
must follow the requirements contained in the attached excerpts from
the draft Federal Register Notice.
5. Inquiries. Questions regarding this directive should be referred
to your Employment and Training Administration regional office.
6. Attachment. Excerpts from the draft Federal Register Notice.
Background
The Work-Flex program is a demonstration program under which the
Secretary may grant six States the authority to waive certain statutory
may grant six States the authority to waive certain statutory or
regulatory requirements applicable to service delivery areas or
substate areas within the State under titles I-III of the Job Training
Partnership Act (JTPA) or sections 8-10 of the Wagner-Peyser Act (W-P
Act). The legislation also contains certain provisions that may not be
waived under the JTPA and the W-P Act. The types of these non-waivable
provisions and the specific provisions are discussed below.
The granting of authority to issue waivers is intended to provide
flexibility to States to enhance the development of a comprehensive
work force development system and to improve the quality and quantity
of outcomes for persons served. The legislation provides that at least
three of the six States shall have a population not in excess of
3,500,000 and that preference be given to States designated under Ed-
Flex. The proposal must provide a description of the process by which
service delivery areas and substate areas may apply for and have
waivers approved, the requirements of JTPA and the W-P Act to be
waived, the outcomes to be achieved, and the measures to be taken to
ensure appropriate accountability for Federal funds.
The Department is very interested in working with States within the
statutory authority to make improvements in the work force delivery
system. To this end, the Department wants the States to know it will
actively consider applications which will assist the State and its
local service delivery structure in implementing structure work force
delivery system improvements. The Department of Labor's guiding
principles for reform of the job training systems include:
Individual Opportunity and Customer Choice. Empowering
participants who need employment and training services with the
resources and information needed to make good choices.
Leaner Government. Replacing separate programs with
streamlined systems for youth and adults, organized around the
principles espoused by the School-to-Work and One-Stop concepts.
Greater Accountability. Ensuring a clear focus on results,
not process, through mutually agreed upon improved performance
outcomes.
State and Local Flexibility. Providing States, local
communities and training systems with the freedom to tailor programs to
meet real, locally determined needs.
Strong Private Sector Roles. Ensuring that business, labor
and community organizations are full partners in systems design and
quality assurance.
Finally, the Department wishes to remind the States of the
importance, especially within the School-to-Work framework, of
providing work opportunities, especially during the summer months to
disadvantaged youth.
Application Requirements and Criteria
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 as Ed-Flex States. Initially, applications will be received
until March 28, 1997. Since the Secretary may delegate waiver authority
to only six States, applications will be accepted after that date only
if fewer than six States apply, or if fewer than three States apply
with a population under 3,500,000 or if fewer than six States are
approved for designation as Work-Flex States.
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, or agency administrator with jurisdiction over both the JTPA,
titles I-III, and the WPA agency 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.
b. JTPA Requirements. A description of the process by which service
delivery areas and substate areas may apply for and have waivers
approved, including the criteria for approval and examples of the
waivers which will be considered for approval; 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 who would have authority
to grant requested waivers, including documentation that the State 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 provision(s) for which the waiver(s)
will likely be requested (either specific, if known, or examples);
(4) Description of the criteria for approval of waivers;
(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;
(7) Measures to be taken to ensure the appropriate accountability
for federal funds;
(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 that there are no state legislative, regulatory or
other impediments to administration of the waiver authority sought; 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, grievances procedures, judicial
review, nondiscrimination, allotment of funds and eligibility. Also,
since 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. For
example, this includes designation of service delivery areas or
substate areas, the state planning process, the State Education
Coordination and grants under section 123, the Services to Older
Individuals under section 204(d), the Title III funds reserved for
state
[[Page 3918]]
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 States 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. States must apply separately for such
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 are waiverable. The law also specifically
excludes from waivers any such 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.
c. 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 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. 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
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. The 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 previously
designated as Ed-Flex States.
5. Public Comments. All comments received on the application should
be forwarded with the application to the Department of Labor.
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; use of the waiver
authority is abused; or the state grants waivers for non-waivable
provisions.
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 selected
areas.
3. Notification of the Granting of Waivers. States will be required
to submit reports on a quarterly basis concerning the administration of
the waiver authority and on the accomplishments under this authority.
