Policy Detail

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The State, or Governor’s designee, is responsible for the planning and implementation of the Workforce Innovation and Opportunity Act (WIOA). 

Definitions

• Governor’s Designee:  Iowa Workforce Development (IWD), has been granted authority by the Governor to act as the lead state agency to assist in the administration of WIOA.

Primary Responsibilities

Under WIOA, IWD:

• Administers WIOA Title I and Title III programs
• Develops statewide policies
• Conducts annual monitoring reviews of Local Workforce Development Areas
• Determines eligibility of providers of training services who may receive training funds under WIOA Title I
• Provides oversight and technical assistance to Local Workforce Development Areas
• Reviews and approves local plans

Responsibilities in Consultation with the State Workforce Development Board

IWD, in consultation with the State WDB, is responsible for assisting the State WDB to fulfill the functions outlined in State Board Roles and Responsibilities, to the extent that such assistance does not create a conflict of interest 

Responsibilities in Consultation with CEOs and Local WDBs

IWD is required to work in partnership with CEOs and Local WDBs to complete the following functions:

• Allocation of WIOA funds
• Development of a reorganization plan for the Local WDB, if a Local WDB is decertified
• Operation and certification of local American Job Centers (AJCs), including consultation with CEOs and Local WDBs regarding policies related to and funding of AJC infrastructure costs

The purpose of identifying regions is to align workforce development activities and resources with larger regional economic development areas and available resources to provide coordinated and efficient services to both job seekers and employers. 

The Governor shall identify:

• Which regions are comprised of one Local Workforce Development Area that is aligned with the region
• Which regions are comprised of two or more Local Workforce Development Areas that are collectively aligned with the region (referred to as planning regions)
• Which, of the planning regions, are interstate areas contained within two or more states, and consist of labor market areas, economic development areas, or other appropriate contiguous sub-areas of those States (referred to as interstate planning regions)

The Governor shall identify regions after consultation with the Chief Lead Elected Official and Local Workforce Development Boards and take into account the following factors: 

• Consistency with natural labor market areas
• Consistency with regional economic development areas
• Existence of education and training providers, such as institutions of higher education and career and technical education schools
• Consistency with population centers
• Consistency with commuting patterns, which shows movement of workers from their residence to their workplace
• Industrial composition, including industry employment patterns (jobs by industry and share of total employment by industry)
• Labor force conditions, including labor force data and unemployment data

Purpose of Planning Regions

Planning regions are two or more Local Workforce Development Areas identified by the Governor which are collectively aligned within the region. The purpose of planning regions is to align workforce development activities and resources with larger regional economic development areas and available resources to provide coordinated and efficient services to both individuals and employers. The development of comprehensive regional partnerships facilitates this alignment and provides support for the execution and implementation of sector strategies and career pathways.

Identification of planning regions is important, because regional economic development areas do not necessarily correspond to State, county, or Local Workforce Development Areas, or municipal boundaries. Planning regions are established in order to ensure that training and employment services:

• Support economic growth and related employment opportunities
• Meet the needs of individuals, including those with barriers to employment
• Meet the skill competency requirements of the region
• Meet the specific needs of regional employers and the skills they require

Identification of Regions

In addition to WIOA legislation and the State's criteria for the identification of regions, the following guidelines must be followed when identifying planning region:

• A single Local Workforce Development Area may not be split across two planning regions
• Local Workforce Development Areas must be contiguous in order to be a planning region
• A Local Workforce Development Area may only be part of one planning region

Additional Considerations for Regional Planning

• Planning regions or Local Workforce Development Areas may engage in regional planning with other state’s Local Workforce Development Areas for the purposes of that state’s regional planning requirements
• Local Workforce Development Areas identified as single area regions shall work with and coordinate with other Local Workforce Development Areas or planning regions who share a common labor market.  Activities include, but are not limited to:
  • Identification of sector strategies
  • Development of strategies to serve common employers
  • Coordination of rapid response and/or layoff aversion activities

Provision of Data

The State will assist planning regions and single area regions in obtaining the necessary labor market data, operational data elements, and any other data that will support the process of regional or local planning. The State will also provide ongoing support to meet the purpose of regional and local planning.

Technical Assistance

Ongoing support, guidance, training and technical assistance on development of local and regional planning is available to all Local Workforce Development Areas. Requests for technical assistance may be sent to: WIOAgovernance@iwd.iowa.gov.

The purpose of a Local Workforce Development Area, each with its own Local Workforce Development Board (WDB), is to serve as a jurisdiction for the administration of workforce development activities and execution of Workforce Innovation and Opportunity Act (WIOA) Title I program funds allocated by the Governor through the State workforce agency (Iowa Workforce Development).

Local Workforce Development Area Designation

WIOA at 189(i)(1) states, “A State that has enacted, not later than December 31, 1997, a State law providing for the designation of service delivery areas for the delivery of workforce investment activities, may use such areas as local areas under this title, notwithstanding section 106.”  As a result of this provision, the State of Iowa follows Iowa Code Section 84B.3 to designate Local Workforce Development Areas.  This Code section allows that, after consultation with applicable Local WDBs and with the approval of the State WDB, IWD may designate Local Workforce Development Areas.

Considerations

IWD may designate or redesignate a Local Workforce Development Area in accordance with this policy, which includes consideration of the extent to which the proposed area:

• Is consistent with labor market areas in the State
• Is consistent with regional economic development areas in the State
• Has the Federal and non-Federal resources, including appropriate education and training institutions, to administer activities under WIOA subtitle B
• Is consistent with population centers
• Is consistent with commuting patterns that demonstrate movement of workers from their residences to their workplaces

Process for Designating Local Workforce Development Areas

IWD shall consult with Local WDBs and Chief Lead Elected Officials (CLEOs).  This consultation must include the opportunity for Local WDBs and CLEOs to provide input regarding the proposed designation.  

IWD will consider all information gathered during the Local WDB and CLEO consultation process and provide a recommendation for Local Workforce Development Area designation to the State WDB.  The State WDB will issue a decision on the designation of Local Workforce Development Areas.  

Local Workforce Development Area Review

IWD may review the designation of a Local Workforce Development Area at any time, but must review all Local Workforce Development Area designations prior to submitting the Combined or Unified State Plan during each four-year state planning cycle.  Reviews are performed to ensure the Local Workforce Development Area is meeting the requirements for redesignation as it relates to: 

• Consistency with labor markets in the State
• Consistency with regional economic development areas in the State
• Whether the Local Workforce Development Area has the Federal and non-Federal resources, including appropriate education and training institutions, to administer activities under WIOA subtitle B
• Consistency with commuting patterns that demonstrate movement of workers from their residences to their workplaces
• Whether the Local Workforce Development Area, in the prior two program years, met or exceeded the adjusted levels of performance for primary indicators of performance or the common measures
• Whether the Local Workforce Development Area has the capacity to manage funds, provide oversight of programs, and provide for the proper stewardship of public funds
• Whether the Local Workforce Development Area met the local planning requirements outlined in the state and local plans
• Whether a Local Workforce Development Area in a planning region met the regional planning requirements outlined in both the state and regional plans

If IWD’s review determines that a Local Workforce Development Area or areas does not meet the requirements for redesignation, IWD, following established processes for Local Workforce Development Area designation, will redesignate or realign Local Workforce Development Areas to ensure compliance with WIOA legislation and state policies.  

Appealing a Designation Decision

A Local WDB chair or CLEO may appeal a designation decision to the State WDB within 30 calendar days of the date such designation is approved by the State WDB. 

Appeals must include the following information:

• Intent or notice to appeal
• Name and contact information of the Local WDB chair or CLEO filing the appeal
• Provide justification for the appeal, including the reason the Local Workforce Development Area disagrees with the decision and a proposed alternative Local Workforce Development Area designation as outlined under the Local Workforce Development Area Designation section of this policy. 
• Signature and date of the Local WDB chair or CLEO

The appeal must be submitted electronically to the State WDB at: WIOAgovernance@iwd.iowa.gov.

The State WBD will review the appeal, provide the appellant with the opportunity for a hearing at the next regularly scheduled State WDB meeting, and make a ruling on the appeal within 30 calendar days of that meeting.  The State WDB shall notify the Local WDB chair or CLEO in writing of its decision.

In accordance with the WIOA regulations, in the event the State WDB denies the appeal or fails to issue a decision within 30 calendar days following the State WDB meeting that considered the appeal, the Local WDB or CLEO may further appeal the State WDBs decision, or lack thereof, to the Secretary of the United States Department of Labor (USDOL).  The appeal must be filed within 30 calendar days from the receipt of the written notification of the State WDBs denial or failure to issue a decision.

