Q & A Disclaimer

This information is provided as a public service by DOL. It represents the Department's best effort to provide useful information in a timely manner. DOL will update this material as necessary to address experience under the WIA.

These questions and answers will not represent official Agency policy until DOL completes the process of preparing for their release in official policy documents (TEGLs and TEINs).

If you have any questions regarding the application of a question or answer to your particular circumstances, please contact your ETA Regional Office.

Three stages in the process of transitioning from JTPA to WIA have been identified:

1. Full Implementation (Option 1): These States will have all required elements in place and operational by the start date of their WIA grant.

2. Phase-ins of required elements (Option 2): States which have some but not all required elements in place, may submit a Transition Plan describing how the State plans to become fully operational by a date specified in the plan that is no later than July 1, 2000.

3. Planning and implementing aspects of WIA under the JTPA system: Under current waiver authority and allowable activities under JTPA, States and localities have significant flexibility to plan and implement portions of WIA. Specific guidance to identify the types of activities that are allowable during this phase is contained in this document.

For the convenience of the reader, the WIA Transition issues have been broken into five categories -- PARTICIPANTS, FUNDS, SYSTEMS, CLOSEOUT and FEDERAL RESPONSES.

PARTICIPANTS -- Provisions for Individuals Currently Enrolled in JTPA Programs. It is ETA's intent that individuals who are receiving JTPA services continue to receive services under WIA when the area transitions to WIA. In order to ensure that this happens, there are several areas which need clarification.

1. Can you summarize for me how participants will be treated under the transition?

A. All participants who started out as JTPA participants remain eligible for services under WIA and may complete their JTPA service strategy without interruption, even if that service strategy is not allowable under WIA, or if they are not eligible under WIA. Consistent with the legislation, Local Boards are encouraged to provide follow up services for existing participants to improve retention and advancement on the job.

B. JTPA participants who have been assessed and have a service strategy developed must be allowed to continue as participants in WIA, whether or not they have actually begun any activity. Those individuals who are enrolled, but not assessed, may be assessed and a strategy developed. The services that will be available under WIA should be considered in developing this strategy, if appropriate.

C. Once a State fully implements WIA either in PY 99 or PY 2000, new participants are subject to WIA requirements.

D. During PY 99, for those States operating under option 2, participants may be provided either JTPA or WIA services as outlined in the State's approved plan.

2. Should JTPA programs stop enrolling individuals at some point? (e.g. 30 days prior to changing to WIA?)

The Federal rules do not prohibit enrollments through June 30, 1999. States are free to make decisions to cut off enrollments prior to that date.

3. If some of the JTPA participants are continued in WIA, should there be time limits or dollar limits on their continued participation?

No. There is no Federal limitation that would require a time limit or a dollar limit on continued participation.

4. Would States or locals be allowed to set limitations on the participants enrolled under JTPA?

No. Someone who commences training under JTPA must be allowed to continue JTPA services specified in his/her service strategy until completion as long as the service strategy designed for that individual does not change. If there is a substantial change to the individual service strategy after the State has made the shift to WIA, the individual would come under WIA rules including those pertaining to priority for service and eligibility for intensive and training services.

5. If the geographic composition of a service area is changed, how will JTPA participants be "assigned" to a new workforce investment area? Who is responsible for overseeing an "assignment" process?

If WIA local areas differ from JTPA service delivery areas, the entities should make appropriate arrangements to transfer the responsibility for the individuals under the individual's service strategies to appropriate new WIA designated One-Stop operators or partner(s) to assure completion of service strategy. Each State must oversee this process to insure that all such persons in the "pipeline" are effectively served and provided necessary funding and support to complete their service strategy, including participant follow-up services.

6. For JTPA participants who have recently completed services, who will be responsible for the follow up? Will these participants be counted under JTPA or WIA?

For JTPA participants who complete services prior to the effective date of transition to WIA, arrangements should be made for follow up services with the designated one-stop operator or another partner. The outcomes should be reported on the final JTPA outcomes reports, not in WIA reporting data bases.

7. How long can current training providers continue to provide services if there are JTPA participants enrolled, but the providers are not eligible under WIA?

