[Federal Register: August 11, 2000 (Volume 65, Number 156)]

[Rules and Regulations]

[Page 49293-49342]

From the Federal Register Online via GPO Access [wais.access.gpo.gov]

[DOCID:fr11au00-7]

PART 665--STATEWIDE WORKFORCE INVESTMENT ACTIVITIES UNDER TITLE I

OF THE WORKFORCE INVESTMENT ACT

Subpart A--General Description

Sec.

665.100 What are the Statewide workforce investment activities

under title I of WIA?

665.110 How are Statewide workforce investment activities funded?

Subpart B--Required and Allowable Statewide Workforce Investment

Activities

665.200 What are required Statewide workforce investment

activities?

665.210 What are allowable Statewide workforce investment

activities?

665.220 Who is an ``incumbent worker'' for purposes of Statewide

workforce investment activities?

Subpart C--Rapid Response Activities

665.300 What are rapid response activities and who is responsible

for providing them?

665.310 What rapid response activities are required?

665.320 May other activities be undertaken as part of rapid

response?

665.330 Are the NAFTA-TAA program requirements for rapid response

also required activities?

665.340 What is meant by ``provision of additional assistance'' in

WIA section 134(a)(2)(A)(ii)?

Authority: Section 506(c), Pub. L. 105-220; 20 U.S.C. 9276(c).

Subpart A--General Description

Sec. 665.100 What are the Statewide workforce investment activities

under title I of WIA?

Statewide workforce investment activities include Statewide

employment and training activities for adults and dislocated workers,

as described in WIA section 134(a), and Statewide youth activities, as

described in WIA section 129(b). They include both required and

allowable activities. In accordance with the requirements of this

subpart, the State may develop policies and strategies for use of

Statewide workforce investment funds. Descriptions of these policies

and strategies must be included in the State Plan. (WIA secs. 129(b),

134(a).)

Sec. 665.110 How are Statewide workforce investment activities funded?

(a) Except for the Statewide rapid response activities described in

paragraph (c) of this section, Statewide workforce investment

activities are supported by funds reserved by the Governor under WIA

section 128(a).

(b) Funds reserved by the Governor for Statewide workforce

investment activities may be combined and used for any of the

activities authorized in WIA sections 129(b), 134(a)(2)(B) or

134(a)(3)(A) (which are described in Secs. 665.200 and 665.210),

regardless of whether the funds were allotted through the youth, adult,

or dislocated worker funding streams.

(c) Funds for Statewide rapid response activities are reserved

under WIA section 133(a)(2) and may be used to provide the activities

authorized at section 134(a)(2)(A) (which are described in

Secs. 665.310 through 665.330). (WIA secs. 129(b), 133(a)(2),

134(a)(2)(B), and 134(a)(3)(A).)

Subpart B--Required and Allowable Statewide Workforce Investment

Activities

Sec. 665.200 What are required Statewide workforce investment

activities?

Required Statewide workforce investment activities are:

(a) Required rapid response activities, as described in

Sec. 665.310;

(b) Disseminating:

(1) The State list of eligible providers of training services

(including those providing non-traditional training services), for

adults and dislocated workers;

(2) Information identifying eligible providers of on-the-job

training (OJT) and customized training;

(3) Performance and program cost information about these providers,

as described in 20 CFR 663.540; and

(4) A list of eligible providers of youth activities as described

in WIA section 123;

(c) States must assure that the information listed in paragraphs

(b)(1) through (4) of this section is widely available.

(d) Conducting evaluations, under WIA section 136(e), of workforce

investment activities for adults, dislocated workers and youth, in

order to establish and promote methods for continuously improving such

activities to achieve high-level performance within, and high-level

outcomes from, the Statewide workforce investment system. Such

evaluations must be designed and conducted in conjunction with the

State and Local Boards, and must include analysis of customer feedback,

outcome and process measures in the workforce investment system. To the

maximum extent practicable, these evaluations should be conducted in

coordination with Federal evaluations carried out under WIA section

172.

(e) Providing incentive grants:

(1) To local areas for regional cooperation among Local Boards

(including Local Boards for a designated region, as described in 20 CFR

661.290);

(2) For local coordination of activities carried out under WIA; and

(3) For exemplary performance by local areas on the performance

measures.