The appellant must establish in its appeal to the USDOL that the appellant was not afforded procedural rights under the appeal process set forth in this policy, or that it meets the requirements for local designation provided under state Local Workforce Development Area Designation criteria.

The appeal must be submitted by certified mail, with return receipt requested, to: Secretary, U.S. Department of Labor, 200 Constitution Avenue NW, Washington, DS 20210, Attention: ASET.  

A copy of the appeal must be submitted to the State WDB at: WIOAgovernance@iwd.iowa.gov at the same time the appellant sends the appeal to USDOL.  

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The Workforce Innovation and Opportunity Act (WIOA) gives Chief Elected Official significant authority to provide leadership with the development, operation and performance of local workforce development programs. 

Definitions

• Chief Elected Official (CEO): The chief elected executive officer of a unit of general local government within a Local Workforce Development Area, which is the county board of supervisors chair, or a designated member of the board of supervisors.
• Chief Lead Elected Official (CLEO): Is the individual selected by the participating chief elected officials who may act on behalf of the other chief elected officials in a given Local Workforce Development Area.  The CLEO shall be the State Workforce Agency’s primary point of contact for disseminating information among CEOs within a Local Workforce Development Area.  The CLEO may also have such additional administrative responsibilities as designated by IWD and State WDB.

Primary Responsibilities

Under WIOA, CEOs:

• Serve as the grant recipient for funds received under WIOA, unless they designate a grant subrecipient or fiscal agent.
• Assume financial liability for any grant funds determined to be misused or unallowable, even when alternate grant subrecipients or fiscal agents are appointed.
• Appoint members of the Local Workforce Development Board (WDB).
• Approve all significant actions of the Local WDB, including the:
  • Competitive selection of a one-stop operator and providers
  • Termination for cause of the one-stop operator or provider
  • Negotiated Memorandum of Understanding
  • Notification to Iowa Workforce Development (IWD) of the desire to provide career services, prior to requesting approval from IWD 
  • Local WDB budget and administration

Responsibilities in Consultation with IWD

CEOs, in consultation with IWD, are responsible for significant structural, planning, operational and performance matters pertaining to the delivery of workforce services including the:

• Allocation of WIOA funds.
• Development of a reorganization plan for the Local WDB, if a Local WDB is decertified.
• Operation and certification of local American Job Centers (AJCs), including consultation with IWD regarding policies related to and funding of AJC infrastructure costs.

Responsibilities in Consultation with Local WDBs

CEOs are required to work in partnership with Local WDBs to assure the local workforce system responds to the local needs of employers in sectors critical to the local and regional economies, including by:

• Developing a local plan that meets local workforce development needs and the requirements of WIOA.
• Engaging in regional planning with other CEOs and Local WDBs designated by IWD as being in the same region.
• In conjunction with IWD, carrying out statewide Rapid Response activities using funds reserved by IWD, including additional assistance to Local Workforce Development Areas that experience disasters, mass layoffs, or plant closings, or other events that precipitate substantial increases in the number of unemployed individuals.
• Negotiating local performance accountability measures under WIOA.
• Establishing and operating a fiscal accountability system.
• Conducting ongoing oversight of workforce development activities to assure appropriate management and use of funds and to maximize performance outcomes.

CLEO Notifications to IWD

CLEOs must notify IWD in the event any of the following occurs:

• Wish to designate a new local grant recipient.
• Change of signatory authority on contracts.
• Appointment of a new CLEO.
• Reconfiguration of a Local Workforce Development Area.

Notification must be submitted electronically to: WIOAgovernance@iwd.iowa.gov.

The Workforce Innovation and Opportunity Act (WIOA) authorizes the Chief Lead Elected Official (CLEO) to appoint Local Workforce Development Boards (WDBs), in accordance with Federal requirements as well as State criteria as outlined within this chapter.  Iowa Workforce Development (IWD) shall certify, or address decertification, of Local WDBs every 2 years.  

The Chief Lead Elected Official (CLEO) in consultation with the Local Workforce Development Board (WDB) must establish by-laws, consistent with Local Board Membership Requirements, that at a minimum address:

• The nomination process, including required documentation in accordance with Submission of Nominations, used by the CLEO to select the Local WDB chair and members.
• The term limitations and how the term appointments will be staggered to ensure only a portion of membership expire in a given year.
• The process and timeline to notify the CLEO of a Local WDB member vacancy to ensure a prompt nominee.
• The reappointment process and timeline to ensure compliance with membership composition requirements.
• The proxy and alternative designee process that will be used when a Local WDB member is unable to attend a meeting and assigns an alternate.
• The process and timeline for the removal of Local WDB members.
• The use of technology, such as phone and web-based meetings, that will be used to promote Local WDB member participation.
• The process to ensure Local WDB members actively participate in convening the workforce development system’s stakeholders, brokering relationships with a diverse range of employers, and leveraging support for workforce development activities. 
• A description of any other conditions governing appointment or membership on the Local WDB as deemed appropriate by the CLEO.
• Conflict of interest statements, as well as address provisions for penalties, sanctions or other disciplinary actions for any direct violations of the Local WDB conflict of interest policy.
• Affirms compliance with Iowa’s Sunshine laws.
• Recognizes the Local WDB has the authority to hire staff.
• Defines what constitutes a quorum. 
• Establishes standing committees and other working groups to provide information and assist with carrying out responsibilities of the Local WDB.

The Chief Elected Officials (CEOs) in a local area are financially liable for the misuse of Workforce Innovation and Opportunity Act (WIOA) Title I funds, whether the Chief Lead Elected Official (CLEO) serves as the grant recipient, or another entity is designated to serve in that capacity. In a multijurisdictional local area, all CEOs are jointly and severally liable for any improper expenditures.  Designation of a CLEO does not relieve the CEOs of financial liability. In other words, the CEO’s unit of government is liable and must repay the State or the USDOL using non-federal funds for any expenditures determined to be disallowed and for which the entity who incurred the expenditure is unable to pay.

A written agreement, as outlined in policy 1.2.3 CEO Agreement/Shared Liability Agreement, between the CEOs is required, outlining how liability will be apportioned if a repayment is required. 

The CEO Agreement/Shared Liability Agreement shall make explicit the local grant recipient arrangement and ability to utilize a separate entity for fiscal agent duties and acknowledge the CEOs financial liability for WIOA funds. The CEO, or all CEOs in multiple CEO areas, are required to sign this agreement. Under this arrangement, funds flow to the entity selected by the CEOs to function as the local grant recipient.  

Local Workforce Development Areas comprised of more than one unit of general local government must establish a written agreement, known as a Shared Liability Agreement, which determines how liability will be shared among the Chief Elected Officials (CEOs) in the Local Workforce Development Area.

Agreement Requirements

At a minimum, this written agreement shall include the following criteria, in accordance with policy 1.2.2 CEO Financial Liability:

• A description of the process and method the CEOs will use to determine the Chief Lead Elected Official (CLEO).
• A description of the process and method CEOs will use for the nomination, appointment, removal or reappointment of members to the Local Workforce Development Board (WDB), including each individual CEO's role in the appointment process and how appointments will be distributed between or among CEOs in the Local Workforce Development Area.
• Establish the process for designating an alternate entity to serve as the local grant recipient should the CLEO opt for her/his unit of government to not do it. Additionally, within this process, the CLEO must expressly permit the alternate entity’s ability to contract out fiscal agent duties.
• Internal dispute resolution process.
• Process for amendments or changes to the agreement.
• The method, formula, or other basis on which each unit of local government’s liability for misspent funds or disallowed costs will be determined, including acknowledging that any required repayment of funds must be made from non-federal fund sources.
• A description of the process and method to be used to make all other significant decisions required pursuant to the responsibilities of CEOs under the Workforce Innovation and Opportunity Act (WIOA), in accordance with CEO Roles and Responsibilities.
• How the CEOs will fulfill their responsibilities to partner with the Local WDB to:
  • Develop and submit the local plan
  • Provide WIOA program oversight
  • Select one-stop operators
  • Approve the Local WDB budget
  • Approve additional one-stop partners
  • Agree on the Memorandum of Understanding
• How the CEOs will consult with Iowa Workforce Development (IWD) to:
  • Negotiate local performance measures
  • Coordinate the development of a reorganization plan following any Local WDB decertification 
  • Provide Rapid Response activities
  • Establish a fiscal management system
  • Any additional factors concerning activities in the Local Workforce Development Area funded by IWD or the United States Department of Labor 

Additional Considerations

In addition to the requirements outlined above, this written agreement may include:

• Conflict of interest regarding the CEO and governing board of the local grant recipient, fiscal agent, and/or service provider(s)
• Communications strategy to share information from the CLEO to the CEOs in the Local Workforce Development Area

Review of Agreement

At a minimum, CEOs should review their CEO Agreement/Shared Liability Agreement every four years to ensure it complies with this policy.

