20 C.F.R. Subpart D—Waivers and Work-Flex Waivers
Title 20 - Employees' Benefits
(a) The purpose of the general statutory and regulatory waiver authority is to provide flexibility to States and local areas and enhance their ability to improve the statewide workforce investment system. (b) A waiver may be requested to address impediments to the implementation of a strategic plan, including the continuous improvement strategy, consistent with the key reform principles of WIA. These key reform principles include: (1) Streamlining services and information to participants through a One-Stop delivery system; (2) Empowering individuals to obtain needed services and information to enhance their employment opportunities; (3) Ensuring universal access to core employment-related services; (4) Increasing accountability of States, localities and training providers for performance outcomes; (5) Establishing a stronger role for Local Boards and the private sector; (6) Providing increased State and local flexibility to implement innovative and comprehensive workforce investment systems; and (7) Improving youth programs through services which emphasize academic and occupational learning. (a) The Secretary may waive any of the statutory or regulatory requirements of subtitles B and E of title I of WIA, except for requirements relating to: (1) Wage and labor standards; (2) Non-displacement protections; (3) Worker rights; (4) Participation and protection of workers and participants; (5) Grievance procedures and judicial review; (6) Nondiscrimination; (7) Allocation of funds to local areas; (8) Eligibility of providers or participants; (9) The establishment and functions of local areas and local boards; (10) Procedures for review and approval of State and Local plans; and (b) The Secretary may waive any of the statutory or regulatory requirements of sections 8 through 10 of the Wagner-Peyser Act (29 U.S.C. 49g–49i) except for requirements relating to: (1) The provision of services to unemployment insurance claimants and veterans; and (2) Universal access to the basic labor exchange services without cost to job seekers. (c) The Secretary does not intend to waive any of the statutory or regulatory provisions essential to the key reform principles embodied in the Workforce Investment Act, described in §661.400, except in extremely unusual circumstances where the provision can be demonstrated as impeding reform. (WIA sec. 189(i).) (a) A Governor may request a general waiver in consultation with appropriate chief elected officials: (1) By submitting a waiver plan which may accompany the State's WIA 5-year strategic Plan; or (2) After a State's WIA Plan is approved, by directly submitting a waiver plan. (b) A Governor's waiver request may seek waivers for the entire State or for one or more local areas. (c) A Governor requesting a general waiver must submit to the Secretary a plan to improve the Statewide workforce investment system that: (1) Identifies the statutory or regulatory requirements for which a waiver is requested and the goals that the State or local area, as appropriate, intends to achieve as a result of the waiver and how those goals relate to the Strategic Plan goals; (2) Describes the actions that the State or local area, as appropriate, has undertaken to remove State or local statutory or regulatory barriers; (3) Describes the goals of the waiver and the expected programmatic outcomes if the request is granted; (4) Describes the individuals affected by the waiver; and (5) Describes the processes used to: (i) Monitor the progress in implementing the waiver; (ii) Provide notice to any Local Board affected by the waiver; (iii) Provide any Local Board affected by the waiver an opportunity to comment on the request; and (iv) Ensure meaningful public comment, including comment by business and organized labor, on the waiver. (d) The Secretary issues a decision on a waiver request within 90 days after the receipt of the original waiver request. (e) The Secretary will approve a waiver request if and only to the extent that: (1) The Secretary determines that the requirements for which a waiver is requested impede the ability of either the State or local area to implement the State's plan to improve the Statewide workforce investment system; (2) The Secretary determines that the waiver plan meets all of the requirements of WIA section 189(i)(4) and §§661.400 through 661.420; and (3) The State has executed a Memorandum of Understanding with the Secretary requiring the State to meet, or ensure that the local area meets, agreed-upon outcomes and to implement other appropriate measures to ensure accountability. (f) The Secretary will issue guidelines under which the States may request general waivers of WIA and Wagner-Peyser requirements. (WIA sec. 189(i).) (a) A State may submit to the Secretary, and the Secretary may approve, a workforce flexibility (work-flex) plan under which the