A PRELIMINARY ANALYSIS OF THE RELATIONSHIP BETWEEN THE WORKFORCE INVESTMENT ACT AND THE FEDERAL DISABILITY POLICY FRAMEWORK PREPARED BY: ROBERT SILVERSTEIN, J.D. DIRECTOR, THE CENTER FOR THE STUDY AND ADVANCEMENT OF DISABILITY POLICY IN THE SCHOOL OF PUBLIC HEALTH AND HEALTH SERVICES THE GEORGE WASHINGTON UNIVERSITY MEDICAL CENTER January 27, 2000 This paper was funded, in part by a grant from the National Institute on Disability and Rehabilitation Research supporting the Rehabilitation Research and Training Center on Workforce Investment and Employment Policy for Persons with Disabilities (Grant No. H133B9800420) and the Rehabilitation Research and Training Center on State Systems and Employment (Grant No. H133B30067). The opinions contained in this paper are those of the author and do not necessarily reflect those of the U.S. Department of Education. This Paper may be reproduced for noncommercial use without prior permission if the author Robert Silverstein and the Center for the Study and Advancement of Disability Policy (CSADP), Rehabilitation Research and Training Center on Workforce Investment and Employment Policy for Persons with Disabilities and the Rehabilitation Research and Training Center on State Systems and Employment are cited. ABOUT THE AUTHOR: Robert Silverstein, J.D. Director of The Center for the Study and Advancement of Disability Policy. Mr. Silverstein is known nationally for his work in the area of disability policy. As staff director and chief counsel for the Subcommittee on Disability Policy of the Committee on Labor and Human Resources, U. S. Senate (1987-1997) and counsel to the Subcommittee on Select Education of the Committee on Education and Labor, U.S. House of Representatives (1985-1987), he was a behind-the-scenes architect of more than 20 enacted disability-related bills (including the Americans with Disabilities Act, the early intervention program for infants and toddlers with disabilities and their families and the 1997 Amendments to IDEA) and numerous disability-related amendments to other bills concerning health, education, welfare, job training, and civil rights. Prior to working on Capitol Hill, Mr. Silverstein was co-founder of a law firm that focused on public policy analyses for Federal, State, and local officials and representation of persons with disabilities and their families. He was also the staff director of a congressionally-mandated study of title I of the Elementary and Secondary Education Act at the National Lawyers Committee for Civil Rights Under Law. Mr. Silverstein holds a B.S. in Economics from the Wharton School of Finance and Commerce at the University of Pennsylvania and a J.D. from Georgetown University Law Center. TABLE OF CONTENTS: A PRELIMINARY ANALYSIS OF THE RELATIONSHIP BETWEEN THE WORKFORCE INVESTMENT ACT AND THE FEDERAL DISABILITY POLICY FRAMEWORK INTRODUCTION 1 A. BACKGROUND AND PURPOSE OF THE REPORT 1 B. RESEARCH APPROACH AND ACTIVITIES 3 C. REPORT STRUCTURE 3 OVERVIEW OF THE FEDERAL DISABILITY POLICY FRAMEWORK 5 A. INTRODUCTION 5 B. HISTORICAL CONTEXT 5 C. CORE PRECEPT 5 D. OVERARCHING GOALS 5 E. CORE POLICIES 6 1. EQUALITY OF OPPORTUNITY 6 a. Individualization 6 b. Genuine, Effective, and Meaningful Opportunity 7 c. Inclusion and Integration 8 2. FULL PARTICIPATION 8 a. Involvement and Choice by the Individual in Decisions Affecting the Individual 8 b. Involvement and Choice by the Individual's Family in Decisions Affecting the Individual 9 c. Involvement by Individuals and Families at the System Level 9 3. INDEPENDENT LIVING 10 a. Independent Living Skills Development and Specialized Planning 10 b. Long-Term Services and Supports, Including Personal Assistance Services and Supports 10 c. Cash Assistance and Other Forms of Support 10 4. ECONOMIC SELF-SUFFICIENCY 11 a. Systems Providing Employment-Related Services and Supports 11 b. Cash Assistance and Other Programs of Assistance 11 c. Tax Policy Providing Incentives 12 F. METHODS OF ADMINISTRATION 12 1. STATE PLANS, APPLICATIONS, WAIVERS 12 2. MONITORING AND ENFORCEMENT BY GOVERNMENT AGENCIES 13 3. PROCEDURAL SAFEGUARDS 13 4. ACCOUNTABILITY FOR RESULTS (OUTCOME MEASURES) 14 5. REPRESENTATION AT THE INDIVIDUAL AND SYSTEMS LEVELS 14 6. SINGLE LINE OF RESPONSIBILITY/COORDINATION AND LINKAGES AMONG AGENCIES 14 7. SERVICE COORDINATION (CASE MANAGEMENT) 15 8. FINANCING SERVICE DELIVERY 15 9. PRIVACY, CONFIDENTIALITY, ACCESS TO RECORDS, INFORMED CONSENT 15 10. COMPREHENSIVE SYSTEM OF PERSONNEL DEVELOPMENT 15 11. RESPONSIVENESS TO CULTURAL DIVERSITY 15 12. FISCAL PROVISIONS 16 13. FINANCIAL MANAGEMENT AND REPORTING 16 G. PROGRAM SUPPORT 16 1. SYSTEMS CHANGE ACTIVITIES 16 2. TRAINING OF INDIVIDUALS WITH DISABILITIES AND THEIR FAMILIES 16 3. TRAINING OF PERSONNEL REGARDING PROMISING PRACTICIES 16 4. RESEARCH, TECHNICAL ASSISTANCE, INFORMATION DISSEMINATION 17 HISTORICAL CONTEXT, CORE PRECEPT AND OVERARCHING GOALS OF WIA 18 A. FEDERAL LEGAL FRAMEWORK 18 B. POLICY ISSUES CONCERNING HISTORICAL CONTEXT, PRECEPT, AND OVERARCHING GOALS OF WIA 19 GOVERNANCE AT THE FEDERAL LEVEL 21 A. DESCRIPTION OF THE FEDERAL LEGAL FRAMEWORK 21 B. POLICY ISSUES CONCERNING FEDERAL GOVERNANCE 22 STATE GOVERNANCE 24 A. STATE WORKFORCE INVESTMENT BOARD 24 1. Description of the Federal Legal Framework 24 2. Policy Issues Concerning the State Workforce Investment Board 25 B. THE STATE PLAN 25 1. Overview 25 2. Critical Role of the State Board 26 3. Plan Development Process 26 a. Federal Legal Framework 26 b. Policy Issues Concerning the Plan Development Process 26 4. Vision and Goals 27 a. Federal Legal Framework 27 b. Policy Issues Concerning Vision and Goals 27 5. Assessment 27 a. Federal Legal Framework 27 b. Policy Issues Concerning Assessment 28 6. Strategies for Improvement 28 a. Federal Legal Framework 28 b. Policy Issues Concerning Strategies for Improvement 29 7. Performance Management 30 a. Federal Legal Framework 30 b. Policy Issues Concerning Performance Management 31 8. The Adoption of State Policies 32 a. Federal Legal Framework 32 b. Policy Issues Concerning the Adoption of State Policies 33 9. Assurances 33 a. Federal Legal Framework 33 b. Policy Issues Concerning Assurances 33 C. State Monitoring, Enforcement, and Complaint Resolution 33 1. Federal Legal Framework 33 2. Policy Issues Concerning Monitoring and Enforcement and Complaint Resolution 34 D. UNIFIED STATE PLAN 34 1. Federal Legal Framework 34 a. In General 35 b. Vision and Goals 35 c. Plan Development 35 d. Needs Assessment 35 e. State and Local Governance 36 f. Funding 36 g. Coordination and Non-Duplication 36 h. Special Populations 37 i. Professional Development 37 j. Performance Accountability 37 k. Corrective Action 38 l. Waiver and Work-Flex Requests 38 m. Certifications and Assurances 38 2. Policy Issues Concerning the Unified State Plan 39 LOCAL GOVERNANCE 40 A. Local Workforce Investment Board 40 1. Federal Legal Framework 40 2. Policy Issues Concerning the Local Workforce Investment Board 41 B. YOUTH COUNCIL 41 1. Federal Legal Framework 41 2. Policy Issues Concerning the Youth Council 41 C. LOCAL WORKFORCE INVESTMENT PLAN 42 1. Federal Legal Framework 42 2. Policy Issues Concerning the Local Workforce Investment Plan 43 D. OVERSIGHT, MONITORING, ENFORCEMENT AND COMPLAINT RESOLUTION 44 1. Federal Legal Framework 44 2. Policy Issues Concerning Oversight, Monitoring, Enforcement and Complaint Resolution 45 THE ONE-STOP SERVICE DELIVERY SYSTEM 46 A. OVERVIEW 46 1. The Federal Legal Framework 46 2. Policy Issues Concerning the One-Stop Service Delivery System 46 B. ONE-STOP PARTNERS AND THE RESPONSIBILITIES OF PARTNERS 47 1. The Federal Legal Framework 47 2. Policy Issues Concerning the Responsibilities of Partners 48 C. CORE, INTENSIVE, TRAINING AND SUPPORTIVE SERVICES 49 1. Overview 49 2. Core Services 49 a. Federal Legal Framework 49 b. Policy Issues Concerning Core Services 50 3. Intensive Services 51 a. Federal Legal Framework 51 b. Policy Issues Concerning Intensive Services 52 4. Training Services 52 a. Federal Legal Framework 52 b. Policy Issues Concerning Training Services 54 5. Individual Training Account 55 a. Federal Legal Framework 55 b. Policy Issues Concerning the Individual Training Account 56 6. Supportive Services 57 a. Federal Legal Framework 57 b. Policy Issues Concerning Supportive Services 57 D. ELIGIBLE TRAINING PROVIDERS 58 1. Federal Legal Framework 58 2. Policy Issues Concerning Eligible Training Providers 59 E. PRIORITY AND SPECIAL POPULATIONS 59 1. Federal Legal Framework 59 2. Policy Issues Concerning Priority and Special Populations 60 YOUTH ACTIVITIES 61 A. OVERVIEW 61 B. THE FEDERAL LEGAL FRAMEWORK 61 C. POLICY ISSUES CONCERNING YOUTH ACTIVITIES 63 PERFORMANCE ACCOUNTABILITY 65 A. OVERVIEW 65 B. STATE MEASURES OF PERFORMANCE 65 C. LOCAL MEASURES OF PERFORMANCE 66 D. POLICY ISSUES CONCERNING STATE AND LOCAL MEASURES OF PERFORMANCE 67 NONDISCRIMINATION AND METHODS OF ADMINISTRATION 69 A. INTRODUCTION 69 B. GENERAL PROVISIONS 69 1. Description of the Federal Legal Framework 69 a. The Purpose of the Regulation 69 b. Applicability of the Regulation 69 c. Forms of Discrimination the Act and the Implementing Regulations Prohibit 70 d. Specific Discriminatory Actions Based on Disability Prohibited by the Regulation 70 e. The Extent to Which Employment Practices are Covered by the Regulation 72 f. Department of Labor Responsibility for Administering this Regulation 73 2. Policy Issues Concerning the General Provisions 73 C. RECORDKEEPING AND OTHER AFFIRMATIVE OBLIGATIONS OF RECIPIENTS 73 1. Description of the Federal Legal Framework 73 a. The Grant Applicant's Obligation to Provide a Written Assurance of Compliance with the Nondiscrimination Provisions of Section 188 of WIA 73 b. The Rules Governing the Designation and Responsibilities of Equal Opportunity Officers 73 c. A Recipient's Obligations to Disseminate its Equal Opportunity Policy 74 d. The Recipient's Responsibilities to Collect and Maintain Data and Other Information 74 e. A Recipient's Responsibilities Under the Regulation Regarding the Provision of Universal Access to WIA Title I Financially Assisted Core Services 75 2. Policy Issues Concerning Recordkeeping and Other Affirmative Obligations 75 D. GOVERNOR'S RESPONSIBILITIES TO IMPLEMENT THE NONDISCRIMINATION AND EQUAL OPPORTUNITY REQUIREMENTS OF WIA 76 1. Description of the Federal Legal Framework 75 a. The Governor's Oversight Responsibilities 75 b. The Extent of a Governor's Liability for the Actions of a Recipient He or She has Financially Assisted Under WIA Title I 75 c. A Governor's Oversight Responsibilities Regarding Recipients' Recordkeeping 76 d. A Governor's Responsibilities to Develop and Maintain a Methods of Administration 76 e. Timelines for the Governor to Carry Out His or Her Obligations with Regard to the Methods of Administration 78 2. Policy Issues Concerning the Governor's Responsibilities to Implement the Nondiscrimination and Equal Opportunity Requirements of WIA 78 E. COMPLIANCE PROCEDURES (INCLUDING COMPLAINT RESOLUTION PROCEDURES) 79 1. Description of the Federal Legal Framework 79 a. The Responsibility of the Director of the Civil Rights Center, Department of Labor, to Evaluate Compliance with the Nondiscrimination and Equal Opportunity Provisions of WIA and the Implementing Regulations 79 b. Filing a Complaint 79 c. The Required Elements of a Recipient's Complaint Resolution Procedures 79 d. Circumstances in Which the Director will Send a Complaint to Another Authority 80 e. Actions the Director Must Take When He or She Concludes that Compliance Cannot be Secured by Voluntary Means 80 2. Policy Issues Concerning Compliance Procedures 81 APPENDIX: POLICY ISSUES CONCERNING THE RELATIONSHIP BETWEEN THE WORKFORCE INVESTMENT ACT AND THE FEDERAL DISABILITY POLICY FRAMEWORK A PRELIMINARY ANALYSIS OF THE RELATIONSHIP BETWEEN THE WORKFORCE INVESTMENT ACT AND THE FEDERAL DISABILITY POLICY FRAMEWORK INTRODUCTION A. BACKGROUND AND PURPOSE OF THE REPORT Historically, people with disabilities have faced attitudinal, physical, and institutional barriers that prevent them from fully participating in the mainstream of life in this country, including access to public services and programs and employment.1 Recognizing these barriers, our Nation's policymakers over the last quarter of a century have enacted new laws and amended existing laws designed to break down these barriers and replace them with ladders and ramps of opportunity for persons with disabilities. The centerpiece of this effort is the Americans with Disabilities Act of 1990 (ADA), an omnibus civil rights statute.2 The ADA, however, is more than a civil rights statute. The ADA articulates our Nation's goals regarding public policy relating to people with disabilities: * Equality of opportunity * Full participation * Independent living * Economic self-sufficiency.3 On March 13, 1998, President Clinton signed Executive Order 13078, which created a Presidential Task Force on Employment of Adults with Disabilities.4 Recognizing the important role of the ADA, the overarching purposes of the Task Force are two-fold: * To increase the employment of adults with disabilities to a rate that is as close as possible to the employment rate of the general adult population and * To support the goals articulated in the findings and purposes section of the Americans with Disabilities Act (ADA). On August 7, 1998, President Clinton signed into law the Workforce Investment Act (WIA).5 The overall goal of WIA is to increase employment, retention, and earnings of persons participating in employment-related activities supported by an integrated workforce investment system, and in so doing improve the quality of the workforce, to sustain economic growth, enhance productivity and competitiveness, and reduce welfare dependency.6 WIA specifies that the State plan must describe how the State will meet the needs of major customer groups, including individuals with disabilities and how it will ensure nondiscrimination and equal opportunity.7 The preamble to the interim final regulations implementing WIA explains that the Departments of Labor and Education will work with the States as they develop and implement their State plans to ensure the effective delivery of services under WIA to individuals with disabilities.8 The preamble also explains that DOL will be conducting a study of WIA implementation that will include a review of the manner and extent to which vocational rehabilitation programs are integrated in the workforce investment system and how effectively the system services individuals with disabilities.9 To date, no conceptual framework exists for reviewing and determining the extent to which WIA, as interpreted by the DOL and implemented by the states and local communities, ensures the effective delivery of services for individuals with disabilities consistent with our Nation's goals regarding persons with disabilities as articulated in the ADA. The purpose of this paper is use the basic conceptual framework of Federal disability policy developed in a paper entitled The Federal Disability Policy Framework: Our Nation's Goals for People with Disabilities (Silverstein (1999)) as a lens or guidepost10 for- * identifying existing DOL policies directing or encouraging states implementing WIA to address the special needs of persons with disabilities, and * identifying issues for policy development, oversight, and implementation at the Federal, State and local levels. This paper is targeted at four audiences. First, this paper provides policymakers with a conceptual framework for designing and assessing the extent to which WIA addresses the needs of persons with disabilities. Second, this paper provides researchers with a policy framework for studying how WIA addresses the needs of persons with disabilities. Third, this paper provides individuals with disabilities, their families, and their representatives with tools that can be used to judge the adequacy of WIA policies and procedures developed at the Federal, State, and local levels from a disability policy perspective. Fourth, this paper may be used by service providers to design, implement, and evaluate the delivery of services to persons with disabilities. B. RESEARCH APPROACH AND ACTIVITIES The research methodology included a comprehensive review of WIA statute, regulations, legislative history, and guidelines issued by the Department of Labor. The disability policy framework described in a report entitled The Federal Disability Policy Framework: Our Nation's Goals for People with Disabilities (Silverstein (1999)) was used as the basic framework for framing policy issues. Key experts in the field, including policymakers at the Federal and State levels, researchers, persons with disabilities, their families and representatives, service providers, university professors, and other persons working on WIA, reviewed drafts to validate the various components of the framework. Reviewers were then, in turn, asked to suggest additional experts to review the draft. This paper reflects the input from these experts. C. REPORT STRUCTURE This report has eight sections. Section I is the introduction. Section II outlines the core components of the disability policy framework derived from Appendix 1 of the paper entitled The Federal Disability Policy Framework: Our Nation's Goals for People with Disabilities (Silverstein (1999)). Section III describes the essential provisions in the WIA legal framework articulating the goals of WIA and then identifies key policy issues relating to the compatibility of WIA goals with the goals of disability policy articulated in the ADA. Section IV describes the essential provisions in WIA relating to governance at the Federal level and then identifies key policy issues regarding the extent to which Federal governance reflects the Federal disability policy framework. Section V describes the essential provisions in WIA relating to governance at the State level and then identifies key policy issues regarding the extent to which State governance reflects the Federal disability policy framework. Section VI describes the essential provisions in WIA relating to governance at the local level and then identifies key policy issues regarding the extent to which local governance reflects the Federal disability policy framework. Section VII describes the essential components of the One-stop service delivery system prescribed in WIA and then identifies key policy issues concerning the extent to which One-stops reflect the Federal disability policy framework. Section VIII describes the essential provisions in WIA regarding youth activities and then identifies key policy issues regarding the extent to which youth activities reflect the Federal disability policy framework. Section IX describes the essential provisions in WIA concerning performance accountability and then identifies key policy issues regarding the extent to which performance accountability policies reflect the Federal Disability policy framework. Section X describes the essential provisions in WIA concerning nondiscrimination and methods of administration and then identifies key policy issues regarding the extent to which the nondiscrimination and methods of administration reflect the Federal disability policy framework. Appendix 1 compiles the policy questions raised throughout the paper. AN OVERVIEW OF THE DISABILITY POLICY FRAMEWORK A. INTRODUCTION This section provides an overview of the major components of the Federal disability policy framework, including: * Statement of Findings, Historical Context * Core Precept * Overarching Goals * Core Policies * Methods of Administration * Program Support B. STATEMENT OF FINDINGS AND HISTORICAL CONTEXT Every major piece of disability-specific legislation enacted into law since 1975 includes a "Statement of Findings." The "Findings" section is critical because it generally describes the historical context of the legislation including, for example, the historical treatment of persons with disabilities, the nature of the problem addressed by the legislation, why the issue is important and why change is needed, and the role of the Federal government.11 C. CORE PRECEPT Disability is a natural and normal part of the human experience that in no way diminishes a person's right to participate fully in all aspects of life, consistent with the unique strengths, resources, priorities, concerns, abilities, and capabilities of the individual.12 D. OVERARCHING GOALS According to the Americans with Disabilities Act, the Nation's proper goals regarding individuals with disabilities are to assure: * Equality of opportunity * Full participation (empowerment) * Independent living and * Economic self-sufficiency.13 E. CORE POLICIES 1. EQUALITY OF OPPORTUNITY The goal of equality of opportunity (nondiscrimination) articulated in the ADA includes three core components: individualization; genuine, effective and meaningful opportunity; and inclusion and integration. a. Individualization. Make decisions on the basis of the unique strengths, resources, priorities, concerns, abilities, and capabilities of each person with a disability, including individuals with significant disabilities.14 Treat a person with a disability as an individual based on facts and objective evidence; not on the basis of generalizations, stereotypes, fear, ignorance, prejudice, or pernicious mythologies.15 Use definitions and eligibility criteria that result in even-handed treatment of a person with a particular disability and other similarly situated individuals, including nondisabled persons and persons with other disabilities.16 Ensure universal access to generic programs for persons with disabilities satisfying the broad, nondiscriminatory eligibility criteria.17 In making fact-specific decisions, use interdisciplinary assessments performed on a timely basis by qualified personnel conducted across multiple environments and use information provided by the individual with a disability and the person's family or representative.18 Develop individualized plans that identify and describe needs, goals, objectives, services, and accountability measures.19 b. Genuine, Effective, and Meaningful Opportunity. Ensure that opportunities made available to persons with disabilities are genuine, effective, and meaningful.20 This includes: * Providing "appropriate" services and supports that address the unique needs of the individual, not the needs of the "average" person.21 * Making reasonable modifications to policies, practices, and procedures unless it would fundamentally alter the nature of the program.22 * Providing auxiliary aids and services unless it would result in an undue hardship to the covered entity.23 * Providing reasonable accommodations to employees unless it would result in an undue hardship to the covered entity.24 * Making programs physically accessible.25 * Providing accessible communications.26 c. Inclusion and Integration. Foster the inclusion and integration of persons with disabilities in programs, projects, and activities provided by covered entities; do not unnecessarily or unjustifiably isolate or segregate them and deny them effective opportunities to interact with nondisabled persons and to participate in mainstream activities. * Administer programs, projects, and activities in the most integrated setting appropriate to the needs of the individual.27 * Provide services in the least restrictive environment (continuum of program options).28 2. FULL PARTICIPATION The second goal of disability policy articulated in the ADA is full participation. This means empowering persons with disabilities, fostering self-determination, real and informed choice, and active participation in decision-making process at the individual and system level (including self-advocacy).29 a. Involvement and Choice By the Individual In Decisions Affecting the Individual.30 Active involvement and real and informed choice of the individual with a disability in decisions directly affecting the individual, including: * Opportunity to receive information about policies that affect the individual * Assessments to be conducted * Planning to be carried out * Services and supports provided (including the right to refuse or terminate services) * Selection of service providers * Measures of progress used. b. Involvement and Choice By the Individual's Family In Decisions Affecting the Individual.31 Active involvement and real and informed choice of family members (under appropriate circumstances) in decisions affecting the individual with a disability and the family, including: * Opportunity to receive information about policies that affect the individual * Assessments to be conducted * Planning to be carried out * Services and supports provided (including the right to refuse or terminate services) * Selection of service providers * Measures of progress used. c. Involvement by Individuals and Families at the System Level.32 Active involvement in policy decisions at the system level, including: * Opportunity to comment on agency proposals and have the agency respond to comments * Participation in governing boards/councils that make or recommend policies relating to the program * Joint-sign off between public agency and governing board/council. 