Lack of Agreement

If the CEOs are unable to reach agreement regarding appointment of Local WDB members after a reasonable effort, the Governor may appoint the members of the Local WDB from among the individuals nominated or recommended.  

Submission of Agreement

The fully executed agreement must be submitted to IWD electronically at: WIOAgovernance@iwd.iowa.gov. Upon review and verification of the agreement’s WIOA compliance, IWD will approve and file the CEO agreement with the Iowa Secretary of State’s office as required for interlocal agreements.

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The chief lead elected official (CLEO) in a local area shall serve as the local grant recipient which includes performance of all fiscal related activities. The CLEO may designate an alternate entity to serve as the local grant recipient. If the CLEO designates an alternate entity to act as the local grant recipient, that entity must perform all duties required of a local grant recipient unless the CLEO expressly permits specific duties to be performed by another entity.  In designating an alternate entity to serve as the local grant recipient, the CLEO must clearly indicate the designated grant recipient has permission to contract fiscal agent duties to an alternate entity. If a fiscal agent is not designated, those tasks must be completed by the local grant recipient. The roles of a local grant recipient and a fiscal agent, if one exists, are distinct, as outlined below.

Designation of an alternate entity to serve as the local grant recipient and/or allowing a designated grant recipient to contract for fiscal agent services does not relieve the chief elected officials (CEOs) of liability for the misuse of grant funds.

The local grant recipient, either the CLEO’s unit of government or an alternate entity designated by the CLEO, has responsibilities in three key areas: fiscal, program, and staffing.

Local Grant Recipient Responsibilities

Fiscal responsibilities include:

• receiving the WIOA funds,
• tracking expenditures,
• preparing financial reports for the local WDB, IWD, and CEOs,
• ensuring compliance with all applicable laws, regulations, and policies
• procuring services and contracts at the direction of the local WDB
• execute and monitor contracts, service providers, and one-stop operators

Program responsibilities include:

• determining eligibility of program participants
• adhering to performance measures
• carrying out the vision of the local board through programmatic decision making
• maintaining compliance with the law, regulations, and policies
• carrying out own programs from design to delivery

Staffing responsibilities include:

• employing staff to carry out all functions of grant management and oversight functions including fiscal services
• employing staff to carry out all functions of program design and execution
• providing access to other staff or services to support the above-mentioned services including but not limited to accounting, information technology, human resources, and legal services.

Each local grant recipient must maintain an effective internal control system that provides reasonable assurance that funds are managed in compliance with federal statues, regulations, terms of the federal award; with the terms of the agreement with IWD; and with state policy (both from the state workforce board and IWD).

Fiscal Agent Responsibilities

If the CLEO expressly allows the designated local grant recipient to contract a fiscal agent to support the work of the local grant recipient, the designated local grant recipient must ensure the fiscal agent has clearly defined roles and responsibilities. These roles and responsibilities must be detailed in a written agreement between the local grant recipient and the fiscal agent.

The fiscal agent may only be responsible for the following functions:

• Receive funds
• Ensure sustained fiscal integrity and accountability for expenditures of funds in accordance with the Office of Management and Budget circulars, the Workforce Innovation and Opportunity Act and the corresponding Federal Regulations and State policies
• Respond to audit financial findings
• Maintain proper accounting records and adequate documentation
• Prepare financial reports
• Provide technical assistance to subrecipients regarding fiscal issues

At the direction of the Local WDB, the fiscal agent may:

• procure contracts or obtain written agreements
• conduct financial monitoring on service providers and 
• ensure independent audit of all employment and training programs

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The Chief Lead Elected Official (CLEO) in each Local Workforce Development Area shall appoint members to the Local Workforce Development Board (WDB) in accordance with Local Board Membership Requirements, and the following criteria:

• The CLEO must contact appropriate businesses, workforce or educational entities, including chambers of commerce, labor representatives and local educational entities serving the Local Workforce Development Area, to request nominations for Local WDB membership.
• Business representatives are to be nominated by local business organizations and business trade associations.  Such organizations may consist of local chambers of commerce or business councils.
• Labor representatives are to be nominated by local labor federations.
• When there are multiple providers of Adult Education and Literacy or institutions of higher education operating within the Local Workforce Development Area, the CLEO must solicit nominations from those providers and institutions, and appoint required representatives from among the individuals nominated.  There is not a requirement that the Local WDB include a representative from each provider operating within the Local Workforce Development Area.
• Please note that Chapter 84A.4 of the Iowa Code requires consideration of political affiliation and gender balance in Local WDB membership composition. 

CLEOs in each Local Workforce Development Area have the flexibility to appoint other appropriate individuals or representatives of entities as determined to be appropriate.  CLEOs are encouraged to ensure that Local WDB members represent the diversity of job seekers and employers in their local areas, which includes ensuring adequate representation on the Local WDB and ensuring appropriate expertise to address needs of individuals with barriers to employment.  

Chief Elected Officials (CEOs) must establish policies and procedures to facilitate all nominations, including a policy for selecting and rotating membership. 

Required Documentation

When nominating an individual to serve on the Local WDB, all nominating organizations must complete and submit the following nomination documentation to the CLEO for member selection and appointment:

• A signed Conflict of Interest form 
• A signed Member Nomination form, which must come from the head of the organization the nominee represents, and must:
  • Identify the individual being nominated
  • Acknowledge the nominee’s optimum policy making authority, as it aligns with a curriculum vitae, resume, or work history, to support the qualifications of the nomination

Completed appointment documentation for Local Workforce Development Board (WDB) membership must be submitted by the Chief Lead Elected Official (CLEO) to Iowa Workforce Development (IWD) for review.  Documentation must be submitted electronically to: WIOAgovernance@iwd.iowa.gov.

Once documentation has been received, IWD will review and provide a response to the CLEO within 10 business days affirming the appointment to the Local WDB, or request additional information when the documentation submitted is insufficient to make a determination.

The appointee must not be appointed to the Local WDB until the CLEO has received confirmation from IWD that the appointment has been affirmed.

Lack of Agreement

If the Chief Elected Officials (CEOs) are unable to reach agreement after a reasonable effort, IWD may appoint the members of the Local WDB from individuals nominated or recommended.

The Chief Lead Elected Official (CLEO) is responsible for all reappointments.  New nominations are required for all appointments from nominating organizations in accordance with Submission of Nominations.

The CLEO must process reappointments within 60 business days from the effective date of the term expiration.  During the 60-day period, the Local Workforce Development Board (WDB) will be able to legally act as a board and conduct business.  

If the CLEO fails to reappoint a Local WDB member in a required category within 60 business days, the Local WDB will be out of compliance with membership composition requirements, and any business conducted shall not be considered legal, unless the Local WDB has a waiver in place in accordance with Vacancies.

The CLEO must indicate both the official beginning date of the reappointment and the official term expiration date on the nomination form. 

After the CLEO submits all necessary documentation, Iowa Workforce Development will affirm the nomination or request additional information in accordance with Submission of Appointments.

Local Workforce Development Board (WDB) members who no longer hold the position or status that made them eligible to represent a specific sector on the Local WDB must resign or be removed by the Chief Lead Elected Official (CLEO) immediately as a representative of that entity.  A resignation is not effective until it has been accepted by the CLEO.

Any changes to the membership of the Local WDB must be reported to Iowa Workforce Development within 10 business days from the date of the change. Notification of a change must be submitted electronically to: WIOAgovernance@iwd.iowa.gov.

Notification must include:

• The name of the Local WDB member
• The nature of the change (addition, removal, etc.)
• The organization represented
• Job tile
• Category of inclusion (business, workforce, education & training, government/economic and community development, other)

New Local WDB member documentation submissions must be in accordance with Submission of Appointments.

To best allow for comprehensive nominations, review, and appointment, Local Workforce Development Board (WDB) vacancies must be filled within 60 business days from the time the vacancy was created.  The Chief Lead Elected Official in a Local Workforce Development Area is authorized to make all reappointments of members, in accordance with Reappointments.

Local WDBs with vacancies exceeding 60 business days will be considered not in compliance with policy. Any action taken by a Local WDB, with a vacancy or term expiration beyond the time period identified in the Local WDB by-laws or later than the 60 business days per this policy shall be void, unless the Local WDB has a waiver in place.

Waiver Request

A Local WDB who has failed to fill a vacancy in a required category within 60 business days of the effective date of the vacancy, may request a waiver of the 60-day requirement.  