States shall notify the appropriate ETA Regional Administrator of the
granting of a waiver(s) each quarter. This notification shall include
the area for which the waiver is granted, the provision of legislation
and/or regulations 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 will be required 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 an evaluation of the effectiveness of
Work-flex.
Directive: Training and Employment Guidance Letter No.
To:
All JTPA State Liaisons
All Wagner-Peyser Administering Agencies
All State Worker, Readjustment Liaisons
All One-Stop Career Center System Leads
From: Barbara Ann Farmer, Administrator for Regional Management
Subject: Guidelines for Implementing Job Training System Improvements
through Waivers of the Job Training Partnership Act (JTPA) and the
Wagner-Peyser Act
1. Purpose. To transmit guidance for the development and submission
of a request for waiver of JTPA and Wagner-Peyser Act general
statutory/regulatory provisions.
2. Reference. The Department of Labor Appropriations Act of 1997
(Pub. L. 104-208 sections 101(e) and 105); Training Employment and
Information Notice No. 11-96, Statutory and Regulatory Waiver Authority
of the JTPA and the Wagner-Peyser Act.
3. Background. The Department of labor Appropriations Act for 1997,
(Pub. L. 104-208) contains three provisions relating to waivers:
[[Page 3919]]
a. General Statutory/Regulatory Waiver Authority for JTPA & Wagner-
Peyser;
b. The Work-Flex Partnership Demonstration Program; and
c. Continuation of the existing waiver authority for the State of
Oregon.
These guidelines do not address the continuation of the Oregon
waiver provision or the Work-Flex Partnership Demonstration Program. A
separate TEGL will be issued on Work-Flex.
The Statutory/Regulatory Waiver provision gives the Secretary
authority to grant both statutory and regulatory waivers of JTPA
(titles I-III) and Wagner-Peyser Act (Sections 8-10) and contains
``exclusions,'' i.e., provisions that may not be waived. The general
waiver authority is for a period of one program year beginning July 1,
1997 and provides:
Increased flexibility to States and local areas in
implementing reforms to the workforce development system in exchange
for accountability for results including improved performance.
An important opportunity for States and localities to
begin or continue to organize services into a workforce development
system through the concepts of One-Stop Career Centers and School-to-
Work systems which enhance the training and employment opportunities
available to adults and youths.
4. Principles for Further Reforms of the Job Training System. The
Department of Labor's (DOL) guiding principles for providing
flexibility to the job training systems include:
Individual Opportunity and Customer Choice. Empowering
participants who need employment and training services with the
resources and information needed to make good choices.
Leaner Government. Replacing separate programs with
streamlined systems for youth and adults, organized around the School-
to-Work and One-Stop concepts.
Greater Accountability. Ensuring a clear focus on results,
not process, through mutually agreed upon improved performance
outcomes.
State and Local Flexibility. Providing States, local
communities and training systems with the freedom to tailor programs to
meet real, locally determined needs.
Strong Private Sector Roles. Ensuring that business, labor
and community organizations are full partners in systems design and
quality assurance.
The employment and training community has been provided with new
authority to build a Workforce Development System. The Department
believes that effective use of the authority will demonstrate Federal,
State and local commitment to meeting the needs of our joint customers.
5. Statutory and/or Regulatory Requirements Covered by the Waiver
Authority. The statutory and regulatory waiver authority apply to
titles I-III of the Job Training Partnership Act and to sections 8-10
of the Wagner-Peyser Act.
Exclusions. Under the waiver provisions in the 1997 Appropriations
Act the following JTPA provisions may not be waived.
a. Wage and labor standards;
b. Worker rights, participation and protection;
c. Grievance procedures and judicial review;
d. Nondiscrimination;
e. Allocation of funds to local areas;
f. Eligibility;
g. Review and approval of plans;
h. Establishment and functions of service delivery areas and
private industry councils; and
i. The basic purposes of the act.
Requirements under the Wagner-Peyser Act relating to the following may
not be waived:
a. Services to unemployed insurance claimants and veterans;
b. Universal access to basic labor exchange services without cost
to job seekers.