3. INDEPENDENT LIVING The third goal of disability policy articulated in the ADA is to foster the ability and capabilities of individuals with disabilities to live independently. a. Independent Living Skills Development and Specialized Planning.33 Support for independent living skill development and specialized planning, including: * Training in individual and systems advocacy * Services related to securing food, clothing, and shelter * Management of personal assistants and other support personal * Use of assistive technology devices b. Long-term Services and Supports, Including Personal Assistance Services and Supports.34 Support for long-term services and supports, including personal assistance services and supports necessary to enable an individual to live independently in the community, including consumer-directed and agency-directed personal assistance services and supports. c. Cash Assistance and other Forms of Support. Support for cash assistance and other programs of assistance that enable the individual to live independently in the community include, for example: * Cash assistance35 * Health care36 * Transportation * Housing37 * Food.38 4. ECONOMIC SELF-SUFFICIENCY The fourth goal of disability policy articulated in the ADA is to foster the economic security, stability, and productivity of persons with disabilities consistent with their actual (not perceived) capabilities, strengths, needs, interests, and priorities. a. Systems Providing Employment-related Services and Supports. Systems providing employment-related skills and supports include, for example: * Education39 * Training40 * Self-employment (entrepeneurship)41 * Ongoing assistance on-the-job.42 b. Cash Assistance and Other Programs of Assistance. Support for cash assistance and other programs providing assistance, including for example: * Cash assistance that include worker incentive provisions43 * Health care44 * Housing45 * Food.46 c. Tax Policy Providing Incentives. Tax policy that provides incentives to employers, consistent with business objectives, to hire people with disabilities and that provides deductions and credits for employment-related expenditures enabling an individual with a disability to work include, for example: * Incentives for Employers47 * Incentives for Individuals with Disabilities F. METHODS OF ADMINISTRATION In addition to including a common core of policies that effectuate the goals of disability policy articulated in the ADA, the Federal legal framework includes a core set of administrative/accountability provisions. These provisions are designed to maximize the likelihood that the rights afforded in the civil rights statutes and the obligations of covered entities under entitlement and grant-in-aid programs are implemented and enforced.48 1. STATE PLANS, APPLICATIONS, WAIVERS State plans and applications describe how the public agency plans to satisfy the applicable requirements, including core policies and methods of administration. Waivers provide exemptions or alternative methods of implementation, including testing the provision of new services.49 2. MONITORING AND ENFORCEMENT BY GOVERNMENT AGENCIES Monitoring and enforcement maximizes the likelihood that recipients and contractors will comply with applicable requirements and implement the program to ensure results for persons with disabilities. This includes preparing monitoring instruments, conducting monitoring reviews, issuing reports, requiring corrective action, and imposing sanctions and securing remedies for individuals.50 3. PROCEDURAL SAFEGUARDS Procedural safeguards for individuals include: * The right to notice of rights51 * The right to examine records52 * The right to file a complaint53 * The use of mediation and other forms of dispute resolution54 * Administrative due process hearings and administrative review55 * Redress through private right of action in court, including remedies and the awarding of attorneys fees to prevailing parties.56 4. ACCOUNTABILITY FOR RESULTS (OUTCOME MEASURES) Accountability for results using standards and performance indicators that reflect the expected outcomes for recipients with disabilities and the use of sanctions for failure to meet expected outcomes57 and rewards for exceeding expectations.58 5. REPRESENTATION AT THE INDIVIDUAL AND SYSTEMS LEVELS Public support for representation and advocacy at the individual and systems level to ensure meaningful involvement and choice. * Systems providing protection and advocacy at the individual and systems level59 * Self-advocacy training60 6. SINGLE LINE OF RESPONSIBILITY/COORDINATION AND LINKAGES AMONG AGENCIES Placing accountability for the administration of a program in a single agency to avoid "buckpassing."61 At the same time, provide mechanisms for interagency coordination and collaboration to ensure that no one "falls between the cracks" and that agencies provide for the effective delivery of services.62 7. SERVICE COORDINATION (CASE MANAGEMENT) Service coordination provided to assist individuals receive necessary services when a comprehensive array of services are required and such services are provided or paid for by multiple agencies.63 8. FINANCING SERVICE DELIVERY Proscribing methods for financing services through the allocation of funds or the establishment of cost reimbursement schemes (including outcome-based reimbursement schemes) that have the effect of denying effective opportunities for persons with the most significant needs.64 9. PRIVACY, CONFIDENTIALITY, ACCESS TO RECORDS, INFORMED CONSENT Protecting privacy, confidentiality, requiring informed consent minimizes the extent of government intrusion.65 Access to records assures that individuals have the necessary information to make informed choices.66 10. COMPREHENSIVE SYSTEM OF PERSONNEL DEVELOPMENT Personnel providing services to beneficiaries satisfy qualification standards in order to perform assigned tasks in an effective and efficient manner. Personnel knowledgeable about civil rights statutes as well as promising practices so that they provide state-of-the-art services to persons with disabilities.67 11. RESPONSIVENESS TO CULTURAL DIVERSITY Services provided in a culturally competent manner that is responsive to the beliefs, interpersonal styles, attitudes, language, and behaviors of individuals receiving services and in a manner ensuring maximum participation in the program.68 12. FISCAL PROVISIONS Public agencies use program funds to supplement and not supplant other sources of funding and must maintain their own fiscal effort.69 13. FINANCIAL MANAGEMENT AND REPORTING Grant funds managed in such a way to ensure fiscal control and fund accounting.70 G. PROGRAM SUPPORT To ensure that civil rights laws are implemented and Federal-supported programs are "state of the art" and "cutting edge" the Federal legal framework often authorizes support programs (e.g., training, research, technical assistance) that foster the goals, policies, and methods of administration included in the legislation. 1. SYSTEMS CHANGE INITIATIVES Funding designed to assist public agencies develop and implement comprehensive reforms at the system or institutional level (policies, practices, and procedures).71 2. TRAINING OF INDIVIDUALS WITH DISABILITIES AND THEIR FAMILIES Support model approaches for training individuals with disabilities and their families.72 3. TRAINING OF PERSONNEL REGARDING PROMISING PRACTICES Support for personnel preparation and training, including training of specialists, generalists, and leadership.73 4. RESEARCH ,TECHNICAL ASSISTANCE, INFORMATION DISSIMINATION Support research, technical assistance, and information dissemination to ensure that programs are effective, state-of-the-art, and efficient.74 HISTORICAL CONTEXT, CORE PRECEPT AND OVERARCHING GOALS OF WIA A. FEDERAL LEGAL FRAMEWORK 1. Overview. The overall goal of title I of the WIA is to increase employment, retention, and earnings of participants, and in doing so, improve the quality of the workforce to sustain economic growth, enhance productivity and competitiveness, and reduce welfare dependency.75 According to DOL, Title I of WIA represents a national consensus on the need to restructure a multitude of workforce development programs into an integrated workforce investment system that focuses on customer service and performance accountability.76 Under title I of WIA, the workforce investment system provides the framework for delivery of workforce investment activities at the State and local levels to individuals who need those services, including job seekers, dislocated workers, new entrants to the workforce, persons with disabilities, and employers.77 Each State's Governor is required to establish a State Workforce Investment Board, to designate local workforce investment areas, and to oversee the creation of Local Workforce Investment Boards and One-Stop service delivery systems in the State.78 The Act incorporates seven key principles that are to guide the restructuring.79 These principles are described below. 2. Streamlining. The first principle is streamlining services through the integration of multiple employment and training programs at the "street level" through One-stop service centers with seamless responsibility to all customers. According to DOL, "all customers" includes individuals with disabilities and other persons with multiple barriers to employment.80 In order to make services available to all customers, the One-stop system must be accessible by persons with disabilities.81 3. Empowering Individuals. The second principle is empowering individuals with information and resources they need to manage their own careers through Individual Training Accounts and better information on the performance of service providers as well as skills demanded by employers. 4. Universal Access. The third principle is universal access to a core set of career decision-making and job search tools. 5. Increased Accountability. The fourth principle is to hold State and local entities accountable for performance or suffer sanctions. Training providers and their programs also demonstrate successful performance and customer satisfaction to remain eligible to receive funds. 6. Strategic Planning and Oversight. The fifth principle is to strengthen the role of local boards and the private sector by shifting emphasis from "nitty gritty" operational details to strategic planning and oversight of the One-stop service delivery system. 7. Flexibility. The sixth principle is State and local flexibility to ensure that delivery systems are responsive to the needs of local employers and individual communities. 8. Youth Activities. The seventh principle is improved youth activities that strengthen linkages between academic and occupational learning and other youth development activities. B. POLICY ISSUES CONCERNING HISTORICAL CONTEXT, PRECEPT, AND OVERARCHING GOALS OF WIA * What is the historical treatment of persons with disabilities under the Job Corps program and the Job Training Partnership Act and other predecessor programs? Is there a history of exclusion, including automatic referral to other programs such as vocational rehabilitation? Denial of effective opportunity to receive the benefits of services? Failure to provide services in the most integrated setting appropriate? * What efforts have been made to ascertain the prevalence of persons with disabilities among the prospective pool of eligible participants? * Are public agencies at the Federal, State and local levels making a concerted effort to take into consideration the historical treatment of persons with disabilities in the development of new policies and procedures and methods of administration? * Are the goals of title I of WIA compatible with the goals of disability policy articulated in the ADA (equality of opportunity, full participation, independent living and economic self-sufficiency)? * Are the seven principles embodied in WIA consistent with the goals articulated in the ADA and the core policies included in disability policy? GOVERNANCE AT THE FEDERAL LEVEL A. DESCRIPTION OF THE FEDERAL LEGAL FRAMEWORK The primary role of the Department of Labor is leadership and guidance, including publication of guidance on interpretations of statutory and regulatory provisions.82 An additional role is State plan approval, including approval of State performance indicators and use of incentives and sanctions.83 The Secretary is also authorized to grant waivers84 and approve workforce flexibility plans85. With respect to people with disabilities, DOL and the Department of Education will work with the States as they develop and implement their State plans to ensure the "effective delivery of services under WIA to individuals with disabilities."86 The Department of Labor will also be conducting a study of WIA implementation that will include a review of the manner and extent to which vocational rehabilitation programs are integrated in the workforce investment system and how effectively the system serves individuals with disabilities.87 Specific guidance will be issued regarding the implementation of section 188 of WIA (nondiscrimination), including guidance on the development and implementation of a "Methods of Administration."88 The Secretary is authorized to monitor all recipients and subrecipients of all grants awarded and funds expended under title I of WIA to determine compliance with the Act and the implementing regulations and may investigate any matter deemed necessary to determine compliance. Federal oversight will be conducted primarily at the recipient level. Each fiscal year, the Secretary will also conduct in-depth reviews in several States, with priority given to States not meeting annual adjusted levels of performance.89 Findings arising from investigations or reviews conducted under nondiscrimination laws will be resolved by the Secretary in accordance with section 188 of WIA and the Department of Labor nondiscrimination regulations implementing section 188.90 Complaints alleging violations of the nondiscrimination provisions of section 188 of WIA may be directed or mailed to the Director of the Civil Rights Center, DOL. The Secretary is required to submit an annual report to the Congress that includes, among other things, a summary of major findings from research, evaluations, pilot projects and experiments conducted under title I of WIA and make appropriate administrative changes and recommendations for amendments to the legislation. B. POLICY ISSUES CONCERNING FEDERAL GOVERNANCE * What specific policy issues should DOL develop guidance in order to enhance effective implementation of WIA for people with disabilities at the State and local levels to foster equality of opportunity, full participation, independent living, and economic self-sufficiency: * Governance at the State level? * Governance at the local level? * One-stop service delivery system? * Youth activities? * Performance accountability? * When is the study of program implementation applicable to persons with disabilities scheduled to take place? What is the scope of the study? Will the conceptual framework of the study reflect the goals of disability policy articulated in the ADA and the disability policy framework set out in this paper? How will the study be used to improve implementation for persons with disabilities by the Department? Are other evaluations or components of other studies planned that will address implementation of title I of WIA for persons with disabilities? * In conducting mandatory monitoring of compliance with WIA by States, what specific policies and procedures will be included in monitoring instruments/manuals applicable to implementation of WIA for persons with disabilities? * What specific training will be provided to state and local agencies involved in the implementation of WIA regarding implementation for persons with disabilities? Will it be integrated into the general training provided relating to overall implementation of WIA? * What specific guidance will be provided to State Boards with respect to their obligation to describe in their State's plan how they will ensure nondiscrimination and equality of opportunity?91 * Will Local Boards and One-Stop operators be required to develop specific plans or incorporate policies and procedures regarding nondiscrimination and equality of opportunity as part of their Local workforce investment plans? * What policies and procedures is DOL adopting to ensure consistent, effective and efficient oversight, monitoring, and enforcement of the nondiscrimination provisions of the WIA and section 504 of the Rehabilitation Act and the ADA by the Employment and Training Administration and the Civil Rights Center? * In developing specific guidelines regarding linkages with other Federal initiatives, e.g., Temporary Assistance Needy Families, to what extent does the guidance address the needs of persons with disabilities? STATE GOVERNANCE A. STATE WORKFORCE INVESTMENT BOARD 1. Description of the Federal Legal Framework. According to DOL, the State Board will be led by top business executives who can ensure that the system is responsive to current and projected market realities. In addition, the State Board will contain a broad range of partners needed to develop a comprehensive vision for the workforce investment system, and will focus on strategic decisions, not operational management. WIA requires a broad range of Board members because "having all partners 'at the table' is key to developing a comprehensive vision and effective strategies."92 The membership of the Board, which is appointed by the Governor, must include, among others, the lead State agency officials with responsibility for the programs and activities (including vocational rehabilitation programs authorized under title I of the Rehabilitation Act) carried out by One-Stop partners.93 DOL recognized in the preamble to the interim regulations that: "Individuals with disabilities represent a large untapped potential workforce, and the workforce needs of this group is of significant importance to the Department and other Federal agencies. To signal the importance of this issue, the Presidential Taskforce on Employment of Adults with Disabilities was formed in 1998. In light of this emphasis on increasing the employment rate for individuals with disabilities as well as the complexity of the organizational requirements applicable to this program, the director of the designated State unit under section 101(a)(2)(B)(ii)(II) of the Rehabilitation Act, if the State has such a unit, should serve on the State Board. In addition, a program operated by a State agency for the blind or by a designated unit for the blind should be considered separate program for purposes of appointing members to the State Board under WIA section 111. The expertise of the unit head(s) would be particularly useful since the Department, in coordination with the Department of Education, will be working on the development of additional performance indicator focusing on individuals with disabilities that may be used by States under title I of WIA."94 In addition, the State Workforce Investment Board must include two or more representatives from among groups specified in WIA with "special consideration" given to the inclusion of community-based organizations within the State with experience and expertise in the delivery of services.95 The State Workforce Investment Board has numerous responsibilities, including development of the State plan, development and continuous improvement of the Statewide system of activities (including developing linkages with the vocational rehabilitation program in order to assure coordination and avoid duplication), review of the local plans, development of State performance measures, and the issuance of policies, interpretations, and guidance.96 With respect to persons with disabilities, DOL explains that the State Board is responsible for making several key decisions, including how best to organize the service system to most effectively serve customers with multiple barriers to employment, including "individuals with disabilities." 97 2. Policy Issues Concerning the State Workforce Investment Board. * In light of the statement by DOL in the preamble to the regulations concerning the inclusion on the State Board of the director of the vocational rehabilitation program, are States required to include the director of the designated State unit of the vocational rehabilitation program on the State Board? What procedures must a State adopt to ensure that the critical views of "partners" with knowledge and experience pertaining to working with people with disabilities are considered at the table to ensure that the State is developing "a comprehensive vision and effective strategies" for serving people with disabilities? * What procedures has the State adopted to inform members of State Rehabilitation Councils and community service providers, including providers primarily serving people with disabilities, about serving on the State Board? * What procedures has the State Board adopted to secure meaningful input from those with experience and expertise on the needs of persons with disabilities (including information from public and nonprofit agencies and organizations) to ensure that it makes informed decisions on how best to serve customers with disabilities? B. THE STATE PLAN 1. Overview. Section 112 of WIA and section 661.220 of the interim regulations set out the policies governing the submission and contents of the State plan. On February 25, 1999, DOL issued planning guidance for use by States in submitting their Strategic Five-Year Plan for Title I of WIA. The planning guidance provides a framework for the collaboration of all partners to design and build workforce investment systems that address customer needs, deliver integrated, user-friendly services, and are accountable to the customers and the public.98 2. Critical Role of the State Board. As explained above, the State Board takes responsibility for making several critical decisions on how to achieve the plan goals, including how best to organize the service system to most effectively serve customers, including individuals with "multiple barriers to employment" (such as "individuals with disabilities").99 The State plan must include a description of the organization and structure of the Board.100 Policy issues concerning the State Board are set out above. 3. Plan Development Process. a. Federal Legal Framework. The State Plan represents a collaborative process among State and local elected officials, Boards, and partners. Plan development must also include opportunity for meaningful stakeholder and public review and comment. The State plan must describe their Plan development process, including a discussion on how comments were incorporated wherever possible.101 b. Policy Issues Concerning the Plan Development Process. * What procedures have been established to ensure meaningful collaboration among partners, including State vocational rehabilitation agencies, other State agencies serving people with disabilities e.g., MR/DD and MH agencies, Medicaid agencies, State Rehabilitation Councils, Statewide Independent Living Councils and where appropriate community-service providers serving people with disabilities and public and nonprofit entities representing people with disabilities with respect to the development of the State plan? * What outreach procedures has the State adopted to secure "meaningful" review and comment by groups (including groups representing persons with disabilities) that historically have not been included in generic workforce development programs? * How will the State Board ensure that the public "including people with disabilities" has access to Board meetings and information regarding State Board activities, including membership and meeting minutes?102 4. Vision and Goals. a. Federal Legal Framework. The State plan must include the State's broad strategic economic and workforce development goals (e.g., "All people who want to work can find jobs...") and the State's vision of how the system will help the State attain these strategic goals.103 b. Policy Issues Concerning Vision and Goals. * Does the State's articulation of its goals and vision specifically include recognition that "all" customers include customers with disabilities? 