Considerations when submitting a waiver request include:

• Waiver requests must be submitted prior to the expiration of the 60 business day requirement as outlined above.
• Approved waivers will allow for 40 additional business days from the date the waiver was approved to fill a vacancy.  
• Local WDBs requesting a waiver for vacancies must submit a formal request to Iowa Workforce Development electronically at: WIOAgovernance@iwd.iowa.gov.  

The request must include what efforts have been put forth to fill the vacancy, and what additional efforts will be made to fill the vacancy within the approved timeframe.

Local Workforce Development Board members replacing outgoing members mid-term will serve the remainder of the outgoing members term.

Local Workforce Development Board (WDB) members must be removed by the Chief Lead Elected Official in the event any of the following occurs:

• Documented violation of conflict of interest
• Failure to meet Local WDB member representation requirements, as defined in the Workforce Innovation and Opportunity Act and in accordance with Local Board Membership Requirements
• Documented proof of fraud and/or abuse

Local WDB members may be removed for other factors outlined in the board by-laws such as attendance. Local WDBs are strongly encouraged to establish and enforce attendance guidelines for its members. The by-laws must define the specific criteria that will be used to establish just cause for such removal and the process that will be required to document proof, and the steps regarding filing an appeal and arbitration.

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The Workforce Innovation and Opportunity Act (WIOA) requires Iowa Workforce Development (IWD), in partnership with the State Workforce Development Board (WDB), to establish criteria for appointment of local board members to be used by the Chief Lead Elected Official (CLEO).  

Included is the minimum criteria for Local Workforce Development Board (WDB) membership.  Local WDBs must develop policies and procedures, as appropriate, to comply with the following requirements.

Local WDB Membership

The members of the Local WDB shall represent diverse geographic areas within the Local Workforce Development Area and represent employers whose employment opportunities reflect existing and emerging employment opportunities in the region. Local WDB members are required to be employed by the sector they represent. 

1. The majority, at least 51 percent, of the members of the local WDB must be representatives of business in the Local Workforce Development Area. At a minimum, two of these members must represent small business as defined by the U.S. Small Business Administration. Business representatives serving on local WDBs also may serve on the State WDB. Each business representative must meet the following criteria:
   1. Be an owner, chief executive officer, chief operating officer, or other individual with optimum policy-making or hiring authority.
   2. Provide employment opportunities in in-demand industry sectors or occupations.
   3. Representatives from private not-for-profit entities that operate as businesses and are employers may be considered business sector members on the local WDB. The not-for-profit entities should align with the key industry sectors for the state and the Local Workforce Development Area, as identified in the local plan.
   4. Representatives from proprietary schools cannot be considered a business sector member. 
2. Not less than 20 percent of the members of the Local WDB must be workforce representatives that, where possible, align with the key industry sectors for the state and the Local Workforce Development Area, as identified in the local plan. These representatives:
   1. Must include two or more representatives of labor organizations, where such organizations exist in the Local Workforce Development Area. Where labor organizations do not exist, representatives must be selected from other employee representatives.
   2. Must include one or more representatives of a joint labor-management, or union affiliated, registered apprenticeship program within the area who must be a training director or a member of a labor organization. If no union affiliated registered apprenticeship programs exist in the area, a representative of a registered apprenticeship program with no union affiliation must be appointed, if one exists.
   3. May include one or more representatives of community-based organizations that have demonstrated experience and expertise in addressing the employment, training or education needs of individuals with barriers to employment, including organizations that serve veterans or provide or support competitive integrated employment for individuals with disabilities.
   4. May include one or more representatives of organizations that have demonstrated experience and expertise in addressing the employment, training, or education needs of eligible youth, including representatives of organizations that serve out-of-school youth.
3. The Local WDB also must include:
   1. At least one eligible training provider administering adult education and literacy activities under WIOA Title II.
      1. If there are multiple eligible providers serving the Local Workforce Development Area under WIOA Title II, each representative on the Local WDB shall be appointed from among the individuals nominated by eligible local providers.
   2. At least one representative from an institution of higher education providing workforce investment activities, including community colleges.
      1. If there are multiple institutions of higher education serving the Local Workforce Development Area by providing workforce investment activities, each representative on the Local WDB shall be appointed from among individuals nominated.
   3. At least one representative from each of the following governmental and economic and community development entities:
      1. Economic and community development entities.
      2. The State employment service office under Wagner-Peyser Act which serves the Local Workforce Development Area, who is nominated by the director of the department of workforce development. 
      3. A program carried out under Title I of the Rehabilitation Act of 1973 (Also referred to as Title IV of WIOA) which serves the local service delivery area, who is nominated by the administrator of the division of vocational rehabilitation services of the department of education or director of the department of the blind, as appropriate.
4. The membership of Local WDBs may include individuals or representatives of other appropriate entities in the Local Workforce Development Area, including:
   1. Entities administering education and training activities who represent local educational agencies or community-based organizations with demonstrated expertise in addressing the education or training needs for individuals with barriers to employment.
   2. Governmental and economic and community development entities who represent transportation, housing, and public assistance programs.
   3. Philanthropic organizations serving the Local Workforce Development Area.
   4. Other appropriate individuals as determined by the CLEO.
5. Members must be individuals with optimum policy-making authority within the entities they represent.
6. The CLEO must establish a formal nomination and appointment process, for appointment of members of the Local WDBs, that ensures:
   1. Business representatives are appointed from among individuals who are nominated by local business organizations and business trade associations.
   2. Labor representatives are appointed from among individuals who are nominated by local labor federations (or, for a Local Workforce Development Area in which no employees are represented by such organizations, other representatives of employees).
   3. When there is more than one Local Workforce Development Area provider of adult education and literacy activities under WIOA Title II, or multiple institutions of higher education providing workforce investment activities, nominations are solicited from those particular entities.
7. An individual may be appointed as a representative of more than one entity if the individual meets all the criteria for representation, including the criteria described in 2-6 above, for each entity.
   1. All required Local WDB members must have voting privileges. The CLEO may convey voting privileges to non-required members.
8. The overall membership of the Local WDB must be balanced by gender and political affiliation.  No more than one half, plus one of the total board membership may be composed of any one gender or political party.  For example, if there were 10 total members, no more than 6 members could be any one gender or political party.
   1. This requirement excludes members described in 3 c. ii-iii above.

All Local Workforce Development Boards (WDBs) must have a board chairperson.  The Local WDB chairperson is elected by the Local WDB and must be a business sector member of the board.  The Local WDB may also choose to elect a vice-chairperson who can carry out the chairperson’s functions should the chairperson be unavailable.  The vice-chairperson must also be elected by the Local WDB and represent the business sector.  

The chairperson shall chair Local WDB meetings and must ensure that the Local WDB functions properly, that there is full participation during meetings, that all relevant matters are discussed and that effective decisions are made and carried out.  Local WDBs must develop additional policies and procedures, as appropriate, to comply with these requirements.

Content not applicable. Section heading only.

The primary role of the Local Workforce Development Board (WDB) is to serve as a strategic convener to promote and broker effective relationships between the Chief Lead Elected Official (CLEO) and economic, education, and workforce partners throughout the Local Workforce Development Area. The Local WDB must develop strategies to continuously improve and strengthen the workforce development system through innovation in, and alignment and improvement of, employment, training, and education programs to promote economic growth.

Once established and certified, each Local WDB must:

• Develop, submit and maintain a 4-year local plan for the Local Workforce Development Area, in partnership with the CLEO.
• If involved in a planning region, develop, submit and maintain a regional plan in collaboration with the other Local Workforce Development Areas within the region.
• Conduct workforce research and regional labor market analysis to include:
  • Analyses and regular updates of economic conditions, needed knowledge and skills, workforce, and workforce development (including education and training) activities to include an analysis of the strengths and weaknesses (including the capacity to provide) of such services to address the identified education and skill needs of the workforce and the employment needs of employer.
  • Provide assistance to Iowa Workforce Development (IWD) in developing the statewide workforce and labor market information system under the Wagner-Peyser Act for the region.
  • Other research, data collection, and analysis related to the workforce needs of the regional economy as the Local WDB, after receiving input from a wide array of stakeholders, determines to be necessary to carry out its function.
• Convene, broker, and leverage workforce development system stakeholders to assist in:
  • The development of the local plan
  • Identifying non-Federal expertise and resources to leverage support for workforce development activities
  • Convening, brokering, and leveraging such functions at the direction of the Local WDB, or its standing committees
• Lead efforts to engage with a diverse range of employers and other entities in the region in order to:
  • Promote business representation (particularly representatives with optimum policy-making or hiring authority from employers whose employment opportunities reflect existing and emerging employment opportunities in the region) on the Local WDB.
  • Develop effective linkages (including the use of intermediaries) with employers in the region to support employer utilization of the local workforce development system and to support local workforce investment activities.
  • Ensure that workforce investment activities meet the needs of employers and support economic growth in the region by enhancing communication, coordination, and collaboration among employers, economic development entities, and service providers.
  • Develop and implement proven or promising strategies for meeting the employment and skill needs of workers and employers (such as the establishment of industry and sector partnerships), that provide the skilled workforce needed by employers in the region, and that expand employment and career advancement opportunities for workforce development system participants in in-demand industry sectors or occupations.
• With representatives of secondary and postsecondary education programs, lead efforts to develop and implement career pathways within the local area by aligning the employment, training, education, and supportive services that are needed by adults and youth, particularly individuals with barriers to employment.
• Lead efforts in the local area to identify and promote proven and promising strategies and initiatives for meeting the needs of employers, workers and job seekers, including individuals with a barrier to employment and providing physical and programmatic accessibility in the American Job Center (AJC).  Identify and disseminate information on proven and promising practices carried out in other local areas for meeting such needs.
• Develop strategies for using technology to maximize the accessibility and effectiveness of the local workforce development system for employers, and workers and job seekers, by doing all of the following:
  • Facilitating connections among the intake and case management information systems of the AJC partner programs to support a comprehensive workforce development system in the local area.
  • Facilitating access to services provided through the AJC involved, including facilitating access in remote areas.
  • Identifying strategies for better meeting the needs of individuals with barriers to employment, including strategies that augment traditional service delivery, and increase access to services and programs of the AJC, such as improving digital literacy skills.
  • Leveraging resources and capacity within the local workforce development system, including resources and capacity for services for individuals with barriers to employment.
• In partnership with the CLEO for the local area:
  • Conduct oversight of Workforce Innovation and Opportunity Act (WIOA) Title I programs and the AJC in the local area.
  • Ensure the appropriate use and management of the funds provided WIOA Title I and the AJC in the local area.
  • Ensure the appropriate use and management, and investment of funds to maximize performance outcomes.
• Negotiate and reach an agreement on local performance indicators with the CLEO and IWD.
• Negotiate with the CLEO and required partners on the methods for funding the infrastructure costs of AJCs.
• Select the following providers in the local area, and where appropriate terminate such providers:
  • Providers of youth workforce investment activities through competitive grants or contracts based on the recommendations of the youth standing committee (if such a committee is established), in accordance with Service Provider Procurement.
    • If the Local WDB determines there is an insufficient number of eligible training providers in a local area, the Local WDB may award contracts on a sole-source basis, in accordance with Allowable Methods of Competitive Procurement of Service Providers.
    • When identifying eligible providers, the Local WDB may consider community-based and governmental organizations as possible eligible providers.
  • Providers of training services, in accordance with WIOA and State policy. 
  • Providers of WIOA Title I Adult and Dislocated Worker career services through competitive grants or contracts, in accordance with Service Provider Procurement. 
    • If the Local WDB determines there is an insufficient number of eligible training providers in a local area, the Local WDB may award contracts on a sole-source basis, in accordance with Allowable Methods of Competitive Procurement of Service Providers.
    • When identifying eligible providers, the Local WDB may consider community-based and governmental organizations as possible eligible providers.
  • One-stop operators, with the agreement of the CLEO. 
• Work with IWD to ensure there are sufficient numbers and types of providers of career services and training services serving the local area and providing the services in a manner that maximizes consumer choice, as well as providing opportunities that lead to competitive integrated employment for individuals with disabilities.
  • Such providers include eligible providers with expertise in assisting individuals with a disability and eligible providers with expertise in assisting adults in need of adult education and literacy activities.
  • Local WDBs are responsible for ensuring that all American Job Center (AJC) staff members have access to the ETPL, and are knowledgeable in regards to utilizing the ETPL. 
  • Local WDBs are also responsible for ensuring all AJC customers have access to the ETPL to assist them in making informed choices when choosing training services.
• Coordinate activities with education and training providers in the local area, including:
  • Reviewing applications to provide adult education and literacy activities under WIOA Title II for the local area to determine whether such applications are consistent with the local plan.
  • Making recommendations to the eligible agency to promote alignment with such plan.
  • Replicating and implementing cooperative agreements to enhance the provision of services to individuals with disabilities and other individuals, such as cross training of staff, technical assistance, use and sharing of information, cooperative efforts with employers, and other efforts at cooperation, collaboration, and coordination.
• Develop a budget for the activities of the Local WDB, with the approval of the CLEO and consistent with the local plan and the duties of the Local WDB.
• Assess, on an annual basis, the physical and programmatic accessibility of all AJCs in the local area.
• Certify AJCs.

A Local Workforce Development Board (WDB) is prohibited from providing training services, unless granted a waiver by Iowa Workforce Development (IWD) and agreed upon by the Chief Lead Elected Official (CLEO). 

Waiver Request Requirements

Waiver requests must include the following information:

• Documented agreement of the CLEO.
• Satisfactory evidence that there is an insufficient number of eligible providers of such a program of training services to meet local demand in the Local Workforce Development Area.
• Information demonstrating that the board meets the requirements for an eligible provider of training services.
• Information demonstrating that the program of training services prepares participants for an in-demand industry sector or occupation in the Local Workforce Development Area.
• Proof that the Local WDB made the proposed request for a waiver available to eligible training providers and other interested members of the public for a public comment period of not less than 30 days.
• Any comments received during the public comment period in the final request for the waiver.

Submission of Waiver Request

Local WDBs final request for the waiver must include evidence and information on all items outlined above under Waiver Request Requirements.  Waiver requests must be submitted electronically to: WIOAgovernance@iwd.iowa.gov.

IWD shall review the documentary evidence submitted by the Local WDB and shall request any additional information or conduct any investigation necessary to render a decision.  IWD will issue a written decision/response within 20 business days of the receipt of the waiver.

Duration of Approved Waiver

A waiver granted to a Local WDB applies for a period that must not exceed the duration of the local plan. The waiver may be renewed for additional periods under subsequent local plans, however may not exceed the durations of such subsequent plans, pursuant to requests from the Local WDB, if the Local WDB meets the requirements outlined above in making the requests. 

IWD may revoke the waiver if it is determined the waiver is no longer needed or that the Local WDB involved has engaged in a pattern of inappropriate referrals to training services operated by the Local WDB. 

Local plans provide the framework for local workforce development areas to define how their workforce development systems will achieve the purposes of the Workforce Innovation and Opportunity Act (WIOA). They serve as plans to develop, align, and integrate the local area's job-driven workforce development systems, and provide the platform to achieve the local area's vision and strategic and operational goals. The local plan must support the strategy described in the state plan and represents a comprehensive, customer-focused, and actionable service delivery strategy.

The state plan sets the state’s strategic direction for these plans, and serves as a conceptual map for Local Workforce Development Boards (WDBs) and their partners as they jointly develop the local plans required by WIOA. The narrative content of local plans should be tailored to address how Local WDBs and their planning partners will help Iowa reach its policy objectives and goals as defined in the state plan.

Since the local plan is only as effective as the partnerships that operationalize it, it must represent a collaborative process among Chief Elected Officials, Local WDBs and required and other partners.

Local Plan Requirements and Contents

Local WDBs must, in partnership with the Chief Lead Elected Official (CLEO), develop and submit a comprehensive four-year local plan to the State.  The plan must identify and describe the policies, procedures, and local activities that are carried out in the local area, aligned with the state plan.

The local area shall collaborate with core, required, and non-required partners to create a shared understanding of the local area's workforce development needs; a shared vision of how the local area can be designed to meet those needs; and agreement on the key strategies to realize this vision.

The local plan must describe strategic planning elements, including, but not limited to:

1. An analysis of local area:
   • Economic conditions including existing and emerging in-demand industry sectors and occupations.
     • As appropriate, a local area may use an existing analysis, given it includes a current description of the regional economy.
   • Employment needs of employers in existing and emerging in-demand industry sectors and occupations.
     • As appropriate, a local area may use an existing analysis, given it includes a current description of the regional economy.
2. Knowledge and skills needed to meet the employment needs of employers in the local area, including employment needs in in-demand industry sectors and occupations.
3. An analysis of the local area workforce, including current labor force employment and unemployment data, information on labor market trends, and educational and skill levels of the workforce, including individuals with barriers to employment.
4. An analysis of workforce development activities, including:
   • The strengths and weaknesses of workforce development activities.
   • Capacity to provide the workforce development activities to address the education and skill needs of the workforce, including individuals with barriers to employment.
   • The employment needs of employers.
5. A description of the Local WDBs strategic vision to support the economic growth of the local area and economic self-sufficiency, including:
   • Goals for preparing an educated and skilled workforce, including youth and individuals with barriers to employment.
   • Goals relating to performance accountability measures based on the performance indicators.
6. A description of the Local WDBs strategic vision to align local resources, required partners, and entities that carry out core programs to achieve the strategic vision and goals.

