Tegl 21-11

CLASSIFICATION
EMPLOYMENT AND TRAINING ADMINISTRATION
ADVISORY SYSTEM
U.S. DEPARTMENT OF LABOR
Washington, D.C. 20210

State Planning
CORRESPONDENCE SYMBOL

OWI

DATE

March 27, 2012

ADVISORY: TRAINING AND EMPLOYMENT GUIDANCE LETTER NO. 21-11
TO:

STATE WORKFORCE AGENCIES
STATE WORKFORCE ADMINISTRATORS
STATE WORKFORCE LIAISONS
STATE AND LOCAL WORKFORCE BOARD CHAIRS AND DIRECTORS
STATE LABOR COMMISSIONERS
SCSEP GRANTEES
STATE LMI DIRECTORS

FROM:

JANE OATES /s/
Assistant Secretary

SUBJECT:

Requirements for 2012 State Workforce Plans

1. Purpose. The purpose of this Training and Employment Guidance Letter (TEGL) is to:
 Provide options for states to have approved plans in place for Program Years (PY) 20122016 for the Workforce Investment Act of 1998 (WIA) and Wagner-Peyser (W-P) Act,
and for W-P Agricultural Outreach.
 Communicate changes to state planning requirements under Office of Management and
Budget (OMB) data collection No. 1205-0398, Planning Guidance and Instructions for
Submission of Strategic State Plan and Plan Modifications for Title I of the Workforce
Investment Act and Wagner Peyser Act.
 Provide options for states to have approved Senior Community Employment Service
Program (SCSEP) Plans in place for PY 2012-PY 2015.
2. References.
 Wagner-Peyser Act, as amended (29 U.S.C. 49 et seq.);
 Workforce Investment Act of 1998, as amended (29 U.S.C. 2801, et seq.);
 Workforce Investment Act of 1998 regulations, 20 CFR Parts 652 and 660-671;
 Priority of Service for Covered Persons Regulations (Veterans’ Priority of Service
Regulations), 20 CFR 1010.100-330;
 Trade Adjustment Assistance regulations, 20 CFR, part 618, 20 CFR, part 617, 29 CFR,
part 90;
 Trade Adjustment Assistance Extension Act of 2011 Pub. L. 112-40 (October 21, 2011);

RESCISSIONS

EXPIRATION DATE

None

Continuing

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Older Americans Act Of 1965 (OAA), Section 503(a)(1), 42 U.S.C. 3056a(a)(1);
Senior Community Service Employment Program regulations, 20 CFR 641.302-365;
Wagner-Peyser regulations, 20 CFR 653.107;
State Integrated Workforce Plan Requirements for Workforce Investment Act Title
I/Wagner-Peyser Act and Department of Labor Workforce Programs (OMB No. 12050398);
Planning Guidance for State Unified Plans and Unified Plan Modifications Submitted
under Section 501 of the Workforce Investment Act (WIA) (OMB No. 1205-0398));
TEGL No. 15-10, Increasing Credential, Degree, and Certificate Attainment by
Participants of the Public Workforce System;
TEGL No. 02-07, Leveraging Registered Apprenticeship as a Workforce Development
Strategy for the Workforce Investment System;
TEGL No. 26-09, Workforce Investment Act (WIA) Waiver Policy and Waiver Decisions
for PY 2009 and 2010; and,
TEGL No. 30-09, Layoff Aversion Definition and the Appropriate Use of Workforce
Investment Act Funds or Incumbent Worker Training for Layoff Aversion Using a
Waiver.