Current training providers can continue to provide services for the duration of the scheduled plan, regardless of whether designated under WIA as "eligible providers." ETA wants to emphasize that persons in the system under JTPA should continue to be served and services completed without interruption or disruption during the transition to WIA. Performance-based contracts will have to be dealt with on a case-by-case basis. Upon transition to WIA, the new Local Workforce Investment Area will be responsible for the long-term obligations that exist under JTPA.

8. Who is responsible for providing reemployment services and feedback during the WIA transition period for Unemployment Insurance claimants who have been identified, through Worker Profiling and Reemployment Services (WPRS) Systems, as being required to receive such services?

The One-Stop operator or partner, as appropriate, is responsible for developing an individual service plan for each claimant referred to it as needing such services through the WPRS process and ensuring that appropriate reemployment services are provided. Whether it be a Wagner-Peyser Act or WIA entity, the service provider is required to provide available services to Unemployment Insurance claimants, and feedback to the Unemployment Insurance component on the services provided. At a minimum, the operator should provide feedback information relating to reemployment services upon:

C. Completion of the claimant's receipt of reemployment services. During the WIA transition period, to ensure continuity of service, the Wagner-Peyser Act State Agency remains available to serve Unemployment Insurance claimants, should another entity be unable to provide services.

9. How does eligibility for services change under Workforce Investment Act? What are the rules for eligibility?

If a State has an approved option 1 or option 2 WIA plan, all persons are eligible for the basic core services, which may be referred to locally as universal services. Depending on resource availability to provide adult services, the States and local areas may decide to direct the intensive and training services. All youth services beyond the core activities would continue to be limited to low-income persons under WIA. If a State does not have an approved WIA plan, the existing eligibility JTPA rules continue to apply.

10. What is the rule for eligibility regarding Selective Service and Citizenship?

If no priority is established locally for training services under WIA, there are no eligibility requirements for adult services. However, requirements created under other laws such as the Selective Service and Immigration legislation create eligibility requirements that Local Boards and One-Stop operators must be aware of. Local areas cannot spend funds on persons who should not be receiving services under WIA. As under JTPA, a determination must be made of whether or not the requirement for selective service registration has been fully met. As indicated in TEGL 8-98, local areas have the responsibility for deciding and determining whether services should be provided on a case-by-case basis. A nonregistrant is not to be denied any Federal benefit if he can demonstrate that his failure to register was not knowing or willful. Participation in programs and activities financially assisted in whole or in part under this Act is open to citizens and nationals of the United States, lawfully admitted permanent resident aliens, lawfully admitted refugees and parolees, and other individuals authorized by the Attorney General to work in the United States. In order to ensure that funds are not spent on individuals improperly, it is recommended that local areas establish a procedure that enables them to make these determinations.

11. What must be done at the local level to address the WIA requirement that 30 percent of youth activities funds be spent on services for out-of-school youth (OSY)?

A. Program Changes. The WIA OSY provisions may result in changes in program emphasis and strategies. WIA's emphasis on comprehensive youth service strategies will necessitate the reexamination of program structures and funding in many areas. For example, if services for in-school youth, such as the summer program, received greater than 70 percent of the total youth funds provided under JTPA, the Local Board must modify service strategies and funding to meet the WIA requirement.

The WIA definition of OSY that does not include students in alternative schools may also necessitate changes in program and service strategies. For example, in areas where the local school district effectively serves high school drop outs, SDAs may have satisfied JTPA OSY requirements by targeting at-risk students in alternative learning environments. Under the WIA definition of OSY, the Local Board would not be able to satisfy the OSY requirements by serving at-risk students in alternative schools, and might find it useful to coordinate drop-out retrieval efforts with the school district.

B. The Legal Requirements. JTPA requires that 50 percent of participants in the year-round program must be OSY. The JTPA summer program does not have an OSY requirement. JTPA defines OSY to include youth in alternative schools. WIA requires that 30 percent of funds must be used to serve OSY. Funds spent on the summer element are included in the 30% calculation. Under the WIA definition of OSY, an OSY must not be attending any school. Money spent on youth in alternative schools may not be counted against the 30% requirement.