5. Assessment. a. Federal Legal Framework. To achieve the State's vision, it must start by assessing where the State is today-current market realities and the system's readiness. This assessment provides the foundation for mapping out strategies to achieve the State's vision. The State must identify its customers (for example, the State may wish to identify "major customer segments... including individuals with disabilities"), their needs, and the State's ability to fulfill them. The State must also assess the policies already in place, strengths to build on, weaknesses to improve on, opportunities for action, and challenges to progress.104 b. Policy Issues Concerning Assessment. * What procedures has the State adopted to identify the needs of persons with disabilities, as well as policies already in place, strengths, weaknesses, opportunities for action, and challenges regarding people with disabilities? * Which individuals and public and nonprofit agencies and organizations are involved in the process, including which individuals and entities are interviewed? * Does the State use existing data only or will it undertake the collection of additional data? * Does the assessment include a review of historic data under previous generic workforce programs such as JTPA? * Does the assessment include review of EEO data? 6. Strategies for Improvement. a. Federal Legal Framework. According to DOL, strategies move a State from the current state of readiness toward the State's vision and enable the State to achieve its performance goals. Strategies align State resources and focus energy on services to meet customer needs and systems to ensure continuous improvement. Each strategy should build on strengths, correct weaknesses, maximize opportunities, and deflect challenges described in the assessment portion of the State plan.105 The State plan must describe how it will meet the needs of each of the major customer groups, including individuals with disabilities106 and how it will ensure nondiscrimination and equal opportunity.107 The State plan must also address:108 * Steps to improve operational collaboration e.g., joint memoranda of understanding, joint activities, coordinated policies. * How the State will assist local areas in the evolution of One-Stop delivery systems e.g., statewide requirements, technical assistance, funding support. * How the State will build the capacity of Local Boards and youth councils to develop and manage effective programs. * How the State implements the key principles of WIA. * How the State will maximize customer choice.109 * Strategies for providing comprehensive services for eligible youth, including any State requirements to assist youth who have special needs or barriers to employment. * How the State will use technology. b. Policy Issues Concerning Strategies for Improvement. * In general, what policies have been adopted to ensure that the State meets the needs of persons with disabilities? Have specific policies and procedures been developed with respect to core services, intensive services, training services, supportive service? * What outreach efforts have been undertaken to inform people with disabilities about the availability of services through WIA? * What policies and procedures have been included in the State plan to ensure nondiscrimination and equal opportunity for persons with disabilities? * What policies and procedures has the State Board adopted to improve operational collaboration with respect to services for people with disabilities provided under the vocational rehabilitation program and under programs operated by other State agencies (e.g., Developmental Disabilities, Mental Health, and Medicaid agencies? For example, has the State Board established an interagency planning group and if so what policies and procedures have been developed and are proposed for development in the future? * What policies has the State adopted regarding assistance to One-Stops to enable them to meet the needs of persons with disabilities e.g., additional funding for persons with more expensive needs; the provision of training and technical assistance on how to conduct assessments to identify undiagnosed disabilities? * What policies has the State adopted to build the capacity of One-Stops to meet the needs of persons with disabilities? * What procedures has the State adopted to ensure that One-Stop operators understand their legal obligations under section 504 of the Rehabilitation Act and the ADA e.g., specific ongoing training? * What policies has the State adopted to ensure that the key principles guiding the workforce development system and the requirement of consumer choice apply in a meaningful and effective manner to persons with disabilities and that persons with disabilities receive services in the most integrated setting appropriate? * What policies and procedures have been adopted by the State to ensure that technology used by the system is accessible to people with disabilities? 7. Performance Management. a. Federal Legal Framework. According to DOL, improved performance and accountability for customer-focused results are central features of WIA. To improve, a State not only needs systems in place to collect data and track performance, but also systems to analyze the information and modify strategies to improve performance. Thus, States must describe how they measure success and how they use this data to continuously improve the system.110 With respect to persons with disabilities, WIA specifies that in preparing the annual report to the Secretary on the progress of the State in achieving State performance measures the State must, among other things, include information on indicators of performance for persons with disabilities.111 In addition, the State plan must include: * Policies concerning core indicators and levels of performance goals * Data system and reporting processes * State measures for customer satisfaction * Actions the Governor and the State Board will take to ensure collaboration with key partners and continuous improvement of the statewide system * Means for evaluating performance * Corrective actions (including technical assistance and the use of sanctions) the State will take if performance falls short of expectations b. Policy Issues Concerning Performance Management. * What common data elements have been identified to be collected regarding activities under title I of WIA, the vocational rehabilitation program, and other programs proving employment and training services for people with disabilities (e.g., in Developmental Disabilities or Mental Health agencies)? * What policies has the State adopted to ensure disaggregation of data for persons with disabilities to ascertain how the system is functioning for persons with disabilities? * What policies and procedures are in place to review local plans to ensure that Local Boards are making informed decisions on how best to serve customers with disabilities? * Has the State adopted policies that specifically provide for the continuous improvement of the Statewide system for people with disabilities? * Do the review instruments developed by the State determine the extent to which persons with disabilities are receiving the auxiliary aids and services, accommodations and accessibility they require in order to enjoy meaningful opportunity to benefit from the program? * Does the State review the EEO data when it conducts its continuous improvement reviews? * Does the State review administrative due process decisions for policy implications? * Does the state's system for corrective action specifically address lack of performance of the system with respect to people with disabilities? 8. The Adoption of State Policies. a. Federal Legal Framework. The State plan must describe the major policies and requirements that have been established to direct and support the development of a Statewide workforce investment system. Policies include: * Guidelines for the selection of One-Stop providers by Local Boards * Process to work with Local Boards and local officials to certify existing One-Stop operators * Procedures to resolve impasses at the local level in developing memoranda of understanding among partners * Performance information that on the job training and customized training providers must provide * Policies related to priority of services for recipients of public assistance and other low-income individuals * Policies limiting Individual Training Accounts e.g., dollar amount and duration * Policies related to the selection of service providers for Individual Training Accounts112 In addition, the State plan must specifically describe policies related to individuals with disabilities and others with multiple barriers to employment.113 b. Policy Issues Concerning the Adoption of State Policies. * What general policies has the State adopted with respect to people with disabilities that reflect the goals articulated in the ADA of equality of opportunity, full participation, independent living and economic self-sufficiency? * For each of the categories of policies the State must establish, what specific policies or modifications to existing policies has the State adopted to ensure that people with disabilities are provided services in the most integrated setting appropriate and that the policies ensure effective and meaningful opportunity to enjoy the benefits of the program? 9. Assurances. a. Federal Legal Framework. The State plan must include a series of assurances such as assurances concerning compliance with the nondiscrimination provisions set out in section 188 of WIA (including an assurance that a Methods of Administration has been developed and implemented), compliance with Section 504 of the Rehabilitation Act and the ADA, and that it will collect and maintain data necessary to show compliance with the nondiscrimination provisions. It should be noted that although funds made available under title I of WIA may not be used for construction, they may be used to provide physical and programmatic accessibility and reasonable accommodations under section 504 of the Rehabilitation Act and the ADA.114 b. Policy Issues Concerning Assurances. * Has the State adopted specific policy guidance regarding implementation of section 188 of WIA, section 504, ADA, and EEO data or does it simply sign the assurance? C. STATE MONITORING, ENFORCMENT, AND COMPLAINT RESOLUTION 1. Federal Legal Framework. The Governor is responsible for the development of the State monitoring system. The Governor must demonstrate to the Department of Labor, through a monitoring plan or otherwise, that the State monitoring system meets specified conditions. The monitoring system must, among other things, enable the Governor to determine if subrecipients and contractors have demonstrated substantial compliance with WIA requirements. The Governor must impose sanctions in the event of a subrecipient's failure to take required corrective action.115 The Governor must also develop procedures for resolving findings that arise from the State's monitoring reviews.116 Findings arising from investigations or reviews conducted under nondiscrimination laws will be resolved in accordance with section 188 of WIA and the Department of Labor nondiscrimination regulations implementing section 188 of WIA.117 The State must establish a grievance procedure for resolving complaints by participants and other interested parties affected by the local workforce investment system, including One-Stop partners and service providers.118 Under Section 188(a) of WIA, complaints of nondiscrimination from participants and other interested parties must be handled in accordance with section 188(b) of WIA and the Department of Labor nondiscrimination regulations implementing that section. Complaints alleging a violation of the nondiscrimination provisions of WIA may be directed or mailed to the Director, Civil Rights Center, DOL.119 2. Policy Issues Concerning Monitoring and Enforcement and Complaint Resolution. * To what extent do monitoring instruments and monitoring manuals include issues of particular relevance to persons with disabilities? * Do the procedures concerning monitoring reviews and resolution of findings from monitoring reviews include an opportunity for public input? * What procedures has the State adopted for resolving complaints involving violations of nondiscrimination under and compliance with section 188 of WIA? D. UNIFIED STATE PLAN 1. Federal Legal Framework. a. In General. A State may submit to the appropriate Secretaries a unified plan for any of the programs described in Section 501(b)(2) of WIA, including the State vocational rehabilitation program.120 Each portion of a unified plan is subject to the particular requirements of Federal law authorizing the program.121 In other words, WIA's State unified plan provisions do not allow any specific statutory requirements to be superseded. Funds provided under each program included in a unified plan must be used in accordance with the program's statutory and regulatory requirements.122 b. Vision and Goals. The unified plan must provide the State's comprehensive vision of a workforce investment system. If the unified plan includes the vocational rehabilitation program, the State must identify the goals and priorities of the State in carrying out the vocational rehabilitation program and identify the strategies to address the State's needs and achieve the State's goals and priorities and specify the goals and plans of the State with respect to the distribution of funds received under Section 622 (supported employment).123 c. Plan Development. The unified plan must describe the methods used for joint planning and coordination of programs and activities included in the unified plan. If the vocational rehabilitation program is included in the unified plan, the State must include the response of the designated State unit to input and recommendations of the State Rehabilitation Council.124 d. Needs Assessment. The unified plan must describe the educational and job training needs of individuals in the overall State population and of relevant subgroups of all the program included in the unified plan e.g., persons with disabilities. If the unified plan includes the vocational rehabilitation program, the State must assess the needs of individuals with disabilities in the State, particularly the vocational rehabilitation needs of individuals with the most significant disabilities (including their needs for supported employment services), individuals with disabilities who have been unserved or under-served by the vocational rehabilitation program, and individuals with disabilities served through other components of the statewide workforce investment system.125 e. State and Local Governance. The unified State plan must describe the organization, structure, and role/function of each State and local entity that will govern activities of the unified plan. If the vocational rehabilitation program is included in the unified plan, the State must designate a State agency as the sole State agency to administer the plan, or to supervise the administration of the plan by a local agency consistent with the provisions of Title I of the Rehabilitation Act.126 f. Funding. The unified State must describe the criteria that the State will use, subject to each program's authorizing law, to allocate funds for each of the programs included in the unified plan. If the vocational rehabilitation program is included in the unified plan, the State must: * describe how it will utilize funds reserved for the development and implementation of innovative approaches to expand and improve the provision of vocational rehabilitation services to individuals with disabilities under the State plan, particularly individuals with the most significant disabilities; * describe the quality, scope, and extent of supported employment services authorized under the Act to be provided to eligible individuals; and * in the event that vocational rehabilitation services cannot be provided to all eligible individuals with disabilities in the State who apply for services, indicate the order to be followed in selecting eligible individuals to be provided vocational rehabilitation services and provide justification of the order.127 g. Coordination and Non-Duplication. The unified plan must describe how the State will coordinate and integrate the services provided through all of the programs identified in the unified plan in order to meet the needs of its customers, ensure there is no overlap or duplication among the programs, and ensure collaboration with key partners and continuous improvement of the workforce investment system. If the unified plan includes the vocational rehabilitation program, the State must describe the State agency's plans, policies, and procedures for coordination with rural development agencies, education officials, non-profit vocational rehabilitation service providers through cooperative agreements, agencies to assist in the provision of supported employment services, employers, natural supports and other entities with respect to the provision of extended services, and other public and nonprofit agencies and organizations in the State.128 h. Special Populations. The unified plan must describe how the State will develop strategies to target and serve special populations, including persons with disabilities. If the unified plan includes the vocational rehabilitation program, the State must describe how it will serve minorities with the most significant disabilities.129 The unified plan must also include a description of the steps the eligible agency (and other agencies subject to the provisions of the General Education Provisions Act) will take to ensure equitable access to, and equitable participation in, projects or activities carried out with funds by addressing the special needs of program beneficiaries in order to overcome barriers to equitable participation, including barriers based on disability.130 i. Professional Development. The unified plan must describe how the State will develop personnel to achieve the performance indicators for the programs included in the unified plan. If the vocational rehabilitation program is included in the unified plan, the State must describe the designated State agency's policies, procedures, and activities to establish and maintain a comprehensive system of personnel development designed to ensure an adequate supply of qualified State rehabilitation professional and paraprofessional personnel for the designated State unit.131 j. Performance Accountability. The unified plan must describe the State's performance methodologies, indicators and goals in measurable, quantifiable terms for each program included in the unified plan and how each program will contribute to achieving these performance goals.132 No specific guidance is included with respect to the vocational rehabilitation program. k. Corrective Action. The unified plan must describe the corrective actions the State will take for each program, as applicable, if performance falls short of expectations. If the vocational rehabilitation program is included in the unified plan, the State must include the results of an evaluation of the effectiveness of the vocational rehabilitation program, and report jointly developed with the State Rehabilitation Council (if the State has a Council) on the progress made in improving effectiveness from the previous year.133 l. Waiver and Work-Flex Requests. With respect to the vocational rehabilitation program, if a State requests a waiver of the Statewideness requirement, the request must be made in accordance with the provision of 34 CFR 361.26(b).134 m. Certifications and Assurances. The State and agencies administering programs that are included in the unified plan must assure and certify, among other things, that: * it will comply with the nondiscrimination provisions in Section 188 of WIA and its implementing regulations (29 CFR Part 37), including an assurance that a Methods of Administration has been developed; * it will collect and maintain data necessary to show compliance with the nondiscrimination provisions; * recipients of assistance from the workforce investment system and its partners will comply with Section 504 of the Rehabilitation Act; and * the State will include State and local EO officers and advocates for groups protected from discrimination under WIA Section 188 in the planning process in a meaningful way, beginning with the earliest stages.135 With respect to the vocational rehabilitation program, by signing the unified plan, the State is certifying that it is satisfying numerous requirements set out in Section 101 of the Rehabilitation Act (State plan).136 2. Policy Issues Concerning the Unified State Plan. * With respect to the vocational rehabilitation program, may a State blend in all the State plan requirements of the title I and title VI, Part B of the Rehabilitation Act throughout the unified plan or must it include the Rehabilitation State plan as integral yet discrete and separate component of or attachment to the unified plan? * What policies has the State adopted to provide for joint planning and coordination of the programs included in the unified plan, including programs operated by vocational rehabilitation agencies and Developmental Disabilities and Mental Health agencies? * What methods were included to provide meaningful opportunities for entities responsible for planning or administering the various programs ( and statutorily established councils such as the State Rehabilitative Councils) to review and comment on all portions of the unified plan? LOCAL GOVERNANCE A. LOCAL WORKFORCE INVESTMENT BOARD 1. Federal Legal Framework. The Local Workforce Investment Board is appointed by the chief elected official in each local area, consistent with State criteria and is certified by the Governor.137 The Local Board must contain at least one member representing each One-stop partner, including the State vocational rehabilitation agency.138 In addition, the Local Board must contain two or more members representing categories described in the WIA, including community-based organizations. These organizations include "organizations representing individuals with disabilities".139 DOL also explains that "special consideration" must be given to including representatives of "organizations representing individuals with disabilities."140 DOL also explains, however, that the regulations do not mandate a membership seat for each category of entity listed in the statute.141 Further, the Local Board may include individuals or representatives of other appropriate entities representing individuals with multiple barriers to employment and other special populations, as determined by the chief elected official.142 In partnership with the chief elected official(s), the Local Board sets policy for the portion of the Statewide workforce investment system within the local area and develops the local workforce investment plan. In addition the Local Board performs other functions such as conducting oversight of the One-stop system, employment and training activities and youth activities.143 According to DOL, the Local Board is responsible for making critical decisions, including how best to organize the service system to most effectively serve customers, including individuals with multiple barriers to employment, including individuals with disabilities.144 2. Policy Issues Concerning the Local Workforce Investment Board. * What "special considerations" has the local elected officials adopted to provide for representation of community-based organizations with knowledge and expertise on the needs of persons with disabilities? * What procedures has the Local Board adopted to ensure that members of the Board include persons with disabilities and have the knowledge and expertise necessary to make informed decisions on how to organize the service delivery system to effectively serve customers with disabilities in the most integrated setting appropriate? B. YOUTH COUNCIL 1. Federal Legal Framework. The Youth Council must be established as a subgroup within each Local Board. The Youth Council must include, among others, members of the Local Board with special interest or expertise in youth policy, members who represent service agencies, parents of eligible youth, individuals who represent organizations that have experience relating to youth activities.145 The Youth Council is responsible for, among other things, developing portions of the local plan related to eligible youth, recommending eligible youth service providers, and conducting oversight with respect to eligible providers of youth activities.146 2. Policy Issues Concerning the Youth Council. * What procedures has the Local Board adopted to ensure that the Youth Council includes youth with disabilities and persons with knowledge and expertise about the needs of youth with disabilities? * What procedures has the Youth Council adopted to ensure that it has the capacity to carry out its responsibilities, including effective oversight of eligible providers of youth services for youth with disabilities? * How does the Youth Council coordinate programs, projects, and activities under the WIA with transition and school-to-work activities for youth with disabilities under Federal laws such as IDEA, Rehabilitation Act, and School-to-Work legislation? C. LOCAL WORKFORCE INVESTMENT PLAN 1. Federal Legal Framework. Each Local Board, in partnership with the appropriate chief elected official, must develop and submit a comprehensive five-year plan to the Governor which identifies and describes certain policies, procedures, and local activities that are carried out in the local area and is consistent with the State plan.147 The Local plan148 must, among other things: * Include a description of the process used to provide an opportunity for public comment on the proposed plan * An identification of the workforce