Workforce Innovation and Opportunity Act


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Competitive Selection of a One-Stop Operator and Various Entity Roles – Additional FAQ

  1. Can a Local Board issue a Request for Proposal (RFP) or Invitation for Bid (IFB) that does not include any funding?

No. A local workforce development board (WDB) (or State WDB, in the case of single-area states) cannot issue a request for proposal (RFP) or invitation for bid (IFB) that includes no funding, or only includes nominal funding. An RFP or IFB with no funding or nominal funding will restrict competition and will result in either no responses or a limited number of responses from entities already receiving Title I funds. Such an RFP or IFB would violate the prohibition on noncompetitive pricing practices under 2 CFR 200.319(a) and 29 CFR 97.36(c)(1)(iii).

  1. Can a fiscal agent bid to become a one-stop operator?

Yes, the same entity may be both designated as fiscal agent by the chief elected official (CEO) (or by the Governor, where the Governor serves as the local grant recipient for a local area) and bid for, and be selected by the local WDB (or State WDB, in single-area states) as, the OSO. In the case where the same entity functions as both the fiscal agent and as the OSO, the entity must enter a written agreement with the local WDB and the CEO clarifying how the entity will perform these functions consistent with the requirements of WIOA, of relevant OMB circulars, and of the State's conflicts of interest policies, as required by 20 CFR 679.430. If a Local WDB selects a fiscal agent as an OSO, the contract or legal instrument must clearly delineate the role and functions of the entity serving as OSO from those as fiscal agent to avoid conflicts of interest from the entity performing both roles. 

  1. May a fiscal agent both procure (or otherwise have involvement with) a one-stop operator solicitation, and also bid on a one-stop operator contract?

No. The conflict of interest provisions outlined in TEGL No. 15-16 apply to all competitions to select an OSO. While in general, a local WDB can direct a fiscal agent to procure contracts, pursuant to 20 CFR 679.420(c) (1), a fiscal agent that has been directed to procure contracts for a OSO cannot also participate as a competitor (i.e., submit a bid or proposal) in the OSO competition. TEGL 15-16 requires that when a local WDB chooses to select an outside entity to conduct all or part of the one-stop operator competition, that the outside entity chosen must be an independent organization. A fiscal agent cannot be party to the development and drafting of a RFP/IFB if it intends to bid or submit a proposal to become the OSO. 

  1. What are the roles of and functions of the chief elected official, local fiscal agent, the one-stop operator and the local WDB?

Chief Elected Official: The CEO (or Governor, where the Governor serves as the local grant recipient for a local area) may designate a fiscal agent to assist in the administration of grant funds. If a fiscal agent is designated, the CEO must ensure its roles and responsibilities are clearly defined. The roles the CEO may designate to the fiscal agent generally include accounting and funds management functions, as listed in 20 CFR 679.420(b), rather than policy or service delivery (except that a fiscal agent may be a provider of youth workforce investment activities, pursuant to 20 CFR 681.400(a), as described more fully in TEGL No. 21-16). 

Fiscal agents have no independent authority under WIOA beyond what is granted to them by the CEO, or by the specific, limited direction of the local WDB (or State WDB) under 20 CFR 679.420(c). Furthermore, the CEO always retains liability for misuse of grant funds. In addition, fiscal agents cannot represent the Local WDB in any legal proceedings, and cannot appeal or assume the liability responsibilities of the local WDB. At no time can a fiscal agent usurp or take over the duties or functions of the Local Board.

One-Stop

The OSO's role must, at a minimum, be to coordinate the service delivery of required one-stop partners and service providers, as set forth in 20 CFR 678.620(a). The OSO may also coordinate service providers or service delivery, and provide some services within a center or be the primary provider of services. The OSO is explicitly prohibited, in its role as OSO, from performing certain other functions, including particular functions related to developing and preparing a local plan, providing oversight over itself as OSO, managing or significantly participating in the OSO competition, selecting or terminating OSOs or providers of career services or youth services, negotiating local performance accountability measures, or developing or submitting a local WDB budget, as set forth in 20 CFR 678.620(b). 