C. The Status of the JTPA Participants. Changes in definitions and eligibility criteria under WIA are not retroactive. Youth who were counted as OSY under JTPA will continue to count as OSY for JTPA or WIA reporting purposes, as appropriate, through completion of their JTPA service strategy. Youth who enter the program under WIA will be counted according to the WIA definition of out-of-school youth.

D. Expenditure of Funds. For states which fully implement WIA in PY 99, the 30% OSY requirement applies to:

- Unobligated II-B, PY 97, 98, and 99 (at the end of the 1999 summer program) funds that are carried over into WIA: and

- Unobligated II-C, PY 97, 98, and 99 Title II-C funds as of the date that the State fully implements WIA. For those participants described in "C" above, the expenditures will be reported as part of the WIA 30% requirement.

12. Will the Regulations address how the Summer Youth Employment and Training Program (SYETP) will transition in calendar year 1999? For example, some areas may be redesignated effective July 1, 1999 or a grant recipient may change on that date. (This question only applies to States that opt for early implementation.)

While the regulations do not address this issue, standalone FY 1999 summer activities must be operated under JTPA rules. TEGL 7-95, change 1, and TEGL 11-98, say that both II-B and II-C funds for 1999 will be available on April 1, 1999. This is to provide the opportunity for the allowable 100% transfer between the two titles. Determinations will need to be made regarding the amount of Title II-B and II-C funds to be used for the 1999 summer activities, including the transfers to or from the II-C program. There will be no possibility for any WIA youth activities to start before 7/1/99. Any approved plan would not take effect before that date.

13. TEGL 11-99 indicates that States must allocate PY 99 youth funds to the SDA according to the JTPA formula. What do States which are implementing WIA on July 1^st do regarding the set asides in the JTPA formula?

JTPA title II-B has no set-asides. JTPA title II-C set-asides total 18%, while the WIA state reserve is limited to 15% for each funding stream. For States that are implementing WIA on July 1, 1999, 85% of the II-C funds made available on April 1, 1999 should be allocated to the local areas according to the JTPA formula and the 15% state reserve limitation applies.

II. FUNDS -- Use of JTPA funds prior to and after Implementation of WIA. It is ETA's intent to be as flexible as possible about all aspects of funding. Therefore, JTPA funds not needed for closeout activities or costs will be carried over and treated as WIA funds.

PY 2000 will be the first WIA allotment. Therefore, there will not be a WIA allotment for PY 99. Guidance on this topic is contained in TEGL 11-99.

2. How will I fund my State Workforce Investment Board activities? Will special funding be provided for this purpose?

There are no provisions in WIA legislation to cover the separate funding of the Board's activities. Funds for this activity must come from your State WIA administrative funds. This means that early implementers must plan for this as part of your administrative State costs under WIA. Option 2 States must utilize their JTPA administrative funds until they make the transition to WIA.

3. What can the 2% transition planning funds be spent for and when? How should we report on the use of these funds?

Section 506(d)(1) allows States, grant recipients, administrative entities, and other recipients of financial assistance under JTPA to expend Program Year 1998 and 1999 funds received under JTPA, prior to July 1, 2000, in order to plan programs and activities under WIA. Funds are allowed to be expended from the date of enactment of the Act, August 7, 1998, subject to the 2% limitation.

The 2% transition funds are only available for planning activities. The 2% funds can be used for such activities as convening meetings of various partners or entering into contracts with entities to provide recommendations on various implementation issues and design strategies. The 2% funds can be used for such activities as organizing State or Local Boards, developing State or local plans, developing lists of eligible providers and selecting the One-Stop operator(s). However, 2% funds cannot be used to purchase equipment. If a State chooses to set aside 2% for planning activities, 50% of that amount must be made available to local entities. Because these funds will be beyond the normal 15/20% administrative thresholds in the JTPA, there will be a need to report them separately so they do not negatively impact on your JTPA expenditures. To ensure for future audit purposes that you did not exceed the threshold, you will need to report the transition expenditures under the "Remarks" section of the applicable JTPA reporting forms. Reporting instructions will be issued separately. If the 2% transition planning funds are not expended for planning, they will still be available for program services. DOL does not define the terms "planning" and "implementation" in the WIA regulations.

4. Can a State with an approved PY 99 WIA plan still use 2% of its PY 99 funds for WIA planning?

Yes. A State that has an approved transition (option 2) or full implementation plan (option 1) can use up to 2% of its PY 99 funds for continued WIA planning during PY 99.