investment needs of businesses, job seekers, and workers in the local area * An identification of the current and projected employment opportunities and job skills necessary to obtain such opportunities * A description of the One-Stop delivery system to be established including how the Local Board will ensure continuous improvement of eligible providers of services and ensure that such providers meet the employment needs of local employers and participants * A copy of the local memorandum of understanding between the Local Board and each of the One-Stop partners concerning the operation of the One-Stop service delivery system * A description of the local levels of performance negotiated with the Governor * A description and assessment of the type and availability of adult and dislocated worker employment and training activities in the local area, including a description of the Individual Training Account system * A description and assessment of the type and availability of youth activities in the area, including an identification of successful providers in the area * A description of the competitive process for awarding grants and contracts, including the process used to procure training services * A description of the criteria to be used by the Governor and the Local Board to determine whether WIA funds allocated to a local area are limited and priority will be applied to One-stop operators 2. Policy Issues Concerning the Local Workforce Investment Plan. * What procedures has the Local Board adopted to ensure that general policies address or are modified to address the special needs of persons with disabilities to ensure that the programs, services, and activities are individualized, are administered in the most integrated setting appropriate, and provide genuine, effective, and meaningful opportunity for participation by people with disabilities? * What procedures have been established to ensure meaningful collaboration among partners, including State vocational rehabilitation agencies, State Developmental Disabilities and Mental Health agencies and, where appropriate, community-service providers serving people with disabilities and entities representing people with disabilities in the development of the Local plan? * What outreach procedures has the State adopted to secure meaningful participation, review, and comment by groups (including those working with people with disabilities) that historically have not been included in generic workforce development programs? * Does the Local Plan include specific policies and procedures for ensuring compliance with the nondiscrimination and equal opportunity requirements, including how the Local Board will ensure that the public, including people with disabilities, has access to Board meetings and information regarding Local Board activities, including membership and meetings? * Does the Local Plan include procedures for providing information to employers who use the One-Stops about their responsibilities under civil rights laws? * Does the Local Board's articulation of its goals and vision specifically include recognition that "all" customers include customers with disabilities? * What process does the Local Board use to identify the needs of persons with disabilities, as well as policies already in place, strengths, weaknesses, opportunities for action, and challenges regarding people with disabilities? * Does the Local Board review the historical treatment of persons with disabilities under previous programs such as JTPA? * Does the assessment include a review of compliance with civil rights laws and EEO data? * Does the Local Plan include an information outreach effort to publicize the availability of workforce services for persons with disabilities? * How will the Local Boards build the capacity of One-Stops to develop and manage effective programs for persons with disabilities? * What procedures will the Local Board adopt to ensure that comprehensive services for youth include assisting youth with disabilities that have special needs or barriers to employment? * What procedures has the Local Board adopted to ensure that technology used by One-Stops is fully accessible for people with disabilities? * What policies have been adopted to ensure meaningful collaboration and to avoid duplication with the vocational rehabilitation program (this issue will be raised in more detail under the section of the report concerning the operation of the One-Stop system)? * What policies has the Local Board adopted regarding assistance to One-Stops to enable them to meet the needs of persons with disabilities? * What policies has the Local Board adopted to ensure disaggregation of data for persons with disabilities to ascertain how the One-Stop system is functioning for persons with disabilities? * What policies has the Local Board adopted to ensure that the continuous improvement process includes an ongoing review of how the system is functioning for people with disabilities? D. OVERSIGHT, MONITORING, ENFORCEMENT AND COMPLAINT RESOLUTION 1. Federal Legal Framework. Each Local Board must conduct regular oversight and monitoring of its WIA activities and those of its subrecipients and contractors in order to, among other things, determine whether or not there is compliance with other provisions of the Act and regulations.149 Each local area must establish and maintain a procedure for grievances and complaints. Local area procedures must, among other things, provide for a process for dealing with grievances and complaints from participants and other interested parties, including One-Stop partners and services providers.150 Under Section 188 of WIA, complaints of discrimination from participants and other interested parties must be handled in accordance with section 188(b) of WIA and the Department of Labor nondiscrimination regulations implementing that section. Complaints alleging a violation of nondiscrimination provisions of section 188 of WIA may be directed or mailed to the Director, Civil Rights Center, DOL.151 2. Policy Issues Concerning Oversight, Monitoring, Enforcement and Complaint Resolution. * Do reviews by Local Boards include implementation by One-Stops and recipients and subrecipients of Section 188 of WIA (nondiscrimination), Section 504 of the Rehabilitation Act, and ADA? * Are specific guidelines explaining responsibilities under these laws provided to these entities e.g., explanations regarding the "methods of administration" they must adopt or is the policy to simply rely on the signing of assurances? * Does the system of compliance and corrective action address lack of performance with respect to people with disabilities? * Do the instruments/policy manuals relating to oversight and monitoring include specific provisions applicable to implementation of WIA for persons with disabilities? * What sanctions apply for findings of noncompliance by service providers? THE ONE-STOP SERVICE DELIVERY SYSTEM A. OVERVIEW 1. The Federal Legal Framework. The One-Stop delivery system is a system under which One-Stop "partners" responsible for administering separate workforce investment, educational and other human resource programs and funding streams collaborate to create a seamless system of service delivery that will enhance access to the program's services and improve long-term employment outcomes for individuals receiving assistance.152 The system must include at least one comprehensive physical center in each local area that must provide core services and must provide access to other programs and activities carried out by One-Stop partners.153 The One-Stop delivery system may also include a network of affiliated sites that can provide one or more partners' programs at each site; a network of One-Stop partners linked physically or technologically to an affiliated site that assures individuals are provided information on the availability of core services in the local area; and specialized centers that address specific needs.154 DOL explains that "in essence, this structure may be described as a one right door and no wrong door approach." DOL also explains that Local Boards should coordinate with the broader community, including transportation agencies, to ensure that the centers are accessible to their customers.155 2. Policy Issues Concerning the One-Stop Service Delivery System. * What policies have the One-Stops adopted to ensure that all people with disabilities have access to services they need and are not automatically sent through "one door" i.e., are referred to the vocational rehabilitation program when such services are not required or desired? * What coordination procedures should the Local Board adopt with the broader community to ensure that centers are accessible to their customers with disabilities? * What policies are in place to ensure that the technological linkages among sites are accessible to people with disabilities? * May a One-Stop partner e.g., the State vocational rehabilitation agency operate a One-Stop Center? If so, what policy guidance is necessary to ensure that the partner does not act contrary to the Federal legislation providing financial assistance e.g., Title I of the Rehabilitation Act? B. ONE-STOP PARTNERS AND THE RESPONSIBILITIES OF PARTNERS 1. The Federal Legal Framework. The entity that carries out the vocational rehabilitation program authorized under title I of the Rehabilitation Act is a required partner under WIA. The entity that carries out this program is the designated State agency or designated State unit under the Rehabilitation Act that is primarily concerned with vocational rehabilitation, or vocational and other rehabilitation, of individuals with disabilities.156 Client Assistance Programs are also required partners.157 The responsibilities of partners158 include: * Making available to participants through the One-Stop delivery system the core services applicable to the partner's program * Using a portion of funds made available to the partner's program, to the extent not inconsistent with the Federal law authorizing the partner's program * Creating and maintaining the One-Stop delivery system * Providing core services * Entering into a memorandum of understanding with the Local Board relating to the operation of the One-Stop system * Participation in the One-Stop system consistent with the MOU The memorandum of understanding is the key document, which spells out, among other things, * a description of services, * how the cost of the identified services and operating costs of the system will be funded, and * methods of referral.159 The provisions in WIA and the interim final regulations describing the responsibilities of partners under memoranda of understanding are based on two key principles.160 The first principle is that each partner should pay its fair or proportionate share for the operation of and provision of core and other services under the One-Stop system. The second principle is that no partner is required to pay for the operation of the system or for specific services if such payment is not authorized under the partner's program. Reconciling these principles will require detailed guidance by the appropriate Federal agencies. According to the DOL regulations "additional guidance relating to cost allocation methods may be issued by the Department in consultation with the other appropriate Federal agencies."161 A single "umbrella" MOU may be developed between the Local Board and all partners or the Local Board and the partners may decide to enter into separate agreements between the Local Board and one or more partners.162 Local Boards and partners must enter into good-faith negotiations. The Local Board and partners must document the negotiations and efforts that have taken place.163 Local Boards and partners may request assistance from various State and Federal agencies to help resolve impasses. If an impasse has not been resolved, any partner that fails to execute an MOU may not be permitted to serve on the Local Board and the Local Board is not eligible for State incentive grants.164 2. Policy Issues Concerning the Responsibilities of Partners. * What policies and procedures has the Local Board adopted to reconcile the principles that every partner should pay its fair or proportionate share but no partner should be forced to pay for services that are inconsistent with the underlying legislation under which the partner is expected to operate? * What guidance, formal and informal has the Departments of Labor and Education provided with respect to the role and responsibilities of partners implementing vocational rehabilitation programs? * What constitutes "good faith" negotiations? * What policies has the Local Board adopted to maximize the likelihood that the memorandum of understanding does not have the unintended consequence of automatically referring and holding the vocational rehabilitation system responsible for all persons with disabilities who enter the system? * Does the memorandum of understanding address the responsibilities of One-Stop operators to serve persons with disabilities for whom the vocational rehabilitation does not provide services? In other words, how does the Local Board ensure that persons with disabilities not served by the vocational rehabilitation program don't "fall between the cracks" with no agency taking responsibility for providing and paying for needed services? C. CORE, INTENSIVE, TRAINING AND SUPPORTIVE SERVICES 1. Overview. The One-Stop system is the basic delivery system for adult and dislocated worker services. Through this system, eligible individuals can access a continuum of services.165 The services are organized into three levels: * Core services * Intensive services, and * Training services In addition, supportive services may be provided to individuals who are participating in core, intensive, or training services so that the services are effective and meaningful.166 To be an eligible adult in the adult and dislocated worker program, an individual must be 18 years or older.167 Adults and dislocated workers who receive services under title I of WIA, other than self-service must be registered and determined eligible.168 2. Core Services. a. Federal Legal Framework. Core services must be made available on a universal basis.169 Core services may be provided directly by the One-Stop operator or through contract with service providers that are approved by the Local Board.170 The regulation171 identifies 11 categories of core services, including, among others, * determinations of eligibility for assistance, * intake, * initial assessment, * job search, placement, and career counseling, * provision of program performance information and program cost information, * providers of vocational rehabilitation program activities under the Rehabilitation Act, * information on the availability of supportive services and referral to such services, * assistance in establishing eligibility for welfare-to-work activities and education and training programs, and * follow-up services, including counseling. b. Policy Issues Concerning Core Services. * In order to ensure universal access to core services for people with disabilities that is genuine, effective and meaningful, what policies and procedures are in place or are being developed or are being modified? * Do core services include benefits counseling services for persons with disabilities, particularly those individuals currently entitled to benefits under the Social Security Act? * What policies have been adopted to ensure that services are being administered in the most integrated setting appropriate to meeting the needs of individuals with disabilities? * What methods of administration have been adopted to ensure that persons providing core services are appropriated trained in meeting the needs of persons with disabilities and understand their responsibilities under section 504 of the Rehabilitation Act and the ADA to provide, among other things, auxiliary aids and services and make reasonable modifications to policies of general applicability? 3. Intensive Services. a. Federal Legal Framework. Intensive services must also be provided through the One-Stop service delivery system. Intensive services may be provided directly by the One-stop operator or through contracts with service providers that are approved by the Local Board.172 There are two categories of adults and dislocated workers who may receive intensive services (20 CFR 663.220): * Adults and dislocated workers who are unemployed, have received at least one core service, and are unable to obtain employment through core services, and are determined by a One-Stop operator to be in need of more intensive services to obtain employment and * Adults and dislocated workers who are employed, have received at least one core service, and are determined by a One-Stop operator to be in need of intensive services to obtain or retain employment that leads to self-sufficiency. Intensive services are listed in section 134(d)(3)( c ) of WIA and in the regulations at 20 CFR 663.200. Intensive services listed in the Act, include: * Comprehensive and specialized assessments of the skill levels and service needs of eligible individuals * Development of an individual employment plan * Individual and group counseling and career planning * Case management for individuals seeking training * Short-term prevocational services Additional intensive services described in the regulations include * Out of area job search assistance * Literacy activities related to basic workforce readiness b. Policy Issues Concerning Intensive Services. * What policies and procedures or modifications to policies and procedures (including eligibility criteria) have been made to ensure that the intensive services are individualized and are made available for people with disabilities in a genuine, effective and meaningful manner? Do guidelines and manuals used by One-stops include examples specifically applicable to persons with disabilities? * What policies have been adopted to ensure that intensive services are being administered in the most integrated setting appropriate to meeting the needs of individuals with disabilities? * What methods of administration e.g., training have been adopted to ensure that persons or entities responsible for determining whether a person with a disability needs intensive services and the nature and extent of services required have the requisite knowledge and understanding of the needs of persons with disabilities and understand their responsibilities under section 504 of the Rehabilitation Act and the ADA to provide, among other things, auxiliary aids and services and make reasonable modifications to policies of general applicability? * What methods of administration have been adopted to ensure effective opportunity for persons with disabilities e.g., the availability of service providers approved by the Local Board that can meet the needs of persons with significant disabilities? 4. Training Services. a. Federal Legal Framework. Training services are listed in section 134(d)(4)(D) of WIA. The list is not all-inclusive.173 Training services include: * Occupational skills training * On-the-job training * Programs that combine workplace training with related instruction * Skills upgrading and retraining * Entrepreneurial training * Job readiness training * Adult literacy programs in combination with other services * Customized training with a commitment to hire the individual on completion of the training Policies governing on-the-job training are set out in Section 101(31) of WIA and 20 CFR 663.700. Policies governing customized training are set out in Section 101(8) of WIA and 20 CFR 663.715. The regulations174 provide that the One-Stop operator or partner determines- * the need for training based on an individual meeting the eligibility requirements for intensive services, * being unable to obtain or retain employment through such services, * being determined after an interview, evaluation, or assessment and case management to be in need of training and to have the skills and qualifications to successfully complete the selected training program. In addition, the program selected must be directly linked to occupations in demand in the area. If individuals are willing to relocate, they may receive training in demand in other areas. The statute section175 and the regulation176 limits the use of WIA funds to instances when there is no or inadequate grant assistance from other sources available to pay for those costs (payor of last resort). Training services must be provided in a manner that maximizes informed consumer choice in selecting eligible providers. The individual may select a provider from the list of eligible providers after consultation with a case manager.177 b. Policy Issues Concerning Training Services. * What is the relationship between the "payor of last resort" provisions in WIA and Title I of the Rehabilitation Act? * What policies and procedures or modifications to policies and procedures (including eligibility criteria) have been made to ensure that the training services are made available for people with disabilities in a genuine, effective and meaningful manner? * What policies are have been adopted to ensure that training services are being administered in the most integrated setting appropriate to meeting the needs of individuals with disabilities? * What methods of administration e.g., training have been adopted to ensure that persons or entities responsible for determining whether a person with a disability needs training services and the nature and extent of services required have the requisite knowledge and understanding of the needs of persons with disabilities and understand their responsibilities under section 504 of the Rehabilitation Act and the ADA to provide, among other things, auxiliary aids and services and make reasonable modifications to policies of general applicability? * What policies and procedures have been adopted to maximize choice for people with disabilities e.g., including service providers with expertise on working with persons with disabilities on the list of eligible providers? Does the policy for reimbursing providers recognize the additional costs of providing services to people with significant disabilities, including the cost for supplementary aids and services? * In determining whether an individual with a disability has the skills and qualifications to successfully complete the selected training program, is the individual making the determination knowledgeable about the existence of supplementary aids and services that may enable the individual to meet the eligibility criteria, the need to make reasonable modifications to qualification criteria, and the right of the individual to receive supplementary aids and services to satisfy the criteria, and the availability of such services? * What policies and procedures have been established to ensure that employers participating in on-the-job training and customized training accept and provide reasonable accommodations to persons with disabilities qualified to participate in such programs? 5. Individual Training Account. a. Federal Legal Framework. Except under three conditions, Individual Training Accounts (ITAs) must be established for eligible individuals to finance training services.178 Payments may be made through various methods, including vouchers. Payments may also be made incrementally through payment of a portion of the costs at different points in the training course.179 The State or Local Board may impose limits on ITAs such as limitations on the dollar amount and/or duration. Limits may be based on the needs identified in the individual employment plan or there may be a policy decision by the State Board or the Local Board to establish a range of amounts and/or a maximum amount applicable to all ITAs. However, limitations should not be implemented in a manner that undermines the Act's requirements that training services are provided in a manner that maximizes customer choice in the selection of an eligible training provider.180 Contracts for services may be used instead of ITAs under three circumstances: * When the services are for on-the-job training. * When the Local Board determines there are insufficient number of eligible providers. * When the Local Board determines that there is a training program of demonstrated effectiveness offered in the area by a community-based organization to serve special participant populations that face multiple barriers to employment.181 WIA defines "special participant populations that face multiple barriers to employment" to mean a population of low-income individuals that is included in one or more of the following categories: individual with substantial language or cultural barriers, offenders, homeless individuals and other hard-to-serve populations as defined by the Governor.182 Individuals with disabilities are not explicitly included in this list. b. Policy Issues Concerning the Individual Training Account. * How must a State, in developing its policy limiting the dollar amount or duration, take into consideration the special costs associated with providing meaningful training opportunities to persons with disabilities? * Would a policy establishing an absolute limitation on the dollar amount included in an ITA be inconsistent with the policy of maximizing customer choice in the selection of eligible providers where eligible providers of training will not accept people with significant disabilities who cost more than the absolute amount? In other words can a State establish an absolute dollar limitation that has the effect of denying persons with significant disabilities the opportunity to participate in training programs because the reimbursement is insufficient to encourage eligible providers to design programs for persons with significant disabilities? * What policies govern the determination as to whether Local Boards may contract for the provision of training services by community-based organizations to special participant populations instead of using ITAs? The statute does not explicitly include persons with disabilities as automatically constituting a "special participant population." The regulations simply repeat the language of the statute. DOL policy guidance with respect to the completion of the State plan specifies that individuals with multiple barriers to employment includes individuals with disabilities [See e.g., 64 FR 9404, 9406, 9410 (February 15, 1999)] What criteria does the Governor use to determine whether individuals with disabilities should be included in this category? Do the ITA limitations on dollar amounts and duration apply to this exception? 