The many functions of the local WDB are set forth in WIOA sec. 107(d) and 20 CFR 679.370. These include, but are not limited to, hiring staff, developing the local plan; conducting workforce research and regional labor market analysis; convening stakeholders in the local workforce development system; leading efforts to engage with regional employers; developing career pathways in conjunction with representatives of secondary and postsecondary education programs; selecting providers of youth activities, training services, career services, and OSOs, and conducting oversight of activities and uses of funds in conjunction with the CEO. Separately, a local WDB can direct a fiscal agent to undertake the functions set forth in 20 CFR 679.420(c)—procuring contracts or obtaining written agreements, conducting financial monitoring of service providers, and ensuring an independent audit of all employment and training programs—and can additionally determine, consistent with 20 CFR 681.400, that a fiscal agent will be the direct provider of some or all of the youth workforce investment activities. 

  1. May the staff to the Local Board or the administrative entity both procure (or otherwise have involvement with) a one-stop operator solicitation and also bid on a one-stop operator contract?

No. The conflict of interest provisions outlined in TEGL No. 15-16 apply to all competitions to select an OSO. While in general, a local WDB can direct an administrative entity, staff to the local WBD, and/or fiscal agent to procure contracts, pursuant to 20 CFR 679.420(c)(1), none of these entities that have been directed to procure contracts for a OSO can participate as a competitor (i.e., submit a bid or proposal) in the OSO competition. EGL 15-16 requires that when a local WDB chooses to select an outside entity to conduct all or part of the one-stop operator competition, that the outside entity chosen must be an independent organization. An administrative entity, staff to the local board, and/or fiscal agent cannot be party to the development and drafting of a RFP/IFB if it intends to bid or submit a proposal to become the OSO. It is strongly encouraged that the approval of any of the entities as an OSO be obtained from the CEO. Furthermore, in order to be eligible to bid on the OSO contract, the staff or administrative entity must be among the type of eligible entities to serve as OSOs as identified in 20 CFR 678.600(c).

 

 

Regional and local planning and local workforce development board responsibilities (Training and Employment Notice 21-16)

  1. What is a regional plan?

A regional plan is a four-year action plan to develop, align, and integrate service delivery strategies and resources among the multiple local workforce development areas in a planning region.  Planning regions are identified by the State, according to the requirements of WIOA Sec. 106(a) and 20 CFR § 679.510, in order to align workforce development activities and resources with larger regional economic development areas and available resources.  The regional plan must be consistent with the vision and goals outlined in the current state plan for Nebraska’s workforce system.  The required content for the regional plan is described at WIOA Sec. 106(c)(2) and 20 CFR § 679.510, as well as the State’s current policy on regional and local plans.

  1. How is a regional plan developed?

A regional plan is developed collaboratively by two or more local workforce development boards and chief elected officials (CEOs) within a planning region.

  1. When is a regional plan required?

A regional plan is required if the State assigns two or more local workforce development areas to a region.  (For more information on how planning regions are identified by the State, refer to WIOA Sec. 106(a) and 20 CFR §§ 679.200 and 679.210, as well as the State’s current policy on planning regions). 

Local planning requirements described at WIOA Sec. 108 still apply for local workforce development areas assigned to a planning region; however, each local plan in the planning region must be incorporated into the regional plan. The State has issued guidance in its current policy on regional and local plans that allows the local workforce development boards and CEOs in a planning region to address any local plan requirements through the regional plan where there is a shared regional responsibility for content requirements, as permitted under 20 CFR § 679.540.

  1. When is a regional plan not required?

If a planning region includes only one local workforce development area, then a regional plan is not required.  In this case, the local workforce development board must submit only a local plan to the State for approval.  At this time, all planning regions in Nebraska include more than one local workforce development area, which means regional plans are required. 

  1. What is a local plan?

A local plan is a four-year action plan to develop, align, and integrate service delivery strategies and resources among one-stop delivery system partners in the local workforce development area, including the six WIOA core programs.  The six WIOA core programs in each local workforce development area are Title I youth, adult, and dislocated worker programs; Title II Adult Education programs; Title III Wagner-Peyser Employment Service; and Title IV vocational rehabilitation programs.

The local plan must support achievement of the vision and goals outlined in the state plan for Nebraska’s workforce system.  The required content for local plans is described at WIOA Sec. 108(b) and 20 CFR § 670.560, as well as the State’s current policy on regional and local plans.

  1. How is a local plan developed and submitted?

Local workforce development boards are responsible for (1) development of local plans, in partnership with local CEOs or local CEO boards, and (2) submission of the local plan to the State for approval, according to requirements of WIOA Sec. 108 and 20 CFR §§ 679.550 through 679.580, as well as the State’s current policy on regional and local plans.

