Narrative: III. b. 2.

Representatives from each of core and non-core WIOA partner programs form the WIOA Roundtable.  The WIOA Roundtable established committees to focus on critical areas in WIOA implementation to include: finance, IT system integration, policy development, core performance measures, sector strategies, and the development of the state workforce development plan.

The WIOA Roundtable Policy Committee meets routinely and has engaged the use of work groups formed from staff members across all agencies to draft policies for consideration by the policy committee. Each agency has representation on the policy committee in order to coordinate and align activities. After the WIOA Roundtable Policy Committee has reviewed and approved the policy, it goes to the appropriate committee of the Arkansas Workforce Development Board for consideration and adoption.

Our current Co-Enrollment and Co-Funding Policy, WIOA 2.7 is below.

Co-Enrollment and Co-Funding- Policy Number: WIOA I-B- 2.7

PURPOSE:

The purpose of this policy is to describe the requirements and regulations concerning co-enrollment and/or co-funding of WIOA Title I-B participants with various WIOA Title I-B programs, with other WIOA programs, with Arkansas Job Center partners, and with other appropriate entities, in accordance with the Workforce Innovation and Opportunity Act of 2014 (WIOA), the WIOA Final Rule, Training and Employment Guidance Letters (TEGLs) published by the Employment and Training Administration of the U.S. Department of Labor (ETA), and policies of the Arkansas Workforce Development Board (AWDB).

REFERENCE:

WIOA § 134(b)(2)(A)(v)

20 CFR 680.230

20 CFR 680.350

20 CFR 681.430 - 440

TEGL 19-16

A.C.A. 15-4-3711(a)(10)(D)

POLICY:

Under WIOA I-B, participants may be eligible for youth, adult, and/or dislocated worker services. The participant may also be eligible for the services of other one-stop partners, as well as services for non-one-stop partners. WIOA I-B case managers must be informed about the services of all WIOA funding streams (including other titles and subtitles). Case managers must coordinate with other agencies as appropriate to provide the full array of services documented as needed by the participant [WIOA § 134(b)(2)(A)(v); 20 CFR 680.230]. Co-enrollment (or dual-enrollment) and/or co-funding with other entities is encouraged in order to give participants the best array of services [TEGL 19-16].

Co-enrollment within WIOA Title I Adult, Dislocated Worker, and Youth programs

Individuals who meet the respective program and service eligibility requirements may participate in Adult/Dislocated Worker and Youth programs concurrently. Local programs operators may determine the appropriate level and balance of services under the Youth and Adult/Dislocated Worker programs. This determination depends not only on the eligibility requirements of each program, but also on the services needed by each participant [TEGL 19-16].

Services available under each funding stream will depend on eligibility for services under that funding stream. Local program operators may determine the appropriate level and balance of services for each individual under each program. Local program operators must identify and track the funding streams that pay the costs of services and ensure no duplication of services [20 CFR 681.430]. However, if it is determined that only the Youth or the Adult/Dislocated Worker program array of services is appropriate for an individual aged 18 - 24, then the local program provider may enroll the participant in only one program [20 CFR 681.440].

Co-enrollment and Co-funding with Other Programs

WIOA Title I-B program providers are encouraged to work with other Workforce Center partners and other entities to provide a full array of needed services to participants. Not only does this strategy provide more services, it provides more case management to the participant, thus providing greater probability for success.

WIOA funding for training is limited to participants who are unable to obtain grant assistance from other sources to pay the costs of their training or require assistance beyond that available under grant assistance from other sources to pay the costs of such training. WIOA Title I-B Service Providers must not only ensure that participants apply for Pell Grants and other appropriate grants, but they must also coordinate funding with other one-stop partners and other entities for which the participant is eligible [20 CFR 680.230]. In order to appropriately coordinate funding and co-enrollment, case managers must be trained in programs and eligibility requirements of other one-stop partners and other local and state entities providing services needed by their participants so they can leverage the funding of other sources to provide all services needed by WIOA Title I-B participants [A.C.A. 15-4-3711(a)(10)(D)]. DOL has established a goal of co-enrolling 50% of TAA participants in either WIOA Title I Adult or Dislocated Worker programs. Therefore, co-enrollment of TAA participants into the WIOA Title I Dislocated Worker or Adult program is strongly encouraged if the TAA participant meets eligibility requirements. The specific services provided to these participants will depend on the needs of the participant and funding availability in the local area. Some of these potential entities include, but are not limited to:

• • Career Pathways Initiative for custodial parents attending Arkansas two-year colleges
  • Single Parent Scholarship Funds for each county (www.aspsf.org/scholarships)
  • Arkansas Rehabilitation Services and Division of Services for the Blind
  • TEA / Work Pays
  • TAA
  • WIOA Title I-D Dislocated Worker Grants and other Discretionary Grants
  • Veterans’ Services
  • State and institutional scholarships
  • Department of Human Services
  • Food Stamp Employment and Training Programs
  • Arkansas Human Development Corporation (National Farmworker Jobs Program)
  • American Indian Center of Arkansas
  • Local housing authority
  • Local homeless shelter(s)
  • Local food banks and distribution centers
  • Local provider of assistance with utilities
  • Local provider of older worker services (Title V of the Older Americans Act of 1965, 42 U.S.C. § 3056 et seq.)
  • Community Service Block Grants
  • Programs funded by the Second Chance Act
  • Other Arkansas Job Center partners, as appropriate

WIOA Title 1-B Adult, Dislocated Worker, and Youth participants should be referred to and co-enrolled (or co-funded) with these services and other available services as appropriate. Local areas should have policies and procedures in place to ensure that other funds are leveraged [A.C.A. 15-4-3711(a)(10)(D), 20 CFR 680.230(b)].

WIOA Title I-B Adult and Dislocated Worker funds may support adult education and literacy activities of the Adult Education Section, the Arkansas Literacy Council, and other programs providing adult education and literacy activities if the participant is also engaged in one of the following [20 CFR 680.350]:

• • Occupational skills training, including training for nontraditional employment
  • On-the-job training (OJT)
  • Incumbent worker training, as described in ADWS Policy No. WIOA I-B - 3.6 (Incumbent Worker Training)
  • Programs that combined workplace training and related instruction, which may include cooperative education programs
  • Training programs operated by the private sector
  • Skill upgrading and retraining
  • Entrepreneurial training

Local areas must ensure that services are not duplicated for individuals enrolled in multiple programs.

Our current WIOA/TAA Co-Enrollment Policy, WIOA 6.2 is below.

WIOA / TAA Co-Enrollment - Policy Number: WIOA I-B- 6.2

 PURPOSE:

The purpose of this policy is to outline the policy and procedures for co-enrollment and joint case management between TAA and WIOA title I-B programs and the role of the One-Stop operator in assisting this process.

REFERENCES:

WIOA §§ 3(15)(B); 103; 121(b)(1)(B)(vii); & 134(c)(2)(B)

Reauthorization of the Trade Adjustment Assistance Reauthorization Act (TAARA) of 2015, title IV of the Trade Preferences Extension Act of 2015 (Pub. L. No. 114-27)

20 CFR 618 (TAA Final Rule)

20 CFR 677.150

TEGLs 14-18; 3-20; 4-20; & 10-16, Change 1

ADWS Issuances PY 19-09 & PY 20-01

Most recent versions of:

ADWS Policy No. WIOA I-B – 1.2 (Definitions)

ADWS Policy No. WIOA I-B – 2.1 (Common Eligibility Requirements)

ADWS Policy No. WIOA I-B – 2.4 (Eligibility for Dislocated Worker Program)

ADWS Policy No. WIOA I-B – 3.1 (Services for Adults and Dislocated Workers)

ADWS Policy No. WIOA I-B – 3.3 (Occupational Skills Training)

BACKGROUND:

On July 10, 2020, the Employment and Training Administration of the U.S. Department of Labor (DOL) issued the Final Rule for the Trade Adjustment Assistance for Workers (TAA) program. The TAA Final Rule became effective on September 21, 2020. As part of this Final Rule, regulations in 20 CFR part 90 and 20 CFR parts 617 and 618 were consolidated into one part: 20 CFR part 618, also referred to as 20 CFR 618 or the TAA Final Rule. The TAA Final Rule aligns closely with parts of the WIOA title I-B programs, although there are some differences in definition of terms, allowed services and activities, and eligibility requirements.