6. Supportive Services. a. Federal Legal Framework. Supportive services may be provided to individuals participating in core, intensive, or training services who are unable to obtain such services through other programs and when necessary to enable individuals to participate in activities funded under title I of WIA. Supportive services include services such as transportation, child care, dependent care, housing, needs-related payments.183 Local Boards must develop policies and procedures addressing coordination with other entities to ensure nonduplication of resources and services (including procedures for referral), as well as establishing any limits on the amount and duration of such services. Procedures may also be established to allow One-Stop operators to grant exceptions to the established limits.184 b. Policy Issues Concerning Supportive Services. * Does the category "supportive services" include follow-along and post-employment services, particularly for individuals with episodic disabilities? * What policies have been developed to explain the difference between supportive services for an individual (which are subject to limits) and the provision of auxiliary aids and services and "reasonable accommodations" for persons with disabilities (which must be provided free when required by section 504 and the ADA to ensure meaningful and effective opportunity to benefit from the service)? * Where the Local Board places limitations on the amount and duration of supportive services, does the policy include exceptions for persons with disabilities who are eligible for such services and may need reasonable modifications (with cost implications) that are necessary to ensure that the supportive services are effective and meaningful? * Does the policy developed by the Local Board require individuals to secure funding from other sources or do the local operators provide the services and then seek reimbursement from other agencies? D. ELIGIBLE TRAINING PROVIDERS 1. Federal Legal Framework. According to DOL, the workforce investment system under WIA emphasizes informed choice, system performance, and continuous improvement. The eligible provider process is part of the strategy for achieving these goals.185 Local Boards, in partnership with the State, must identify training providers whose performance qualifies them to receive WIA funds to train adults and dislocated workers.186 The legal framework describes: * Who are eligible providers (e.g., community-based organizations and other private organizations providing training services)187 * The respective responsibilities of the Governor, the State Board and the Local Board managing the eligible provider process (e.g., the Governor must designate a State agency responsible for developing and maintaining a list of eligible providers)188 * The process for determining initial eligibility (e.g., the Local Board must include providers that meet specified criteria and submit the list to the designated State agency which then has 30 days to verify the information)189 * The process for determining subsequent eligibility, including the kind of performance and cost information required and the requirement that State procedure must require that Local Boards take into consideration, among other things, the characteristics of the populations served by providers seeking eligibility, including demonstrated difficulties in serving these populations, where appropriate)190 * The process for disseminating the list191 * The process for removing providers from the list192 * The establishment of a consumer reporting system for informing the customers of the One-Stop delivery system about the performance of training providers in the local area including program specific information about the performance for specific customer groups193 2. Policy Issues Concerning Eligible Training Providers. * How may State and local policymakers take into consideration the characteristics of the populations served by providers seeking eligibility, including demonstrated difficulties in serving these populations, where appropriate)? Can it devise "risk adjustment" mechanisms that reward rather than punish providers that provide services to persons with significant disabilities who may cost more to serve? Is the State developing a system to collect and validate encounter data to support and validate the development of appropriate payment rates? * With respect to the establishment of a consumer reports system for informing the customers of the One-Stop delivery system about the performance of training providers in the local area, the legal framework authorizes the inclusion of program specific information about the performance for specific customer groups. Must this information include specific information about persons with disabilities and the special expertise such providers may have regarding persons with significant disabilities? * Has the State adopted policies governing eligibility requiring specific explanation of how the provider will meet the needs of persons with disabilities and satisfy the requirements of section 188 of WIA (nondiscrimination) and section 504 of the Rehabilitation Act and the ADA? Will the consumer reports system include information about compliance with nondiscrimination provisions? E. PRIORITY AND SPECIAL POPULATIONS 1. Federal Legal Framework. In the event that WIA funds allocated to a local area for adult employment and training activities are limited, priority must be given to recipients of public assistance and other low-income individuals for intensive and training services. The appropriate Local Board and the Governor must direct the One-Stop operators in the local area with regard to making determinations related to such priority, taking into consideration the availability of other Federal funding, such as TANF and Welfare-to-Work funds and the needs of specified groups within the local area. This priority may be administered for adult recipients of public assistance and other low-income adults so as not to preclude providing intensive and training services to other individuals meeting eligibility requirements.194 A person with a disability whose family does not meet income eligibility criteria under the Act may be eligible for priority as a low income adult if the individual's own income meets the income criteria under WIA or meets the income eligibility criteria for cash assistance under any Federal, State, or local public assistance program?195 2. Policy Issues Concerning Priority and Special Populations. * What are the range of options available for implementing the priority for recipients of public assistance and low-income individuals and still provide intensive and training services for individuals who do not meet these criteria? * How does the "order of selection" provisions in the Rehabilitation Act (under which agencies unable to serve all eligible applicants must first serve individuals with the most significant disabilities) relate to the "priority" provisions in WIA? * What are the policy consequences of considering a person with a disability low income regardless of the income status of the individual's family? YOUTH ACTIVITIES A. OVERVIEW The provisions in title I of WIA relating to youth activities196 and the implementing regulations197 adopt a systematic approach that offers youth a broad range of coordinated services, moving away from one-time, short-term interventions.198 Such offerings include opportunities for assistance in both academic and occupational learning; developing leadership skills, and preparing for further education, additional training, and eventual employment. Rather than supporting separate, categorical programs, the youth regulations are designed to facilitate the provision of a menu of varied services that may be provided in combination or alone at different times during a youth's development.199 B. THE FEDERAL LEGAL FRAMEWORK The membership and duties of the Youth Council are described in the paper under "Local Governance."200 The Local Board, working with the Youth Council, is responsible for conducting oversight of local youth programs. Local oversight is conducted in consultation the local area's chief elected official. The Local Board may delegate its oversight responsibilities to the Youth Council.201 Youth are eligible for services if they meet certain criteria, including a youth who is age 14 through 21, is a low-income individual, and is deficient in basic literacy skills, school dropout, homeless, or an individual (including a youth with a disability) who requires additional assistance to complete an educational program or to secure and hold employment.202 Up to 5% of youth participants need not be low-income, including individuals in one or more specified categories such as drop-outs, basic skill deficient, individuals with disabilities, and individuals facing serious barriers to employment as identified by the Local Board.203 A youth with a disability whose family does not meet income eligibility criteria is eligible for youth services if the youth's own income meets the income eligibility criteria established by WIA (section 101(25)(B) or meets the income eligibility criteria for cash assistance under any Federal, State or local public assistance program.204 Youth participating in youth activities under WIA must be registered and EEO data must be collected on individuals during the registration process.205 The design framework of local youth programs must, among other things, provide an objective assessment of each youth participant, develop an individual service strategy, provide preparation for postsecondary educational opportunities, provide linkages between academic and occupational learning, provide preparation for employment, and provide effective connections to intermediary organizations that provide strong links to the job market and employers.206 The Local plan must describe the design framework of local youth programs.207 Local Boards must ensure appropriate links with entities that will foster the participation of eligible local area youth e.g., local educational agencies and representatives of other youth initiatives.208 Local Boards must ensure that the referral requirements are met.209 Local Boards must ensure that parents, youth participants, and other members of the community with experience related to youth activities are involved in both the design and implementation of youth activities.210 Local programs must make all of the program elements listed in section 129( c )(2) of WIA available, including among other elements, alternative secondary school offerings, paid and unpaid work experiences, leadership development, supportive services, adult mentoring, comprehensive guidance and counseling. Local programs determine which services are provided to in an individual youth based on each participant's objective assessment and individual service strategy.211 Individuals ages 18 through 21 may be eligible for both adult and youth programs.212 Local Boards are required to offer summer employment opportunities in the local youth program.213 The chief elected official (or designee) as the local grant recipient for the youth program is a required One-Stop partner and is therefore subject to the coordination and other requirements applicable to all partners.214 C. POLICY ISSUES CONCERNING YOUTH ACTIVITIES * What procedures have been adopted to ensure that all program elements are made available in the most integrated setting appropriate and that reasonable modifications to program elements are available to ensure effective and meaningful opportunities for youth with disabilities? * What policies and procedures have been adopted to ensure that the Local Board (or the Youth Council when a delegation has occurred), in carrying out its responsibilities for oversight of local youth programs, reviews compliance with section 504 of the Rehabilitation Act and the ADA? * What criteria are used to identify an individual (including a youth with a disability) who requires additional assistance to complete an educational program or to secure and hold employment? * How is the EEO data collected on individuals during the registration process used to ensure continuous improvement in the design and implementation of the youth program for youth with disabilities? * What is the relationship between the obligations under WIA to design framework of local youth programs that provides an objective assessment of each participant and the development of an individual service strategy and the requirements for assessments and an individualized education program under the Individuals with Disabilities Education Act? * Must the individual service strategy include those services and supports that are necessary to enable the individual with a disability to benefit from the youth activities services in an effective and meaningful manner? * What policies and procedures have been developed to ensure effective and meaningful participation for youth with disabilities in postsecondary educational opportunities, academic and occupational learning, and programs providing preparation for employment? * What procedures has the Local Board adopted to ensure appropriate links with entities that will foster the participation of eligible local area youth with disabilities? * What procedures has the Local Board adopted to ensure that parents, youth participants, and other members of the community with experience related to youth with disabilities are involved in both the design and implementation of youth activities? * What procedures have been adopted to ensure that youth with disabilities are provided a meaningful and effective opportunity to participate in integrated summer employment opportunities? PERFORMANCE ACCOUNTABILITY A. OVERVIEW This section presents the performance accountability requirements under title I of WIA.215 These requirements are an essential component of the system-wide continuous improvement approach included in the Act.216 B. STATE MEASURES OF PERFORMANCE All States submitting a State plan must propose expected levels of performance for each of the core indicators of performance for the adult, dislocated worker, and youth programs and the two customer satisfaction indicators. The Departments of Labor and Education will issue definitions for the performance indicators after consultations with appropriate entities.217 For the adult program, these indicators are: * Entry into unsubsidized employment * Retention in unsubsidized employment six months after entry into the employment * Earnings received in unsubsidized employment six months after entry into the employment * Attainment of a recognized credential related to achievement of educational skills or occupational skills by participants who enter unsubsidized employment For the Youth program, these indicators are: For eligible youth aged 14 through 18 * Attainment of basic skills, and, as appropriate, work readiness or occupational skills * Attainment of secondary schools diplomas and their recognized equivalents * Placement and retention in postsecondary education, advanced training, military service, employment, or qualified apprenticeships For eligible youth aged 19 through 21, the same as for adults. A single customer satisfaction measure for employers and a single customer satisfaction indicator for participants must be used. The Department of Labor will issue instructions on the specific information that must accompany the State plan and that is used to review the State's expected levels of performance. The Secretary and the Governor must reach agreement on levels of performance for each core indicator and the customer satisfaction indicators. The DOL guidelines will also describe the circumstances under which revisions may be made to negotiated levels e.g., significant changes in the characteristics of the participants entering the program.218 The core indicators of performance apply to all individuals who are registered for programs except for those who participate exclusively in self-service or informational activities.219 A State is eligible for incentive grants when performance exceeds expectations as specified in the legal framework.220 In determining the amount of incentive grant funds available to an eligible State, the Secretary may consider, among other factors, changes in participant characteristics.221 If the State fails to meet the adjusted levels of performance for core indicators of performance and customer satisfaction, the Secretary must provide technical assistance. If the failure is for two successive years, the Secretary may reduce the State's allotment by up to 5 percent. In determining the amount, if any, of the sanction, the Secretary may, among other things, take into consideration the characteristics of participants served compared to the participant characteristics described in the State plan.222 Each State must prepare an annual report on its progress in achieving State performance measures, including performance indicators for individuals with disabilities.223 C. LOCAL MEASURES OF PERFORMANCE Each local workforce investment area is subject to the same core indicators of performance and the customer satisfaction indicators that apply to the State. In addition, the Governor may apply additional indicators.224 The Local Board and the chief elected official must negotiate with the Governor and reach agreement on the local levels of performance for each indicator. In determining the appropriate levels of performance, the Governor must take into account, among other things, the characteristics of the population to be served in the area.225 States must use a portion of funds reserved for State workforce investment activities to provide incentive grants to local areas. The criteria used for determining exemplary local performance shall be determined by the Governor.226 If the local area fails to meet the levels of performance in any year, the Governor must provide technical assistance. If a local area fails to meet levels of performance for two consecutive years, the Governor must take corrective action, which may include the appointment of a new Local Board, and prohibitions on the use of particular service providers or One-Stop partners.227 D. POLICY ISSUES CONCERNING STATE AND LOCAL MEASURES OF PERFORMANCE * All States submitting a State plan and Local Boards submitting a Local plan must propose expected levels of performance for each of the core indicators of performance for the adult, dislocated worker, and youth programs and the two customer satisfaction indicators. What policies and procedures, including reasonable modifications to policies and procedures, have been adopted to reflect the needs of persons with disabilities? * Does the single customer satisfaction indicator for participants used by the State and Local Boards disaggregate data so that it is possible to determine the satisfaction of the system for customers with disabilities? Does the indicator include data of particular importance to persons with disabilities? * With respect to the negotiations between the Department of Labor and the Governor and the Governor and the Local Boards concerning the levels of performance and revisions thereto, how will the relevance of "significant changes in the characteristics of the participants entering the program" be considered? * What policies will be adopted to encourage States to ensure that Local Boards serve individuals with significant disabilities and are rewarded through incentive grants for pursuing such practices? In other words, in determining the amount of incentive grant funds available to an eligible State, the Secretary may consider, among other factors, changes in participant characteristics but may the Secretary also consider the initial decisions to target individuals with significant barriers to employment? Similar issues are raised with respect to incentive grants offered by Governors. * What policies can be adopted to ensure that State and Local Boards are not sanctioned for developing policies targeting those individuals with the most significant barriers to employment? NONDISCRIMINATION AND METHODS OF ADMINISTRATION A. INTRODUCTION Interim final regulations issued by the Department of Labor on November 12, 1999228 implement the nondiscrimination and equal opportunity provisions set out in Section 188 of the Act. Section 188 prohibits discrimination on the grounds of disability as well as race, color, religion, sex, national origin, age, political affiliation or belief, and for beneficiaries only, citizenship or participation in a WIA Title I financially assisted program or activity. These regulations are modeled on regulations issued under the Job Training Partnership Act.229 Of particular importance is the requirement in the interim final regulations that the Governor develop and maintain a written document called a "Methods of Administration" describing how the state plans on meeting its nondiscrimination and equal opportunity responsibilities. This document must be completed within 180 days of either the date on which the interim final rule is effective (May 6, 2000) or the date on which the Secretary of Labor gives final approval of the state plan, whichever is later. B. GENERAL PROVISIONS 1. Description of the Federal Legal Framework. a. The Purpose of the Regulation.230 The purpose of the interim final regulation is to implement the nondiscrimination and equal opportunity provisions set out in section 188 of WIA. The regulations also provide uniform procedures for implementing these provisions. b. Applicability of the Regulation.231 The regulation applies to any recipient of assistance under Title I of WIA, including state-level agencies that administer, or are financed in whole or in part with WIA Title I funds, state and local workforce investment boards, local WIA grant recipients, One-Stop operators, service providers, and on-the-job training employers. The regulation also applies to programs and activities that are part of the One-Stop delivery system and that are operated by One-Stop partners to the extent that the programs and activities are being conducted as part of the One-Stop delivery system. c. Forms of Discrimination the Act and the Implementing Regulations Prohibit.232 No individual in the United States may, on the grounds of race, color, religion, sex, national origin, age, disability, political affiliation or belief, and for beneficiaries only, citizenship or participation in any WIA Title I financially assisted program or activity, be excluded from participation in, denied the benefits of, subjected to discrimination under, or denied employment in the administration of or in connection with any WIA-Title I funded program or activity. d. Specific Discriminatory Actions Based on Disability Prohibited by the Regulation.233 The specific discriminatory actions based on disability follow generally the regulations implementing Title II of the Americans with Disabilities Act.234 Discriminatory actions that are prohibited by the regulation include235: * Denying a qualified individual with a disability the opportunity to participate in or benefit from the aid, benefits, services, or training; * Affording such an opportunity that is not equal to that afforded others; * Providing such an opportunity that is not as effective in affording equal opportunity to obtain the same result, to gain the same benefit, or to reach the same level of achievement as that provided to others; * Providing different, segregated, or separate opportunity to individuals with disabilities or any class of individuals with disabilities, unless such action is necessary to provide