  1. How frequently are regional plans required?

Regional plans are required every four-year plans; but, at the end of the first two years of the four-year plan period, local workforce development boards within the planning region must review the plan and submit any modifications as needed, as required under 20 CFR § 679.530.

  1. How frequently is a local plan required?

Local plans are required every four years.  At the end of the first two years of the four-year plan period, local workforce development boards must review their local plans, in partnership with their local CEOs or local CEO boards, and submit necessary modifications in accordance with the requirements of 20 CFR § 679.580 and the State’s current policy on regional and local plans.

  1. How do local plans fit within regional plans?

Regional plans represent the “big picture” of the economy and workforce environment in the planning regions, with a focus on collaborative strategies to be implemented across multiple local workforce development areas to attain regional goals and objectives.  Local plans within a planning region support and align with the regional plan; and local plans must be incorporated into regional plans. As mentioned above, regional and local plans must be consistent with the vision and goals outlined in the current state plan for Nebraska’s workforce system.

  1. When are regional and local plans due?

Federal statute and regulation do not establish due dates for regional and local plans.  Instead, Federal statute and regulation requires that the State issue a policy, in accordance with WIOA Sec. 106(c)(2), regarding submission of regional and local plans.  The policy must include a deadline for submission of the plan(s). 

The State’s current policy on regional and local plans states that due dates for submission of regional and local plans, as well as the mandatory two-year modification of the plans, are announced biennially under Employment and Training Notices issued by the State.

It is important to note that local workforce development boards must make their respective regional and local plans available for public comment for a period of no more than 30 days and must include any comments that express disagreement with the plans when submitting the plans to the State for review and approval.

  1. What is the State’s timeline for review and approval of regional and local plans?

The State has 90 days to approve or deny regional and local plans.  If the State does not deny regional and local plans within the 90-day timeframe, the plans are considered approved.

  1. For a multi-local-area planning regions, are performance goals negotiated by individual local workforce development areas and CEOs or collectively as a planning region?

Local workforce development boards and CEOs within a planning region must establish an agreement regarding how they will negotiate performance accountability measures with the State.  The agreement may require performance negotiation and reporting for each local workforce development area within the planning region or it may require negotiation and reporting for the region as a whole.

Local plans and local Title II Adult Education and Family Literacy (AEFLA) competitions

WIOA Sec. 231 requires state-level AEFLA agencies to consider the extent to which eligible local-level AEFLA providers demonstrate alignment between proposed AEFLA activities and services and the strategies and goals of applicable local plans, as required under WIOA Sec. 108. The requirements are described below.

  1. How do local plans effect Title II Adult Education and Family Literacy Act (AEFLA) local competitions?

WIOA Sec. 231 requires the state agency that awards multi-year grants and contracts on a competitive basis under AEFLA to consider the extent to which the eligible AEFLA provider demonstrates alignment between the strategies and goals of local plans required under WIOA Sec. 108.  (In Nebraska, the state agency that awards multi-year grants and contracts on a competitive basis under AEFLA is the Nebraska Department of Education.)  Therefore, State-approved local plans, which may include plans approved with conditions, must be in place prior to competition and awarding of AEFLA grants or contracts to AEFLA eligible providers.

  1. How does the Nebraska Department of Education use local workforce development boards’ review of the AEFLA applications?

The Nebraska Department of Education must consider the results of  reviews by local workforce development boards when determining the extent to which the AEFLA applications address alignment with local plans, as described in 34 CFR §§ 463.20 and 463.21(c).  The reviews of AEFLA applications by local workforce development boards are considered by the Nebraska Department of Education when the scoring AEFLA applications.  The Nebraska Department of Education must consider the 13 elements under WIOA Sec. 231(e) when making awards, including the extent to which AEFLA applicants demonstrate alignment between the proposed activities and services and strategies and goals of local plans.

  1. What is the role of local workforce development boards in conducting reviews of AEFLA applications?

Local workforce development boards must review local AEFLA applications that are submitted to the Nebraska Department of Education by eligible providers (WIOA Sec. 232) to determine whether the applications are consistent with local plans. Local workforce development boards must make recommendations to the Nebraska Department of Education to promote alignment with local plans, as further described WIOA Sec. 107(d)(11) and 20 CFR § 679.370(n).