3. Background. WIA, as amended, requires that the Governor of each state submit a WIA/W-P
State Plan to the U.S. Department of Labor (Department) that outlines a five-year strategy for
its workforce investment system. States must have approved State Plans in place to receive
formula allotments under WIA or financial assistance under W-P (WIA Section 112(a) and
W-P Section 8(a)). States must also have in place an annual Agricultural Outreach Plan
(AOP) to provide services to Migrant and Seasonal Farmworkers (MSFWs) on a basis that is
qualitatively equivalent and quantitatively proportionate to services provided to non-MSFWs
(20 CFR 653.107). In addition, states must have in place a four-year strategic plan for
SCSEP (OAA Section 503(a)(1)). This TEGL provides information to states to develop and
submit plans for the above-named programs.
The Employment and Training Administration (ETA) has updated the published
requirements governing state planning, after extensive consultation with states to develop
requirements that would better meet their needs. As in the past, there are two guidance
documents that states may use for strategic planning. The main planning guidance for the
WIA Title I/W-P State Plan (sometimes referred to as ‘stand-alone’ plans) has been
significantly revised and renamed the State Integrated Workforce Plan Requirements for
Workforce Investment Act Title I/Wagner-Peyser Act and Department of Labor Workforce
Programs (Integrated Workforce Plan). In addition to other changes meant to streamline
requirements and foster more meaningful strategic alignment, the new Integrated Workforce
Plan guidance requires that the Plan include additional programs funded by the Department.
The second set of planning requirements, Planning Guidance for State Unified Plans and
Unified Plan Modifications Submitted under Section 501 of the Workforce Investment Act
(WIA), is for states wishing to submit a Unified Plan. The Unified Plan is based on WIA
Section 501 and contains requirements for One-Stop partner programs in multiple Federal
departments to submit a single Unified Plan. Guidance for Unified Planning has undergone
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relatively minor changes. This TEGL includes information that will be important for all State
Plans. However, it provides a more detailed explanation about the Integrated Workforce
Plan, since those plan requirements are substantially different from previously published
guidance and since historically most states used the DOL-specific plan requirements.
In general, the Integrated Workforce Plan moves the planning process beyond purely
compliance to a more meaningful strategic planning approach for the state’s workforce
system. Plan elements have been streamlined and reflect a greater openness on the part of
ETA to accept plans that emerge from existing state processes and formats. The new
guidance separates the strategic plan elements from operational plan elements in order to
facilitate cross-program strategic planning. In developing the Integrated Workforce Plan
guidance, ETA removed elements that either were not legally required or were duplicative.
At the same time, the guidance adds coordination with Trade Adjustment Assistance (TAA)
and inclusion of the W-P AOP in order to eliminate separate plan submissions for these
programs and to better integrate these workforce programs into the statewide workforce
strategy. An Integrated Workforce Plan may also include plans covering SCSEP.
4. Planning Requirements. In accordance with the Paperwork Reduction Act, the Office of
Management and Budget (OMB) approved the State Integrated Workforce Plan
Requirements for Workforce Investment Act Title I/Wagner-Peyser Act and Department of
Labor Workforce Programs (Integrated Workforce Plan) and Planning Guidance for State
Unified Plans and Unified Plan Modifications Submitted under Section 501 of the Workforce
Investment Act (WIA) under OMB control number 1205-0398. The Integrated Workforce
Plan requirements are available on ETA’s Web site at
http://www.doleta.gov/usworkforce/wia-planning/docs/integrated-planning-guidance.pdf.
The Unified Plan requirements are available at http://www.doleta.gov/usworkforce/wiaplanning/docs/unified-planning-guidance.pdf.
5. Importance of Joint Planning Across Programs. ETA is committed to fostering better
alignment of Federal investments in job training; improved models for delivering quality
services across programs at lower costs; and providing relevant information to workforce,
education and social service communities. Cross-program planning promotes a shared
understanding of the workforce needs of a state and a comprehensive strategy for addressing
those needs. ETA believes that integrated or unified planning leads to better alignment of
resources, increased coordination among programs and improved efficiency in service
delivery. ETA also believes that these improvements will lead to improvements in customer
outcomes as performance reflects program strategies. In addition, data sharing and enhanced
management information systems provide the opportunity for a reduction in administrative
costs and burdensome paperwork. Toward that end, ETA hopes that the newly-designed
planning guidance will help states in their joint planning across programs. We encourage
states to engage in cross-program planning regardless of which type of plan they submit.
6. Integrated Workforce Plan Requirements: Overview of Plan Elements. Since the
Integrated Workforce Plan represents a substantive change from previously published
guidance, the following is a summary of key guidance elements and ETA’s intention for
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each. The elements of the Integrated Workforce Plan are organized according to three main
sections: 1) Strategic Plan, 2) Operational Plan, and 3) Assurances. This new approach
enables states to involve different levels of the workforce system in developing the
appropriate sections of the plan. For example, the State Workforce Investment Board
(SWIB) may focus on developing the state vision or setting strategic direction in the Strategic
Plan in Section I, while the state agency may focus on the Operational Plan in Section II. The
Integrated Workforce Plan is intended as an expression of the state’s vision and planned
activities across its workforce system.
Section I – State Workforce Strategic Plan, requires states to describe the governor’s strategic
vision for the state’s economy and overarching goals for the state’s workforce system. An
important part of the Strategic Plan section is economic and workforce information analysis.
The gathering and use of labor market information (LMI) is further explained below in this
TEGL, under “Important Planning Considerations.” More than simply a compilation of data
from various sources, this section should analyze and interpret LMI to provide context for the
overall plan. The Strategic Plan should be based on a thorough understanding of the
economic strengths and workforce needs and skills of the state so that strategies will align the
best interests of job seekers and employers with the economic future of the state. In addition,
the strategies section should discuss how the state will align policy, operations and
administrative systems. State strategies should drive the specific quantitative targets and
desired outcomes described in the outcomes element of the Strategic Plan.
Section II – State Operational Plan, requires states to describe how each individual program,
using the funds allocated under each specific title, will align with and implement the
strategies and vision outlined in the Strategic Plan section. Where the Strategic Plan section
must discuss State Plans and resources for an aligned and integrated workforce system, the
State Operational Plan must discuss how various participant groups will be served by the
programs included in the Integrated Workforce Plan. For instance, the State Operational Plan
should discuss how services are delivered for employers and targeted sub-populations. The
State Operational Plan section includes an overview of the workforce system, its organization
at the state and local level, and descriptions of specific workforce programs and required
policies. This section also includes Operational Plan requirements for the W-P AOP,
requirements for coordination with TAA, and the option to include plans for SCSEP.
Section III - Assurances requires states to affirm that key obligations in the law have been
met. A number of plan elements that were previously a part of the narrative are now among
the 40 assurances included with the Integrated Workforce Plan. These assurances are vitally
important as a commitment to upholding the requirements in the law and regulations. The
assurances may form a basis for state self-monitoring of these requirements and for ETA’s
monitoring of states. Many of the assurances affect the required process for developing the
Integrated Workforce Plan, such as the requirements for stakeholder consultation, public
comment and various policies which states must have in place.
7. Important Planning Considerations. Below are several vital factors that ETA encourages
states to consider in developing an effective and meaningful State Plan.