qualified individuals with disabilities with an opportunity that is as effective as that provided to others; and * Otherwise limiting a qualified individual with a disability in enjoyment of any right, privilege, advantage, or opportunity enjoyed by others. In addition, a recipient: * May not deny a qualified individual with a disability the opportunity to participate in WIA Title I financially assisted programs or activities despite the existence of permissibly separate or different programs or activities.236 * Must administer WIA Title I financially assisted programs and activities in the most integrated setting appropriate to the needs of qualified individuals with disabilities.237 * May not, directly or through contract or other arrangement, use standards, procedures, criteria, or administrative methods that have the purpose or effect of subjecting qualified individuals with disabilities to discrimination or defeating or substantially impairing accomplishment of the objectives of the WIA Title I financially assisted program or activity.238 * In the selection of contractors, must not use criteria that subject qualified persons with disabilities to discrimination.239 * Must not impose or apply eligibility criteria that screen out or tend to screen out an individual with a disability or any class of individuals with disabilities from fully and equally enjoying any aid, benefit, service, training, program, or activity unless such criteria can be shown to be necessary for the provision of the aid, benefit, service, training, program or activity being offered.240 Furthermore, with regard to aid, benefits, services, training, and employment, a recipient must provide reasonable accommodation to qualified individuals with disabilities who are applicants, registrants, participants, employees (or applicants for employment), unless providing the accommodation would cause undue hardship.241 The term "reasonable accommodation" means modifications or adjustments to an application/registration process that enables a qualified applicant/registrant with a disability to be considered for the aid, benefits, services, training, or employment; modifications or adjustments that enable a qualified individual with a disability to receive aid, benefits, services, or training equal to that provided to nondisabled individuals or to perform the essential functions of a job; or modifications or adjustments that enable a qualified individual with a disability to enjoy the same benefits and privileges as are enjoyed by other similarly situated individuals without disabilities.242 A recipient must also make reasonable modifications in policies, practices, or procedures when the modifications are necessary to avoid discrimination unless making modifications would fundamentally alter the nature of the service, program, or activity.243 In addition, recipients must take appropriate steps to ensure communications with beneficiaries, registrants, applicants, participants and members of the public who are individuals with disabilities are as effective as communications with others. This means, among other things, furnishing appropriate auxiliary aids and services where necessary unless it would result in a fundamental alteration in the nature of a service, program, or activity.244 e. The Extent to Which Employment Practices are Covered by the Regulation.245 Discrimination is prohibited in employment practices in the administration of, or in connection with the following: * Any WIA Title I financially assisted program or activity; and * any program or activity that is part of the One-Stop delivery system and is operated by a One-Stop partner to the extent that the program or activity is being conducted as part of the One-Stop delivery system. Recipients that are also employers, employment agencies, or other entities covered by Titles I and II of the ADA should be aware of obligations imposed by those titles. This rule does not preempt consistent state and local requirements. f. Department of Labor Responsibility for Administering this Regulation.246 The Civil Rights Center, in the Office of the Assistant Secretary for Administration and Management, is responsible for administering and enforcing the nondiscrimination and equal opportunity provisions in WIA and the implementing regulations and for developing and issuing policies, standards, guidance, and procedures for effecting compliance. 2. Policy Issues Concerning the General Provisions. * What steps have been taken by the Governor and other State officials to disseminate to all recipients the regulations implementing Section 188 of WIA, technical assistance materials, and the State's Methods of Administration? C. RECORDKEEPING AND OTHER AFFIRMATIVE OBLIGALTIONS OF RECIPIENTS 1. Description of the Federal Legal Framework. a. The Grant Applicant's Obligation to Provide a Written Assurance of Compliance with the Nondiscrimination Provisions of Section 188 of WIA.247 As a condition to the award of financial assistance under Title I of WIA, the grant applicant must assure that it will comply fully with the nondiscrimination and equal opportunity provisions of WIA and other civil rights statutes such as the Americans with Disabilities Act and Section 504 of the Rehabilitation Act of 1973. The WIA state plan must provide a statement that WIA Title I assisted programs and activities will be conducted in compliance with these laws and implementing regulations. The state must also certify that it has developed and maintains a Methods of Administration (which is described below). b. The Rules Governing the Designation and Responsibilities of Equal Opportunity Officers.248 Every recipient (except small recipients) must designate an equal opportunity officer. A small recipient means a recipient who has fewer than 15 beneficiaries per year and employs fewer than 15 employees. The individual should be a senior level employee of the recipient i.e., the individual should have the requisite education, training, and experience and have authority to direct the equal opportunity effort. The responsibilities of the equal opportunity officer include: * Serving as a liaison with the Department of Labor's Civil Rights Center; * Monitoring and investigating the recipient's activities; * Reviewing the recipient's written policies; * Developing and publishing the recipient's procedures for processing complaints; * Reporting directly to appropriate officials (including the state WIA director and the Governor's WIA liaison) about equal opportunities matters; * Undergoing ongoing training; * If applicable, overseeing the development and implementation of the recipient's Methods of Administration. c. A Recipient's Obligations to Disseminate its Equal Opportunity Policy.249 A recipient must provide initial and continuing notice that it does not discriminate on any prohibited ground to, among others, registrants, applicants, participants, and employees. During each presentation to orient new participants and new employees, and the general public, a recipient must include a discussion of the rights, including the right to file a complaint, under the nondiscrimination and equal opportunity provisions of WIA. d. The Recipient's Responsibilities to Collect and Maintain Data and Other Information.250 Each recipient must record the disability status (where known) of every applicant, registrant, terminee, applicant for employment, and employee. This information must be stored in a manner ensuring confidentiality. Recipients must also maintain logs of complaints alleging discrimination. The most important purposes of the equal opportunity data and information collection and maintenance system are to assist the CRC and those assigned by the state in monitoring performance by recipients, identifying instances or areas of discrimination and identifying individuals or groups of individuals who have been discriminated against. A vital element of a system is the ability for the reviewer to correlate aggregate data to individual records. e. A Recipient's Responsibilities Under the Regulation Regarding the Provision of Universal Access to WIA Title I Financially Assisted Core Services.251 Recipient's responsibilities include: * Advertising the recipient's program in the media; * Sending notices to schools and community service groups that serve various populations; and * Consulting with appropriate service groups about ways in which the recipient may improve its outreach and service to various populations to broaden the pool of those considered for participation in One-Stops and other WIA-assisted programs and activities. 2. Policy Issues Concerning Recordkeeping and Other Affirmative Obligations. * What policies are included in the State plan regarding the nondiscrimination provisions of WIA? D. GOVERNOR'S RESPONSIBILITIES TO IMPLEMENT THE NONDISCRIMINATON AND EQUAL OPPORTUNITY REQUIREMENTS OF WIA 1. Description of the Federal Legal Framework. a. The Governor's Oversight Responsibilities.252 The Governor is responsible for oversight of all WIA Title I financially assisted state programs. This responsibility includes ensuring compliance with the nondiscrimination and equal opportunity provisions. b. The Extent of a Governor's Liability for the Actions of a Recipient He or She has Financially Assisted Under WIA Title I.253 The Governor is jointly and severally liable for all violations of the nondiscrimination and equal opportunity provisions by recipients unless the Governor: * Established and adhered to a Methods of Administration (see below); * Entered into a contract with the recipient that clearly establishes the recipient's responsibilities; * Acted with due diligence to monitor the recipient's compliance; * Taken prompt and appropriate corrective action to effect compliance. c. A Governor's Oversight Responsibilities Regarding Recipients' Recordkeeping.254 The Governor must ensure that recipients collect and maintain prescribed records in an appropriate manner. d. A Governor's Responsibilities to Develop and Maintain a Methods of Administration.255 Each Governor must establish and adhere to a Methods of Administration (MOA) for state programs under WIA Title I. The MOA must be designed to give reasonable guarantee that all recipients will comply and are complying with the nondiscrimination and equal opportunity provisions of WIA and the implementing regulations. The MOA must be in writing (with narrative and documentation), reviewed and updated periodically (at least every two years), and signed by the Governor. At a minimum, each Methods of Administration must: * Describe how the state programs and recipients have satisfied the requirements concerning- * assurances, * equal opportunity officers, * notice and communication, * data and information collection and maintenance, * universal access, * Governor's oversight responsibilities regarding recipient recordkeeping, and * complaint processing procedures; * Include a system for determining whether a grant applicant or service provider is likely to conduct its programs and activities in a nondiscriminatory way; * Include a system for periodically monitoring the compliance of recipients which must include--a statistical or other quantifiable analysis of records and data, an investigation of any significant differences identified, and an assessment to determine whether the recipient has fulfilled its administrative obligations (e.g., assurances, equal opportunity officers, notice and communication, data and information collection and maintenance, universal access, and complaint processing procedures) and any duties assigned to it under the MOA (e.g., monitoring, sanctions and corrective actions, and policy development, communication and training); * Include a review of recipient policy issuances to ensure they are nondiscriminatory; * Include a system for reviewing recipient's job training contracts and other similar agreements to ensure that they are nondiscriminatory and contain required language; * Include procedures for ensuring that recipients comply with section 504 of the Rehabilitation Act (e.g., provide reasonable accommodation, reasonable modifications to policies and procedures, program and architectural accessibility, administering the program in the most integrated setting appropriate, and ensuring effective communication); * Include a system of policy communication and training to ensure that personnel are aware of and can effectively carry out these responsibilities; * Include procedures for obtaining prompt corrective action (including in the case of a finding of discrimination, procedures for retroactive relief e.g., back pay, and prospective relief e.g., training, policy development and communication to ensure that the discrimination does not recur), or, as necessary, applying sanctions when noncompliance is found; and * Include supporting documentation to show that the commitments made in the Methods of Administration have been and or are being carried out, including-- policy and procedural issuances, copies of monitoring instruments and instructions, evidence that nondiscrimination and equal opportunity policies have been developed and communicated, information reflecting the extent of training, reports of monitoring reviews and reports of follow-up actions taken (e.g., use of sanctions), and copies of any notices made. e. Timelines for the Governor to Carry Out His or Her Obligations with Regard to the Methods of Administration.256 The Methods of Administration must be completed within 180 days of either the date on which the interim final rule is effective (May 6, 2000) or the date on which the Secretary of Labor gives final approval of the state plan, whichever is later. 2. Policy Issues Concerning the Governor's Responsibilities to Implement the Nondiscrimination and Equal Opportunity Requirements of WIA. * What description (narrative and documentation) is provided regarding: assurances, equal opportunity officers, notice and communicating data and information collection and maintenance, universal access, recordkeeping, and complaint procedures? * What are the major components (narrative and documentation) of the system for determining whether a recipient or contractor is conducting its program or providing its services in a nondiscriminatory fashion? * What the major components (narrative and documentation) of monitoring system (instrument and manual)? * What enforcement mechanisms are available and when are they used (narrative and documentation)? * What and how have policies and procedures of general applicability been modified to be nondiscriminatory? * What procedures have been adopted to ensure that recipients comply with Section 504 (narrative and documentation)? * What system of policy communication and training is used (narrative and documentation)? E. COMPLIANCE PROCEDURES (INCLUDING COMPLAINT RESOLUTION PROCEDURES) 1. Description of the Federal Legal Framework. a. The Responsibility of the Director of the Civil Rights Center, Department of Labor, to Evaluate Compliance with the Nondiscrimination and Equal Opportunity Provisions in WIA and the Implementing Regulations.257 The Director may conduct pre-approval compliance reviews of grant applicants and post-approval compliance reviews of recipients. The Director may also investigate and resolve complaints. Further, the Director may periodically review the adequacy of the Methods of Administration as well as the adequacy of the Governor's performance under the MOA. b. Filing a Complaint.258 Any person who believes that either he or she, or any specific class of individuals, has been or is being subjected to discrimination may file a written complaint, either by him/herself or through a representative. The complaint may be filed with either the recipient or the Director of the Civil Rights Center. c. The Required Elements of a Recipient's Complaint Resolution Procedures.259 At a minimum, procedures must: * Provide for a notice of final action within 90 days from the date the complaint is filed; * Contain specified elements (e.g., notice that complaint has been received, written statement of issues and whether recipient will accept or reject the issue for investigation, period for fact-finding or investigation, period for voluntary resolution, and a written notice of final resolution which must include a notice of right to file an appeal with the CRC); and * Provide for alternative dispute resolution. d. Circumstances in which the Director Will Send a Complaint to Another Authority.260 Yes. Where a case involves an allegation of employment discrimination under the ADA, the Director may refer the complaint to the Equal Employment Opportunity Commission. Where the complaint alleges discrimination by an entity that operates a program or activity financially assisted by a grantmaking agency other than the Department of Labor, but that participates as a partner in a One-Stop delivery system, the Civil Rights Center in DOL and the Office for Civil Rights in the grantmaking agency (e.g., the Department of Education where the partner is the state vocational rehabilitation agency) will have dual jurisdiction over the complaint. Under these circumstances, the Director of the Civil Rights Center will refer the complaint to the grantmaking agency for processing. According to the preamble to the interim final regulations, local workforce investment boards, when developing and entering into memoranda of understanding with One-Stop partners should include attention to equal opportunity issues that may affect the One-Stop partners or the delivery system. Such issues include how discrimination complaints will be handled and how the cost of reasonable accommodations will be shared. 261 e. Actions the Director Must Take When He or She Concludes that Compliance Cannot be Secured by Voluntary Means.262 If the Director concludes that compliance cannot be secured by voluntary means, he or she must either issue a final determination (which could result in withholding in whole or in part of WIA Title I funds), refer the matter to the Attorney General with a recommendation that an appropriate civil action be instituted, or take such other action as may be provided by law. 2. Policy Issues Concerning Compliance Procedures. * What steps has the State Workforce Investment Board and the Local Workforce Investment Board taken to disseminate the complaint resolution procedures? APPENDIX A PRELIMINARY ANALYSIS OF THE RELATIONSHIP BETWEEN THE WORKFORCE INVESTMENT ACT AND THE FEDERAL DISABILITY POLICY FRAMEWORK INTRODUCTION The purpose of this appendix is to set out the policy issues raised in the report entitled A Preliminary Analysis of the Relationship Between the Workforce Investment Act and the Federal Disability Policy Framework. POLICY ISSUES CONCERNING HISTORICAL CONTEXT, PRECEPT, AND OVERARCHING GOALS OF WIA 1. What is the historical treatment of persons with disabilities under the Job Training Partnership Act and other predecessor programs? Is there a history of exclusion, including automatic referral to other programs such as vocational rehabilitation? Denial of effective opportunity to receive the benefits of services? 2. What efforts have been made to ascertain the prevalence of persons with disabilities among the prospective pool of eligible participants? 3. Are public agencies at the Federal, State and local levels taking into consideration the historical treatment of persons with disabilities in the development of new policies and procedures and methods of administration? 4. Are the goals of title I of WIA compatible with the goals of disability policy articulated in the ADA (equality of opportunity, full participation, independent living and economic self-sufficiency)? 5. Are the seven principles embodied in WIA consistent with the goals articulated in the ADA and the core policies included in disability policy? POLICY ISSUES CONCERNING FEDERAL GOVERNANCE 1. What specific policy issues should DOL develop guidance in order to enhance effective implementation of WIA for people with disabilities at the State and local levels to foster equality of opportunity, full participation, independent living, and economic self-sufficiency: * Governance at the State level? * Governance at the local level? * One-stop service delivery system? * Youth activities? * Performance accountability? 2. When is the study of program implementation applicable to persons with disabilities scheduled to take place? What is the scope of the study? Will the conceptual framework of the study reflect the goals of disability policy articulated in the ADA and the disability policy framework set out in this paper? How will the study be used to improve implementation for persons with disabilities by the Department? Are other evaluations or components of other studies planned that will address implementation of title I of WIA for persons with disabilities? 3. In conducting mandatory monitoring of compliance with WIA by States, what specific policies and procedures will be included in monitoring instruments/manuals applicable to implementation of WIA for persons with disabilities? 4. What specific training will be provided to State and local agencies involved in WIA implementation regarding implementation for persons with disabilities? Will it be integrated into the general training provided relating to overall implementation of WIA? 5. What specific guidance will be provided to State Boards with respect to their obligation to describe in their State's plan how they will ensure nondiscrimination and equality of opportunity?263 6. Will Local Boards and One-Stop operators be required to develop specific plans or incorporate policies and procedures regarding nondiscrimination and equality of opportunity as part of their Local workforce investment plans? 7. What policies and procedures is DOL adopting to ensure consistent, effective and efficient oversight, monitoring, and enforcement of the nondiscrimination provisions of the WIA and section 504 of the Rehabilitation Act and the ADA by the Employment and Training Administration and the Civil Rights Center? STATE GOVERNANCE A. POLICY ISSUES CONCERNING THE STATE WORKFORCE INVESTMENT BOARD 1. In light of the statement by DOL in the preamble to the regulations concerning the inclusion on the State Board of the director of the vocational rehabilitation program, are States required to include the director of the designated State unit of the vocational rehabilitation program on the State Board? What procedures must a State adopt to ensure that the critical views of "partners" with knowledge and experience pertaining to working with people with disabilities are considered at the table to ensure that the State is developing "a comprehensive vision and effective strategies" for serving people with disabilities? 2. What procedures has the State adopted to inform members of State Rehabilitation Councils and community service providers, including providers primarily serving people with disabilities, about serving on the State Board? 3. What procedures has the State Board adopted to secure meaningful input from those with experience and expertise on the needs of persons with disabilities (including information from public and nonprofit agencies and organizations) to ensure that it makes informed decisions on how best to serve customers with disabilities? B. POLICY ISSUES THE STATE PLAN THE STATE PLAN DEVELOPMENT PROCESS 1. What procedures have been established to ensure meaningful collaboration among partners, including State vocational rehabilitation agencies, other State agencies serving people with disabilities e.g., MR/DD and MH agencies, Medicaid agencies, State Rehabilitation Councils, Statewide Independent Living Councils, and where appropriate community-service providers serving people with disabilities and public and nonprofit entities representing people with disabilities with respect to the development of the State plan? 2. What outreach procedures has the State adopted to secure "meaningful" review and comment by groups (including groups representing persons with disabilities) that historically have not been included in generic workforce development programs? 3. How will the State Board ensure that the public "including people with disabilities" has access to Board meetings and information regarding State Board activities, including membership and meeting minutes?264 POLICY ISSUES CONCERNING VISION AND GOALS OF THE STATE PLAN 1. Does the State's articulation of its goals and vision specifically include recognition that "all" customers include customers with disabilities? * POLICY ISSUES CONCERNING ASSESSMENT * * 1. What procedures has the State adopted to identify the needs of persons with disabilities, as well as policies already in place, strengths, weaknesses, opportunities for action, and challenges regarding people with disabilities? * * * 2. Which individuals and public and nonprofit agencies and organizations are involved in the process, including which individuals and entities are interviewed? * * 3. Does the State use existing data only or will it undertake the collection of additional data? 4. Does the assessment include a review of historic data under previous generic workforce programs such as JTPA? 5. Does the assessment include review of EEO data? POLICY ISSUES CONCERNING STRATEGIES FOR IMPROVEMENT 1. In general, what policies have been adopted to ensure that the State meets the needs of persons with disabilities? Have specific policies and procedures been developed with respect to core services, intensive services, training services, supportive services? 