TAA is a required partner in the Arkansas Workforce Center [WIOA §121(b)(1)(B)(vii); 20 CFR 618.305]. As allowed in 20 CFR 677.150(c)(3) and encouraged in TEGL 10-16, Change 1, TAA is one of the programs included in the WIOA Common Exit date for Arkansas [ADWS Policy No. WIOA I-B – 1.2 (Definition)]. Many of the performance accountability indicators for the TAA program are now aligned with the performance indicators for WIOA core programs [TEGL 14-18].

Although there are some differences in eligibility, almost all individuals who qualify for employment and/or training assistance under TAA, also qualify for assistance under the WIOA title I Dislocated Worker Program (WIOA, for the purposes of this policy, unless otherwise stated). In many cases, the individual is able to become eligible for WIOA before he or she is eligible for TAA.

POLICY: It is the shared responsibility of TAA and WIOA to attempt to determine eligibility for and to co-enroll every applicant who is laid off as a result of a permanent closure or a substantial layoff of a trade-affected company and who desires assistance in obtaining new employment, unless that person does not qualify for WIOA and/or TAA services [20 CFR 618.325]. If the applicant is eligible for only one program, the program for which the individual qualifies is responsible for attempting to enroll the individual and to give appropriate services. The worker may enroll as a participant in WIOA as soon as he or she receives a lay-off notice or the company has made a general announcement (as defined by the local area) that the facility will close within 180 days, assuming all other eligibility requirements are met [WIOA § 3(15); ADWS Policy No. WIOA I-B – 2.4]. A worker cannot enroll as a TAA participant until the company is determined trade-affected. If a trade-affected worker chooses to decline co-enrollment in WIOA, he or she may not be denied TAA benefits and services solely for declining co-enrollment [20 CFR 618.325]. It is the responsibility primarily of TAA and WIOA to co-enroll, and not primarily the responsibility of the individuals [Preamble to 20 CFR 618]. Individuals who complete an application, but are not eligible, for a program must be enrolled as Reportable Individuals for that program [TEGL 14-18].

It is also the shared responsibility of TAA and WIOA to work together to give co-enrolled participants the best array of services appropriate for these participants. This includes, but is not limited to, WIOA title II Adult Education and Literacy, WIOA title III Vocational Rehabilitation Services (ARS and DSB), and all other Arkansas Workforce Center (AFW) Partners [20 618.325]. It is the responsibility of the One-Stop Operator (OSO) to convene the meeting of partners if needed. In order to provide the best array of services, TAA and WIOA may share initial assessments, other assessments, and Individual Employment Plans (IEPs) with each other and other Arkansas Workforce Center Partners as appropriate [WIOA § 134(c)(2)(B); 20 CFR 618.335].

It is the shared responsibility of TAA, WIOA, the Dislocated Worker Services Unit, ES (ADWS Employment Services), and the Arkansas Workforce Center (AWC) Operator (One-Stop Operator) to share layoff information with other appropriate entities, including AWC partners, as soon as such sharing is allowed by the company closing and/or laying off employees.

Nothing in this policy may be construed to say that a TAA participant may be co-enrolled only in the WIOA DLW program. He or she may be enrolled, either also or instead of the DLW program, in the Youth and/or Adult program if he or she is eligible for that program and if the services best match the needs of the applicant. In addition, he or she may be co-enrolled in any partner program that is appropriate. Each partner’s files must contain proper information and documentation, as required by each respective program.

PROCEDURES:

Ongoing Strategy:

1.   The local One-Stop Operator is the conduit for updating contact information, as they are responsible for the “coordination of services” in their respective local areas. Therefore, TAA, Dislocated Worker Services Unit, as well as WIOA title I-B program managers should notify their One-Stop Operator of changing Points of Contact (POCs) within their local area.
2.   The flow of the enrollment and referral process for TAA and WIOA is described in detail in “Before TAA Certification of Company/Workers” (Part B of this policy).
3.   TAA and WIOA front-line staff will meet regularly to discuss upcoming events, common applicants and participants, eligibility requirements, allowed services, and other topics that will help both programs to serve individuals who have been laid off because of a plant closing or downsizing.
4.   TAA and WIOA will coordinate services for co-enrolled participants to give them the best mix of appropriate services, keeping in mind the requirements of each of the programs.
5.   When the Local Workforce Development Area (both WIOA and ES) knows about a potential plant closure or substantial layoff and they are allowed to share the information, they will notify the Dislocated Worker Services Unit, TAA, and the One-Stop Operator about the potential layoff and business contacts for these layoffs. Within the local area, WIOA and ES will share such information that does not breach confidentiality agreements. The One-Stop Operator will assist with the dissemination of such information.
6.   The Dislocated Worker Services Unit will send Layoff Business Contacts monthly to an established Point of Contact (POC) for each local One-Stop Operator, and the One-Stop Operator POC will disseminate the information to other POCs.
7.   Each One-Stop Operator will maintain the contact list for Layoff Business Contacts and provide updates to the Dislocated Worker Services Unit.
8.   One-Stop Operators must send updated contact information to WIOA@arkansas.gov as soon as possible after the replacement POCs.
9.   The Dislocated Worker Services Unit must send the Layoff Business Contacts with read receipts, and they must notify the One-Stop Operator if the email fails, so that research can be done to determine if there was a failure to report a change in the POC.
10. Assessments (initial, comprehensive, and specialized) and Individual Employment Plans (IEP) may be shared between TAA and WIOA title I-B, as appropriate [[WIOA § 134(c)(2)(B); 20 CFR 618.335; 20 CFR 618.605] With permission from the participant, supporting documentation may also be shared as appropriate.

Before TAA Certification of Company/Workers:

1. The Dislocated Worker Services Unit will notify the designated representatives for the One-Stop Operator, WIOA DLW Program, and TAA of the pending Worker Assistance Workshops as soon as the workshop is scheduled.
2. WIOA will be allowed 10 minutes at the beginning of the Worker Assistance Workshop for Information about the WIOA DLW program and how a worker may apply for assistance. Applications will be distributed, and assistance will be given, if needed, after the presentations. Appointments will also be set after the presentations. If possible, appointments should be set for no more than seven (7) days from the date of the workshop.
3. The worker may apply first to either WIOA or TAA. Generally, he or she will qualify first for WIOA because a Dislocated Worker is eligible for WIOA services when he or she receives a lay-off notice or the company has made a general announcement that the facility will close within 180 days, assuming all other eligibility requirements are met. (See most recent versions of ADWS Policy No. WIOA I-B – 2.4 (Eligibility for Dislocated Worker Program) and ADWS Policy No. WIOA I-B – 2.1 (Common Eligibility Requirements) for more details.) Workers do not become eligible for TAA until the company is certified as trade-affected by DOL.
4.  The program to which the worker first applies (either WIOA or TAA) has the first responsibility to refer the worker to partner programs for which the worker may qualify. This includes WIOA/TAA, but the referral is not limited to these. This responsibility continues until the worker is co-enrolled in all appropriate entities. 
5. Each program will use its own normal referral process to refer applicants and participants to other programs, as appropriate. The referrals will be primarily to, but are not limited to, AWC partner programs.
6. It is important to note that training and/or other services and activities should not be delayed in anticipation of a potential TAA certification.
7. If training is appropriate for the worker and WIOA is funding the training, such training need not be TAA-approved. Likewise, if TAA is funding the training, such training need not be WIOA-approved. The needed mix of WIOA and TAA funding over time should be considered in the worker’s individual employment plan (IEP).
8. WIOA may pay supportive services, however, only to allow a worker to participate in WIOA-allowed training and activities, whether or not WIOA actually funds the training or activity. Likewise, TAA may pay supportive service only to allow a worker to participate in TAA-allowed training and activities, whether or not TAA actually funds the training or activity.
9. After determination of WIOA eligibility, an initial assessment, and an individual employment plan (IEP), if further services are to be delayed, planned services must be entered in the S & T with the status of “scheduled”. This could happen when the worker cannot yet attend training or other services because of work. Details concerning scheduling services are in ADWS Issuance PY 20-01.
10. Some trade-affected workers who do not meet the Selective Service registration requirement are not eligible for the WIOA Dislocated Worker Program. (Compliance with the Selective Service Act is not required for the TAA program.) Such workers are exempt from the co-enrollment requirement [20 CFR 618.325(b)(3)].
11. It is Arkansas policy that residency in a particular local area or state cannot be a local requirement or a local preference for the WIOA Dislocated Worker Program [ADWS Policy No. WIOA I-B – 2.1 (Common Eligibility Requirements)].
12. WIOA will determine eligibility, enroll all eligible workers, assess the needs, and provide career services to all workers who request and qualify for these services/activities.
13. For workers who want occupational skills training, eligibility for training will be determined, and training will be arranged as appropriate. In order for WIOA to fund or provide supportive services for such training, workers and the training provider must meet the eligibility requirements in ADWS Policy No. WIOA I-B – 3.1 (Services for Adults and Dislocated Workers) and ADWS Policy No. WIOA I-B – 3.3, Change 1 (Occupational Skills Training). Worker eligibility for training includes the three requirements for the participant listed in WIOA § 134(c)(3)(A)(i)(I); 20 CFR 680.210(a) & 680.220(a); and TEGL 19-16:

• Is unlikely or unable to obtain or retain employment that leads to economic self-sufficiency, as determined by the LWDB, or wages comparable to or higher than wages from previous employment [generally, the employment from which a worker was laid off], through career services alone;
• Is in need of training services to obtain or retain employment leading to economic self-sufficiency, as determined by the LWDB, or to wages comparable to or higher than wages from previous employment [generally, the employment from which a worker was laid off]; and
• Has the skills and qualifications to participate successfully in training services.
• In addition, the training provider must be on the Arkansas Eligible Training Provider List or meet the alternate requirements given in ADWS Policy No. WIOA I-B – 3.3, Change 1.

WIOA will provide all appropriate services allowed in ADWS Policy No. WIOA I-B – 3.1 (Services for Adults and Dislocated   Workers). It should be noted that services are not limited to occupational skill training. Other services that meet the needs of the participants must be made available.

After the Company is Certified as Trade-affected:

1. WIOA will be allowed 10 minutes at the beginning of each Trade Adjustment Assistance (TAA) Information Session for WIOA to present information about the DLW program.
2. The TAA lead and the WIOA case manager will check in monthly to share information about participants -- both co-enrolled participants and potentially co-enrolled participants. If needed, the OSO will convene these meetings. Information about the meetings will be documented.
3. Each participant will contact either the TAA lead or the WIOA case manager at least monthly to update him or her. The main contact person for the participant will be determined by the TAA lead and the WIOA case manager within the first month of co-enrollment. The TAA lead and the WIOA case manager will share information and documentation. Planned services must be entered on both IEPs, even though a WFC partner is providing the services.
4. Once a worker is determined to be TAA-affected, TAA is the priority source of funding if such funding is allowed by TAA.
5. Beginning with the first semester of WIOA/TAA co-enrollment, TAA will be the first funding provider for any services for which TAA is allowed to provide funds. Usually, these services include the following, when applicable: tuition, fees required of all students, required books, transportation (if travel is outside the normal commuting area), supplies required of all students in the training, subsistence payments, relocation allowances (90% reimbursement), job search allowances (90% reimbursement), and On-the-Job Training (OJT).
6. When training costs are paid by TAA, WIOA will pay for any appropriate costs allowed under the local and state policies that are not paid by TAA. This may include, but is not limited to, childcare, mileage not allowed under TAA, vehicle repairs, work experience, and other supportive services. WIOA may pay for supportive services only for training/career services that can be provided by WIOA, whether or not the training is paid for by WIOA.)
7. If the participant is enrolled in occupational skills training that is allowed by WIOA title I-B, but not TAA, WIOA title I-B will pay all appropriate training or supportive services. Co-enrollment is still expected because TAA may provide other appropriate services. In addition, TAA and WIOA are also encouraged to refer the participant to other appropriate AWC partners (and other entities) that can provide needed services.
8. If TAA begins the training funding, the training is allowed by WIOA local and state polices, and TAA has reached its maximum funding for the training, WIOA will fund the remainder of the training for the co-enrolled participant, being careful to be compliant with ADWS Issuance PY 19-09.

After Co-enrolled Participant Exits Both Programs:

1. WIOA will provide follow-up services as allowed by the local policy, in compliance with state and federal policies.
2. WIOA will give any appropriate follow-up information to their local TAA case manager. WIOA will document such services and will share these documents, as well as any other appropriate information, with TAA.

GRIEVANCE PROCEDURE

The Arkansas WIOA grievance procedure went through several changes.  The present policy became effective October 1, 2021.

State of Arkansas Grievance, Complaint, and Appeal Procedures Workforce Innovation and Opportunity Act Title I Activities   - Policy Number: WIOA I-B- 6.1, Change 2

I.    Purpose:

The purpose of this issuance is to outline the grievance and appeal procedure and to give the guidelines for grievance and appeal procedures required for local areas in accordance with WIOA § 181(c) and 20 CFR 683 .

II.   Reference:

WIOA §§ 106, 116(g)(2)(A), 121(h), 122(c)(1), 181(c), & 188

2 CFR 200

20 CFR 361, 463, 652.8(j), 653.501(d)(2), 658.411, 658.450(b)(2), 677.225, 678.735, 678.750, 679.290, 680.480, 683, 685.140, 686.470 & 688.500

29 CFR 37.35 29 CFR Part 38

TEGL 37-14

TEN 1-17

Age Discrimination Act of 1975 (42 U.S.C. 6101 et seq.)

Rehabilitation Act of 1973 (29 U.S.C. 794) § 504 H. R. 803—174 Title IX of the Education Amendments of 1972 (20 U.S.C. 1681 et seq.)

Title VI of the Civil Rights Act of 1964 (42 U.S.C. 2000d et seq.)

Pregnancy Discrimination Act of 1978, which amended title VII of the Civil Rights Act of 1964

III. Background:

Each State, local area, and direct recipient receiving funds under title I of the Workforce Innovation and Opportunity Act of 2014 (WIOA), except for Job Corps, is mandated to establish and maintain a procedure for grievances and complaints alleging violations of the requirements of WIOA title I from participants and other interested or affected parties [WIOA § 181(c)(1); 20 CFR 683.600(a)]. (The Job Corps procedure for grievances, complaints, and appeals is given in 20 CFR 686.470.)

Although there are some connotations of differences between the terms “grievance” and “complaint,” the two words are used interchangeably in this policy. No inference may be taken concerning the meaning of the two terms, even when only one is used.

I. Each State, local area, and direct recipient must [20 CFR 683.600(b)]:

• Provide information about the content of the grievance and complaint procedures to participants and other interested parties affected by the local workforce development system, including Arkansas Job Center partners and service providers;
• Require that every entity to which it awards WIOA title I funds provide information related to these grievance and/or complaint procedures to participants receiving WIOA title I-funded services from such entities; and
• Make reasonable efforts to ensure that the grievance and complaint procedures information is understood by affected participants and other individuals, including youth and those who are limited-English speaking individuals. Such efforts must comply with the requirements of 29 CFR 37.35 regarding the provision of services and information in languages other than English.

II. Each local procedure must provide:

• A process for dealing with grievances and complaints from participants and other interested parties affected by the local workforce development system, including Arkansas Job Center partners and service providers [20 CFR 683.600(c)(1)];
• An opportunity for an informal resolution and a hearing to be completed within 60 days of the  filing of the grievance or complaint [WIOA § 181(c)(1); 20 CFR 683.600(c)(2)];
• A process that allows an individual alleging a labor standards violation to submit the grievance to binding arbitration procedure if a collective bargaining agreement covering the parties to the grievance so provides [20 CFR 683.600(c)(3)];
• A process for appealing complaint decisions made by local title I program providers to the local Workforce Development Board (LWDB) grievance process [ADWS Policy No. WIOA I-B – 4.3 (Grievance and Complaint Procedures)]; and
• A process for resolving appeals from decisions made through the LWDB process, including an opportunity for an appeal to the State when:
  1. No decision is reached within 60 days of the filing of the grievance or complaint; or
  2. Either party is dissatisfied with the local hearing decision [20 CFR 683.600(c)(4)].