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A. ETA’s Workforce System Policy Emphases
While State Plans require the articulation of the governor’s strategic direction and vision,
we also encourage states to also take into account ETA’s current policy emphases when
developing their workforce system plans. States should review recent TEGLs, available
at http://wdr.doleta.gov/directives/, so that ETA program priorities may be considered as
a part of their planning where appropriate. The following are areas of focus for ETA:
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Alignment with state and regional economic development. ETA encourages states to
align their workforce development activities with state and regional economic
development plans to ensure that training and employment services support
anticipated industry growth and corresponding expected employment opportunities
and required skill competencies. We encourage states and local areas to develop
comprehensive regional partnerships to facilitate this alignment.

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Cross-program alignment. At a time of constrained resources, lowering the costs and
increasing the effectiveness of service delivery requires coordination across different
programs, funding streams, integrated planning processes, and operational procedures.
The more the system is aligned at all levels to support service delivery, the more
effective it will be in improving training and employment outcomes and/or achieving
outcomes at a lower cost.

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Dual-customer focus. As the economy recovers and communities begin to see an
increase in job openings, it is more important than ever that the workforce system
match its employment and training investments in jobseekers to the skills and
workforce demands of employers. States and local areas have valuable assistance to
provide at every stage of the business lifecycle, effectively engaging employers as
system partners. These services range from applicant screening and job description
writing assistance to On-the-Job-Training, Rapid Response services and layoff
aversion strategies. At the same time, adult education, job training, postsecondary
education, Registered Apprenticeship, career advancement activities (for example,
industry-recognized certificate and credential attainment) and supportive services are
only successful services to the extent that they align with employer demand. We
encourage states and local areas to consider both job seeker and employer customer
needs as they plan for and implement their programs.

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Use of evidence-based practice. Federal agencies, state agencies and other funders
are building knowledge about effective practices in workforce development and
related programs through rigorous evaluation and communicating “lessons learned”
from these evaluations. We encourage states and local areas to share evaluations they
have completed, review evaluation findings as they become available, and to consider
how to adapt service delivery strategies that have been shown to have positive
significant effect in well-designed evaluation studies.

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Credential attainment. President Obama has issued the challenge for the United
States to lead the world by 2020 in the percentage of Americans with postsecondary
degrees and industry-recognized certificates and credentials. In alignment with the
President’s ambitious goal, the Secretary of Labor made credential attainment one of
ETA’s High Priority Performance Goals. The goal by September 2013 is to increase,
by 10 percent, the number of participants of the public workforce system who receive
training and attain an industry-recognized credential. The goal reflects the
Administration’s continued emphasis on job training, post-secondary education and
the attainment of industry-recognized credentials as a strategy for both enhancing
earnings and employment for participants in the public workforce system and meeting
the economy’s need for more skilled workers. ETA encourages states to develop and
implement strategies that increase credential attainment for public workforce system
customers. TEGL No. 15-10, Increasing Credential, Degree, and Certificate
Attainment by Participants of the Public Workforce System, provides more detailed
guidance on this topic.

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Administrative Flexibility. To better support state and local efforts to improve service
delivery, encourage program alignment, and ease administrative burden, ETA is
focusing on areas where it may offer flexibility in its own program requirements. As
well as changes adopted in the State Plan requirements, ETA offers flexibility
afforded by its waiver authority (WIA Section 189(i)(4)) and encourages states to
explore and request waivers that support more effective implementation of state
workforce strategies. Waiver information is available at
http://www.doleta.gov/waivers/.