State is authorized to waive, in accordance with the plan: (1) Any of the statutory or regulatory requirements under title I of WIA applicable to local areas, if the local area requests the waiver in a waiver application, except for: (i) Requirements relating to the basic purposes of title I of WIA; (ii) Wage and labor standards; (iii) Grievance procedures and judicial review; (iv) Nondiscrimination; (v) Eligibility of participants; (vi) Allocation of funds to local areas; (vii) Establishment and functions of local areas and local boards; (viii) Review and approval of local plans; (ix) Worker rights, participation, and protection; and (x) Any of the statutory provisions essential to the key reform principles embodied in the Workforce Investment Act, described in §661.400. (2) Any of the statutory or regulatory requirements applicable to the State under section 8 through 10 of the Wagner-Peyser Act (29 U.S.C. 49g–49i), except for requirements relating to: (i) The provision of services to unemployment insurance claimants and veterans; and (ii) Universal access to basic labor exchange services without cost to job seekers; and (3) Any of the statutory or regulatory requirements under the Older Americans Act of 1965 (OAA) (42 U.S.C. 3001 et seq.), applicable to State agencies on aging with respect to activities carried out using funds allotted under OAA section 506(a)(3) (42 U.S.C. 3056d(a)(3)), except for requirements relating to: (i) The basic purposes of OAA; (ii) Wage and labor standards; (iii) Eligibility of participants in the activities; and (iv) Standards for agreements. (b) A State's workforce flexibility plan may accompany the State's five-year Strategic Plan or may be submitted separately. If it is submitted separately, the workforce flexibility plan must identify related provisions in the State's five-year Strategic Plan. (c) A workforce flexibility plan submitted under paragraph (a) of this section must include descriptions of: (1) The process by which local areas in the State may submit and obtain State approval of applications for waivers; (2) The statutory and regulatory requirements of title I of WIA that are likely to be waived by the State under the workforce flexibility plan; (3) The statutory and regulatory requirements of sections 8 through 10 of the Wagner-Peyser Act that are proposed for waiver, if any; (4) The statutory and regulatory requirements of the Older Americans Act of 1965 that are proposed for waiver, if any; (5) The outcomes to be achieved by the waivers described in paragraphs (c)(1) to (4) of this section including, where appropriate, revisions to adjusted levels of performance included in the State or local plan under title I of WIA; and (6) The measures to be taken to ensure appropriate accountability for Federal funds in connection with the waivers. (d) The Secretary may approve a workforce flexibility plan for a period of up to five years. (e) Before submitting a workforce flexibility plan to the Secretary for approval, the State must provide adequate notice and a reasonable opportunity for comment on the proposed waiver requests under the workforce flexibility plan to all interested parties and to the general public. (f) The Secretary will issue guidelines under which States may request designation as a work-flex State. (a)(1) Under work-flex waiver authority a State must not waive the WIA, Wagner-Peyser or Older Americans Act requirements which are excepted from the work-flex waiver authority and described in §661.430(a). (2) Requests to waive statutory and regulatory requirements of title I of WIA applicable at the State level may not be granted under work-flex waiver authority granted to a State. Such requests may only be granted by the Secretary under the general waiver authority described at §§661.410 through 661.420. (b) As required in §661.430(c)(5), States must address the outcomes to result from work-flex waivers as part of its workforce flexibility plan. Once approved, a State's work-flex designation is conditioned on the State demonstrating it has met the agreed-upon outcomes contained in its workforce flexibility plan.
Title 20: Employees' Benefits
PART 661—STATEWIDE AND LOCAL GOVERNANCE OF THE WORKFORCE INVESTMENT SYSTEM UNDER TITLE I OF THE WORKFORCE INVESTMENT ACT
Subpart D—Waivers and Work-Flex Waivers
§ 661.400 What is the purpose of the General Statutory and Regulatory Waiver Authority provided at section 189(i)(4) of the Workforce Investment Act?
§ 661.410 What provisions of WIA and the Wagner-Peyser Act may be waived, and what provisions may not be waived?
§ 661.420 Under what conditions may a Governor request, and the Secretary approve, a general waiver of statutory or regulatory requirements under WIA section 189(i)(4)?
§ 661.430 Under what conditions may the Governor submit a Workforce Flexibility Plan?
§ 661.440 What limitations apply to the State's Workforce Flexibility Plan authority under WIA?