III. The Arkansas State Grievance, Complaint, and Appeals Procedure provides:

• A process for dealing with grievances and complaints from participants and other interested parties affected by the state 3 development system, including the one-stop system [20 CFR 683.600(d)(1)];
• A process for resolving appeals made to the State from the LWDB process [20 CFR 683.600(d)(2)];
• An opportunity for an informal resolution and a hearing to be completed within 60 days of the  filing of the grievance or complaint [20 CFR 683.600(d)(4)]; and
• An opportunity for appeal to the Secretary of Labor when:
  1. No decision has been reached within 60 days of the receipt of the complaint, grievance, or appeal request and either party wants to extend the complaint to the Secretary of Labor; or
  2. A decision has been reached and the party to which the decision is adverse wants to appeal to the Secretary of Labor [WIOA § 181(c)(2)(A); 20 CFR 683.600(d)(5) & 683.610(a)].

IV.  Arkansas State Procedures for Grievances, Complaint, and Appeals for WIOA Title I Activities, other than Title I-D Job Corps

1. These procedures are applicable only for WIOA title I activities (other than title I-D Job Corps) in Arkansas. Grievance and complaint procedures for Job Corps, Adult Education and Literacy, Employment Assistance authorized under the Wagner Peyser Act, and Vocational Rehabilitation Services may be obtained from these respective entities. This policy does apply to complaints concerning one-stop delivery systems (WIOA title I-B), but complaints will be referred to appropriate partners and their procedures if the complaint directly affects them.
2. What guidelines will be followed notifying individuals and entities concerning their right to appeal and the appeal process [20 CFR 683.600]?

• The entire grievance procedure, including the DOL Complaint/Apparent Violation Form (ETA 8429), will be posted on the appropriate section of the website of the Arkansas Division of Workforce Services (ADWS).
• Appropriate information from this policy will be included in requests for proposals or qualifications, opportunities for grants, and other applicable announcements.
• Information from this policy applying to individuals will be displayed in all Arkansas Workforce Centers and must be available to any individual who requests the information. The portion of the policy that applies to applicants and/or participants may be translated into other languages, read to individuals, or produced in other forms as required to be understood by all affected individuals.

3. What general guidelines apply to all complaints or grievances?

1. If a grievance or complaint is filed with the Director of ADWS that, in the opinion of the Director, should first be filed with a local WIOA title I-B program provider, a WIOA partner, or the LWDB, that grievance will be remanded to the appropriate entity to be processed there. Information concerning the appropriate actions will be sent to the complainant or informant with the acknowledgement of the complaint. Contact with an individual complainant may also be made by telephone or email to determine the details of the complaint, to give guidance concerning proper grievance procedures, and/or to attempt to reach an informal decision.

2. The complainant’s statement should be as complete as possible. The complainant should use the DOL Complaint/Apparent Violation Form (ETA 8429) if possible, but the complaint may be in any form. The complaint should include, if possible:

 a. The full name and contact information (telephone number, email address, and or physical address), of the person making the complaint;

b. The full name and address (personal or business) of the person or entity against whom the complaint is made;

c. A clear and concise statement of the facts, including pertinent dates, constituting the alleged violation;

d. The provisions of the Workforce Innovation and Opportunity Act (WIOA), WIOA regulation, grant, agreement, law, state policy, and/or local policy believed to have been violated;

e. A statement of attempts to resolve the issue at the local level, if appropriate; and

f. A statement disclosing whether proceedings involving the subject of the request have been commenced or concluded before any federal, state, or local authority, and if so, the date of the commencement or conclusion and the name and address of the authority.

3. Time limitations of complaints, grievances, and appeals are listed in the sections of each particular type of complaint.

4. Within fourteen (14) calendar days of receipt of the complaint/grievance/appeal, the Director of ADWS or his/her designee will acknowledge receipt of the grievance to all parties by certified mail, return receipt requested. The acknowledgement of receipt will:

• Provide a synopsis of the issues to be decided;
• Outline the steps to be taken to resolve the matter, including an attempt to reach an informal resolution; and
• Notify all parties of the right to request a hearing.

5. The following procedures will apply to a hearing, if requested:

• The hearing will be informal. Technical rules of evidence will not apply. Hearsay evidence will be admissible at the discretion of the hearing examiner.
• Hearings will be held at a time and place determined by the Director of ADWS or his/her designee after reasonable written notice has been sent to the parties and the witnesses.
• The party requesting the hearing will have the burden of establishing the facts and the entitlement to the relief requested.
• Either party may be represented by an attorney or other representative, but no such representative is required.
• Either party may bring witnesses and documentary evidence.
• The respondent will cooperate by making available any person under his or her control or employ to testify, if appropriate, and to release requested documents relevant to the issue after the requesting party has established that such testimony/documentation is relative and not cumulative.
• Either party or representative will have the opportunity to question any witnesses.
• A recording will be made of the proceedings.
• A written decision will be made by the Director of ADWS or his/her designee within 60 days of receipt of the grievance or complaint.

6. If a hearing is not requested, the Director of ADWS or his/her designee will conduct an administrative fact-finding investigation. The investigation will include:

• Opportunities for all parties to submit an in-depth position statement, including documentary supportive data and/or records;
• Access to and review of appropriate official records;
• Interview of principle parties and opportunity for all parties to offer rebuttal to information received; and
• A written decision, to be made by the Director of ADWS or designee within 60 days of receipt of the grievance or complaint.

7. A written decision will be sent by certified mail, return receipt requested, and will contain the following:

• Statement assuring that all steps included in the grievance/complaint procedures have been adhered to;
• Issue(s) being decided;
• Statement of facts;
• Reasons for the decision;
• Remedies to be offered, if appropriate;
• Summary; and
• Advise of the right to appeal the decision, if allowed for the particular type of complaint/grievance/appeal. (Information about appeals is provided for each type of complaint/grievance/appeal.)

8. Nothing in this policy precludes a grievant or complainant from pursuing a remedy authorized under Federal, State, or local law [20 CFR 683.600(h)].

9. Variances to these general guidelines are given as applicable in the portions of this policy concerning particular types of grievances, complaints, and appeals.

4. What are the most common addresses used in filing a grievance, complaint, or appeal?

Director of ADWS:

Director

Arkansas Division of Workforce Services

PO Box 2981

Little Rock, AR 72203

Secretary of Labor:

Secretary

U.S. Department of Labor

200 Constitution Ave. NW.

 Washington, DC 20210

Attention: ASET

5. Who may file a grievance, complaint, or appeal; and what are the regulations for filing an appeal under WIOA title I programs, except for Job Corps; and what procedures, policies, and regulations apply?

1. An individual who has been discriminated against because of race, color, religion, sex (includingpregnancy, childbirth, and related medical conditions; and transgender status, gender identity,and sex stereotyping), national origin (including limited English proficiency), age (except asrequired by law), disability, political affiliation or belief, citizenship status as a lawfully admittedimmigrant authorized to work in the United States, or participation in a WIOA title I-financially assisted program or activity [WIOA § 188; 29 CFR Part 38; 20 CFR 652.8(j), 653.501(d)(2), 658.411,658.450(b)(2), 683.285, 683.420, 683.410, 683.600(g)(1), 685.140, & 688.500; TEGL 37-14]:

• WIOA prohibits discrimination or denial of participation on the basis of age under the Age Discrimination Act of 1975 (42 U.S.C. 6101 et seq.); on the basis of disability under section 504 H. R. 803—174 of the Rehabilitation Act of 1973 (29 U.S.C. 794); on the basis of sex under title IX of the Education Amendments of 1972 (20 U.S.C. 1681 et seq.) or the Pregnancy Discrimination Act of 1978, which amended title VII of the Civil Rights Act of 1964; or on the basis of race, color, or national origin under title VI of the Civil Rights Act of 1964 (42 U.S.C. 2000d et seq.). Programs and activities funded or otherwise financially assisted in whole or in part under WIOA are considered to be programs and activities receiving Federal financial assistance, even if individuals do not receive assistance in the form of money.
• Participation in programs and activities or receiving funds under WIOA title I must be available to citizens and nationals of the United States, lawfully admitted permanent resident aliens, refugees, asylees, and parolees, and other immigrants authorized by the Attorney General to work in the United States, using eligibility requirements for each program.
• No person may discriminate against an individual who is a participant in a WIOA program or activity, with respect to the terms and conditions affecting, or rights provided to, the individual, solely because of the status of the individual as a participant.
• Participants shall not be employed under WIOA title I to carry out the construction, operation, or maintenance of any part of any facility that is used or to be used for sectarian instruction or as a place for religious worship (except with respect to the maintenance of a facility that is not primarily or inherently devoted to sectarian instruction or religious worship, in a case in which the organization operating the facility is part of a program or activity providing services to participants).
• Individuals who have experienced discrimination or denied services based on a – d above should follow the procedures in the poster “Equal Opportunity is the Law” posted in each Arkansas Workforce Center.
• If no such poster is displayed and an employee of the Arkansas Workforce Center cannot  provide the poster, contact the WIOA Equal Opportunity Manager of the Arkansas Division of Workforce Services (ADWS) at:

WIOA Equal Opportunity Manager

 PO Box 2981

Little Rock, AR 72203

Telephone: 501-682-3106

Arkansas Relay Services: 1-800-285-1131

2. A participant or other interested party who has submitted a complaint or grievance at the locallevel and who has not received a decision within 60 days or is dissatisfied with the localdecision [WIOA §181 (c)(1); 20 CFR 683.600, 683.610]:

• The appeal must be sent no later than 30 days after the local decision. If no decision was given at the local level, the appeal must be sent no later than 90 days after the filing of the local complaint. The appeal should be sent by certified mail, return receipt requested to the Director of ADWS at the address in Section IV.D. of this policy.
• An investigation will be done, and an informal resolution will be made within 60 days of receipt of the appeal. If the complainant requests, the resolution procedure will include an informal hearing.
• If a decision has not been reached in 60 days, either party may file an appeal to the Secretary of Labor no later than 120 days after filing the appeal with the State. If one party is dissatisfied with the decision, an appeal may be made to the Secretary of Labor no later than 60 days after receipt of the appeal decision. The Secretary of Labor will make a decision no later than 120 days after receiving the appeal. The appeal must be sent by certified mail, return receipt requested, to the Secretary of Labor at the address in Section D of this policy.

A copy of the appeal must be simultaneously provided to the ETA Regional Administrator and the opposing party. The address for the ETA Regional Administrator for Arkansas is:

Regional Administrator

U.S. Department of Labor/ETA

525 Griffin Street, Room 317

Dallas, TX 75202

3. A participant or other interested party who has a complaint or grievance concerning astatewide WIOA program [WIOA §181 (c)(1); 20 CFR 683.600 & 683.610]:

• The grievance or complaint must be sent no later than 60 days after the date of the occurrence to the Director of ADWS at the address in Section IV.D. of this policy. DOL complaint/Apparent Violation Form (ETA 8429) should be used for the complaint; and the complaint should be sent by certified mail, return receipt requested, following the guidelines in Section IV.C.2. of this policy.
• If a grievance or complaint is filed with the State that, in the opinion of the Director of ADWS, should first be filed with the local workforce development board or service provider or with a particular one-stop partner, that grievance or complaint will be remanded to the administrator or director of the appropriate entity to be processed there. This decision will be made within 30 days of receiving the grievance/complaint. Notification of remanding will be sent to the complainant or informant.
• If the grievance or complaint should properly be addressed at the State level, an investigation will be done, and an informal resolution will be made within 60 days of receipt of the appeal. If the complainant requests, the resolution procedure will include a hearing.
• If a decision has not been reached in 60 days, either party may file an appeal to the Secretary of Labor no later than 120 days after filing the appeal with the State. If one party is dissatisfied with the decision, an appeal may be made to the Secretary of Labor no later than 60 days after receipt of the state’s decision. The Secretary of Labor will make a decision no later than 120 days after receiving the appeal. The appeal must be sent by certified mail, return receipt requested, to the Secretary of Labor at the address in Section D of this policy.

A copy of the appeal must be simultaneously provided to the ETA Regional Administrator and the opposing party. The address for the ETA Regional Administrator for Arkansas is:

Regional Administrator

U.S. Department of Labor/ETA

525 Griffin Street Room 317

Dallas, TX 75202

4. A unit of local government that has requested designation as a local area but has been deniedsuch designation [Arkansas State Plan § VI.a.1.C.; WIOA § 106; 20 CFR 679.290, 683.630 & 683.640.]

• A unit of general local government (including a combination of such units) or grant recipient that requests, but is not granted, initial or subsequent designation of an area as a local area under WIOA § 106(b)(2), WIOA § 106(b)(3), or 20 CFR 679.250 may submit an appeal to the Arkansas Workforce Development Board (State Board) within 30 days of the decision not to grant such request.
• The appeal must be sent by certified mail, return receipt requested to: Arkansas Workforce Development Board

Attn: Appeal/Grievance Review

P.O. Box 2981

Little Rock, Arkansas 72202

• The State Board will investigate the appeal, including conducting a hearing in accordance with the rules outlined in Section IV.C.5 of this policy, and the State Board will make a decision within 60 days of the receipt of the appeal.
• If the appeal does not result in designation, an appeal may be made to the Secretary of Labor within 30 days of the appeal decision of the State Board. This appeal must be submitted by certified mail, return receipt requested, to Secretary of Labor at the address in Section D of this policy.
• A copy of the appeal must be simultaneously provided to the State Board at the address in Part b above. The appellant must establish that it was not accorded procedural rights under the appeal process set forth in this policy or establish that it meets the requirements for designation in WIOA § 106(b)(2) or WIOA § 106(b)(3), and also in 20 CFR 679.250. If the Secretary determines that the appellant has met the burden of establishing that it was not accorded procedural rights under this appeals process, or that it meets the requirements for designation listed in this paragraph, the Secretary may require that the area be designated as a local area. In making the determination, the Secretary may consider any comments submitted by the Arkansas Workforce Development Board in response to the appeal. The Secretary will issue a written decision to the Governor and the appellant [WIOA § 106(b)(5); 20 CFR 679.290 & 683.640].

5. A local area or other grant sub-recipient that does not agree with the findings of a monitoring report or audit [20 CFR 683 Part D]:

• The Governor must monitor LWDBs annually for compliance with applicable laws and regulations in accordance with the State monitoring system developed by the Governor in compliance with 20 CFR 683.410(b) [20 CFR 683.400(c)(2)]. Regular monitoring must be on-site reviews to ensure that local areas are achieving the objectives of WIOA, are following regulations of WIOA, and are in compliance with 2 CFR part 200 [20 CFR 683.410(b)]. Documentation of monitoring, including monitoring reports and audit work papers must be available for review by the Secretary of Labor, the Governor, or a representative of the Federal government authorized to request the information [20 CFR 683.400(d)].
• The Governor must require that prompt corrective action be taken for any substantial violations of the standards and regulations of WIOA and 2 CFR 200 including corrective actions described in 2 CFR 200.207 and 200.338 as well as State laws and policies. The governor must impose sanctions if a local area fails to take the required corrected action [20 CFR 683.410(b), 2 CFR 200]
• The Arkansas Division of Workforce Services (ADWS), as the direct grant recipient, is the entity responsible for monitoring subgrant recipients. ADWS is also responsible for resolving findings that arise from the monitoring reviews, investigations, and audits of all funds awarded [20 CRF 683.420(a)].
• The Secretary of Labor is responsible for monitoring grant funds provided to ADWS [20 CRF 683.420(b)].
• The resolution of findings of subgrant recipients, except for non-discrimination findings, will be made in accordance with the procedures outlined by ADWS and provided to local areas.
• If, after repeated attempts at resolving issues, corrective action is determined to be inadequate and findings are unresolved, special conditions or sanctions may be imposed on the local area, as allowed under standards and regulations of WIOA and 2 CFR 200, including corrective actions described in 2 CFR 200.208 for “Specific Conditions” and 200.339 “Remedies for Non-Compliance .”
• Except for determinations involving the revoking of the local plan or reorganization of the local area program providers, the local area or other grant sub-recipient may appeal the final determination report within ten (10) calendar days of receipt of the decision to the Director of ADWS, who will appoint a hearing officer. The appeal must be sent to the Director of DWS at the address in Section IV.D. of this policy.
• h.  The following documentation must be included with the appeal:
• The local area or monitored entity must formally appeal the decision of the monitoring report in writing by submitting an official letter (on letterhead) explaining the purpose for the appeal. The letter must clearly identify each finding being appealed by the local area or monitored entity
• A copy of the State’s Final Determination
• Copies of the original supporting documentation provided to ADWS during the monitoring process. The original documentation should demonstrate how the local area or monitored entity met the required federal and/or state regulation(s) inclusive of citations from Federal and/or State Regulations

