Local areas which have implemented a priority of service policy (Section 134(d)(4)(E) of the WIA), including priority of service to local workforce area residents, are excluded from utilizing this waiver until such time as these policies are rescinded and no longer in effect.

Local areas wishing to utilize the authority provided under this waiver must submit a request to the NYSDOL indicating the level of PY 06 funding they wish to reserve from their Adult and Dislocated Worker funding streams for their incumbent worker training program. No more than 10% of available PY 06 funds from each of these funding streams may be reserved for this purpose. Local areas may choose to reserve less than the maximum level from either of the funding streams. A local area may choose to only reserve funding from one stream and not the other. A local area may not reserve more than 10% from any one stream, even if no reservation is made from the other stream.

Any funds reserved in accordance with this waiver will retain their original identity and must continue to be tracked with their original funding stream. In addition to being included with all other expenditures of their respective funding stream, the local area will be required to submit a memo entry reporting the expenditure of those funds expended on Incumbent Worker training on the Monthly Accrued Expenditure Report for each PY 2006 funding stream from which funds were reserved. Revised Monthly Accrued Expenditure reports will be sent to all local areas which must be used beginning with the reports submitted for June 2006 (due July 20).

In addition to identifying the level of funds to be reserved from each funding stream, the local area’s request to NYSDOL must also include a brief plan describing the anticipated use of any funds reserved in accordance with this waiver. This plan must include the following elements:

• A statement that the local area does not currently have in place a priority of service policy;
• Anticipated number of incumbent workers to be provided training with these reserved funds;
• Industries and occupations to be targeted;
• Description of LWIB policies or criteria regarding the use of these funds (i.e. eligibility requirements, performance requirements, types of training that will be utilized or allowed, etc…);
• Description of the process by which funds will be made available and awarded (RFP, RFA, OJT/Customized Training Agreements, etc…);

Any individuals provided services by a local area with funds reserved under this waiver must be registered into the local area’s WIA Adult program and tracked in OSOS. The Department will add an “Incumbent Worker Waiver” tab to the Program dropdown. Local areas will select this choice in the Program dropdown when serving individuals under this waiver. These individuals will be included in the local area’s WIA Adult performance measures beginning with PY 06.

This waiver is approved through June 30, 2007 and will therefore only apply to PY 06 funding at this time. NYSDOL approval of the local area’s plan for the use of these reserved funds is required before local implementation of this waiver will be granted.

Under this waiver, local areas may utilize Individual Training Accounts (ITAs) for older youth (age 19-21) and for out-of-school youth where determined appropriate and in accordance with the individual service strategy developed for each youth. ITAs may be utilized in instances where a primary focus of the individual service strategy is determined to be the development of skills necessary to help connect the youth with gainful employment. The ITA should not be viewed as an alternative to acquiring a diploma or GED or other recognized educational credential. These educational based outcomes should continue to be an initial focus for all youth being served.

In addition, out-of-school youth, under the age of 18, must first be counseled to re-enter a program to finish their diploma or GED, prior to being able to use an ITA.

Established Local Board criteria governing the use of ITAs in the local One-Stop system must be consistently applied to the use of ITAs by youth participants, including requirements tying training to demand occupations, providing training for occupations with established career pathways which lead to self-sufficient wage levels, dollar limitations, types of costs covered, duration of training, etc…

Established policies around the use of training providers from the Eligible Training Provider (ETP) list must also be adhered to. Youth being provided with training through an ITA must be counseled and provided assistance from qualified case management staff in choosing appropriate training providers. Local Boards must establish guidelines for their local Youth Program operators in this regard.

The use of ITAs by youth program participants must be tracked and reflected in the individual service strategies for these youth. In OSOS, the Department will add a “Youth ITA Waiver” tab to the Program dropdown. Local areas must select this choice in the Program dropdown when serving youth under this waiver. In addition, local areas must select “Youth Services” in the Program Service Type dropdown to avoid confusion with Adult ITAs. Expenditure of youth funds for ITAs must also be separately tracked.

In accordance with this waiver, local areas may provide required follow-up services as part of the youth program design framework services, without need for a separate competitive procurement process. The entity that is providing youth program framework services such as intake, objective assessment, and development of the individual service strategy, is in the best position to conduct follow-up services and track program outcomes under the common measures. This should allow for greater efficiency in program operation and improved program data.

To utilize this waiver, the local area need only determine whether they will provide required follow-up services as part of their youth program framework services or continue to competitively bid out this service. No other action is required.

Submission Requirements:

For Local Areas seeking to implement Waivers #2 and #3, there are no submission requirements. Adherence to the above policy and reporting requirements are all that is required. For Local Areas seeking to implement Waiver #1, a funding reserve request and implementation plan narrative must be submitted electronically to: WDTDLocalPlans@labor.state.ny.us In the Subject line, please insert your local area’s name followed by “Waiver Request.”