5. In small States, 2% of the JTPA allocation is very limiting. Are there any circumstances under which the 2% can be exceeded?

Based on the transition authority provided to the Secretary under section 506(a) of WIA, the Department will consider requests from small States to exceed the 2% limit, up to a$200,000 baseline amount. These requests, which should be transmitted to the appropriate Regional Office, will need to include a description of how the State intends to utilize the transition planning funds.

6. How should the cost classification of the 2 percent transition dollars be handled?

The classification of the 2 percent transition dollars will be treated as administrative funds, but they will not count against the administrative cost limits for JTPA or WIA. This will be an additional amount beyond what is presently permitted under JTPA.

A. In PY 99 - Up to 2% of the PY 98 and PY 99 JTPA dollars can be used for planning for WIA. The remaining funds can be used for either JTPA or WIA services or administration, subject to cost limitations. If a State fully implements its approved WIA plan on July 1, 1999, all services to new participants will be WIA services. Under Option 2, services will be either JTPA or WIA, as approved in the State Plan. This may mean that different local areas within a State may be offering services funded from different sources.

B. Carryover - Unexpended PY 98/99 funds may be carried over into PY 2000 as follows:

� States and local areas must set aside sufficient funds to close out JTPA. It is recommended that PY 98 funds be used first and then PY 99 next. Funds not needed for a closeout will be transferred into the PY 2000 WIA grant and be expended and reported under WIA.

� PY 98 funds transferred will be available for expenditure through PY 2000 and reported as WIA funds.

� PY 99 funds transferred will be available for expenditure in PY 2000 and 2001 and reported as WIA funds.

Note: On June 30, 2000, except for funds used for closeout, spending under the JTPA grant will end. Funds in excess of what are needed for the closeout may be transferred and used as if they were WIA funds.

In PY 99, prior to the approval of a WIA plan, allocations must be based on the JTPA formula (except for youth programs as provided in question 13 above). If a State implements WIA during PY 99, at anytime after July 1, 1999, it will allocate funds to local areas according to JTPA rules unless specified otherwise in the option 2 State Plan. The State plan must describe how it will handle the transition from JTPA funding to WIA funding, including any changes in allocation formulas. For PY 2000, all allocations must be made using the WIA formula.

9. Is the use of Title II-C money prior to July 1, 1999, limited only to SDAs that have a year-round youth program?

No. The Title II-C youth funds may be expended prior to July 1, 1999 regardless of whether the SDA runs a year-round program.

10. If the Summer Youth funds come to us as a PY 99 JTPA appropriation, will it be the only funding we receive designated as a PY 99 JTPA appropriation? If yes, how do we handle the situation regarding the II-C funding being "available for obligation on April 1, 1999," as stated in TEGL 7-95, Change 1?

The Title II-B and C funds obligated on April 1, 1999, will be the only PY 1999 youth funds made available to States. These funds will be used to finance youth programs from April 1, 1999 until PY 2000 funds are allocated on April 1, 2000.

11. Based on the previous answers, it appears that both 1999 Summer Youth and title II-C funds will be provided to the States on April 1, 1999. What impact does this have on those States wanting to implement a consolidated youth program on July 1, 1999 under WIA?

States wanting to implement a consolidated youth program under WIA on July 1, 1999 may have to carefully plan on the use of their funds as follows:

A. States should make early decisions on how much of their 1999 Summer Youth funds (and carryover from CY 98) will be used for the 1999 summer program.

B. The State's WIA youth program that begins on July 1, 1999, will be funded by Summer Youth funds that will not be spent for the 1999 summer program, plus unexpended II-C funds received on April 1, 1999, plus any carryover PY 97/98 II-C funds.

12. Since States will only receive JTPA funds on April 1, 1999 and July 1, 1999, how will early implementation States report expenditures against these funds? Are they JTPA or are they WIA funds?

The FY 1999 funds will always be JTPA funds, regardless of whether States implement early or not. States implementing WIA during PY 1999 will be able to use these funds in accordance with WIA rules and must report those expenditures in accordance with WIA reporting instructions.

No. The funds will retain their original identity based on the appropriation under which they were provided.