Note:The appeal and the aforementioned documentation must be sent to the Director of DWS at the address in Section IV.D. of this policy and an electroniccopy to ADWS.WIOAAppeals@arkansas.gov

• The hearing officer will conduct an investigation, including a hearing if requested, and will reach a decision within 60 days. If a decision has not been reached in 60 days or if either party wishes to appeal the decision to the Department of Labor, either party may file an appeal to the Secretary of Labor no later than 60 days after the receipt of the decision of the hearing officer or time for the hearing officer to make a decision has expired. The appeal must be sent by certified mail, return receipt requested, to the Secretary of Labor at the address in Section IV.D. of this policy. A copy of the appeal must be simultaneously provided to the ETA Regional Administrator at the address in Section IV.E.2. of this policy and to the opposing party. The Secretary must make a final decision on the appeal no later than 120 days after receiving the appeal.
• If the sanctions involve the revoking of the local plan or reorganization of the local area program providers, the procedure in Section IV.6. of this policy must be followed.
• No later than ten (10) calendar days after the final action on the grievance or the notification of imposed sanctions (if no appeal is made), copies of the report, responses and other related written communication will be mailed to the Local Workforce Development Board Chairperson and Executive Director.
• Findings arising from investigations or reviews conducted under nondiscrimination laws will be referred to the state EO officer and will be resolved in accordance with WIOA § 188 and the Department of Labor nondiscrimination regulations, codified at 29 CFR 38 [20 CFR 683.420].

6. A local area that has been found in substantial violation of WIOA title I or has failed to meetlocal performance indicators for 3 consecutive program years, and has received a notice fromthe Governor that either all or part of the local plan will be revoked or that a reorganization willoccur [WIOA §§ 116(g)(2)(A) & 184(b); 20 CFR 361.225, 463.225, 677.225, 683.410, & 683.650]:

• If the local area has been found in substantial violation of WIOA title I and has received notice from the Governor that either all or part of the local plan will be revoked or that a reorganization will occur as described in WIOA §184(b)(1), the local area may appeal the sanctions to the Secretary of Labor at the address in Section IV.D. of this policy. The appeal must be sent by certified mail, return receipt requested, and a copy of the appeal must be simultaneously provided to the Director of ADWS at the address in Section IV.D. of this policy. The appeal must be filed no later than 30 days after receipt of written notification of the revoked plan or imposed reorganization. The Secretary will notify the Governor and the appellant in writing of the Secretary’s decision within 45 days after receipt of the appeal. In making the decision, the Secretary may consider any comments submitted by the Governor in response to the appeals. The imposed sanctions do not become effective until either time for the appeal has expired or the Secretary has issued a decision concerning the appeal [20 CFR 683.650(a)].
• If the local area has failed to meet local performance indicators for three (3) consecutiveprogram years and has received a notice from the Governor or his/her selected designee of intent to impose a reorganization plan, the LWDB and chief elected official(s) for the local area may jointly appeal to the Governor to rescind or revise the reorganization. The appeal must be sent by certified mail, return receipt requested to the Director of ADWS at the in Section IV.D. of this policy no later than 30 days after notice of the reorganization plan. The appeal must be jointly filed by the LWDB and the chief elected official(s). The Governor or designee must make a final decision no later than 30 days after receipt of the appeal. An appeal of the Governor’s final decision may be submitted by certified mail, return receipt requested, to the Secretary of Labor at the address in Section IV.D. of this policy, no later than 30 days after receiving the decision of the Governor. A copy of the appeal must be simultaneously sent to the Governor through the Director of ADWS at the address in Section IV.D. of this policy. The decision of the Governor on the appeal becomes effective at the time it is issued and remains effective unless the Secretary of Labor rescinds or revises the reorganization plan under WIOA §116(g)(2)(C). The Secretary of Labor must make a final decision within 30 days of receipt of the joint appeal. In making the final decision, the Secretary of Labor may consider any comments submitted by the Governor in response to the appeals [20 CFR 683.650(c) & 677.225].

7. An Arkansas Workforce Center partner that believes the determination of the partner’s portionof funds to be provided for one-stop infrastructure costs is unfair [WIOA § 121(h)(2)(E); 20 CFR 361.750, 463.735, 463.738, 463.750, & 678.750]:

• A required One-Stop partner may appeal a determination regarding the portion of funds to be provided to operate the One-Stop system on the basis that such determination is inconsistent with the requirements in WIOA § 121(h); the proportionate share requirements in 20 CFR 361.735(a), 463.735(a), or 678.735(a); the cost contributions limitations in 20 CFR 361.735(b), 463.735(b), or 678.735(a); or the cost contribution caps in 20 CFR 361.738, 463.738, or 678.738; or the issuances of the Arkansas Division of Workforce Services (ADWS).
• The appeal must be made no later than 21 days after the determination regarding the infrastructure funding, and must be sent by certified mail, return receipt requested to the Director of ADWS at the address in Section IV.D. of this policy.
• The Arkansas Division of Workforce Services will investigate the appeal, including conducting a hearing in accordance with the rules outlined in Section IV.C.5. of this policy and make a decision within 60 days of the receipt of the appeal. The decision will include instructions to the appropriate party for redistribution of funds, depending on the facts. This decision will be consistent with the requirements of 20 CFR 683.630 and the issuances of ADWS.
• If the appeal to the state results in a change to the infrastructure costs, the Infrastructure Funding Agreement (IFA) portion of the One-Stop Memorandum of Understanding (MOU) must be updated to reflect the final partner infrastructure cost contributions [20 CFR 361.500, 463.500, & 678.500; Arkansas State Unified Plan § VI.a.1.D.].

8. A training provider (including a provider of on-the-job training) that has been denied eligibilityor has had its eligibility terminated[WIOA § 122(c)(1); 20 CFR 680.480 & 683.630(b)]:

• The same procedure is used whether the status as a training provider is denied or terminated by the LWDB or by ADWS or if the status of eligibility as a provider of on-the- job training or customized training provided by a one-stop operator.
• If the determination was made at the local area (such as for violations discussed in 20 CFR 680.480), the local grievance procedure must be followed before the appeal can be made to the State level. If the complainant is dissatisfied with the decision at the local level or if no decision is made within 60 days of the filing of the complaint, an appeal may be made to the State using the procedure in IV.E.2. of this policy.
• If the decision to deny or terminate was made at the State level (such as by ADWS’s discovery of inaccurate information submitted or during the biennial review, as discussed in 20 CFR 680.480), the appeal may be sent directly to the State.
• The appeal must be sent by certified mail, return receipt requested to the Director of ADWS at the address in Section IV.D. of thispolicy.
• The complainant has the opportunity for an informal hearing, using the guidelines in Section IV.C.5. of this policy, with an opportunity for resolution will be completed within 60 days of the filing of the grievance or complaint [20 CFR 683.630(b)(2)].
• Denial or termination of eligibility made by ADWS or upheld by ADWS in an appeal may be appealed to a hearing officer appointed by the Director of ADWS within ten (10) calendar days of receipt of the decision of the ADWS appeal. The appeal must be sent to the Director of ADWS at the address in Section IV.D. of this policy. The hearing officer will conduct an investigation, including a hearing if requested, and will reach a decision within 60 days.
• A decision under this State appeal process may not be appealed to the Secretary of Labor [20 CFR 683.630(b)].