(f) Providing technical assistance to local areas that fail to meet

local performance measures.

(g) Assisting in the establishment and operation of One-Stop

delivery systems, in accordance with the strategy described in the

State workforce investment plan. (WIA sec. 112(b)(14).)

(h) Providing additional assistance to local areas that have high

concentrations of eligible youth.

(i) Operating a fiscal and management accountability information

system, based on guidelines established by the Secretary after

consultation with the Governors, chief elected officials, and One-Stop

partners, as required by WIA section 136(f). (WIA secs. 129(b)(2),

134(a)(2), and 136(e)(2).)

Sec. 665.210 What are allowable Statewide workforce investment

activities?

Allowable Statewide workforce investment activities include:

(a) State administration of the adult, dislocated worker and youth

workforce investment activities, consistent with the five percent

administrative cost limitation at 20 CFR 667.210(a)(1).

(b) Providing capacity building and technical assistance to local

areas, including Local Boards, One-Stop operators, One-Stop partners,

and eligible providers, which may include:

(1) Staff development and training; and

(2) The development of exemplary program activities.

(c) Conducting research and demonstrations.

(d) Establishing and implementing:

(1) Innovative incumbent worker training programs, which may

include an employer loan program to assist in skills upgrading; and

(2) Programs targeted to Empowerment Zones and Enterprise

Communities.

(e) Providing support to local areas for the identification of

eligible training providers.

(f) Implementing innovative programs for displaced homemakers, and

programs to increase the number of individuals trained for and placed

in non-traditional employment.

(g) Carrying out such adult and dislocated worker employment and

training activities as the State determines are necessary to assist

local areas in carrying out local employment and training activities.

(h) Carrying out youth activities Statewide.

(i) Preparation and submission to the Secretary of the annual

performance progress report as described in 20 CFR 667.300(e). (WIA

secs. 129(b)(3) and 134(a)(3).)

Sec. 665.220 Who is an ``incumbent worker'' for purposes of Statewide

workforce investment activities?

States may establish policies and definitions to determine which

workers, or groups of workers, are eligible for incumbent worker

services under this subpart. An incumbent worker is an individual who

is employed, but an incumbent worker does not necessarily have to meet

the eligibility requirements for intensive and training services for

employed adults and dislocated workers at 20 CFR 663.220(b) and

663.310. (WIA sec. 134(a)(3)(A)(iv)(I).)

Subpart C--Rapid Response Activities

Sec. 665.300 What are rapid response activities and who is responsible

for providing them?

(a) Rapid response activities are described in Secs. 665.310

through 665.330. They encompass the activities necessary to plan and

deliver services to enable dislocated workers to transition to new

employment as quickly as possible, following either a permanent closure

or mass layoff, or a natural or other disaster resulting in a mass job

dislocation.

(b) The State is responsible for providing rapid response

activities. Rapid response is a required activity carried out in local

areas by the State, or an entity designated by the State, in

conjunction with the Local Board and chief elected officials. The State

must establish methods by which to provide additional assistance to

local areas that experience disasters, mass layoffs, plant closings, or

other dislocation events when such events substantially increase the

number of unemployed individuals.

(c) States must establish a rapid response dislocated worker unit

to carry out Statewide rapid response activities.

(WIA secs. 101(38), 112(b)(17)(A)(ii) and 134(a)(2)(A).)

Sec. 665.310 What rapid response activities are required?

Rapid response activities must include:

(a) Immediate and on-site contact with the employer,

representatives of the affected workers, and the local community, which

may include an assessment of the:

(1) Layoff plans and schedule of the employer;

(2) Potential for averting the layoff(s) in consultation with State

or local economic development agencies, including private sector

economic development entities;

(3) Background and probable assistance needs of the affected

workers;

(4) Reemployment prospects for workers in the local community; and

(5) Available resources to meet the short and long-term assistance

needs of the affected workers.