 The local plan also must include a description of:

1.  The workforce development system in the local area, including the identification of:
   • The programs that are included in the system.
   • How the Local WDB will work with the entities carrying out the core programs and other workforce development programs to support service alignment.
2. How the Local WDB will work with entities carrying out core programs to:
   • Expand access to employment, training, education, and supportive services for eligible individuals, particularly eligible individuals with barriers to employment.
   • Facilitate the development of career pathways and co-enrollment, as appropriate, in core programs.
   • How the Local WDB will improve access to activities leading to a recognized postsecondary credential, including a credential that is an industry-recognized certificate or certification, portable, and stackable.
3. The strategies and services that will be used in the local area:
   • To facilitate engagement of employers in workforce development programs, including small employers and employers in in-demand industry sectors and occupations.
   • To support a local workforce development system that meets the needs of businesses in the local area.
   • To better coordinate workforce development programs and economic development.
   • To strengthen linkages between the one-stop delivery system and unemployment insurance programs.
   • To implement initiatives such as incumbent worker training programs, on-the-job training programs, customized training programs, registered apprenticeships, industry and sector strategies, career pathways initiatives, utilization of effective business intermediaries, and other business services and strategies designed to meet the needs of regional employers. These initiatives must support the strategies described in a.-c. Above.
4. How the Local WDB will coordinate local workforce investment activities with regional economic development activities that are carried out in the local area and how the Local WDB will promote entrepreneurial skills training and microenterprise services.
5. The one-stop delivery system in the local area, including:
   • How the Local WDB will ensure the continuous improvement of eligible providers through the system and that such providers will meet the employment needs of local employers, workers, and job seekers.
   • How the Local WDB will facilitate access to the services provided through the one-stop delivery system, including in remote areas, through the use of technology and other means.
   • How entities within the one-stop delivery system, including one-stop operators and the one-stop partners, will comply with section 188 of WIOA, if applicable, and applicable provisions of the Americans with Disabilities Act of 1990 regarding the physical and programmatic accessibility of facilities, programs and services, technology, and materials for individuals with disabilities, including providing staff training and support for addressing the needs of individuals with disabilities.
     • Including how the local area will utilize Disability Access Committees as a strategy.
   • The roles and resource contributions of the one-stop partners.
6. The type and availability of adult and dislocated worker employment and training activities in the local area.
7. How the Local WDB will coordinate workforce investment activities carried out in the local area with statewide rapid response activities.
8. The type and availability of youth workforce investment activities in the local area including activities for youth who are individuals with disabilities, which must include an identification of successful models of such activities.
   • Including how the local area will utilize Youth Standing Committees as a strategy.
9. How the Local WDB will coordinate relevant secondary and postsecondary education programs and activities with education and workforce investment activities to coordinate strategies, enhance services, and avoid duplication of services.
10. How the Local WDB will coordinate WIOA Title I workforce investment activities with the provision of transportation and other appropriate supportive services in the local area.
11. Plans, assurances, and strategies for maximizing coordination, improving service delivery, and avoiding duplication of Wagner-Peyser Act services and other services provided through the one-stop delivery system.
12. How the Local WDB will coordinate WIOA Title I workforce investment activities with adult education and literacy activities under WIOA Title II, including how the Local WDB will carry out the review of local applications submitted under Title II.
13. Copies of executed cooperative agreements which define how all local service providers, including additional providers, will carry out the requirements for integration of and access to the entire set of services available in the local one-stop delivery system. This includes cooperative agreements between the Local WDB or other local entities described with respect to efforts that will enhance the provision of services to individuals with disabilities and to other individuals, such as cross training of staff, technical assistance, use and sharing of information, cooperative efforts with employers, and other efforts of cooperation, collaboration, and coordination.
14. An identification of the fiscal agent.
15. The competitive process that will be used to award sub-grants and contracts for WIOA Title I activities.
16. The local levels of performance negotiated with the Governor and CLEO and Local WDB, to be used to measure the performance of the local area and to be used by the Local WDB for measuring the performance of the local fiscal agent, eligible providers under WIOA Title I subtitle B, and the one-stop delivery system in the local area.
17. The actions the Local WDB will take toward becoming or remaining a high-performing WDB, consistent with the factors developed by the State WDB.
18. How training services will be provided through the use of individual training accounts (ITAs), including:
    • If contracts for training services will be used.
    • How the use of contracts will be coordinated with the use of ITAs.
    • How the Local WDB will ensure informed consumer choice in the selection of training programs regardless of how the training services are to be provided.
19. The process used by the Local WDB to provide a 20 business days’ public comment period prior to submission of the plan, including an opportunity to have input into the development of the local plan, particularly for representatives of businesses, education, and labor organizations.
20. How one-stop centers are implementing and transitioning to an integrated, technology-enabled intake and case management information system for programs carried out under WIOA and by one-stop partners.
21. Local priority of service requirements.
22. Locally required policies as required by state WIOA policy
23. Any additional information required by the Governor.

The State will provide technical assistance and labor market data, as requested by local areas, to assist with local planning and subsequent service delivery efforts.  Requests for technical assistance may be submitted to WIOAgovernance@iwd.iowa.gov.

Public Comment Process

Local Boards are subject to the open meeting requirements of the Ralph M. Brown Act (Brown Act). The intent of the law is to ensure that meetings are properly noticed, agendas are made available and that the public has an opportunity to provide comment on local policy and operations.

The Local WDB must provide an opportunity for public comment on the development of the local plan or subsequent plan modifications before submitting the plan to the State. To provide adequate opportunity for public comment, the Local WDB must:

• Make copies of the proposed local plan available to the public through electronic and other means, such as public hearings and local news media.
• Include an opportunity for comment by members of the public, including representatives of business, labor organizations, and education.
• Include stakeholders to participate in planning processes  which must include all of the following: organizations providing services to the re-entry population and English learners, as well as adult education partners, refugee resettlement agencies, Human Service program leads/providers, community college and other education partners, immigration services providers, disability organizations associated with the Department of Rehabilitation and located within other systems, along with other required planning partners in the local area. Local WDBs are required to contact each of these organizations, and may contact other organizations not listed otherwise listed.
• Boards must hold one listening session or planning meeting outside of regular business hours (regular business hours are presumed to be 8am-5pm Monday through Friday). This meeting should be public and made available to participants in the geographic area where the board has jurisdiction.
• Local WDBs must notify the State WDB of any planning meetings, listening sessions, or other public meetings related to the planning process. This information will be collected and posted on the State WDB website.
• Allow for a public comment period of 20 business days beginning on the date on which the proposed plan is made available, prior to its submission to the State.
• Submit any comments received with the plan, and any actions taken to resolve or respond to those comments.
• Make information about the plan available to the public on a regular basis through electronic means and open meetings.
• Ensure accessibility standards are met, in accordance with the Americans with Disabilities Act.

Approval of Local Plans

Completed local plans, including all comments received and the responses provided, must be submitted electronically to WIOAgovernance@iwd.iowa.gov.

The State shall conduct a review of all completed local plans.  The review process will include, at a minimum, the WIOA core partners.

Local plans shall be considered approved 90 days after receipt of the plan unless the State determines that:

• There are deficiencies in workforce investment activities that have been identified through audits and the local area has not made acceptable progress in implementing plans to address deficiencies.
• The local plan does not comply with applicable provisions of WIOA and the corresponding Federal Regulations, including the required consultations and public comment provisions, and nondiscrimination requirements.
• The local plan does not align with the state plan, including the alignment of the core programs to support the strategies identified in the state plan.

If it is determined that there are deficiencies in the local plan, the State will conditionally approve or reject the plan based upon suggested changes or the provision of requested additional information.  The Local WDB and the CLEO must submit the amended local plan to the State within 20 business days of receipt of this determination.

The State will issue a written decision/response within 20 business days of the receipt of the amended local plan.  If the plan remains deficient, a designated support team will be organized to provide the Local WDB and the CLEO with technical assistance in order to incorporate the necessary elements into the local plan to ensure it meets the requirements in order to be considered approved.

Local Plan Modification

Local WDBs, in partnership with CLEOs, may review local plans and prepare and submit modifications at any time, but must complete a review and submit modifications at the end of the first two year period of the four-year local plan.  Local WDBs and CLEOs must ensure all plan requirements are reviewed when engaging in the local plan modification process.

Reviews and modifications of the local plan shall reflect any of the following changes:

• Labor market and economic conditions
• Other factors affecting the implementation of the local and regional plan, including but not limited to:
  • Significant changes in local economic conditions.
  • Changes in the financing available to support WIOA Title I and partner-provided WIOA services.
  • Changes to the Local WDB structure of the local areas.
  • The need to revise strategies to meet performance goals.