With regard to States, there is a hold harmless under WIA. At sections 127 and 132 of the Act, provisions are made for minimum and maximum funding levels for States. In contrast, there is no hold-harmless provision for local areas for the first two full program years after local areas are designated. For the transition year of PY 99 only, the Governor may elect to utilize the JTPA hold harmless provision. However, in doing so, the two year hold harmless is delayed for one year. Therefore, if a State elected to use this option, the two year hold harmless would apply for PY 2000 and 2001 unless Congress elects to address this area with a technical amendment.

No. The transition plan is referred to as Option 2 in the planning guidance. Under Option 2, a States does not have to have all the elements for implementation in place at the time of plan submittal. In contrast, Option 1, full early implementation, means that a State has all of the elements in place and can fully address all of the planning requirements for the five-year plan.

16. Can a State with an approved WIA Plan for PY 99 use an alternative method for allocation of its youth and adult funds?

Yes. For funds utilized beginning on July 1, 1999, under WIA a State may allocate up to 30% of their youth and adult funds to local areas based on an alternative method described in the State's approved WIA plan.

1. How can One-Stop Implementation Grants be used to support WIA implementation efforts?

Since the purposes of the One-Stop Implementation Grants are very similar to One-Stop system building activities under WIA, One-Stop grant funds should be used to support such activities. However, One-Stop grant funds must be used in accordance with terms of the grant agreement.

You can access the Social Policy Research Associates' (SPR) One-Stop Implementation Study, which discusses some of the barriers to One-Stop implementation as well as successful State and local One-Stop models and partnerships, by going to ETA's website -- www.doleta.gov. SPR is also developing reports about further connections between One-Stop and Welfare-to-Work as well as successful models of youth participation in One-Stops systems. You can also contact your Regional Office for additional information.

3. What will be the reporting requirements and what will the reporting system look like?

WIA reporting requirements are still under development. Existing JTPA reporting systems will be retained until the individual State is ready to implement WIA. At this time, the only changes envisioned to the JTPA reporting requirements will deal with special needs such as the handling of the 2% transition planning funds provided for under WIA.

No. Funds for STW and WtW will not be folded into WIA. Funding will continue to be provided for under separate grants. However, for partners under WIA, the expectation is that the funding arrangements for services and activities will be negotiated in Memoranda of Understandings which lay out how each partner will contribute to the operation of a unified system at the local level.

5. How are Individual Training Accounts (ITAs) to be handled during transition?

ITAs will be treated according to the individual State's decision to move to WIA. If a State decides to implement early, ITAs will be effective immediately. If a State decides to utilize option 2 under the ETA planning guidance, then the ITA's will be implemented in accordance with the time line contained in the approved plan. All States must establish a system for ITAs by the year 2000. However, before WIA implementation, States and local SDAs can continue to utilize individual referrals under existing rules that they have established.

6. How do Community Based Organizations (CBOs) that provide JTPA training fit within the eligible provider concept, especially in the initial year before they can be certified?

Under WIA, CBOs are authorized to be certified as eligible providers. ETA expects that CBOs will play an important role as eligible service providers. Every provider of adult training services under WIA must submit an application to be placed on the statewide Eligible Provider list, unless exempted as outlined in Sec 122 of the Act.

CBOs that are currently providing training under JTPA, which intend to continue providing training services under WIA can apply for inclusion on the eligible provider list and can be determined to have "Initial Eligibility" for the first twelve months under WIA. An application for initial eligibility is to be developed by the Local Board, in consultation with the Governor, and should include program and cost information, background information on the training program and performance information that is available for the most recent funding period, ( e.g., number enrolled, completed, placed in employment, etc.). The Local Board evaluates the application and if acceptable places the provider on a local list of initial providers. Once approved, this list of "initial training providers" is then forwarded to the State by the Local Board, and the providers on the State eligible provider's list are qualified to participate in the ITA payment system. All training programs with "initial eligibility" certification are required to submit a full application, and performance information for the previous twelve month period that the Governor or the Local Board requires. This information is to be verified by the state within 30 days before the provider is retained on the eligible list.