B. Program Alignment Opportunities
As noted above, ETA encourages states to take actions that promote cross-program
alignment as well as improved integration of services. Individuals should have easy
access to all programs at any point of entry into the system. Aligned and integrated
service delivery is also important to ensure the most efficient and effective use of all
funding and expands access to services. States should develop strategies across programs
so that participants in the One-Stop Career Center system receive effective case
management, supportive services, and are referred to targeted programs and educational
resources where appropriate. While not all-inclusive, some suggested areas of program
alignment and integration may include:
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Partnering with Temporary Assistance for Needy Families (TANF), Adult Basic
Education, and other social service programs to implement comprehensive career
pathway approaches that align and bridge training, education, employment, and
supportive services at the local and state level; and enable individuals to move beyond
adult basic education to succeed in postsecondary education, earn industry-recognized
credentials, and advance along a career path.

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Improving the connection between the WIA/W-P and Unemployment Insurance (UI)
systems to enhance reemployment services for all unemployed job seekers and
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shorten durations of unemployment for UI claimants through the creative use of social
media, using Reemployment and Eligibility Assessments and the Worker Profiling
and Reemployment Services (WPRS) system to better connect UI claimants to
services, as well as other integrated service delivery strategies.
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Using Registered Apprenticeships to meet the training needs for some job seekers
served by One-Stop Career Centers as well as employer needs for access to skilled
workers. TEGL No. 02-07, Leveraging Registered Apprenticeship as a Workforce
Development Strategy for the Workforce Investment System, identifies a number of
useful opportunities for WIA/W-P and the Registered Apprenticeship system to
coordinate and work together to expand training and employment opportunities.

• Connecting the multiple systems that serve disconnected youth, such as partnering
with human service agencies to support summer employment and educational work
experiences throughout the year; developing innovative pre-apprenticeship programs
that lead to successful placement with Registered Apprenticeship programs, and
improving coordination among existing programs, such as Job Corps and YouthBuild.
TEGL No. 30-10, Workforce Investment Act (WIA) Youth Program Guidance for
Program Year (PY) 2011 provides further guidance on the connections between work
experience, training, earning of credentials, and success in the workplace for youth
under WIA.
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Comprehensively serving dislocated workers, and those at risk of becoming
dislocated, as a result of economic displacement. The variety of programs that serve
dislocated workers—Rapid Response, TAA, the WIA Dislocated Worker program,
and UI and Reemployment Assistance Services—should be strategically coordinated
to maximize efficient use of funds and to provide the most comprehensive supports
and services available to impacted workers. This can include layoff aversion
strategies, integrating data systems, streamlining case management and assessment,
and ensuring that needed job search or training services are provided.

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Coordinating with discretionary grants awarded to state and local workforce
investment areas as well as community-based and other organizations providing
employment and training-related services to ensure that effective practices are shared
across programs and case management of participants is coordinated.

C. Effective Use of Labor Market and Workforce Information
Reliable LMI and workforce information is essential to effective workforce development
planning. This information is instrumental in designing training and education programs
to meet each state’s demand for skilled workers. As such, ETA expects that workforce
development policy, strategic investment, employment and training programs, and career
decisions will be informed by and made on the basis of reliable LMI, and that workforce
investment decisions and program outcomes will improve as a result. LMI, economic
analysis, and professional interpretation should be drivers of decision-making at every
level of the workforce development system, including workforce investment boards
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(WIBs) and One-Stop Career Centers. Such information is also important to assist job
seekers, participants, and business customers in their decisions.
Under state planning requirements, states must include a description of the economic
conditions in the state, in order to identify the critical businesses and industries,
population and workforce trends, and the economic challenges facing the state. This
economic and workforce analysis is intended to be comprehensive and to incorporate a
wide variety of data and information from both traditional and new data sources,
including: traditional (backward facing) employment trends, statistics, and administrative
data, long- and short-term industry and occupational projections, and real-time LMI or at
least current labor market workforce conditions or dynamics, such as the information
gathered through an early layoff warning network.
States should carefully interpret economic information in the state and the region, and not
simply include a compilation of numerous data tables. States should summarize the
findings of their LMI and workforce information research into a statement that can be
used to inform policy development and tactics for solution development. ETA expects
states to use a comprehensive approach, looking at both short and long range trends and
demands. In addition, while consulting LMI during the strategic planning process is
important, ETA envisions a productive and ongoing dialogue between the strategic
planners, policy-level decision makers, and the state LMI, workforce information, and
research entities.
D. Engaging Employers
Businesses are critically important customers of the public workforce development
system. To be effective, the system must develop positive working relationships and
partnerships with the business community, understand its workforce needs, and provide
services that meet those needs. In this context, it is not enough simply to make
businesses aware of the employer-oriented services that the workforce development
system provides; rather, the system needs to respond to business customer needs by
improving, innovating, and expanding its customer services approach. This includes
providing labor market and workforce information, conducting outreach, integrating
employer needs into training strategies such as career pathways, brokering relationships
and job connections, making services easy to access, and coordinating with partners to
reduce duplication.
Under state planning requirements, states should identify and provide specific strategies
for serving their business customers such as:
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Outreach and bringing business services to the private sector;
Working with business members of the state and local WIB to support business sector
engagement goals;
Training for Business Service Representatives, Rapid Response Coordinators and
other staff that work directly with businesses;