The Department is very interested in working with States within the
statutory authority to make improvements in the workforce delivery
system. To this end, the Department wants the States to know that it
will actively consider specific requests for waivers to remove
programmatic and administrative barriers that will result in improved
services to individuals, that will assist the State and its local
service delivery structure in implementing workforce delivery system
improvements, or that will remove requirements, either program or
administrative, that do not appear to add value to the organization or
delivery of quality services. Regional offices will work with States
regarding specific provisions of the JTPA that can or cannot be waived.
The Department cannot waive other legislation which extends the
authority provided in Public Law 104-208, other regulations, or Office
of Management and Budget Circulars which apply to the State employment
security agencies. Therefore, should a request be received for waivers
which extend beyond the existing authority, it will not be granted. In
a similar manner, the Department cannot entertain requests for
retroactive changes.
6. Policy. In developing waiver requests, States should take into
consideration that the Department will not entertain the granting of
waivers which result in the commingling of funds or which undermine
accountability, as discussed below. While, in addition to the
exclusions set forth in section 5 of this TEGL, there will be other
policy considerations that will impact the Department's decision on
granting waivers, the Department believes the areas identified in this
section to be significant enough to cite in this guidance.
a. Prohibition on Commingling of Funds. One of the purposes that
could be served with the waiver authority is to make programs almost
identical (or seamless) from the participant's perspective. For
example, a State or SDA could request that the program design
requirements for titles II-A and III be uniform. However, it also
should be noted that the waiver provisions do not authorize the
commingling of funds from separate appropriations. General
appropriations law (31 U.S.C. 1301(a)) requires that appropriations be
applied only to the objects for which the appropriations were made
unless the law otherwise provides. In this case, the waiver provisions
do not provide specific authority to merge (as opposed to transfer)
program funds. In fact, since eligibility is not waivable, it is clear
that, for example, funds appropriated to provide assistance to
dislocated workers under title III would have to be expended for that
purpose, even though the particular requirements relating to the form
of such assistance could be waived. Therefore, while the Department is
committed to assisting States and SDAs in minimizing accounting and
reporting burdens, the waiver authority does not permit the Department
to relieve these entities from the responsibility of assuring that each
appropriation is only expended for its intended purpose. Thus, while as
noted above, the waiver authority could be used to make the program
design requirements identical for titles II-A and III, the funds for
the two programs would still have to be accounted for separately.
b. Disadvantaged Youth. The Department wishes to remind the States
of the importance of serving economically disadvantaged youth during
the summer months. Given the transfer provisions, commingling of funds
does not present an issue between the title II-B and title II-C
programs. However, the Department emphasizes the importance maintaining
a summer component to serve economically disadvantaged youth during the
summer months.
[[Page 3920]]
c. Accountability. To ensure programmatic and fiscal integrity, it
is extremely important that there be both adequate oversight and
complete reporting. Reporting must be sufficient to provide a record of
individual need, the programmatic and financial outcomes achieved and
the resultant indication of success and improvement. Monitoring is key
to ensuring that the goals and objectives of both the program and any
waivers granted will be achieved. While the Department may entertain
waiver requests that pertain to reporting, it will not approve any such
request that undermines the ability to account to the Congress for
fundamental programmatic and financial outcomes or the ability to make
basic comparisons in the performance among States. Also, the Department
expects that State waiver requests will include plans to monitor
performance under the waiver(s) to assure that the anticipated goals
and objectives of the request(s) will be achieved.
7. Waiver Elements. Submission of waiver requests are voluntary. In
the event that a State desires to seek a waiver the appropriations
language requires that any such waiver request include:
a. Memorandum of Understanding (MOU). The MOU is between the
Secretary and the State (Governor) and among other things, requires the
State to ``meet agreed upon outcomes and implement other appropriate
measures to ensure accountability.'' The MOU will represent the
agreement between the Secretary and the State vis a vis the waiver and
constitute a modification to the Governor/Secretary Agreement or the ES
Master Agreement as appropriate; and
b. Waiver Plan. The Appropriations Act requires the State to
provide a minimum amount of information regarding the waiver requested
(see Item 9.b. below). The ``waiver plan'' is the State's request to
waive certain statutory or regulatory requirements. The ``waiver plan''
will be treated as a modification to the State's approved Governor's
Coordination and Special Services Plan (GCSSP) required by section 121
of JTPA, or the State's Employment and Training Assistance for
Dislocated Workers Biennial Plan, or the Wagner-Peyser Plans, whichever
is applicable.