7. How are other JTPA training providers, such as Community Colleges, to be treated as they transition to WIA?

Every provider of adult training services under WIA must submit an application to be placed on the statewide Eligible Provider list, unless exempted as outlined in Sec 122 of the Act. If the provider is accredited under the Higher Education Act or is a National Apprenticeship Act program, it is able to be immediately certified for initial eligibility. In addition, any institution in the area that meets these criteria, whether it had been providing training to the local program or not, may be initially certified. All other providers are required to submit the initial application form which is developed by the Local Board based on the criteria set out by the Governor in the State Plan. The Local Board may require such information as reasonable performance information in this application, if available. The programs may then qualify for initial eligibility, and the provider may participate in the ITA payment system. At the end of the first full implementation year of WIA, all training program providers must submit a regular eligible provider application that has been developed by the Governor and the local area. This application will require much more data including performance and cost information for the previous twelve month period. Eligibility will need to be renewed on an annual basis.

8. How will local areas meet the requirements of the Wagner-Peyser Act if they do not implement WIA in PY 1999?

The amended Wagner-Peyser Act regulations at 20 CFR Part 652 are effective July 1, 1999. These regulatory amendments delete references to JTPA in Subpart A and replace them with references to WIA. The Department has determined that it will raise no issue under 20 CFR Part 652 with States or local areas solely on the basis that they operate under JTPA during PY 1999. If a State elects not to implement WIA in PY 1999, or to implement WIA under the transition provisions under the Planning Guidance, it may operate under pre-WIA regulations.

If necessary, the Governor in consultation with local elected officials, must work out the details of how any existing SDAs will be reconfigured according to the requirements of section 116 of WIA. As discussed above, these details include making sure that any JTPA participants transitioned to WIA are served.

10. Under automatic designation, the Act refers to a unit of general local government with a population of 500,000 or more. Can such a unit include a consortium with a total 500,000 population, even though none of the consortium member units of government by themselves have a 500,000 population?

While WIA does not require that a Governor automatically designate a consortium of units of governments if none of the member units exceed 500,000, the Governor is not precluded from approving such a request.

11. When will performance measures be known and how will States be held accountable for performance during transition? What are the steps that will be taken to address performance measures since the measures will drive system design? How will interim performance measures for the transition period be handled?

Consultation on the performance measures has begun and will continue over the next several months. Upon completion of the consultations, the Department will issue the performance measures. An option 1 State would report its performance under WIA. An option 2 State would report its performance under JTPA or WIA, as appropriate in accordance with the time line contained in the approved plan. There are no interim performance measures.

12. How should the States and local entities address the staging of steps from present JTPA operations to WIA?

How to stage the transition to WIA is basically a matter that State and local officials must work out among themselves in each State. The only hard and fast requirement is that States must complete the transition to WIA no later than July 2000 and submit a complete five-year State plan by April 1, 2000. Thus, Governors and local elected officials need to form partnerships to develop plans. A plan will be considered complete and responsive to the Act if it addresses all of the planning requirements in the Planning Guidance and Instructions published in the Federal Register on February 25, 1999.

The method of sharing resources and the associated cost allocation methodology among One-Stop partners must be described in the memoranda of understanding. The allocations must be consistent with the applicable OMB Circulars. Organizations are reminded that when they have multiple funding streams, they must have an indirect cost rate or a cost allocation plan. .

14. Due to the fact that the 8% Education Coordination Grants and the 5% Older Worker set asides are no longer included under WIA, what can a State or local jurisdiction do to address these populations and services?

With respect to Older Workers, consideration of this segment of the population needs to be planned for in light of WIA reporting requirements for older workers. A State can begin the process of assessing how the populations have been served thus far and then engage these groups in planning discussions which are ongoing in most States. Since Older Workers are eligible for core services under WIA at the local levels, providing this group with services will be a matter of ensuring that they continue to receive services under WIA that go beyond the core services. A State may want to consider establishing a checklist or provide technical assistance as a means of assisting local areas to ensure consideration of this group. While there are no specific WIA requirements about 8% grants, the WIA youth programing emphasis on close coordination between youth activities and education will serve similar purposes as the 8% grants.

All activities beyond July 2000 will be covered under WIA; therefore, guidance will be provided in regulations, planning guidance, policy guidance and continuing technical assistance.