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Partnerships and linkages with state and local businesses, professional service
organizations and trade associations;
Services and resources provided to businesses, including lay-off aversion strategies,
On-the-Job-Training, customized training, recruitment, toolkits, data visualization and
other materials; and
Standardized metrics of success, such as repeat business, return on investment and
new hires.

E. Serving Target Populations
State Plans must describe how the public workforce system will address the more specific
needs of targeted populations. 1 States must have in place policies to prioritize use of
WIA Adult formula funds for services to recipients of public assistance and other lowincome individuals as described in WIA Section 134(d)(4)(E) and must incorporate
priority of service for veterans and eligible spouses that meets the requirements of 20
CFR part 1010. With over one million service members that are projected to leave the
military between 2011 and 2016, the public workforce system must ensure our veterans
are able to navigate the current labor market and succeed in the civilian workforce.
States must be prepared to enhance integrated services and programs to accommodate
special target populations who face multiple challenges to employment. States need to
have proactive outreach strategies to reach these populations. At the same time, states
should work with the business sector to develop and promote the business case for hiring
these individuals. For example, states should have proactive plans in place to serve and
promote employment for individuals with disabilities. States should build connections to
Disability Resource Coordinators, Disability Program Navigators, a wide range of
disability organizations, programs for transitioning youth with disabilities, agencies and
organizations serving disabled veterans and disabled persons who are homeless. State
and local workforce systems are also encouraged to participate in the Social Security
Administration’s Ticket to Work Program as Employment Networks. Such strategies
should be in place to meet the unique needs of the many target populations served by the
public workforce system.
The following are examples of the many ways that states may address their commitment
to serving targeted populations:
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Conducting outreach activities to targeted populations;
Conducting training activities for One-Stop Career Centers and partner staff on how
to work with these populations and on the available community-based resources and
Federal resources such as the toolkit available at
https://doors.workforce3one.org/page/resources;
Partnering with agencies and organizations serving the targeted populations;

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Targeted populations include, but are not limited to: disconnected disadvantaged youth, ex-offenders; homeless; Indian and
Native Americans; migrant and seasonal farm workers; older, disabled veterans; older persons; persons with disabilities; persons
in need of ESL services (limited English proficiency and individuals who may be illiterate or have basic skills deficiencies);
TANF recipients; veterans; and youth in the foster care and juvenile justice systems.

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Integrating organizations serving the targeted populations into the development of
strategies and operations of the workforce boards and One-Stop Career Centers,
particularly required partners, such as National Farmworkers Jobs Program, Indian
and Native American Program and SCSEP.
Collaborating with the business sector to market the business case for hiring target
populations;
Implementing strategies to increase access to On-the-Job-Training, mentoring,
apprenticeship, life-long training, and internship opportunities;
Providing opportunities for a variety of employment opportunities in green jobs and
other high growth/high demand sectors;
Providing educational and training services that lead to career ladder opportunities
(diplomas, certificates, licensing, etc.);
Implementing strategies to improve job retention, as well as getting a job, and returnto-work strategies for job seekers who are disconnected from the workforce; and
Implementing plans for creating a universally accessible, welcoming, and customerfriendly environment for the delivery of employment services, including remote
services that are accessible and user-friendly.

F. Stakeholder Consultation
The governor must ensure that the State Plan is developed in a transparent manner, and in
consultation with local and regional areas within a state, representatives of businesses
and labor organizations, community-based organizations, other primary stakeholders, and
the general public.
The state should consult with a variety of workforce stakeholders, including Local
Workforce Investment Boards, Youth Councils, adult education providers, postsecondary
institutions and P-16 or P-20 Councils, 2 where applicable. State Workforce Investment
Boards should play a significant role in developing the plan. Specific programs within
the plan may require additional consultations as well as public comment. States must
ensure that their planning process adheres to the legal requirements for each program.
WIA regulations at 20 CFR 661.220(d) require the state to provide an opportunity for
public comment on and input into the development of the State Plan prior to submission.
8. Wagner-Peyser Act Agricultural Outreach Plan. States have a responsibility under W-P
regulations to provide services to MSFWs on a basis that is qualitatively equivalent and
quantitatively proportionate to services provided to non-MSFWs. The AOP is an annual
requirement that previously had been submitted as a separate plan and now will be an integral
component of the state’s Strategic WIA Title I and W-P Integrated or Unified Workforce
Plan. The AOP describes the activities planned for providing services to the agricultural
community, both MSFWs and agricultural employers. Accordingly, its development must
comply with the planning requirements referenced above under section 4 of this TEGLP-16 and P-20 Councils are State coordinating councils created to align the standards of primary schools (preschool
through Grade 12) with postsecondary (college, years 13-16) requirements, and link to workplace success after
college graduation (years 17-20). The goal of these councils is to ensure a seamless educational process for students
as they move from one level to the next, and prepare them for success after graduation.
2