8. Duration and Applicability of Waiver. The waivers are for one
year, starting on July 1, 1997, through June 30, 1998 and will apply to
funds available for expenditure in program year 1997. This includes
available funds from PY 1995, 1996 and 1997. While the ETA's statutory/
regulatory waiver authority is limited to one year, it is anticipated
that if the authority is extended by the Congress and the State has
used its authority prudently, then the waivers would be continued as
has been the case in other similar instances.
9. Waiver Plan Submission.
a. Development of Waiver Request. The Employment and Training
Administration (ETA) Regional Offices will be responsible for providing
guidance and assistance to the States as they are developing their
waiver requests, answering questions about the ETA waiver policy and
advising the Assistant Secretary regarding approval of the waiver
request(s). It is expected that the Regional Offices will have a
continuing dialogue with their States during the developmental stages
of waiver requests. The Regional Offices are available to review and
provide comments on draft proposals and provide assistance in
preparation of the waiver plan submission.
The Department intends that the process for development of waivers
will be in a partnership with the State. To this end, States are
invited to engage Regional Offices in the development of their waivers.
The ETA Regional Administrators will make themselves and their
appropriate staff available to consult with States and provide
technical assistance as necessary. Upon completion of the waiver
request, the States will submit two copies of their waiver request to
the appropriate Regional Administrator.
b. Minimum Requirements. The statute requires the Secretary to make
a determination of how a State's request to waive certain statutory and
regulatory requirements would remove impediments and improve the
State's or local service delivery areas's ability to achieve its goals.
It also requires the State to include a summary description of the
programmatic or administrative goals to be achieved in order to
overcome the barrier.
The Governor must provide at least the minimum information
indicated below in order for ETA to make an informed decision on
whether to approve the requested waiver. Where documentation (e.g.
statistical information, reports, focus groups, customer surveys) is
available, it should be provided to corroborate the statements made in
the waiver request. In the absence of such data the State is expected
to provide a substantive discussion and examples of barriers and
proposed solutions which support the proposed removal of the
requirements.
(1) State and Local Goals. An introductory statement on the State's
workforce development system that the State is attempting to build and
how the waivers relate to that broader vision, including the
accountability framework. The goals provided should take into
consideration the principles articulated above.
(2) Summary of Waiver Request(s). A matrix of the specific
waiver(s) requested (including the legislative and/or regulatory
citations); the barrier which the request addresses; and the outcome
that will be achieved by the granting of the waiver. A description of
how similar State requirements would be waived.
(3) Barriers/Requirements to be Waived. A summary description of
the programmatic or administrative goals to be achieved in order to
overcome the barriers and the individual waivers requested. For each
waiver requested, include a description of the specific barrier which
is preventing the achievement of the goals and an illustration of the
barrier; the specific statutory/regulatory requirement to be waived;
and a description of the expected benefit of the waiver.
(4) Impact of Waivers/Outcomes and Performance Targets. Description
of performance outcomes and other improvements that are the goals of
the waiver request. Describe the anticipated outcomes and/or
performance improvements. Include qualitative and/or quantitative
outcomes to be achieved. Specify how success and/or progress on
outcomes will be determined.
(5) State and Local Service Delivery Areas Actions Taken to Remove
Barriers. Specific actions taken or to be taken by the State or local
service delivery areas to remove state and local barriers (e.g.,
policies, guidelines, rules and regulations) should also be addressed.
(6) Comments Process. Description of the consultation process
within the State, as well as the process for review and comments on the
State's waiver request.
(7) Monitoring. Description of the process the State will use to
monitor the implementation of the waiver. Specify how the State will
evaluate progress and continuous improvement of the approved waiver and
the corresponding programmatic and operating systems, i.e., reports and
analysis. Specify how outcomes/progress will be reported to DOL and how
the integrity of public funds will be ensured.
c. Public Consultation and Comment Process. The Department expects
the State to involve the local elected officials, PICs, community-based
organizations and other stakeholders in the process when developing the
plan which accompanies the waiver application. Consistent with the
general
[[Page 3921]]
waiver request, the State must provide interested parties an
opportunity to review and comment on the proposed waiver. At a minimum,
the law requires that the following groups be afforded the opportunity
to review and comment on the proposed waiver request: (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 educational and other public and private 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. (NOTE: In the case of a waiver request concerning Title
III, the State is expected to consult with labor organizations
representing workers to be trained.)