During the mandatory review of the local plan, if the CLEO and the Local WDB decide that a modification of the local plan is not necessary, the Local WDB must submit notification to WIOAgovernance@iwd.iowa.gov, indicating that a review of the local plan was completed and modifications were not necessary.

Subsequent Local Plans

Local plans are required to be re-written every four years, to coincide with the submission of subsequent state plans.

Subsequent local plans must be submitted no later than 120 days prior to the end of the four-year period covered by a preceding local plan.

Content not applicable. Section heading only.

Iowa Workforce Development shall, once every two years, certify one Local Workforce Development Board (WDB) for each Local Workforce Development Area in the state.  

Certification is based on the following criteria:

• Membership of the Local WDB is compliant with the membership criteria outlined in Local Board Membership Requirements.
• During the most recent period of certification, the Local WDB has ensured positive outcomes for workforce investment activities carried out in the Local Workforce Development Area, including successful attainment of performance accountability measures and achievement of sustained fiscal integrity.

Required Documentation

A complete Local WDB certification submission requires the following documents:

1. CEO Conflict of Interest Attestation 
2. Member Conflict of Interest Attestation 
3. Composition Summary 
4. Alternates Roster 
5. CEO Agreement
6. Fiscal Agent Agreement
7. Copy of each Calendar Year’s Meeting Schedule

All Local WDB certification materials must be submitted electronically to: WIOAgovernance@iwd.iowa.gov by June 1 of the certification year.

Certification Notification

Once documentation has been received, Iowa Workforce Development will review and provide a response to the Local WDB within 10 business days affirming their certification, or request additional information when the documentation submitted is insufficient to make a determination.  

Failure to Achieve Certification

Failure of a Local WDB to achieve certification shall result in appointment and certification of a new Local WDB for the Local Workforce Development Area.

Iowa Workforce Development (IWD) may decertify a Local Workforce Development Board (WDB) at any time after providing notice to, and an opportunity for comment, from the Chief Lead Elected Official (CLEO) and Local WDB, which will last no less than 20 business days in the event of:

• Fraud or abuse
• Failure to carry out the functions outlined in Local Board Required Functions
• Failing to meet local performance accountability measures in the Local Workforce Development Area for two consecutive program years

If IWD decertifies a Local WDB, IWD may require that a new Local WDB be appointed and certified for the Local Workforce Development Area pursuant to Reorganization Plan.

In the event a Local Workforce Development Board (WDB) is decertified, the Governor, in consultation with the Chief Lead Elected Official (CLEO) of the Local Workforce Development Area, may issue a reorganization plan and require that a new board be appointed per the criteria outlined in Local Board Membership Requirements.

When subject to reorganization, the Local WDB and CLEO for a Local Workforce Development Area will have 20 business days after receiving notice of the reorganization plan to appeal to Iowa Workforce Development to rescind or revise the plan. 

If a Local Workforce Development Board (WDB) is denied certification or is decertified, the Local WDB and the Chief Lead Elected Official (CLEO) may appeal the decision within 10 business days of receipt of the notice.

Appeals must include the following information:

• An introduction identifying the appellant and designating the letter as a formal appeal.
• Identify the basis for the appeal, including the reasons(s) certification or recertification should be granted, or decertification should not be made.
• Signature and date of the CLEO.

The appeal must be submitted electronically to Iowa Workforce Development (IWD) at: WIOAgovernance@iwd.iowa.gov.

IWD shall review the documentary evidence submitted by the Local WDB and the CLEO and shall request any additional information or conduct any investigation necessary to render a decision.  IWD will issue a written decision/response within 30 business days of the receipt of the appeal.

Content not applicable. Section heading only.

Standing committees may be established by the Local Workforce Development Board (WDB) to provide information and assist the Local WDB in carrying out its responsibilities. Local WDBs must develop policies and procedures, as appropriate, to comply with the standing committee membership requirements in accordance with Standing Committee Membership Requirements.

Standing committees may include:

• A standing committee to provide information and assist with operational and other issues relating to the one-stop delivery system, which may include representatives of the American Job Center partners.
• A standing committee to provide information and to assist with planning, operational, and other issues relating to the provision of services to youth, which must include community-based organizations with a demonstrated record of success in serving eligible youth.
• A standing committee to provide information and to assist with operational and other issues relating to the provision of services to individuals with disabilities, including issues relating to compliance with WIOA sec. 188, if applicable, and applicable provisions of the Americans with Disabilities Act of 1990 (42 U.S.C. 12101 et seq.) regarding providing programmatic and physical access to the services, programs, and activities of the one-stop delivery system, as well as appropriate training for staff on providing supports or accommodations to, and finding employment opportunities for individuals with disabilities.
• Other standing committees as determined by the Local WDB.

Included is the minimum criteria for Local Workforce Development Board (WDB) standing committee membership.  Local WDBs must develop policies and procedures, as appropriate, to comply with the following requirements.

Standing committees must:

• Be chaired by a member of the Local WDB
• Include other members of the Local WDB
• Include other individuals who the Local WDB determines to have appropriate experience and expertise, including:
  • Workplace learning advisors
  • Individuals who contribute to the field of workforce development, human resources, training and development, or a core program function
  • Individuals who the Local WDB recognize for valuable contributions in education or workforce development related fields
  • Additional individuals as determined appropriate by the Local WDB

Content not applicable. Section heading only.

The possibility that a conflict of interest may arise is inherent when entities are performing or seeking to perform multiple functions within the workforce development system. 

To ensure conflict of interest is minimized, the organization serving as the local grant recipient may not serve as the one-stop operator, direct provider of career services, and/or direct provider of youth workforce investment activities.  The local grant recipient may maintain all other duties of the local grant recipient or may choose to contract with an alternate entity or entities to provide staff to the board services and/or fiscal agent services in accordance policy 1.3.1 Local Grant Recipient and Fiscal Agent Functions.  A single organization or entity may perform the roles of both the one-stop operator and direct provider of career services and/or youth workforce investment activities in accordance with policy 1.4.7.3 Methods for Competitive Procurement.

Proper firewalls must be in place to ensure a complete separation of duties.  Firewalls must also be in place to ensure the transparency and integrity of staff fulfilling multiple roles and multiple functions.  Organizations performing the functions of one-stop operator and direct provider of career services and/or youth workforce investment activities must have adequate organizational separation between and among those functions; separate staff must perform the duties of each function.  

Any organization or entity that has been selected to perform the functions of one-stop operator and direct provider of career services and/or youth workforce investment activities in a Local Workforce Development Area must develop a written agreement with the Local Workforce Development Board (WDB) and the Chief Lead Elected Official to clarify how the organization will carry out its responsibilities while demonstrating compliance with:

• The Workforce Innovation and Opportunity Act, and corresponding regulations
• Uniform Guidance
• Conflict of interest policies of the state, in accordance with Conflict of Interest 
• Conflict of interest policies of the organization or entity performing multiple functions

Firewalls and the Procurement Process

With respect to the procurement process, proper firewalls must demonstrate to the public, as well as to Iowa Workforce Development, that the selection process was impartial, and that no preferential treatment was given to the awardee at any stage in the process.

No entity or individual who has any role in the issuance of a solicitation may compete or submit a proposal under that procurement action, including the:

• Development of requirements
• Drafting the Request for Proposals or Invitation for Bid
• Evaluation of proposals and/or bids
• Identification of a best entity

If the Local WDB, through the local grant recipient plans on submitting a proposal, for firewalls to be effective and efficient, there must be a complete separation in duties and an alternate entity must be identified to conduct the procurement. 

When establishing firewalls:

• Ensure that conflict of interest and/or financial disclosure forms are up-to-date for all members and individuals involved in more than one role, function, or procurement action. 
• Update firewall and conflict of interest policies when new procurement actions arise. 
• Provide reasonable assurance that the separation of duties is enforced from all areas of the local workforce system. 