9. Anyonewithknowledge of criminal activity, including fraud and abuse, under the WIOA system [20 CFR 683.200 (h) & 683.620; 2 CFR 200.113 & 200.338]:

• Information and complaints involving criminal fraud, waste, abuse, or other criminal activity must be reported immediately through the Department of Labor’s Incident Reporting System:

Department of Labor Office of Inspector General

Office of Investigations

Room 55514

200 Constitution Avenue NW

Washington, DC 20210

Or to the corresponding Regional Inspector General for Investigations

 Or to the Hotline number at 1-800-347-3756

Or through the Web site: www.oig.dol.gov/contact.htm.

• If information is sent to an Inspector General, a copy should be simultaneously sent to:

Employment and Training Administration

US Department of Labor

200 Constitution Avenue NW

 Washington, DC 20210

• All recipients of WIOA title I awards must disclose in a timely manner and in writing to the Federal awarding agency or pass-through entity all violations of Federal criminal law involving fraud, bribery, or gratuity violations potentially affecting the Federal award. Failure to make required disclosure can result in any of the remedies described in 2 CFR 200.338, including withholding of funds, suspension or termination of the award, suspension, or disbarment.

FUNDING FOR INFRASTRUCTURE COSTS

ADWS developed a comprehensive Memorandum of Understanding (MOU) template that detailed the requirements for funding infrastructure costs. This MOU template stated that Boards, with the agreement of CEO’s, must develop and enter into memoranda of understanding (MOUs) with statutorily required one-stop partners for operation and funding of a one-stop delivery system in the local area. The One-Stop Operating Budget and Infrastructure Funding Agreement, attachments to the MOU template, establish a financial plan, including terms and conditions, to fund the services and operating costs of the Local Area Arkansas Workforce Center network.

This MOU template included a Dispute Resolution Process that allows a one-stop partner to file appeals regarding infrastructure costs and the appeal results in a change to the one-stop partner’s infrastructure cost contributions, the MOU must be updated to reflect the final one-stop partner infrastructure cost contributions.

During the 92nd General Assembly - Regular Session (2019), the Arkansas General Assembly  consolidated the core WIOA programs (Titles I, II, III, IV) under the newly-created Department of Commerce.

State partners have been given technical assistance and guidance throughout the Infrastructure Funding Agreement negotiation process that focused on the various methods of allocating shared costs, distinguishing what costs are and are not required to be in the Memorandum of Understandings/ Infrastructure Funding Agreements among partner programs, and Title I has taken the lead in coordinating the Accounts Payable and Accounts Receivables following the quarterly reconciliation process to ensure that these standards are adhered to on the state-level.  Although several basis of allocating infrastructure costs were discussed in each local area, the primary basis for allocation is square footage, which is used to allocate shared costs.  Costs are allocated by square footage unless the costs can be directly assigned to a partner or program in accordance with the 2 CFR 200 guidelines that distinguish direct and indirect costs.  Following these guidelines, all 10 Local Workforce Development Boards have entered MOUs with their local partners and have implemented cost sharing across the state with partner programs.

STATE FUNDING MECHANISM

State Infrastructure Funding Mechanism (SFM) Process. One of the hallmarks of WIOA is an increased emphasis on Local WDBs as conveners who are responsible for the MOU negotiation process. Initiating negotiations via a Local Funding Mechanism (LFM) allows for decision making to be kept at the local level.

The Arkansas Workforce Development Board’s (AWDB) goal is to provide the support and guidance necessary to help all Local Areas reach agreement under the LFM rather than under the SFM. Local WDBs are urged to seek guidance and support from the state throughout the negotiation process to help prevent the triggering of the SFM. However, if a Local WDB is unable to complete an IFA with all its AJC partners, then the SFM will be triggered and the AWDB, with the Governor’s approval, must then determine the required contributions of each AJC partner. If a Local WDB does not believe they will be able to come to an agreement regarding joint infrastructure costs with any of their AJC partners by established deadlines, they must notify the AWDB Director immediately by following the steps prescribed below.

State Infrastructure Funding Mechanism Steps

Step 1: Written notice of failure to reach consensus given to the AWDB Director.

If the Local WDB, local one-stop partners, and CEO(s) cannot reach consensus on methods of sufficiently funding a one-stop center’s infrastructure costs and the amounts to be contributed by each local partner program, the Local WDB is required to notify the AWDB Director.

Step 2: Local negotiation materials provided to the AWDB Director

In order to assist the AWDB, Local WDB must provide the appropriate and relevant materials and documents used in the negotiations under the LFM, preferably when notifying AWDB Director of the failure to reach consensus. At a minimum, the Local WDB must give the AWDB Director:

(1) the local WIOA plan;

(2) the cost allocation methodology or methodologies proposed by the partners to be used in determining the proportionate share;

(3) the proposed amounts or budget to fund infrastructure costs and the amount of partner funds included;

(4) the type of funds (cash, non-cash, and third-party in-kind contributions) available;

(5) any proposed or agreed upon one-stop center or system budget; and

(6) any partially agreed upon, proposed, or draft IFAs.

The Local WDBs also may give AWDB Director additional materials that they find to be appropriate.

Step 3: AWDB reviews the provided one-stop center infrastructure budget(s).

The AWDB Director will coordinate with the AWDB Chair to arrange a review of the one-stop center infrastructure budget by the AWDB or one of its Committees.

The AWDB or its committee must determine the infrastructure budget(s). Depending on the local delivery system structure, there may be more than one infrastructure budget, each of which is contained in a one-stop operating budget.

Step 4: AWDB will determine each one-stop partners’ proportionate share

Utilizing the approved budget, the AWDB will calculate each partner’s contribution consistent with the cost allocation methodologies contained in the Uniform Guidance. Each one-stop partners’ proportionate shares are determined.

The AWDB will inform the Local Board, in writing, of each one-stop partners’ proportionate share under the SFM.

Appeal of the AWDB’s Decision

One-Stop partners have the right to file an appeal of the AWDB’s determination regarding the one-stop partner’s portion of funds to be provided for one-stop infrastructure costs under the SFM.

Within 5 business days from the written notification of the AWDB’s determination of proportionate shares by each one-stop partner under the SFM, appeals may be sent by email to:

Arkansas Appeal Tribunal

501 Woodlane Avenue, Ste. 261 S

Little Rock, AR 72201

TRAINING PROVIDER ELIGIBILITY PROCEDURE

Eligible Training Provider Initial Eligibility Certification Procedure

Purpose:

The purpose of this procedure is to outline the certification process for new eligible training providers in accordance with the federal Workforce Innovation and Opportunity Act of 2014.

Reference:

The Workforce Innovation and Opportunity Act (WIOA), Section 122.

Procedure:

To be included on the Eligible Training Provider List (ETPL), providers must submit an electronic application to the Local Workforce Development Board (LWDB) for the area where they wish to provide training services. A separate electronic application must be submitted for each training program. Also, if applying for a training program to be offered at different training locations, a separate electronic application is required for each training location. Each training program must be on the current Projected Employment Opportunities List.

Providers who may apply to be included on the ETPL include:

• An institution of higher education that provides a program that leads to a recognized postsecondary credential;
• Another public or private provider of a program of training services, which may include joint labor-management organizations, and eligible providers of adult education and literacy activities, if such activities are provided in combination with occupational skills training. These providers must have all appropriate licenses to operate in the State of Arkansas and will be required to submit copies of such licenses. The information will then be verified by the Arkansas Department of Workforce Services (ADWS).

An entity that carries out programs under the National Apprenticeship Act will be included and maintained on the ETPL for so long as their program remains registered. These providers will be required to contact ADWS to make known their desire to be listed and provide documentation that verifies their program is a registered apprenticeship program certified by the U.S. Department of Labor, Office of Apprenticeship.

The first step of the process is to determine if a provider is qualified to apply using initial eligibility status. All provider/program combinations that have not been previously eligible under WIOA Section 122 or the Workforce Investment Act Section 122 may apply under these rules.