16. Will States and localities have the flexibility to continue existing system development efforts?

Yes. Under WIA, the Department intends to continue and expand system building activities commenced under the One-Stop grants, as well as build upon the existing JTPA flexibility provided through waivers to provide even more opportunities for States and local areas to build a more responsive system which fully meets the needs of all customers.

There are many lessons that can be learned at all levels of the system from this transition. At the national level, we would cite three areas -- continuation of services without disruption so that a pattern of seamless services is provided to customers, the need for quick and correct closeouts, and the importance of advance and inclusive planning. We intend to work closely with the States to ensure that we take advantage of these lessons.

18. Will there be a push to move to WIA regardless of whether or not the State is ready?

No. There is no push from DOL or the other Federal partners to encourage early implementation of WIA before a State is ready. The Planning Guidance and Instructions permit States to make their own decision on whether they are ready now or at some point in the future. The Planning Guidance lays out three options -- full early implementation, transition plan, July 1, 2000 implementation. Requirements and expectations for each of these options are contained in the planning guidance. The Department is encouraging real reform of the system. The decision on how fast to proceed with WIA implementation is a State and local decision. The important point is, the Department supports a system that is responsive to the needs of local areas, including both job seekers and employers.

19. Must the transition to WIA be simultaneous for all local areas or may it be on a staggered basis?

States may elect to stagger implementation of WIA, local area by local area. Some local areas will be implementing WIA by an established date consistent with their approved plan, while others will remain under JTPA.

20 CFR Part 627.485 indicates that each annual JTPA grant agreement is to be closed. Final reports are to be submitted as soon as possible after the funding period covered by the award has expired. States should have submitted final reports for JTPA grants through Program Year 1995. States should also be closing out all subrecipient grants in a timely manner. ETA will be providing additional guidance to facilitate the closeout process.

2. How are late claims for allowable JTPA costs to be handled in the closeout process?

Grantees should set aside sufficient JTPA funds to handle all claims during the closeout process. At the time of final closeout, but no later than twelve months after WIA implementation, ETA will permit a final reconciliation and transfer of unneeded JTPA funds to WIA or return of previously transferred JTPA funds back to JTPA. Under no circumstance will DOL pay for claims submitted after the closeout.

3. Who does closeout of SDAs which are not local areas under WIA? Can they reserve funds for those closeouts?

Existing governmental units are ultimately responsible for handling all aspects of a closeout. They can and must reserve funds for closeout costs.

4. Who will be responsible for liability issues, disallowed costs, including transfers, debts and severance?

The State has the ultimate responsibility for all JTPA grants in the State and the State must deal with all liability issues. Issues dealing with severance pay, Unemployment Insurance payments, transfers, etc. are the responsibility of the local political jurisdictions. They remain liable for debts incurred at the local level. The Department will attempt to work closely with the States as they identify and sort through individual situations that must be addressed as part of the closeout process.

1. What are the Federal roles and responsibilities surrounding the closeout? Who does what?

Your Regional Office will be responsible for providing technical assistance relating to closeout activities. Grantees should contact their appropriate Regional Office. Instructions and technical assistance will be provided by the Department over the next several months to accommodate States who decide to implement WIA early.

2. What will the Federal communication system be -- Federal Agency(ies) vs. ETA Directives?

The communication system for the Federal agencies is being discussed currently. Where appropriate, plans are to provide for joint communication with other Federal partners. We expect that increasing numbers of communications will be issued jointly with our Federal partners.

3. How will we work with other Federal Departments to make communication an inclusive process as we implement WIA?

The Department continues to work with Federal partners, e.g., the U.S. Department of Education, the U.S. Department of Health and Human Services, the U.S. Department of Housing and Urban Development and the U.S. Department of Transportation to make the communication process more inclusive.

4. How will we handle the Wagner-Peyser Grant Officer Authority in the Regions?

ETA is considering a number of changes to administrative procedures to improve efficiency. Among these is centralizing Wagner-Peyser grant officer responsibilities. States will be informed of any changes, including effective dates.

5. How will the Department hold itself accountable for success in implementing WIA?

Over the coming year, ETA will be implementing managerial systems, including performance measurement and bench marking systems, to measure its performance against annual and long term goals and objectives and to strengthen the relationship between its performance and personnel evaluation systems. At this time, no specifics are available.

