The state of Washington required local Workforce Development Councils (WDC), in partnership with the appropriate local elected officials, to develop a local five-year unified plan. The Unified Plan is comprised of a strategic plan for the local area’s workforce development system and an operations plan for Title I of the Workforce Investment Act (WIA) and for the Wagner-Peyser Act as amended by Title III of WIA. This policy addresses modifications to the Operations Plan. In the future, the Workforce Training and Education Coordinating Board (WTECB) will, in consultation with the WDCs, develop guidelines for updating local strategic plans.

The WIA (P.L 105-220) Title I, Section 116, requires that each WDC in partnership with the appropriate chief elected officials, develop and submit a comprehensive five-year plan to the Governor. This plan identifies and describes certain policies, procedures, and local activities to be carried out in the local area, consistent with the State Plan.

P.L 105-220, Section 118(c) and CFR 661.340 and 661.345 outline requirements for public comment on a proposed local plan. The policy section below discusses the types of changes to a five-year plan, which warrant a "formal modification" to the plan. For purposes of this policy, the state intends a "formal" modification as one in which: 1) changes to the plan must be documented, 2) signed by all required representatives, and 3) follows the process for public comment described in a local Operations Plan.

The plan may be adjusted or updated based on any number of significant changes that occur in a local area: e.g. in the economy; in financial, organizational, inter-local or partner agreements in service delivery strategies. These types of changes would require the local area to notify the state of the changes. The state recognizes that not all federal and state guidance was definitive the first year of the plan and that local councils need the flexibility to update their plans on an ongoing basis to keep the information current.

Local plan files must reflect all changes to a plan and the state must be made aware of the changes in a timely fashion. This policy sets forth the minimum state requirements and processes for formal and other types of modifications as discussed in CFR 661.355.

A formal modification to the plan is required, when language must be updated based on the following situations, unless the state grants an exception:

• A reorganization plan for a local area is put in place based on a failure to meet required performance for a program for two consecutive program years. The reorganization could include the appointment and certification of a new council, prohibition of poor performing providers or partners, and other measures designed a result of poor performance. (CFR 666.420(c))

• Significant changes are made to the adult priority for intensive and training services policy. (CFR 663.600)

• Local waiver requests are submitted to the state if the "workforce flexibility" provision of the law is implemented in Washington State. (CFR 661.430)

• Any changes resulting from State Plan changes to Wagner-Peyser or local conditions which significantly alter the Wagner-Peyser service delivery or non-duplication requirements.

• Any significant changes to Wagner-Peyser Act funded strategies, which describe services to persons with disabilities, veterans, or migrant seasonal farmworkers which are required by federal law or regulations.

• There is a change in the structure of council as described in CFR 661-330.

• Any substantial change to the local Memorandum of Understanding (MOU).

The requirements for public comment and other process requirements established by P.L 105-220, Section 118(c) must be followed for a formal plan modification. Approval of a modification will be granted based on the plan submission and approval process in P.L 105 220, Section 118(d). The Employment Security Department (ESD) has been given the authority to approve operations changes to the Local Operations Plan by the Governor. The WTECB and ESD work jointly in reviewing a number of sections in the Local Plan.

In anticipation of a formal modification, the local area must submit a memo with a draft of the proposed changes to the plan. This will give the state notification that there are changes planned and will allow for an initial review. Once the modification is signed by all required representatives, it should be submitted with original signatures to ESD’s WIA Plan Coordinator.

When significant changes occur in a local area, the WDC is required to update the plan to reflect those changes by submitting other types of modifications which must be approved by the State Administrative Entity. At a minimum, modifications must be submitted under the following circumstances:

• There is a change in the fiscal entity.

• There is a change in competitive processes used to award grants or contracts.

• There is a change in the designation of one-stop operators or the process for designation.

• There is a change in a WDC’s direct provision of core, intensive or training services, one-stop system or program service delivery, or local policies initially discussed in the plan related to serious barriers for youth and Individual Training Accounts.

• Change as a result of a financial impact on the availability of funds based upon a sanction for the State if it fails to meet performance measures for two consecutive program years. (CFR 661.230(a)(3))

• The plan must be brought into compliance with changes made to the State Plan or federal policy changes triggered by changes made by Congress or the Department of Labor

These changes can be made through administrative means other than formal modification, such as page substitutions, unless the local Council and chief local elected official agree a formal modification is necessary.

The required modifications to the language in the plan must be submitted to the ESD WIA Plan Coordinator as the change occurs and is made official. The changes can be submitted in any reasonable manner, i.e. described in a letter, sent in as page substitutions or sent as an entire plan document incorporating the changes in a noticeable way.

A local area is encouraged to update a plan for additional reasons that may include:

• Significant changes in local economic conditions which impact the service delivery strategies and policies of the local area or if the establishment of regional partnerships among WDAs occur as defined in the law.

• Changes in financing which would significantly effect WIA Title I and partners that provided services.

• A need to significantly revise strategies to meet performance goals.

• Update yearly allocation figures.

• Update information on program service strategies and WorkSource service delivery development and progress.

• Make minor changes to a Memorandum of Understanding, which has been agreed upon by all partners.

The state must ensure it has an official local plan document file for each local area that is current with copies of changes local areas have made to the plan over the course of a year.

When several changes to the plan are made by different formal or non-formal modifications over a period of time, the local area should at a minimum submit one complete amended plan which contains all amendments made to the plan in any given year and previous years. This should occur as close to the end of a program year as is possible. For example, the formal modifications or other non-formal modifications which had been sent to the state over the course of Program Year 2000, a revised plan document incorporating the modifications would be sent to the state at the end of the program year or within the next month).

The yearly update to the plan is not required to have signatures, unless it incorporates a new "formal " modification not previously submitted and approved.

None.

• P.L 105-220 Title I, Section 116

• P.L 105-220, Section 118(c)

• P.L 105 220, Section 118(d).

• CFR 661.230(a)(3)

• CFR 661-330

• CFR 661.355

• CFR 661.430

• CFR 663.600

• CFR 666.420(c)

None. This communication is new.

http://www.wa.gov/esd/policies

Leslye Miller
Employment Security Department
Employment and Training Division, WIA Title I-B
P.O. Box 9046, MS 6000
Olympia, WA 98507-9046
E-Mail: lmiller@esd.wa.gov
Telephone: (360) 438-3268
FAX: (360) 438-3174