A DESCRIPTION OF THE WORKFORCE INVESTMENT ACT LEGAL FRAMEWORK FROM A DISABILITY POLICY PERSPECTIVE PREPARED BY: ROBERT SILVERSTEIN, J.D. DIRECTOR, THE CENTER FOR THE STUDY AND ADVANCEMENT OF DISABILITY POLICY September 11, 2000 This paper was funded, in part by grants 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. DOWNLOAD THIS DOCUMENT FOR FREE AT: National Rehabilitation Research and Training Center on Workforce Investment and Employment Policy at Community Options, Inc.: http://www.comop.org Rehabilitation Research and Training Center on State Systems and Employment at the Institute for Community Inclusion: http://www.childrenshospital.org/ici ABOUT THE AUTHOR: Robert Silverstein, J.D. is the Director of the Center for the Study and Advancement of Disability Policy (CSADP). Mr. Silverstein has over 25 years experience providing policy analysis and research for and technical assistance to policy makers and negotiating and drafting public policy at the Federal, State, and local levels. At the Center, Mr. Silverstein gives keynote speeches, conducts advocacy training, assists disability groups, and federal, state and local agencies draft disability policy, and conducts action-oriented policy research. His areas of focus include civil rights, education, work incentives, workforce investment and welfare reform from a disability perspective. From 1987-97, Mr. Silverstein served as principal advisor to Senator Tom Harkin (D. Iowa), who served as chair of the Senate Subcommittee on Disability Policy (1987-95), ranking member of the Subcommittee (1995-97), and lead member on disability policy issues on the Committee on Labor and Human Resources (1997). In his capacity, Silverstein played a central role in all important disability policy legislation produced between 1987-1997, including the landmark Americans with Disabilities Act, 15 other pieces of legislation, and numerous disability-related amendments to other bills concerning, health, civil rights, education, and job training. From 1985-1987, Silverstein served as counsel to the Subcommittee on Select Education, Committee on Education and Labor of the U.S. House of Representatives. The Subcommittee was chaired by Congressman Pat Williams (D. Montana). Silverstein's responsibilities were similar to those undertaken during his Senate tenure. Among the bills Silverstein was responsible for was P.L. 99-457, which added early intervention programs for infants and toddlers with disabilities to the Individuals with Disabilities Education Act. This program is landmark because of its family-centered focus and its interagency orientation. 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 at the University of Pennsylvania and a J.D. from Georgetown University Law Center. TABLE OF CONTENTS: A DESCRIPTION OF THE WORKFORCE INVESTMENT ACT LEGAL FRAMEWORK FROM A DISABILITY POLICY PERSPECTIVE PURPOSE OF THE PAPER 1 HISTORICAL CONTEXT, CORE PRECEPT AND OVERARCHING GOALS OF WIA 1 A. OVERVIEW 1 B. KEY PRINCIPLES OF WIA 2 1. Streamlining 2 2. Empowering Individuals 2 3. Universal Access 2 4. Increased Accountability 3 5. Strategic Planning and Oversight 3 6. Flexibility 3 7. Youth Activities 3 DEFINITIONS 4 GOVERNANCE AT THE FEDERAL LEVEL 4 STATE GOVERNANCE 5 A. STATE WORKFORCE INVESTMENT BOARD 5 B. THE STATE PLAN 6 1. Overview 6 2. Critical Role of the State Board 7 3. Plan Development Process 7 4. Vision and Goals 7 5. Assessment 7 6. Strategies for Improvement 7 7. Performance Management 8 8. The Adoption of State Policies 9 9. Assurances 10 C. STATE MONITORING, ENFORCMENT, AND COMPLAINT RESOLUTION 10 D. UNIFIED STATE PLAN 11 1. In General 11 2. Vision and Goals 11 3. Plan Development 11 4. Needs Assessment 11 5. State and Local Governance 12 6. Funding 12 7. Coordination and Non-Duplication 12 8. Special Populations 13 9. Professional Development 13 10. Performance Accountability 13 11. Corrective Action 14 l2. Waiver and Work-Flex Requests 14 13. Certifications and Assurances 14 LOCAL GOVERNANCE 15 A. LOCAL WORKFORCE INVESTMENT BOARD 15 B. YOUTH COUNCIL 16 C. LOCAL WORKFORCE INVESTMENT PLAN 16 D. OVERSIGHT, MONITORING, ENFORCEMENT AND COMPLAINT RESOLUTION 17 THE ONE-STOP SERVICE DELIVERY SYSTEM 18 A. OVERVIEW 18 B. ONE-STOP PARTNERS AND THE RESPONSIBILITIES OF PARTNERS 18 C. CORE, INTENSIVE, TRAINING AND SUPPORTIVE SERVICES 20 1. Overview 20 2. Core Services 21 3. Intensive Services 22 4. Training Services 23 5. Individual Training Account 25 6. Supportive Services 27 D. ELIGIBLE TRAINING PROVIDERS 27 E. PRIORITY AND SPECIAL POPULATIONS 29 YOUTH ACTIVITIES 30 PERFORMANCE ACCOUNTABILITY 32 A. OVERVIEW 32 B. STATE MEASURES OF PERFORMANCE 32 C. LOCAL MEASURES OF PERFORMANCE 34 NONDISCRIMINATION AND METHODS OF ADMINISTRATION 35 A. INTRODUCTION 35 B. GENERAL PROVISIONS 35 1. The Purpose of the Regulation 35 2. Applicability of the Regulation 35 3. Forms of Discrimination the Act and the Implementing Regulations Prohibit 36 4. Specific Discriminatory Actions Based on Disability Prohibited by the Regulation 36 5. The Extent To Which Employment Practices are Covered by the Regulation 38 6. Department of Labor Responsibility for Administering This Regulation 38 C. RECORDKEEPING AND OTHER AFFIRMATIVE OBLIGATIONS OF RECIPIENTS 39 1. The Grant Applicant's Obligation to Provide a Written Assurance of Compliance with the Nondiscrimination Provisions of Section 188 of WIA 39 2. The Rules Governing the Designation and Responsibilities of Equal Opportunity Officers 39 3. A Recipient's Obligations to Disseminate its Equal Opportunity Policy 40 4. The Recipient's Responsibilities to Collect and Maintain Data and Other Information 40 5. A Recipient's Responsibilities Under the Regulation Regarding the Provision of Universal Access to WIA Title I Financially Assisted Core Services 40 D. GOVERNOR'S RESPONSIBILITIES TO IMPLEMENT THE NONDISCRIMINATION AND EQUAL OPPORTUNITY REQUIREMENTS OF WIA 41 1. The Governor's Oversight Responsibilities 41 2. The Extent of a Governor's Liability for the Actions of a Recipient He or She has Financially Assisted Under WIA Title I 41 3. A Governor's Oversight Responsibilities Regarding Recipients' Recordkeeping 41 4. A Governor's Responsibilities to Develop and Maintain a Methods of Administration 41 5. Timelines for the Governor to Carry Out His or Her Obligations with Regard to the Methods of Administration 43 E. COMPLIANCE PROCEDURES (INCLUDING COMPLAINT RESOLUTION PROCEDURES) 43 1. 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 43 2. Filing a Complaint 44 3. The Required Elements of a Recipient's Complaint Resolution Procedures 44 4. Circumstances in Which the Director will Send a Complaint to Another Authority 44 5. Actions the Director Must Take When He or She Concludes that Compliance Cannot be Secured by Voluntary Means 45