(b) The provision of information and access to unemployment

compensation benefits, comprehensive One-Stop system services, and

employment and training activities, including information on the Trade

Adjustment Assistance (TAA) program and the NAFTA-TAA program (19

U.S.C. 2271 et seq.);

(c) The provision of guidance and/or financial assistance in

establishing a labor-management committee voluntarily agreed to by

labor and management, or a workforce transition committee comprised of

representatives of the employer, the affected workers and the local

community. The committee may devise and oversee an implementation

strategy that responds to the reemployment needs of the workers. The

assistance to this committee may include:

(1) The provision of training and technical assistance to members

of the committee;

(2) Funding the operating costs of a committee to enable it to

provide advice and assistance in carrying out rapid response activities

and in the design and delivery of WIA-authorized services to affected

workers. Typically, such support will last no longer than six months;

and

(3) Providing a list of potential candidates to serve as a neutral

chairperson of the committee.

(d) The provision of emergency assistance adapted to the particular

closing, layoff or disaster.

(e) The provision of assistance to the local board and chief

elected official(s) to develop a coordinated response to the

dislocation event and, as needed, obtain access to State economic

development assistance. Such coordinated response may include the

development of an application for National Emergency Grant under 20 CFR

part 671. (WIA secs. 101(38) and 134(a)(2)(A).)

Sec. 665.320 May other activities be undertaken as part of rapid

response?

Yes, a State or designated entity may provide rapid response

activities in addition to the activities required to be provided under

Sec. 665.310. In order to provide effective rapid response upon

notification of a permanent closure or mass layoff, or a natural or

other disaster resulting in a mass job dislocation, the State or

designated entity may:

(a) In conjunction, with other appropriate Federal, State and Local

agencies and officials, employer associations, technical councils or

other industry business councils, and labor organizations:

(1) Develop prospective strategies for addressing dislocation

events, that ensure rapid access to the broad range of allowable

assistance;

(2) Identify strategies for the aversion of layoffs; and

(3) Develop and maintain mechanisms for the regular exchange of

information relating to potential dislocations, available adjustment

assistance, and the effectiveness of rapid response strategies.

(b) In collaboration with the appropriate State agency(ies),

collect and analyze information related to economic dislocations,

including potential closings and layoffs, and all available resources

in the State for dislocated workers in order to provide an adequate

basis for effective program management, review and evaluation of rapid

response and layoff aversion efforts in the State.

(c) Participate in capacity building activities, including

providing information about innovative and successful strategies for

serving dislocated workers, with local areas serving smaller layoffs.

(d) Assist in devising and overseeing strategies for:

(1) Layoff aversion, such as prefeasibility studies of avoiding a

plant closure through an option for a company or group, including the

workers, to purchase the plant or company and continue it in operation;

(2) Incumbent worker training, including employer loan programs for

employee skill upgrading; and

(3) Linkages with economic development activities at the Federal,

State and local levels, including Federal Department of Commerce

programs and available State and local business retention and

recruitment activities.

Sec. 665.330 Are the NAFTA-TAA program requirements for rapid response

also required activities?

The Governor must ensure that rapid response activities under WIA

are made available to workers who, under the NAFTA Implementation Act

(Public Law 103-182), are members of a group of workers (including

those in any agricultural firm or subdivision of an agricultural firm)

for which the Governor has made a preliminary finding that:

(a) A significant number or proportion of the workers in such firm

or an appropriate subdivision of the firm have become totally or

partially separated, or are threatened to become totally or partially

separated; and

(b) Either: (1) The sales or production, or both, of such firm or

subdivision have decreased absolutely; and

(2) Imports from Mexico or Canada of articles like or directly

competitive with those produced by such firm or subdivision have

increased; or

(c) There has been a shift in production by such workers' firm or

subdivision to Mexico or Canada of articles which are produced by the

firm or subdivision.

Sec. 665.340 What is meant by ``provision of additional assistance''

in WIA section 134(a)(2)(A)(ii)?

Up to 25 percent of dislocated worker funds may be reserved for

rapid response activities. Once the State has reserved adequate funds

for rapid response activities, such as those described in Sec. 665.310

and 665.320, the remainder of the funds may be used by the State to

provide funds to local areas, that experience increased numbers of

unemployed individuals due to natural disasters, plant closings, mass

layoffs or other events, for provision of direct services to

participants (such as intensive, training, and other services) if there

are not adequate local funds available to assist the dislocated

workers.