Projected Employment Opportunities:

All training must be directly linked to employment opportunities either in the local area or in an area to which the individual is willing to relocate. If a local area does not have a particular occupation on its projected employment opportunities list, they may send a participant to, or a customer may choose, a training provider/program not approved by their LWDB if that participant agrees in writing that s/he would be willing to relocate or commute to become employed in that occupation.

An occupation is considered an employment opportunity for a local area if it appears on the Projected Employment Opportunities List for the State or local area as published by the Labor Market Information (LMI) division of the Arkansas Department of Workforce

Services. Occupations on an adjacent local area’s list, including local areas in other states, may also be considered employment opportunities in the local area. If a local area would like to train in an occupation that is not on their local area’s projected employment opportunities list, but is on the list of an adjacent area, they should contact the Labor Market Information division of the Arkansas Department of Workforce Services to have the occupation added within the Arkansas Consumer Report System web site. For local areas in other states, the LWDB must provide the adjacent area’s projected employment opportunities list, along with the adjacent state’s contact information and the training occupations before the occupations can be added to the Arkansas Consumer Report System.

In an effort to increase access to training for rural areas, training providers may be classroom based, online based, or outside of the state. Providers of all types are required to meet the same eligibility and performance criteria. A provider must be in statutory compliance with Arkansas laws in relation to operation as a training education institution.

Required Information for Initial Eligibility:

The information to be included on the initial application is described below.

1. A description of the training program to be offered including the costs of tuition, books and fees.
2. The program completion rate for allindividuals participating in the applicable program to be offered by the provider.

To calculate:The number of all participants who completed the program/course during the reporting period divided by the total number of all participants.

3.   If the training provider is in a partnership with business/industry and an explanation of the partnership.

4.  If the training program leads to a recognized postsecondary credential and a description of the credential.

5.  If the program aligns with in-demand industry sectors and occupations.

The Initial Eligibility Certification Process:

1. Providers eligible to apply under this section will complete an online electronic application for “initial certification” through the automated Arkansas Job Link (AJL) ProviderLink system located at https://www.arjoblink.arkansas.gov/Providers must apply for each individual program. If multiple training locations exist, an application must be made for each location. Providers may make application to any or all Local Workforce Development Boards (LWDBs) at the same time.
2. The LWDBs will receive the application via the AJL ProviderLink system if (1) The program’s CIP Code appears on the current Projected Employment Opportunities List for the State or Local Workforce Development Area, and (2) Required items are complete and meet minimum qualifications.
3. The LWDB will electronically approve or disapprove each application received via the Internet. The LWDB is responsible for ensuring that the provider’s performance information meets or exceeds the State minimum levels.
4. Upon approval by the LWDB, the provider will be automatically placed on the Eligible Training Provider Information menu of the Arkansas Division of Workforce Services (ADWS) website   as a WIOA Eligible Training Provider for the applicable program.

If the training provider does not have performance data because the training program is a new program, then the provider must submit the following information to the LWDB of application to include:

1. Written justification for the missing data, and
2. The process that will be used to track and record the required information for re- certification.

The LWDB may choose to waive the performance documentation requirement in this situation. The LWDB should submit in writing their intentions to do so to the Arkansas Department of Workforce Services LMI division for processing of the application to continue.

Required Information for Continued Eligibility:

The information to be included on the continued application is described below.

1. The percentage of program participants who are in unsubsidized employment during the second quarter after exit from the program
2. The percentage of program participants who are in unsubsidized employment during the fourth quarter after exit from the program
3. The median earnings of program participants who are in unsubsidized employment during the second quarter after exit from the program
4. The percentage of program participants who obtain a recognized postsecondary credential or a secondary school diploma or its recognized equivalent, during participation in or within 1 year after exit from the program
5. Information on cost of attendance, including cost of tuition and fees, for program participants
6. Information on the program completion rate for program participants
7. A description of how the provider provides access to training services, including to rural areas, including the use of technology
8. A description of the degree to which training program(s) align with in-demand industries and occupations in the State, as identified in State and Local Plans
9. Any applicable state licensure requirements of training providers
10. A description of training provider’s ability to offer industry-recognized certificates and/or credentials through the program
11. A description of training provider’s ability to offer programs that lead to post-secondary credentials
12. A description of the quality of the program of training services including a program that leads to a recognized post-secondary credential
13. A description of the ability of the providers to provide training services that are physically and programmatically accessible for individuals who are employed and individuals with barriers to employment, including individuals with disabilities
14. The timeliness and accuracy of the eligible training provider’s performance reports
15. Relevant information reported to State agencies on Federal and State training programs other than programs within WIOA Title I.

While we do not intend to limit customer choice nor decrease the number of available training providers, we will prioritize certain individual criteria elements listed above during our evaluation for continued eligibility. Our primary focus will be placed upon the WIOA performance criteria, Numbers 1-4, followed by criteria Numbers 5-8. The remaining criteria elements will be given no special emphasis.

The Continued Eligibility Certification Process:

1. 1. Providers eligible to apply under this section will complete an online electronic application for “continued certification” through the automated Arkansas Job Link (AJL) ProviderLink system located at https://www.arjoblink.arkansas.gov/Providers  must apply for each individual program. If multiple training locations exist, an application must be made for each location. Providers may make application to any or all Local Workforce Development Boards (LWDBs) at the same time.
   2. The LWDBs will receive the application via the AJL ProviderLink system if (1) The program’s CIP Code appears on the current Projected Employment Opportunities List for the State or Local Workforce Development Area, and (2) Required items are complete and meet minimum qualifications.
   3. The LWDB will electronically approve or disapprove each application received via the Internet. The LWDB is responsible for ensuring that the provider’s performance information meets or exceeds the State minimum levels.
   4. Upon approval by the LWDB, the provider will be automatically placed on the ACRS website as a WIOA Eligible Training Provider for the applicable program.

Substantial Violation

Under WIOA, an institution commits a substantial violation when it: (1) fails to meet the state's procedure for timely and accurately submitting required information for annual ETP performance reporting, (2) fails to meet the state's procedure for timely and accurately submitting all required information for initial or continued eligibility, (3) intentionally provides false information, or (4) violates any provision of WIOA Title I or its regulations, including the nondiscrimination and equal opportunity provisions.

The State will take into account exceptional circumstances beyond the institution's control (e.g., natural disasters, unexpected personnel transitions, and unexpected technology-related issues) when determining if an institution committed a substantial violation for failing to timely and accurately submit required information. If it is determined that exceptional circumstances existed, then a substantial violation did not occur. If it is determined that an institution committed a substantial violation, the institution is prohibited from having its programs on the published ETPL for a minimum of two years and it is liable to repay any WIOA Youth, Adult, and Dislocated Worker Program funds it received during the period of noncompliance.

Registered Apprenticeship Programs

Registered Apprenticeship (RA) programs are an exception to the initial and continued eligibility certification processes. They are exempt from performance and reporting-related requirements. These programs have already gone through a rigorous assessment as part of the registration process with the U.S. Department of Labor, Office of Apprenticeship (DOLETA/OA). Inclusion of RA programs on the state Eligible Training Provider List (ETPL) enhances participants’ awareness of the programs and provides local workforce systems with a mechanism to support this valuable training model. All RA programs listed on the ETPL will automatically be considered as a statewide demand occupation for as long as they have an unfilled opening(s). Local boards may not require additional criteria of RA programs.

To be listed on the state ETPL, a RA program should complete the online ADWS Registered Apprenticeship Form. Once the completed form is received and reviewed for completeness, the RA program will be displayed on the ADWS website at:  https://www.dws.arkansas.gov/programs/workforce-innovation/workforce-initiative/.

Notification and Appeal Procedures

If a provider of training services has its eligibility denied, or terminated due to substantial violations, failure to provide requested performance information without reasonable justification, or otherwise are removed for good cause, the training provider will be notified that their training program is being removed from the State’s training provider list. This information regarding the decision will be submitted to the contact person listed on the training  provider’s account.

The training provider may appeal the denial by following the procedures in ADWS Policy No. WIOA I – 6.1, Change 2 – State of Arkansas Grievance, Complaint, and Appeal Procedures, Workforce Innovation and Opportunity Act Title I Activities.