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“Planning Requirements” to ensure that these services are provided through the One-Stop
Career Center.
Since the development of an AOP is required annually (codified at 20 CFR 653.107), states
must submit the AOP to ETA annually as a modification to their State Plan, upon receipt of
planning instructions and resource guidance from ETA.
AOP requirements are included in the Integrated and Unified Plan requirements. Attachment
A of this TEGL provides further details of the data elements which are required in the AOP.
States are encouraged to use this attachment to address services to MSFWs in their WIA/W-P
Plans.
9. Senior Community Service Employment Program Strategic Plan. In order to receive
SCSEP funding, the OAA requires the governor or designee to submit a state plan that
includes a four-year strategy for statewide provisions of community service training and other
authorized activities for eligible unemployed low-income seniors. The intent of the SCSEP
State Plan is to foster both short- and long-term coordination among the various national and
state SCSEP grantees and their sub-recipients operating within the state, and to facilitate the
efforts of key stakeholders, including state and local boards under WIA, to work
collaboratively through a participatory process to accomplish SCSEP’s goals. In addition,
SCSEP State Plan requirements emphasize the importance of partnerships among grantees
with other programs, initiatives and entities operating within the state.
States are required to submit new SCSEP state plans in PY 2012 (July 1, 2012 through June
30, 2013). States have three options for submitting new SCSEP State Plans in PY 2012: 1)
as a stand-alone document, 2) as part of a state’s Integrated Workforce Plan, or 3) as part of a
state’s Unified Plan. For all three options, the SCSEP State Plan requirements are those
contained in the Integrated Workforce Plan guidance referenced above under section 4 of this
TEGL-- “Planning Requirements.” The requirements for the SCSEP four-year plan, as well
as provisions for modifications, are also provided in 20 CFR 641.300-641.360. Any SCSEP
State Plan that is submitted as a stand-alone must be submitted by September 15, 2012. ETA
will provide further instructions and technical assistance to SCSEP grantees on SCSEP state
plans.
10. Instructions for Submitting Integrated Workforce or Unified State Plans for PY 20122016. States must have approved State Plans in place to receive formula allotments under
WIA and W-P. Current WIA/W-P State Plans and waivers will expire on June 30, 2012.
While all states are required to submit a five-year plan, states have some discretion as to the
timeline of their plan submission and the scope.
A. Submission Timeline
In order to allow for more meaningful and integrated strategic planning, states may submit
their new five-year plans for WIA/W-P anytime through September 15, 2012. States have two
options for the timing of their submission:

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Option 1: Submit five-year Plan by April 16, 2012.
States wishing to have an approved five-year WIA/W-P State Plan in place by July 1, 2012,
must submit a proposed plan to ETA by April 16, 2012. ETA will review the plan and
approve or disapprove the plan by July 1, 2012.
Option 2: Submit five-year Plan between April 17 and September 15, 2012.
If a state intends to submit its five-year plan after April 16, 2012, it must submit a request to
ETA for a temporary extension of the currently approved WIA/W-P State Plan and waivers
for PY 2011 by April 16, 2012. ETA understands that states may need additional time to
involve multiple partners in strategic planning. States requesting a temporary extension into
PY 2012 of the existing approved State Plan for PY 2011 must include: 1) a statement that
the state needs a temporary extension of its current WIA/W-P State Plan and current
negotiated performance targets into PY 2012; 2) a list of currently approved waivers it wishes
to extend; 3) the date when the state will submit its five-year plan (between April 17 and
September 15, 2012); and 4) a justification which describes how the added time will be used
for greater involvement of partners in the state’s planning process.
B. Scope of State Plan
States have three options for the scope of their five-year WIA/W-P State Plan:
Option 1: States may submit an Integrated Workforce Plan that provides a plan for WIA and
W-P programs, the AOP, and short description of plans for coordination with TAA; or,
Option 2: States may submit an Integrated Workforce Plan that includes items noted above
in Option 1 plus their SCSEP State Plan. For either of these two options, the plans will
include only workforce programs under the jurisdiction of the Department and must comport
with the State Integrated Workforce Plan Requirements for Workforce Investment Act Title
I/Wagner-Peyser Act and Department of Labor Workforce Programs; or
Option 3: States may submit a State Unified Plan that encompasses not only WIA Title I/WP programs and other Department programs, but also certain programs administered by the
U.S. Departments of Education, Health and Human Services, Agriculture, and Housing and
Urban Development. Those plans must meet the requirements of WIA Section 501, and must
comport with the Planning Guidance for State Unified Plans and Unified Plan Modifications
Submitted under Section 501 of the Workforce Investment Act (WIA).
If a state chooses not to include its SCSEP plan as a part of the Integrated Workforce Plan or
Unified State Plan, then that state must submit a plan for SCSEP separately using the
instructions in the Integrated Workforce Planning Guidance. See section 9 above for further
instruction about SCSEP.
During the five-year period in which a WIA/W-P Plan is in effect, a state may submit
modifications to the plan in accordance with WIA and W-P requirements. (WIA Section
112(d), 20 CFR 652.212-.214).
11. WIA/W-P Waiver Requests. States wishing to request WIA or W-P waivers as part of their
new five-year State Plan must submit full waiver plans in accordance with instructions
contained in the Integrated Workforce Plan or Unified Plan requirements and listed in the
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WIA regulations at 20 CFR 661.420(c). ETA encourages each state to consider whether
waivers approved in the past continue to support the strategic goals outlined in its new State
Plan and to match the needs of waivers to the needs of its workforce system. States should
refer to TEGL Nos. 26-09, Workforce Investment Act (WIA) Waiver Policy and Waiver
Decisions for PY 2009 and 2010, and 30-09, Layoff Aversion Definition and the Appropriate
Use of Workforce Investment Act Funds or Incumbent Worker Training for Layoff Aversion
Using a Waiver, for guidance on current ETA waiver policy. As noted above, if a state
intends to submit its five-year plan after April 16, 2012, it must submit a request for
temporary extension of existing waivers along with its request to temporarily extend its
current workforce plan for a portion of PY 2012.
12. Actions Required for State Plan Submission and Waiver Requests. State Integrated
Workforce Plans and Unified Plans are due to the U.S. Department of Labor between April
16, 2012 and September 15, 2012. States have the option to submit their State Plan and
waiver requests in an electronic, hard copy, or CD-ROM format. ETA encourages electronic
submissions to reduce the processing burden and to ensure timely receipt by ETA.
Electronic Submission. States may submit a State Plan or waiver request electronically
either by posting it on an Internet Web site that is accessible to ETA or by transmitting it
through e-mail to ETA. States choosing to post on an Internet Web site should post the State
Plan, State Plan extension, or waiver request on a Web site and notify ETA of its posting by
sending an e-mail to both wia.plan@dol.gov and to the appropriate ETA Regional
Administrator. The e-mail must identify the URL for the State Plan, provide contact
information in the event of problems accessing the Web site, and certify that no changes will
be made to the version posted on the Web site after it has been submitted to ETA, unless
ETA gives prior approval for such changes.
States submitting their State Plan by e-mail should send it to wia.plan@dol.gov with a copy
sent to the appropriate ETA Regional Administrator. If a state chooses to submit its State
Plan by transmitting it through e-mail, the state must submit it in Microsoft Word or PDF
format. State Plan certifications with electronic signatures are acceptable. If a state chooses
not to use an electronic signature, then the program administration designees and plan
signatures page (see Attachment B) must be submitted in hard copy with an original signature
to the Federal Coordinator for Plan Review and Approval, with a copy to the ETA Regional
Administrator.
Hard Copy or CD-ROM Submission. States choosing to submit a hard copy should submit
one copy of the plan with an original signature to the Federal Coordinator and one copy to the
appropriate ETA Regional Administrator. The address for the Federal Coordinator is as
follows:

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Division of WIA Adult Services and Workforce System
Employment and Training Administration
U.S. Department of Labor
200 Constitution Ave., NW, Room S-4209
Washington, DC 20210
Attention: Heather Fleck
States submitting a State Plan on CD-ROM should submit one copy to the Federal
Coordinator at the address above, and one copy to the appropriate ETA Regional
Administrator. If the State Plan on the CD-ROM does not include the signature of the
governor on the signature page, the state must submit electronically to the Federal
Coordinator and appropriate ETA Administrator a signed signature page or a hand-signed
signature page in hard copy. Documents submitted on a CD-ROM must be in Microsoft
Word or PDF format.
Whether states submit a hard copy or electronic plan, the Federal Coordinator will confirm
receipt of the State Plan and waiver requests within two business days of receipt and indicate
the date for the start of the review period. When a state submits an incomplete State Plan or
waiver plan, the period for review will not start until all required components have been
received.
SCSEP State Plan submissions. SCSEP PY 2012 - PY 2015 State Plans that are part of
either an Integrated Workforce Plan or a Unified Plan should be submitted as indicated
above. Any SCSEP State Plan that is submitted as a stand-alone must be submitted by
September 15, 2012 as follows:
Division of National Programs, Tools, and Technical Assistance
Employment and Training Administration
U.S. Department of Labor
200 Constitution Ave., NW, Room S-4209
Washington, DC 20210
Attention: Kimberly Vitelli
13. Local Plan Development. Under 20 CFR 661.355, each governor sets the policy for when a
Local Plan must be modified, such as significant changes in local economic conditions and
changes in financing available for WIA Title I and partner-provided WIA services. States
maintain the option to review their Local Plan modification policy, and to require that Local
Plans be modified according to state policy. Local Plans are important for guiding local
decision-making and investments, and ETA encourages states to provide timely guidance to
local areas for developing Local Plans. ETA also encourages regular state review of locallydeveloped plans for sound strategy and responsiveness to state guidance and local economic
conditions. ETA reviews Local Plans during site visits as part of WIA formula grant
monitoring.

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14. Negotiation of Workforce Investment Act and Wagner-Peyser Performance Levels.
The extended plan submission timeframe as well as the five-year duration for the WIA and
W-P portions of the State Plan have an impact on protocols for negotiation of performance
goals. The touchstones of previous strategic planning cycles, however, remain constant.
ETA expects that the governor’s vision, labor market strength, workforce challenges, and
service delivery strategies described in the plan will drive the establishment of the
quantifiable goals and customer outcomes.
Although the State Plans will span a five-year timeframe, performance goals will be
negotiated on an annual basis. Past experience has shown that performance targets
should be negotiated on an annual basis rather than a longer horizon, as too many
factors change over a longer period. Annual performance negotiations permit states
to be more realistic in their target-setting given their knowledge of changing
economic conditions.
Additionally, the annual results from applying the regression model will be an important
reference point in the negotiation process nationwide in PY 2012. The regression model
outputs are both a diagnostic tool and a contributor to the process, and ETA recognizes that
other factors will influence the negotiation discussion and the final establishment of
acceptable performance targets. ETA’s regression adjustments can be projected only
annually as they rely on the availability of annual program and national economic data. As a
result, ETA will continue to negotiate performance goals with states on an annual basis. The
five-year State Plans will be updated accordingly.
For PY 2012, states must negotiate new WIA and W-P performance goals. For states that
submit a plan by April 16, 2012, performance level negotiations will take place with the ETA
Regional Administrator and conclude by the beginning of PY 2012 (July 1, 2012). For these
states, a State Plan and negotiated performance targets will be in place by June 30, 2012, for
the beginning of PY 2012 (July 1, 2012). For those states that choose to request a temporary
extension of their existing plan for a portion of PY 2012, current negotiated performance
levels (i.e., PY 2011) also will be extended. Performance negotiations may commence upon
plan submission and must conclude no later than December 31, 2012. The negotiated goals
for PY 2012 under either plan submission option will apply to the July 1, 2012 – June 30,
2013 performance period.
The Regional Administrator’s letter advising a state of the agreed-upon goals will constitute a
modification to the State Plan. For subsequent revisions to performance goals during the life
of the State Plan, the Regional Administrator’s letter advising a state of the agreed-upon
goals also will constitute a modification to the State Plan. The state must ensure that the
agreed-upon goals are included in the state’s official copy of the State Plan, and that any
published State Plan, on the state’s Web site or through other forums, includes the agreedupon goals. ETA will incorporate the agreed-upon goals into the Regional and National
Office copies of the State Plan. A TEGL on performance negotiations for WIA and W-P
programs will be issued separately to provide more detail.

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15. Tools and Resources. ETA maintains web-based resources that may facilitate the
development of State Plans. ETA posts WIA/W-P strategic planning resources online at
www.doleta.gov/usworkforce/wia-planning and waiver-related resources at
http://www.doleta.gov/waivers. States can also take advantage of the information available
at Workforce3one, an interactive knowledge sharing and learning platform, available at
https://www.workforce3one.org.
16. Inquiries. Please direct questions regarding this notice and instructions to the appropriate
Regional Office. States also may submit questions on the planning or waiver approval
process by e-mail to wia.plan@dol.gov. Responses to questions raised about the content of
this TEGL will be posted at www.doleta.gov/usworkforce/wia-planning.
17. Attachments.
• Attachment A: Summary of Annual Agricultural Outreach Plan Requirements
•

Attachment B: Sample of Program Administration Designees and Plan Signatures page
in State Plans.

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