2. What outreach efforts have been undertaken to inform people with disabilities about the availability of services through WIA? 3. What policies and procedures have been included in the State plan to ensure nondiscrimination and equal opportunity for persons with disabilities? 4. What policies and procedures has the State Board adopted to improve operational collaboration with respect to services for people with disabilities provided under the vocational rehabilitation program and under programs operated by other State agencies (e.g., Developmental Disabilities, Mental Health, and Medicaid agencies? For example, has the State Board established an interagency planning group and if so what policies and procedures have been developed and are proposed for development in the future? 5. What policies has the State adopted regarding assistance to One-Stops to enable them to meet the needs of persons with disabilities e.g., additional funding for persons with more expensive needs; the provision of technical assistance on how to conduct assessments to identify undiagnosed disabilities? 6. What policies has the State adopted to build the capacity of One-Stops to meet the needs of persons with disabilities? 7. What procedures has the State adopted to ensure that One-Stop operators understand their legal obligations under section 504 of the Rehabilitation Act and the ADA e.g., specific ongoing training? 8. What policies has the State adopted to ensure that the key principles guiding the workforce development system and the requirement of consumer choice apply in a meaningful and effective manner to persons with disabilities and that persons with disabilities receive services in the most integrated setting appropriate? 9. What policies and procedures have been adopted by the State to ensure that technology used by the system is accessible to people with disabilities? POLICY ISSUES CONCERNING PERFORMANCE MANAGEMENT 1. What common data elements have been identified to be collected regarding activities under title I of WIA, the vocational rehabilitation program, and other programs proving employment and training services for people with disabilities (e.g., in Developmental Disabilities or Mental Health agencies)? 2. What policies has the State adopted to ensure disaggregation of data for persons with disabilities to ascertain how the system is functioning for persons with disabilities? 3. What policies and procedures are in place to review local plans to ensure that Local Boards are making informed decisions on how best to serve customers with disabilities? 4. Has the State adopted policies that specifically provide for the continuous improvement of the Statewide system for people with disabilities? 5. Do the review instruments developed by the State determine the extent to which persons with disabilities are receiving the auxiliary aids and services, accommodations and accessibility they require in order to enjoy meaningful opportunity to benefit from the program? 6. Does the State review the EEO data when it conducts its continuous improvement reviews? 7. Does the State review administrative due process decisions for policy implications? 8. Does the state's system for corrective action specifically address lack of performance of the system with respect to people with disabilities? POLICY ISSUES CONCERNING THE ADOPTION OF STATE POLICIES * * 1. What general policies has the State adopted with respect to people with disabilities that reflect the goals articulated in the ADA of equality of opportunity, full participation, independent living and economic self-sufficiency? * * 2. For each of the categories of policies the State must establish, what specific policies or modifications to existing policies has the State adopted to ensure that people with disabilities are provided services in the most integrated setting appropriate and that the policies ensure effective and meaningful opportunity to enjoy the benefits of the program? POLICY ISSUES CONCERNING ASSURANCES 1. Has the State adopted specific policy guidance regarding implementation of section 188 of WIA, section 504, ADA, and EEO data or does it simply sign the assurance? POLICY ISSUES CONCERNING MONITORING AND ENFORCEMENT AND COMPLAINT RESOLUTION * 1. To what extent do monitoring instruments and monitoring manuals include issues of particular relevance to persons with disabilities? 2. Do the procedures concerning monitoring reviews and resolution of findings from monitoring reviews include an opportunity for public input? 3. What procedures has the State adopted for resolving complaints involving violations of nondiscrimination under and compliance with section 188 of WIA? POLICY ISSUES CONCERNING THE UNIFIED STATE PLAN 1. With respect to the vocational rehabilitation program, may a State blend in all the State plan requirements of the title I and title VI, Part B of the Rehabilitation Act throughout the unified plan or must it include the Rehabilitation State plan as integral yet discrete and separate component of or attachment to the unified plan? 2. What policies has the State adopted to provide for joint planning and coordination of the programs included in the unified plan, including programs operated by vocational rehabilitation agencies and Developmental Disabilities and Mental Health agencies? 3. What methods were included to provide meaningful opportunities for entities responsible for planning or administering the various programs (and statutorily established councils such as the State Rehabilitation Council) to review and comment on all portions of the unified plan? LOCAL GOVERNANCE A. POLICY ISSUES CONCERNING THE LOCAL WORKFORCE INVESTMENT BOARD 1. What "special considerations" has the local elected officials adopted to provide for representation of community-based organizations with knowledge and expertise on the needs of persons with disabilities? 2. What procedures has the Local Board adopted to ensure that members of the Board include persons with disabilities and have the knowledge and expertise necessary to make informed decisions on how to organize the service delivery system to effectively serve customers with disabilities? B. POLICY ISSUES CONCERNING THE YOUTH COUNCIL 1. What procedures has the Local Board adopted to ensure that the Youth Council includes youth with disabilities and persons with knowledge and expertise about the needs of youth with disabilities? 2. What procedures has the Youth Council adopted to ensure that it has the capacity to carry out its responsibilities, including effective oversight of eligible providers of youth services for youth with disabilities? 3. How does the Youth Council coordinate programs, projects, and activities under WIA with transition and school-to-work activities for youth with disabilities under Federal laws such as IDEA, Rehabilitation Act and School-to-Work legislation? C. POLICY ISSUES CONCERNING THE LOCAL WORKFORCE INVESTMENT PLAN 1. What procedures has the Local Board adopted to ensure that general policies address or are modified to address the special needs of persons with disabilities to ensure that the programs, services, and activities are individualized, are administered in the most integrated setting appropriate, and provide genuine, effective, and meaningful opportunity for participation by people with disabilities? 2. What procedures have been established to ensure meaningful collaboration among partners, including State vocational rehabilitation agencies, State Developmental Disabilities and Mental Health agencies and, where appropriate, community-service providers serving people with disabilities and entities representing people with disabilities in the development of the Local plan? 3. What outreach procedures has the State adopted to secure meaningful participation, review, and comment by groups (including those working with people with disabilities) that historically have not been included in generic workforce development programs? 4. Does the Local Plan include specific policies and procedures for ensuring compliance with the nondiscrimination and equal opportunity requirements, including how the Local Board will ensure that the public, including people with disabilities, has access to Board meetings and information regarding Local Board activities, including membership and meetings? 5. Does the Local Plan include procedures for providing information to employers who use One-Stops about their responsibilities under civil rights laws? 6. Does the Local Board's articulation of its goals and vision specifically include recognition that "all" customers include customers with disabilities? 7. What process does the Local Board use to identify the needs of persons with disabilities, as well as policies already in place, strengths, weaknesses, opportunities for action, and challenges regarding people with disabilities? 8. Does the Local Board review the historical treatment of persons with disabilities under previous programs such as JTPA? 9. Does the assessment include a review of compliance with civil rights laws and EEO data? 10. Does the Local Plan include an information outreach effort to publicize the availability of workforce services to persons with disabilities? 11. How will the Local Boards build the capacity of One-Stops to develop and manage effective programs for persons with disabilities? 12. What procedures will the Local Board adopt to ensure that comprehensive services for youth include assisting youth with disabilities that have special needs or barriers to employment? 13. What procedures has the Local Board adopted to ensure that technology used by One-Stops is fully accessible for people with disabilities? 14. What policies have been adopted to ensure meaningful collaboration and to avoid duplication with the vocational rehabilitation program (this issue will be raised in more detail under the section of the report concerning the operation of the One-Stop system)? 15. What policies has the Local Board adopted regarding assistance to One-Stops to enable them to meet the needs of persons with disabilities? 16. What policies has the Local Board adopted to ensure disaggregation of data for persons with disabilities to ascertain how the One-Stop system is functioning for persons with disabilities? 17. What policies has the Local Board adopted to ensure that the continuous improvement process includes an ongoing review of how the system is functioning for people with disabilities? D. POLICY ISSUES CONCERNING OVERSIGHT, MONITORING, AND COMPLAINT RESOLUTION 1. Do reviews by Local Boards include implementation by One-Stops and recipients and subrecipients of Section 188 of WIA (nondiscrimination), Section 504 of the Rehabilitation Act, and ADA? 2. Are specific guidelines explaining responsibilities under these laws provided to these entities e.g., explanations regarding the "methods of administration" they must adopt or is the policy to simply rely on the signing of assurances? 3. Does the system of compliance and corrective action address lack of performance with respect to people with disabilities? 4. Do the instruments/policy manuals relating to oversight and monitoring include specific provisions applicable to implementation of WIA for persons with disabilities? 5. What sanctions apply for findings of noncompliance by service providers? ONE-STOP SERVICE DELIVERY SYSTEM A. POLICY ISSUES CONCERNING THE ONE-STOP SERVICE DELIVERY SYSTEM 1. What policies have the One-Stops adopted to ensure that all people with disabilities have access to services they need and are not automatically sent through "one door" i.e., are referred to the vocational rehabilitation program when such services are not required or desired? 2. What coordination procedures should the Local Board adopt with the broader community to ensure that centers are accessible to their customers with disabilities? 3. What policies are in place to ensure that the technological linkages among sites are accessible to people with disabilities? 4. May a One-Stop partner e.g., the state vocational rehabilitation agency operate a One-Stop Center? If so, what policy guidance is necessary to ensure that the partner does not act contrary to the Federal legislation providing financial assistance e.g., Title I of the Rehabilitation Act? B. POLICY ISSUES CONCERNING THE RESPONSIBILITIES OF PARTNERS 1. What policies and procedures has the Local Board adopted to reconcile the principles that every partner should pay its fair or proportionate share but no partner should be forced to pay for services that are inconsistent with the underlying legislation under which the partner is expected to operate? 2. What guidance, formal and informal has the Departments of Labor and Education provided with respect to the role and responsibilities of partners implementing vocational rehabilitation programs? 3. What constitutes "good faith" negotiations? 4. What policies has the Local Board adopted to maximize the likelihood that the memorandum of understanding does not have the unintended consequence of automatically referring and holding the vocational rehabilitation system responsible for all persons with disabilities who enter the system? 5. Does the memorandum of understanding address the responsibilities of One-Stop operators to serve persons with disabilities for whom the vocational rehabilitation does not provide services? In other words, how does the Local Board ensure that persons with disabilities not served by the vocational rehabilitation program don't "fall between the cracks" with no agency taking responsibility for providing and paying for needed services? D. POLICY ISSUES CONCERNING CORE SERVICES 1. In order to ensure universal access to core services for people with disabilities that is genuine, effective and meaningful, what policies and procedures are in place or are being developed or are being modified? 2. Do core services include benefits counseling, for persons with disabilities, particularly those individuals currently entitled to benefits under the Social Security Act? 3. What policies have been adopted to ensure that services are being administered in the most integrated setting appropriate to meeting the needs of individuals with disabilities? 4. What methods of administration have been adopted to ensure that persons providing core services are appropriated trained in meeting the needs of persons with disabilities and understand their responsibilities under section 504 of the Rehabilitation Act and the ADA to provide, among other things, auxiliary aids and services and make reasonable modifications to policies of general applicability? E. POLICY ISSUES CONCERNING INTENSIVE SERVICES 1. What policies and procedures or modifications to policies and procedures (including eligibility criteria) have been made to ensure that the intensive services are individualized and are made available for people with disabilities in a genuine, effective and meaningful manner? Do guidelines and manuals used by One-stops include examples specifically applicable to persons with disabilities? 2. What policies have been adopted to ensure that intensive services are being administered in the most integrated setting appropriate to meeting the needs of individuals with disabilities? 3. What methods of administration e.g., training have been adopted to ensure that persons or entities responsible for determining whether a person with a disability needs intensive services and the nature and extent of services required have the requisite knowledge and understanding of the needs of persons with disabilities and understand their responsibilities under section 504 of the Rehabilitation Act and the ADA to provide, among other things, auxiliary aids and services and make reasonable modifications to policies of general applicability? 4. What methods of administration have been adopted to ensure effective opportunity for persons with disabilities e.g., the availability of service providers approved by the Local Board that can meet the needs of persons with significant disabilities? F. POLICY ISSUES CONCERNING TRAINING SERVICES 1. What is the relationship between the "payor of last resort" provisions in WIA and Title I of the Rehabilitation Act? 2. What policies and procedures or modifications to policies and procedures (including eligibility criteria) have been made to ensure that the training services are made available for people with disabilities in a genuine, effective and meaningful manner? 3. What policies are have been adopted to ensure that training services are being administered in the most integrated setting appropriate to meeting the needs of individuals with disabilities? 4. What methods of administration e.g., training have been adopted to ensure that persons or entities responsible for determining whether a person with a disability needs training services and the nature and extent of services required have the requisite knowledge and understanding of the needs of persons with disabilities and understand their responsibilities under section 504 of the Rehabilitation Act and the ADA to provide, among other things, auxiliary aids and services and make reasonable modifications to policies of general applicability? 5. What policies and procedures have been adopted to maximize choice for people with disabilities e.g., including service providers with expertise on working with persons with disabilities on the list of eligible providers? Does policy for reimbursing providers recognize the additional costs of providing services to people with significant disabilities, including the cost for supplementary aids and services? 6. In determining whether an individual with a disability has the skills and qualifications to successfully complete the selected training program, is the individual making the determination knowledgeable about the existence of supplementary aids and services that may enable the individual to meet the eligibility criteria, the need to make reasonable modifications to qualification criteria, and the right of the individual to receive supplementary aids and services to satisfy the criteria, and the availability of such services? 7. What policies and procedures have been established to ensure that employers participating in on-the-job training and customized training accept and provide reasonable accommodations to persons with disabilities qualified to participate in such programs? G. POLICY ISSUES CONCERNING THE INDIVIDUAL TRAINING ACCOUNT 1. How must a State, in developing its policy limiting the dollar amount or duration, take into consideration the special costs associated with providing meaningful training opportunities to persons with disabilities? 2. Would a policy establishing an absolute limitation on the dollar amount included in an ITA be inconsistent with the policy of maximizing customer choice in the selection of eligible providers where eligible providers of training will not accept people with significant disabilities who cost more than the absolute amount? In other words can a State establish an absolute dollar limitation that has the effect of denying persons with significant disabilities the opportunity to participate in training programs because the reimbursement is insufficient to encourage eligible providers to design programs for persons with significant disabilities? 3. What policies govern the determination as to whether Local Boards may contract for the provision of training services by community-based organizations to special participant populations instead of using ITAs? The statute does not explicitly include persons with disabilities as automatically constituting a "special participant population." The regulations simply repeat the language of the statute. DOL policy guidance with respect to the completion of the State plan specifies that individuals with multiple barriers to employment includes individuals with disabilities [See e.g., 64 FR 9404, 9406, 9410 (February 15, 1999)] What criteria does the Governor use to determine whether individuals with disabilities should be included in this category? Do the ITA limitations on dollar amounts and duration apply to this exception? H. POLICY ISSUES CONCERNING SUPPORTIVE SERVICES 1. Does the category "supportive services" include follow-along and post-employment services, particularly for individuals with episodic disabilities? 2. What policies have been developed to explain the difference between supportive services for an individual (which are subject to limits) and the provision of auxiliary aids and services and "reasonable accommodations" for persons with disabilities (which must be provided free when required by section 504 and the ADA to ensure meaningful and effective opportunity to benefit from the service)? 3. Where the Local Board places limitations on the amount and duration of supportive services, does the policy include exceptions for persons with disabilities who are eligible for such services and may need reasonable modifications (with cost implications) that are necessary to ensure that the supportive services are effective and meaningful? 4. Does the policy developed by the Local Board require individuals to secure funding from other sources or do the local operators provide the services and then seek reimbursement from other agencies? I. POLICY ISSUES CONCERNING ELIGIBLE TRAINING PROVIDERS 1. How may State and local policymakers take into consideration the characteristics of the populations served by providers seeking eligibility, including demonstrated difficulties in serving these populations, where appropriate)? Can it devise "risk adjustment" mechanisms that reward rather than punish providers that provide services to persons with significant disabilities who may cost more to serve? Is the State developing a system to collect and validate encounter data to support and validate the development of appropriate payment rates? 2. With respect to the establishment of a consumer reports system for informing the customers of the One-Stop delivery system about the performance of training providers in the local area, the legal framework authorizes the inclusion of program specific information about the performance for specific customer groups. Must this information include specific information about persons with disabilities and the special expertise such providers may have regarding persons with significant disabilities? 3. Has the State adopted policies governing eligibility requiring specific explanation of how the provider will meet the needs of persons with disabilities and satisfy the requirements of section 188 of WIA (nondiscrimination) and section 504 of the Rehabilitation Act and the ADA? Will the consumer reports system include information about compliance with nondiscrimination provisions? J. POLICY ISSUES CONCERNING PRIORITY AND SPECIAL POPULATIONS 1. What are the range of options available for implementing the priority for recipients of public assistance and low-income individuals and still provide intensive and training services for individuals who do not meet these criteria? 2. How does the "order of selection" provisions in the Rehabilitation Act (under which agencies unable to serve all eligible applicants must first serve individuals with the most significant disabilities) relate to the "priority" provisions in WIA? 3. What are the policy consequences of considering a person with a disability low income regardless of the income status of the individual's family? POLICY ISSUES CONCERNING YOUTH ACTIVITIES 1. What procedures have been adopted to ensure that all program elements are made available in the most integrated setting appropriate and that reasonable modifications to program elements are available to ensure effective and meaningful opportunities for youth with disabilities? 2. What policies and procedures have been adopted to ensure that the Local Board (or the Youth Council when a delegation has occurred), in carrying out its responsibilities for oversight of local youth programs, reviews compliance with section 504 of the Rehabilitation Act and the ADA? 3. What criteria are used to identify an individual (including a youth with a disability) who requires additional assistance to complete an educational program or to secure and hold employment? 4. How is the EEO data collected on individuals during the registration process used to ensure continuous improvement in the design and implementation of the youth program for youth with disabilities? 5. What is the relationship between the obligations under WIA to design framework of local youth programs that provides an objective assessment of each participant and the development of an individual service strategy and the requirements for assessments and an individualized education program under the Individuals with Disabilities Education Act? 6. Must the individual service strategy include those services and supports that are necessary to enable the individual with a disability to benefit from the youth activities services in an effective and meaningful manner? 