Also, the proposed plan must be made reasonably available to the
general public through such means as public hearings and local news
media. All comments received on the waiver request should be forwarded
with the waiver request to the Department of Labor.
d. Timeframe for Response. The Department will make every effort to
act upon proposals by July 1, 1997, if they are received by April 30.
In general, the Department intends to respond to most waiver requests
within 60 days from the date of receipt. Each wavier request will be
evaluated on its own merits, where necessary, the Department may seek
further discussions or negotiations on a waiver request either with
regard to changing certain aspects of the request or with regard to the
quality of the proposed improvements or outcomes. In order to provide a
prompt response, the Department may respond with a partial approval in
those instances where a request contains multiple parts and further
information or clarification is required on one or more parts of the
request. In the spirit of a continuing partnership to improve the
workforce development system, the Department recognizes that the need
for additional waivers may become apparent to the State during the
implementation of its plan. Therefore, States may submit a request for
an additional waiver as the need arises, following the process
described in this TEGL.
10. Impact of New Statutory/Regulatory Waiver Authority on Current
Regulatory Waiver Authority Promulgated at 20 CFR 627.210:
As indicated earlier in this TEGL, DOL's 1997 Appropriations Act
provided authority for the Secretary to grant waivers, within limits,
of statutory and regulatory requirements for titles I-III of the JTPA
and for Sections 8-10 of the Wagner-Peyser Act. Until the enactment of
the JTPA Amendments and the promulgation of the September 2, 1994,
Final Rule implementing those amendments, the Secretary did not have
the authority to waiver either the Act or regulations under either JTPA
or Wagner-Peyser. The Final Rule included a provision for the Secretary
of Labor to waiver certain administratively imposed requirements as set
forth at 20 CFR 627.201. This limited waiver authority did not extent
to statutory requirements or statutorily-based regulatory requirements,
which could not be waived. This authority also did not cover Wagner-
Peyser provisions.
Questions have been raised as to what impact the new JTPA statutory
and regulatory authority will have, if any, on waivers which have been
granted under the regulatory authority codified at 20 CFR 627.201. The
answer is, ``none.'' Waivers previously granted under the old
regulatory waiver authority will continue to remain in effect until
such time as the Governor decides that the waiver is no longer
necessary, or the duration of the granted waiver expires.
It is conceivable that a State may still wish to request a waiver
under the authority outlined at 20 CFR 627.201. States should clearly
indicate under which authority (i.e., JTPA regulations or DOL
Appropriations Act) they are requesting a waiver. Failure to do so can
slow down the review and approval/disapproval process.
11. Actions Required. States are expected to fully involve local
areas in the development of the waivers. They are also requested to
distribute the information on both the Federal process described in
this TEGL and the State-established waiver process to their State staff
(both JTPA and ES), the SESA local offices, the JTPA SDAs/SSAs, and
other interested stakeholders throughout the State.
12. Inquiries and Comments. Requests for technical assistance or
other inquiries should be directed to the Regional Office (see
Attachment for list of regional liaisons).
Attachment
List of Regional Liaisons on Waiver Requests
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Region and individual liaisons Telephone Nos.
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I Raymond H. Poet..................... 617-565-2243
II Thomas J. McKenna.................. 212-337-2180
III Barry Bridge...................... 215-596-6353
IV Ruby Campbell...................... 404-347-3495
V Donald Sutherland................... 312-353-2775
VI Anna C. Hall/Robert Larrea......... 214-767-2154
VII Roland Berg....................... 816-426-3796 x246
VIII Maxine Ugarte.................... 303-844-1650
IX Ann Marie Myers.................... 415-975-4669
X Smith Piper......................... 206-553-7798
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[FR Doc. 97-1796 Filed 1-24-97; 8:45 am]
BILLING CODE 4510-30-M