DOL will also be revising its Strategic Plans and the accompanying Annual performance plan to reflect the changes required by WIA. Actual results will be compared with the planned measures contained in these documents to assess the effectiveness of strategies employed to improve program outcomes and goals.

Specific assignments will be announced to the grantees to be followed up with personal visits when the new WIA grants are approved. One or more GOTRs will be assigned to each State.

7. Where will TAT funding come from? What provisions are being made for funding?

DOL will continue to use its appropriations to finance TAT activities during PY 99. Beginning in PY 2000, DOL's budget request, if approved, provides $5 million for TAT and incentive grants to States. Funds will first be used for incentive grants. Any remaining funds will be available for TAT.

8. How do States and local areas deal with audits and reviews that are in process?

9. Will the period of performance for the existing National dislocated worker grants and demonstrations change?

Existing grants will be continued until the period of performance ends, unless renegotiated.

10. Will the period of performance for the existing grants for Defense and Clean Air be changed?

11. What training will be provided to States and local areas under WIA? Who will be involved?

The Department of Labor is initially holding a series of six meetings which are available to States and localities, as well as other partners, stakeholders and interested parties. Additional customized training will be worked out, as needed, between the State and local partners, and the Regional Office staff in conjunction with representatives from other Federal agencies or their State or local counterparts. The Department is committed to provide training which will support implementation for all States by July 1, 2000.

12. What will be the grant instrument to be used to implement title I B of WIA?

Under the Governor/Secretary Agreement, an annual Grant Agreement will be executed and signed by the Governor or the Governor's designee and the DOL Grant Officer. The Grant Agreement will incorporate (by reference), the State's five-year WIA plan.

13. Is there a need for modification of the JTPA Plan to reflect use of the 2% for WIA transition planning?

It will not be necessary to amend the JTPA plan. However, it will be necessary to report separately in the remarks section on the appropriate JTPA reporting forms the amount used for 2% WIA planning.

14. Can a state plan be submitted by an existing board which does not meet the requirements of WIA on 12/31/97, but shows how it will transition from the existing board to the WIA board? In other words, can the old HRIC develop the five-year plan, and submit it as an option 2 plan, and include the steps and timetable by which they would become a State WIA board? How long can the existing board remain in place during transition before a new board must replace it?

The Governor may utilize an existing State JTPA board to develop the plan and make recommendations to the Governor. However, the board must be reconfigured if it fails to meet the requirements of the Act for the use of alternative boards or if it has made significant changes to its charter after December 31, 1997. Under either of these circumstances, if the timetable for replacing the board is specified in the plan and it is approved as submitted, then the Department will honor that agreement. After reviewing the five-year plan, the new board may want to submit a request for modification, if appropriate.

15. Will DOL provide States with a line of credit and Technical Assistance provider pool like the ones used in School-to-Work? Will TA money be permitted for in-state travel?

The Department will attempt to work with States to identify technical assistance funding, but the amounts available may be extremely limited. States and local areas are encouraged to fully utilize the 2% transition funds to the extent possible in planning for new systems. In addition, States can opt to utilize a portion of their WIA Statewide activity funding for TAT. There is no Federal prohibition on using TAT money for in-state travel.

16. When will the Diagnostic Checklist be available so the States and local WIA areas will know which components would have to be in place in order to implement the WIA?

The Department is currently working on the development of a variety of technical assistance materials, including the Diagnostic Checklist and will make every effort to get these materials to States in a timely manner.

17. What does the Department plan to do to make the implementation process inclusive so the existing SDAs are not left out of the loop? Will they be placed on a mailing list?

All interested parties, including existing SDAs and our other partners are encouraged to utilize and send comments to the Department's WIA website -- usworkforce.org -- as a means of keeping abreast of developments. The Department is interested in ensuring that all entities are part of the system and are included in the communications. All directives will continue to be placed on the Department's website to permit easy access by all interested parties. Program operators and SDAs continue to be consulted, along with representatives of intergovernmental organizations and other interested parties at the national level. The six implementation training meetings are available for local staff. Since the above methods should fulfill the need for dealing with communications issues, a separate mailing list is not anticipated at this time.