7. What policies and procedures have been developed to ensure effective and meaningful participation for youth with disabilities in postsecondary educational opportunities, academic and occupational learning, and programs providing preparation for employment? 8. What procedures has the Local Board adopted to ensure appropriate links with entities that will foster the participation of eligible local area youth with disabilities? 9. What procedures has the Local Board adopted to ensure that parents, youth participants, and other members of the community with experience related to youth with disabilities are involved in both the design and implementation of youth activities? 10. What procedures have been adopted to ensure that youth with disabilities are provided a meaningful and effective opportunity to participate in integrated summer employment opportunities? POLICY ISSUES CONCERNING STATE AND LOCAL MEASURES OF PERFORMANCE 1. All States submitting a State plan and Local Boards submitting a Local plan must propose expected levels of performance for each of the core indicators of performance for the adult, dislocated worker, and youth programs and the two customer satisfaction indicators. What policies and procedures, including reasonable modifications to policies and procedures, have been adopted to reflect the needs of persons with disabilities? 2. Does the single customer satisfaction indicator for participants used by the State and Local Boards disaggregate data so that it is possible to determine the satisfaction of the system for customers with disabilities? Does the indicator include data of particular importance to persons with disabilities? 3. With respect to the negotiations between the Department of Labor and the Governor and the Governor and the Local Boards concerning the levels of performance and revisions thereto, how will be the relevance of "significant changes in the characteristics of the participants entering the program be considered"? 4. What policies will be adopted to encourage States to ensure that Local Boards serve individuals with significant disabilities and are rewarded through incentive grants for pursuing such practices? In other words, in determining the amount of incentive grant funds available to an eligible State, the Secretary may consider, among other factors, changes in participant characteristics but may the Secretary also consider the initial decisions to target individuals with significant barriers to employment? Similar issues are raised with respect to incentive grants offered by Governors. 5. What policies can be adopted to ensure that State and Local Boards are not sanctioned for developing policies targeting those individuals with the most significant barriers to employment? POLICY ISSUES CONCERNING NONDISCRIMINATION AND METHODS OF ADMINSTRATION 1. What steps have been taken by the Governor and other State officials to disseminate to all recipients the regulations implementing Section 188 of WIA, technical assistance materials, and the State's Methods of Administration? 2. What policies are included in the State plan regarding the nondiscrimination provisions of WIA? 3. What description (narrative and documentation) is provided regarding: assurances, equal opportunity officers, notice and communicating data and information collection and maintenance, universal access, recordkeeping, and complaint procedures? 4. What are the major components (narrative and documentation of the system for determining whether a recipient or contractor is conducting its program or providing its services in a nondiscriminatory fashion? 5. What the major components (narrative and documentation) of monetary system (instrument and manual)? 6. What enforcement mechanisms are available and when are they used (narrative and documentation)? 7. What and how have policies and procedures of general applicability been modified to be nondiscriminatory? 8. What procedures have been adopted to ensure that recipients comply with Section 504 (narrative and documentation)? 9. What system of policy communication and training is used (narrative and documentation)? 10. What steps has the State Workforce Investment Board and the Local Workforce Investment Board taken to disseminate the complaint resolution procedures? 1 See e.g., Section 2 of the Americans with Disabilities Act (42 U.S.C. 12101); Section 100 of the Rehabilitation Act (29 U.S.C. 720). 2 42 U.S.C. 12101 et seq. 3 Section 2(a)(8) of the ADA (42 U.S.C. 12101(a)(8)). 4 The Executive Order is included in the report Re-charting the Course (November 15, 1998). 5 P.L. 105-220. 6 Section 106 of WIA (29 U.S.C.2811). 7 Section 112(b)(17) of WIA (29 U.S.C 2822(b)(17)). 8 64 FR 18665 (April 15, 1999). 9 Id. 10 See Re-charting the Course-First Report of the Presidential Task Force on Employment of Adults with Disabilities (November 15, 1998) at page 5. 11 See e.g., Section 2(a) of the Americans with Disabilities Act (42 U.S.C. 12101(a)); Section 100(a) of the Rehabilitation Act (29 U.S.C. 720(a)); and Section 601 of the Individuals with Disabilities Education Act (20 U.S.C. 1400(c)). 12 See Section 2(a)(3) of the Rehabilitation Act (29 U.S.C. 701(a)(3)); Section 601(c)(1) of the Individuals with Disabilities Education Act (20 U.S.C. 1400(c)(1)); Section 101(a)(2) of the Developmental Disabilities Assistance and Bill of Rights Act (42 U.S.C. 6000(a)(2)). 13 Section 2(a)(8) of the ADA (42 U.S.C. 12101(a)(8)). 14 See e.g., Section 101(c)(3) of the Developmental Disabilities Assistance and Bill of Rights Act (42 U.S.C. 6000(c )(3)). 15 Senate Report No. 101-116 at page 7. 16 Two civil rights statutes pertaining to persons with disabilities are of particular relevance. The first is the Americans with Disabilities Act (42 U.S.C. 12101 et seq.) and implementing regulations (e.g., 28 CFR 35.130), which prohibits discrimination by employers, state and local agencies, public accommodations and telecommunications. The second law is Section 504 of the Rehabilitation Act (29 U.S.C. 794), which prohibits discrimination by recipients of Federal financial assistance. Pursuant to Executive Order 12250, the Department of Justice is responsible for coordinating the implementation of Section 504 by various Federal agencies, each of which is responsible for issuing it own Section 504 regulation. The Section 504 coordination regulations issued by the Department of Justice are set out in 28 CFR Part 41 (hereinafter referred to as the "Section 504 coordination regulation." In particular see 28 CFR 41.51(b)(1). 17 Id. 18 See e.g., Section 102 of the Rehabilitation Act (29 U.S.C. 722); Section 614(a) of the Individuals With Disabilities Education Act (20 U.S.C. 614(a)). 19 See e.g., Section 102 of the Rehabilitation Act (29 U.S.C. 722); Section 614(c) of the Individuals with Disabilities Education Act (20 U.S.C. 1414(c)). 20 See generally the ADA regulation (28 CFR 35.130); the Section 504 coordination regulation (28 CFR 41.51(b)). 21 See e.g., Section 612(a)(1) of the Individuals with Disabilities Education Act (20 U.S.C. 11412(a)(1)). 22 See the ADA regulation (28 CFR 35.130(b)(7)) and the Section 504 coordination regulation (28 CFR 41.51(b)). 23 See e.g., the ADA regulation (28 CFR 35.160(b)) and the Section 504 coordination regulation (28 CFR 41.51(b) and 41.51(e)). 24 See the ADA regulation (29 CFR 1630.9) and the Section 504 coordination regulation (28 CFR 41.53). 25 See the ADA regulation (28 CFR 35.149-.151) and the Section 504 coordination regulation (28 CFR 41.53). 26 See the ADA regulation (28 CFR 35.160(b)) and the Section 504 coordination regulation (28 CFR41.51(b) and 41.51(e)). 27 See the ADA regulation (28 CFR 35.130(d)) and the Section 504 coordination regulation (28 CFR 41.51(d)). 28 See the regulation implementing the Individuals with Disabilities Education Act (34 CFR 300.550-.551). 29 See e.g., Section 2(c )(1) of the Rehabilitation Act (29 U.S.C. 701(c )(1)); Section 101 of the Developmental Disabilities Assistance and Bill of Rights Act (42 U.S.C. 6000). 30 See e.g., Section 102(b) of the Rehabilitation Act (29 U.S.C. 722); Section 614(d) and (f) of the Individuals with Disabilities Education Act (20 U.S.C. 1414(d) and (f)); and The Ticket to Work and Self-Sufficiency program (Section 1148 of the Social Security Act as added by P.L. 106-170). 31 Id. See also Part C of the Individuals with Disabilities Education Act (early intervention program for infants and toddlers with disabilities) (20 U.S.C. 1431 et seq.). 32 See e.g., provisions in the Rehabilitation Act pertaining to State Rehabilitation Council (Section 105 of the Rehabilitation Act (20 U.S.C. 725)) and the Statewide Independent Living Council (Section 705 of the Rehabilitation Act (20 U.S.C.795d)). See also The Ticket to Work and Work Incentives Advisory Panel established by Section 101(f)(2) of P.L. 106-170. 33 See e.g., Title VII of the Rehabilitation Act (20 U.S.C. 796 and 796f). 34 See e.g., personal assistance services as an optional benefit under the Medicaid program (42 U.S.C. 1396d) and a benefit authorized under the Medicaid Home and Community-based services waiver (42 U.S.C. 1396n). See also personal assistance services provided to individuals receiving other vocational rehabilitation services under the Rehabilitation Act (Section 103 of the Rehabilitation Act (29 U.S.C. 723)). 35 Title XVI of the Social Security Act authorizes the Supplemental Security Income program, a Federally administered cash assistance program designed to provide a minimum income for, among others, persons who are blind and disabled (42 U.S.C. 1381 et seq.). See also Title II of the Social Security Act authorizes a program of Federal disability insurance benefits for, among others, workers who have contributed to the Social Security trust fund and become disabled or blind before retirement age (42 U.S.C. 401 et seq.). 36 See generally the Medicaid program authorized under Title XIX of the Social Security Act (42 U.S.C. 1396 et seq.). 37 See e.g., Section 8 of the Housing Act of 1937 (42 U.S.C. 1437f(o)). 38 The Food Stamp Act of 1977 (7 U.S.C. 2011 et seq.). 39 See e.g., Section 103 of the Rehabilitation Act (29 U.S.C. 722); The Individuals with Disabilities Education Act (20 U.S.C. 1400 et seq.). 40 See e.g., Title I of the Rehabilitation Act (29 U.S.C. 720 et seq.). 41 Id. 42 See e.g., authorized expenditures under the Home and Community-based Services waiver program, Section 1915(c) of the Social Security Act (42 U.S.C. 1396n(c)). 43 Title XVI of the Social Security Act authorizes the Supplemental Security Income program, a Federally administered cash assistance program designed to provide a minimum income for, among others, persons who are blind and disabled (42 U.S.C. 1381 et seq.). Section 1619 of the Social Security Act (42 U.S.C. 1382h) creates incentives for SSI beneficiaries with disabilities to work, including permitting these individuals to retain eligibility for Medicaid (which in some states enables these individuals to continue to receive personal assistance services). See also Section 1905(q) of the Social Security Act (42 U.S.C. 1396d(q)). See also Title II of the Social Security Act, which authorizes a program of Federal disability insurance benefits for, among others, workers who have contributed to the Social Security trust fund and become disabled or blind before retirement age (42 U.S.C. 401 et seq.). See also amendments to the Social Security Act and Medicaid creating new work incentives and expanding health care for workers with disabilities contained in The Ticket to Work and Work Incentives Improvement Act, P.L. 106-170. 44 See generally the Medicaid program authorized under Title XIX of the Social Security Act (42 U.S.C. 1396 et seq.). 45 See e.g., Section 8 of the Housing Act of 1937 (42 U.S.C. 1437f(o)). 46 The Food Stamp Act of 1977 (7 U.S.C. 2011 et seq.). 47 See e.g., the Disabled Access Tax Credit (26 U.S.C 44); The Targeted Jobs Credit (26 U.S.C. 51). 48 General requirements concerning methods of administration are set out in the ADA regulation (28 CFR 35.130) and the Section 504 coordination regulation (28 CFR 41.51(b)(3)). 49 See e.g., the State plan requirements under the Rehabilitation Act (Section 101 of the Rehabilitation Act (20 U.S.C. 721); and the State (section 612) and local (section 613) application provisions set out in the Individuals with Disabilities Education Act (20 U.S.C. 1412, 1413). See e.g., waiver provisions in Section 1115 of the Social Security Act (42 U.S.C. 1215) and Section 1915( c ) of the Social Security Act (42 U.S.C. 1396n( c )). 50 See e.g., Subpart G of the Section 504 regulations issued by the Department of Health and Human Services (part G of title 45 of the Code of Federal Regulations); See also ADA regulations (28 CFR 35.170-.190). See also Section 616 of the Individuals with Disabilities Education Act (20 U.S.C. 1416). 51 See e.g., the ADA regulation (28 CFR 35.105) and Section 615(b)(3) of the Individuals with Disabilities Education Act (20 U.S.C. 1415(b)(3)). 52 See e.g., Section 615(b)(1) of the Individuals with Disabilities Education Act (20 U.S.C. 1415(b)(1). 53 See e.g., the ADA regulation (28 CFR 35.170-.190), Section 102(d) of the Rehabilitation Act (29 U.S.C. 722(d)) and Section 615(b)(6) of the Individuals with Disabilities Education Act (20 U.S.C. 1415(b)(6)). 54 See e.g., Section 513 of the ADA (42 U.S.C. 12212) and Section 615(e) of the Individuals With Disabilities Education Act (20 U.S.C. 1415(e)). 55 See e.g., Section 615(f) of the Individuals With Disabilities Education Act (20 U.S.C. 1415(f)). 56 See e.g., Section 203 of the ADA (42 U.S.C. 12133), Section 505 of the Rehabilitation Act (29 U.S.C. 795), and Section 615( i ) of the Individuals with Disabilities Education Act (20 U.S.C. 1415( i)). 57 See e.g., Section 106 of the Rehabilitation Act (29 U.S.C. 726) and Section 614(d) of the Individuals with Disabilities Education Act (20 U.S.C. 1414(d)). 58 See e.g., Workforce Investment Act and implementing regulations 20 CFR 666.20. 59 For example, protection and advocacy systems are funded under the Developmental Disabilities Assistance and Bill of Rights Act (42 U.S.C. 6041-6043), the Rehabilitation Act (29 U.S.C. 794e), and the Protection and Advocacy for Mentally Ill Individuals Act (42 U.S.C. 10801-10851). In addition advocacy and individual representation is authorized under title VII of the Rehabilitation Act (29 U.S.C. 796f-4) and parent training and information centers are authorized under the Individuals with Disabilities Education Act (20 U.S.C 14 82). See also state grants to protection advocacy systems for work incentives assistance to disabled beneficiaries set out in Section 1150 of the Social Security Act, as added by P.L. 106-170. 60 For example, self-advocacy training is authorized under title VII of the Rehabilitation Act (29 U.S.C. 796f-4, parent training is authorized under the Individuals with Disabilities Education Act (20 U.S.C. 1482), and is an authorized use under the Developmental Disabilities Assistance and Bill of Rights Act (42 U.S.C. 6000 et seq). 61 See e.g., Section 101(a)(2) of the Rehabilitation Act (29 U.S.C. 721(a)(2)) and Section 612(a)(11) of the Individuals with Disabilities Education Act (20 U.S.C. 1412(a)(11)). 62 See e.g., Section 101(a)(11) of the Rehabilitation Act (29 U.S.C 721(a)(11)) and Section 612(a)(120 of the Individuals with Disabilities Education Act (20 U.S.C. 1412(a)(12). 63 See e.g., the early intervention program under part C of the Individuals With Disabilities Education Act (20 U.S.C. 1435). 64 See e.g., Section 612(a)(5) of the Individuals with Disabilities Education Act (20 U.S.C. 1412 (a)(5)). 65 See e.g., Section 102(c )(3) of the ADA (42 U.S.C. 12112( c )(3)); Sections 617(c ) and 614(a)(1)(c ) of the Individuals with Disabilities Education Act (20 U.S.C. 1417 (c ) and 1414(a)(1)(c )). 66 See e.g., authorization of access to records to protection and advocacy systems under the Developmental Disabilities Assistance and Bill of Rights Act (42 U.S.C. 6042(g)). 67 See e.g., Section 101(a)(7)(A) of the Rehabilitation Act (29 U.S.C. 721(a)(7)(A)) and Section 612(a)(14) and (15) of the Individuals with Disabilities Education Act (20 U.S.C. 1412(a)(14) and (15)). 68 See e.g., Section 101 of the Rehabilitation Act where the state must describe outreach procedures to identify and serve individuals with disabilities who are minorities (29 U.S.C. 721). 69 See e.g., Section 612(a)(18) and (19) of the Individuals with Disabilities Education Act (20 U.S.C. 1412(a)(18) and (19)). 70 See e.g. the General Education Provisions Act (20 U.S.C. ). 71 See e.g., The Technology-related Assistance for Individuals with Disabilities Act (29 U.S.C. 2201 et seq., the Developmental Disabilities Assistance and Bill of Rights Act (42 U.S.C. 6000 et seq.), Subpart 1 of part D of the Individuals with Disabilities Education Act (20 U.S.C. 1451-1456); and the grants developed to establish State infrastructures to support working individuals with disabilities established under Section 203 of P.L. 106-170. 72 See e.g., parent information and training centers (20 U.S.C. 1461-1474), centers for independent living under title VII of the Rehabilitation Act (29 U.S.C. 796f), and Developmental Disabilities Councils, protection and advocacy systems and university affiliated programs under the Developmental Disabilities Assistance and Bill of Rights Act (42 U.S.C. 6000 et seq.). See also Work Incentives Outreach programs as authorized by Section 1149 of the Social Security Act, as added by P.L. 106-170. 73 See e.g., interdisciplinary training by university affiliated programs under the Developmental Disabilities Assistance and Bill of Rights Act (42 U.S.C. 6061-6066), Title III of the Rehabilitation Act (29 U.S.C. 770-776, and Subpart 2 of Part D of the Individuals with Disabilities Education Act (20 U.S.C. 1461-1474). 74 See e.g., research funded by the National Institute on Disability and Rehabilitation Research under Title II of the Rehabilitation Act (29 U.S.C. 760-765) and under part D of the Individuals with Disabilities Education Act (20 U.S.C. 1451-1474). 75 Section 106 of WIA (29 U.S.C2811); 20 CFR 660.100. 76 64 FR 9403 (February 25, 1999). 77 20 CFR 661.100. 78 20 CFR 661.100. 79 20 CFR 661.400(b); 64 FR 18662 (April 15,1999); 64 FR 9403 (February 25, 1999). 80 64 FR 9403-9404 (February 25, 1999). 81 64 FR 9403-9404 (February 25, 1999). 82 Section 189 of WIA (29 U.S.C2939); 20 CFR 661.110. 83 Section 1125(c) and section 136(g) of WIA (29 U.S.C.2822(c) and Section 2871(g)); 20 CFR 661.220(e); 20 CFR 666.200 and .240. 84 Section 189( i) of WIA (29 U.S.C.2939(i)); 20 CFR 400-.420. 85 Section 192 of WIA (29 U.S.C. 2942); 20 CFR 661.43--.440. 86 64 FR 18665 (April 15, 1999). 87 64 FR 18665 (April 15, 1999). 88 64 FR 18680 (April 15, 1999) and 64 FR 9412 (February 25, 1999). 89 Section 183 of WIA (20 U.S.C. 2933); 20 CFR 667.400. 90 20 CFR 667.500(c). 91 See 64 FR 9411 (February 15, 1999). 92 64 FR 9406 (February 25, 1999). 93 Section 111(b)(1)(C)(vi)(I) of WIA (29 U.S.C.2821(b)(1)(C)(vi)(I)); 20 CFR 661.200(h). 94 64 FR 18665 (April 15, 1999). 95 20 CFR 661.200(b). 96 Section 111(d)(2)(A) of WIA (29 U.S.C. 2821(d)(2)(A)); 20 CFR 661.120(b); .205. 97 64 FR 9406 (February 25, 1999). 98 64 FR 9402 (February 25, 1999). 99 64 FR 9406 (February 25, 1999). 100 64 FR 9409 (February 25, 1999). 101 64 FR 9408 (February 25, 1999). 102 64 FR 9409 (February 25, 1999). 103 64 FR 9408 (February 25, 1999). 104 64 FR 9409 (February 15, 1999). 105 64 FR 9410 (February 25, 1999). 106 Section 112(b)(17) of WIA (29 U.S.C. 2822(b)(17)). 107 64 FR 9411 (February 25, 1999). 108 64 FR 9411 February 25, 1999). 109 64 FR 9411 (February 25, 1999). 110 64 FR 9412 February 25, 1999). 111 Section 136(d)(2)(F) of WIA (29U.S.C. 2871(d)(2)(F)). 112 64 FR 9410 (February 25, 1999). 113 64 FR 9410 (February 25, 1999). 114 20 CFR 667.260. 115 Section 184(b) of WIA (29 U.S.C. 2934(b)); 20 CFR 667.410(b). 116 20 CFR 667.500. 117 20 CFR 667.500 (c). 118 20 CFR 667.600. 119 20 CFR 667.600(f). 120 Section 501 of WIA (20 U.S.C.9271); 20 CFR 661.240. 121 Section 501(c)(1) of WIA (20 U.S.C.9271(c )(1)); 20 CFR 661.240(d). 122 65 FR 2467 (January 14, 2000). 123 65 FR 2472 (January 14, 2000). 124 65 FR 2473 (January 14, 2000). 125 65 FR 2473-2474 (January 14, 2000). 126 65 FR 2474 (January 14, 2000). 127 65 FR 2475 (January 14, 12000). 128 65 FR 2477 (January 14, 2000). 129 65 FR 2478 (January 14, 2000). 130 65 FR 2478 (January 14, 2000). 131 65 FR 2478 (January 14, 2000). 132 65 FR 2478 (January 14, 2000). 133 65 FR 2479 (January 14, 2000). 134 65 FR 2479 (January 14, 2000). 135 65 FR 2480-2481 (January 14, 2000). 136 65 FR 2482-2485 (January 14, 2000). 137 Section 117 of WIA (29 U.S.C. 2832); 20 CFR 661.300. 138 20 CFR 661.315. 139 Section 117(b)(2)(A)(iv) of WIA (29 U.S.C. 2832(b)(2)(A)(iv)) ; 20 CFR 661.315. 140 64 FR 18667 (April 15, 1999). 141 64 FR 18667 (April 15, 1999). 142 20 CFR 661.315. 143 Section 117(b)(3) of WIA (29 U.S.C. 2832(b)(3)); 20 CFR 661.120(a), .305. 144 64 FR 9406 (February 25, 1999). 145 20 CFR 661.335. 146 20 CFR 661.340. 147 Section 118 of WIA (29 U.S.C.2833); 20 CFR 661.345. 148 20 CFR 661.350. 149 20 CFR 667.410. 150 20 CFR 667.600. 151 20 CFR 667.600 (f). 152 20 CFR 662.100(a). 153 Section 134(c) of WIA (29 U.S.C.2864(c)); 20 CFR 662.100(c). 154 Section 134(c )(2) of WIA (29 U.S.C.2864(c)(2)); 20 CFR 662.100(d). 155 64 FR 18669 (April 15, 1999). 156 Section 121(b)(1) of WIA (29 U.S.C.2841(b)(1)); 20 CFR 662.200(b)(4). 157 20 CFR 662.200(b)(4). 158 Section 121 and 134 of WIA (29 U.S.C. 2841 and 2864); 20 CFR 662.230. 159 Section 121 (c) of WIA (29 U.S.C.2841(c)); 20 CFR 662.230 (c ). 160 See Section 121 (c) of WIA (29 U.S.C.2841(c)); 20 CFR 662. 250, .260, .270, a.280, and .300. See also 64 FR 18669-18670 (April 25, 1999). 161 20 CFR 662.270. 162 20 CFR 662.310(a). 163 20 CFR 662.310(b). 164 20 CFR 662.310 (b) and (c). 165 20 CFR 663.100. 166 See 64 FR 18672 (April 15, 1999). 167 20 CFR 663.110. 168 20 CFR 663.105. 169 Section 134(d)(2) of WIA (29 U.S.C.2864(d)(2)); 20 CFR 662.230, .240, .250; 20 CFR 663.150. 170 20 CFR 663.155. 171 20 CFR 662.240. 172 20 CFR 663.210. 173 20 CFR 663.300. 174 20 CFR 663.310. 175 Section 134(d)(4)(B) of WIA (29 U.S.C.2864(d)(4)(B)). 176 20 CFR 663.320. 177 Section 134(d)(4)(F) of WIA (29 U.S.C 2864(d)(4)(F)); 20 CFR 663.440. 178 Section 134(d)(4)(G) of WIA (29 U.S.C.2864(d)(4)(G)); 20 CFR 663.400. 179 20 CFR 663.410. 180 20 CFR 663.420. 181 20 CFR 663.430. 182 Section 134(d)(4)(G)(iv) of WIA (29 U.S.C. 2864(d)(4)(G)(iv)); 20 CFR 663.430(b). 183 Section 101(46) and 134(e)(2) of WIA (29 U.S.C.2801(46) and Section 2864(e)(2)); 20 CFR 663.800, .805. 184 20 CFR 663.800, .810. 185 20 CFR 663.500. 186 Section 122 of WIA (29 U.S.C.2842); 20 CFR 663.500-.595. 187 20 CFR 663.505(b)(2)(v) and .590. 188 20 CFR 663.510. 189 20 CFR 663.515 and .530. 190 20 CFR 663.535. 191 20 CFR 663.555. 192 20 CFR 663.565. 193 20 CFR 663.570. 194 Section 134(d)(4)(E) of WIA (29 U.S.C.2864(d)(4)(E)); 20 CFR 663.600. 195 Section 101(25)(F) of WIA (29 U.S.C.2801(25)(F)); 20 CFR 663.640. 196 Section 129 of WIA (29 U.S.C.2854). See also Section 126 (29 U.S.C. 2851), Section 127 (29 U.S.C. 2852), Section 169 (29 U.S.C. 2914), and Section 137(a) (29 U.S.C. 2872(a)). 197 20 CFR Part 664. 198 64 FR 18674 (April 15, 1999). 199 64 FR 18674 (April 15, 1999). 200 20 CFR 664.100. 201 20 CFR 664.110. 202 20 CFR 664.200. 203 Section 129(c)(5) of WIA (29 U.S.C. 2854(c)(5)); 20 CFR 664. 220. 204 20 CFR 664.250. 205 20 CFR 664.215. 206 20 CFR 664.400(a). 207 20 CFR 664.400(b). 208 20 CFR 664.400(c). 209 20 CFR 664.400(d). 210 20 CFR 664.400(f). 211 20 CFR 664. 410. 212 20 CFR 664.500, .510. 213 20 CFR 664.600. 214 20 CFR 664. 700. 215 Section 136 of WIA (29 U.S.C.2871); 20 CFR Part 666. 216 64 FR 18678 (April 15, 1999). 217 20 CFR 666.100. 218 20 CFR 666.130. 219 20 CFR 666.140. 220 20 CFR 666.200. 221 20 CFR 666.230. 222 20 CFR 666.240. 223 Section 136(d)(2)(F) of WIA (29 U.S.C.2871(d)(2)(F)); 20 CFR 667.300(e). 224 20 CFR 666.300. 225 20 CFR 666.310. 226 20 CFR 666.400. 227 20 CFR 666.420. 228 Part 37 of Title 29 of the Code of Federal Regulations, 29 CFR Part 37. 229 29 CFR Part 34. 230 29 CFR 37.1. 231 29 CFR 37.2. 232 29 CFR 37.5. 233 29 CFR 37.7. 234 64 Federal Register 61692, November 12, 1999. 235 29 CFR 37.7(a). 236 29 CFR 37. 7(c). 237 29 CFR 37.7(d). 238 29 CFR 37.7(e). 239 29 CFR 37.7(g). 240 29 CFR 37.7(i). 241 29 CFR 37.8(a). 242 29 CFR 37.4. 243 29 CFR 37.8(b). 244 29 CFR 37.9. 245 29 CFR 37.10. 246 29 CFR 37. 12. 247 29 CFR 37.20. 248 29 CFR 37.23-.28. 249 29 CFR 37.29, .36. 250 29 CFR 37.37-.41. 251 29 CFR 37.42. 252 29 CFR 37.51. 253 29 CFR 37.52. 254 29 CFR 37.53. 255 29 CFR 37.54. 256 29 CFR 37.55. 257 29 CFR 37. 60-.68. 258 29 CFR 37.70-.89. 259 29 CFR 37.76. 260 29 CFR 85. 261 64 FR 61697, November 12, 1999. 262 29 CFR 37.99. 263 See 64 FR 9411 (February 15, 1999) 264 64 FR 9409 (February 25, 1999) 1