Local firewalls policies and procedures must be submitted electronically to: WIOAgovernance@iwd.iowa.gov

A member of a Local Workforce Development Board (WDB), or a member of a standing committee:

• May not vote on, nor participate in any decision-making capacity, on any matter under consideration by the Local WDB regarding the provision of services by such member (or any organization which that member directly represents), nor on any matter which would provide any direct financial benefit to that member or that member's immediate family.
  • Immediate family includes any person related within the first degree of affinity (marriage) or consanguinity (blood) to the person involved.
  • If a Local WDB member, or a member of their immediate family, has a substantial interest in or relationship to a business entity, organization, or property that would be affected by any official action of the Local WDB, that member shall disclose the nature and extent of the interest or relationship and shall abstain from voting on or in any other way participating in the decision on the matter. 
    • An individual, or a member of their immediate family, is considered to have substantial interest in a business entity if:
      • They own 10 percent or more of the voting stock or shares of the business, owns 10 percent or more, or owns $5,000 or more of the fair market value of the business.
      • Funds received by the individual from the business exceed 10 percent of the person’s gross income for the previous year.
    • An individual, or a member of their immediate family, is considered to have substantial interest in real property if the interest is an equitable or legal ownership with fair market value of $2,500 or more.
• May not engage in any other activity determined by Iowa Workforce Development (IWD) to constitute a conflict of interest as specified in the State plan. 
• Must publicly disclose to the Local WDB if he/she has a real or perceived conflict of interest prior to discussion.
• Must disclose in writing any potential conflict of interest to IWD.  
  • Potential conflicts of interest must be submitted electronically to: WIOAgovernance@iwd.iowa.gov.

Neither membership on the Local WDB, or a standing committee, nor the receipt of Workforce Innovation and Opportunity Act funds to provide training and related services, by itself, violates conflict of interest provisions.

Each member serving on the Local WDB is required to have a current, signed Conflict of Interest form on record with the Local WDB. Conflict of Interest forms shall be renewed during each Local WDB Recertification and shall be provided to IWD.  

For any individual joining the Local WDB between recertification periods, a signed Conflict of Interest form must be submitted electronically to IWD within 20 business days of the member's appointment to: WIOAgovernance@iwd.iowa.gov

Local Workforce Development Boards (WDBs) shall make available to the public, on a regular basis through electronic means and open meetings, information regarding the activities of the Local WDB, including:

• Information regarding the local plan, or modification of the local plan, prior to submission of the plan.
• Information regarding Local WDB membership, including the name and affiliation of each member.
• Local WDB by-laws.
• Designation and certification of one-stop operators.
• Award of grants or contracts to eligible training providers of workforce investment activities, including providers of youth workforce investment activities.
• Minutes of formal meetings of the Local WDB.

The Local Workforce Development Board (WDB) may hire a director and other staff to assist in carrying out the functions described in Local Board Required Functions.   The local grant recipient, its leadership, and its governing board must adhere to the decision of the local workforce development board regarding the board’s director position.

Qualifications

The Local WDB must establish and apply a set of objective qualifications for the position of director, that ensures that the individual selected has the requisite knowledge, skills, and abilities to meet identified benchmarks and to assist in effectively carrying out the functions of the Local WDB. 

Payment Limitations

The director and staff hired to support the Local WDB are subject to limitations on the payment of salaries and bonuses. Recipients and/or subrecipients who receive funds under Title I of the Workforce Innovation and Opportunity Act (WIOA) must not use such funds to pay the salary and bonuses of an individual, either as direct costs or indirect costs, at a rate in excess of the annual rate of basic pay prescribed for level II of the Executive Schedule under section 5313 of title 5, United States Code. This limitation does not apply to vendors providing goods and services as defined in the Office of Management and Budget Circular A–133. 

Staffing Restrictions

The director and other staff hired by the Local WDB may be employed directly by the Local WDB or by another entity or organization given they are not:

• The WIOA Title III provider of Wagner-Peyser employment services
• Employed by the WIOA Title I provider of career and/or youth services
• Employed by the One-Stop Operator 

The general prohibitions that apply to local boards directly providing career services and/or youth workforce investment activities also applies to Local WDB staff.

Additional Considerations

If the Local WDB opts to not hire a director, all the functions typically performed by a local WDB director shall be carried out by the Local WDB itself.  This role must not be fulfilled by:

• The WIOA Title III provider of Wagner-Peyser employment services
• The WIOA Title I provider of career and/or youth services
• Any individual directly involved in the delivery of services as the One-Stop Operator 
• The fiscal agent, if such organization exists

Content not applicable. Section heading only.

The primary role of a one-stop operator is coordinating service delivery among the partners in the one-stop system.  Local Workforce Development Boards (WDBs) may establish additional roles for the one-stop operator.

At a minimum, the local board must ensure that, in carrying out this role, the one-stop operator must:  

• Coordinate the service delivery of required one-stop partners and service providers;  
• In coordinating services and serving as a one-stop operator, refrain from establishing practices that create disincentives to providing services to individuals with barriers to employment who may require longer-term services, such as intensive employment, training, and education services;  
• Disclose any potential conflicts of interest arising from the relationships of the one-stop operator with particular training service providers or other service providers, including but not limited to, career services providers; and  
• Comply with Federal regulations, and procurement policies, relating to the calculation and use of profits. 

One-stop operators may not perform the following functions: 

• Convene system stakeholders to assist in the development of the local plan 
• Prepare and submit local plans
• Be responsible for oversight of itself
• Manage or significantly participate in the competitive selection process for one-stop operators
• Select or terminate one-stop operators, career service providers, and youth providers  
• Negotiate local performance accountability measures
• Develop and submit budgets for activities of the Local WDB in the Local Workforce Development Area

One-stop operators must comply with Federal regulations, and procurement policies, relating to the calculation and use of profits.

The one-stop operator must be a public, private, nonprofit entity or a consortium of entities in the Local Workforce Development Area. A consortium must include at least three or more of the required one-stop partners. Entities selected and serving as one-stop operators are sub-recipients of a Federal award; therefore, they must follow the Uniform Guidance.

The types of entities that may serve as one-stop operators include but are not limited to: 

• A public, private, for-profit or nonprofit organization
• An institution of higher education
• Non-traditional public secondary schools, night schools, adult education schools, career and technical education schools  
• An employment service state agency established under the Wagner-Peyser Act  
• A government agency  
• A Local Workforce Development Board, with approval from the Chief Lead Elected Official (CLEO) and the Governor
• Local chambers of commerce, business organizations, or labor organizations
• Indian Tribes

The Workforce Innovation and Opportunity Act (WIOA) requires Local Workforce Development Boards (WDBs) to use a competitive process for the selection of a one-stop operator for the system, and to support continuous improvement through the evaluation of one-stop operator performance and the re-competition of operators every four years. 

Competition is intended to promote the efficiency and effectiveness of one-stop operators by providing a mechanism for Local WDBs to regularly examine performance and costs against original expectations.  

Non-Federal entities are required to use the following methods of procurement to select a one-stop operator through a competitive process:

• Sealed Bids, (formal advertising), such as an invitation for bids (IFB) 
• Competitive Proposals, such as a request for proposals (RFP)

Sole source must only be pursued after a minimum of two attempts to competitively procure, including one attempt that combines the procurement of the one-stop operator with the selection of the Adult and Dislocated Worker service provider.

Sole Source

Local WDBs may select a one-stop operator through sole source selection only under the criteria outlined in WIOA. The Local WDB must follow its local sole source policies and procedures, the Uniform Guidance, and State policy. Local WDBs that use the sole source selection process must prepare and maintain written documentation describing the entire process of making such a selection. 

Sole source procurement can only be utilized when: 

• The item or service is available only from a single source.  
• The public exigency or emergency for the item or service will not permit a delay resulting from competitive solicitation.  
• The Federal awarding agency or pass-through entity expressly authorizes noncompetitive proposals in response to a written request from the non-Federal entity.  
• After solicitation of a number of sources, competition is determined to be inadequate, whether for reasons of number or quality of proposals/bids.

Local WDBs requesting to use sole source procurement for one-stop operators must submit a formal request to Iowa Workforce Development electronically at: WIOAgovernance@iwd.iowa.gov.  

The request must include justification that all other options were exhausted and identify the reason for sole source. The Local WDB must identify the timeline and the activities performed prior to the sole source request, and must certify that all appropriate measures consistent with the WIOA and this policy have been taken. 

The following documentation should also be included with the request for sole source:  

• Copy of the RFP or IFB
• Proof of the announcement medium used (newspaper, social media)
• Documentation showing how long the announcement was posted
• The name of the entity to which the sole source is to be awarded
• Documentation showing that the entity has the capacity and ability to perform the one-stop operator functions

Procurement Standards

When the State conducts the competitive procurement process for the Local WDB, it must follow the same policies and procedures it uses for procurements with non-federal funds, to include appropriate protections from conflict of interest, per the State’s own procurement policies and procedures. 

All other non-Federal entities, including entities that receive funding from a State (such as Local WDBs), must use a competitive process to select a one-stop operator that is based on local procurement policies that are consistent with the procurement standards of the Uniform Guidance.

General procurement requirements under WIOA must be followed as part of the competitive process. The requirements must be consistent with the Uniform Guidance, and include: 

• Written Policies and Procedures
  • Such policies and procedures must describe the competitive process for selecting a one-stop operator and the manner in which it will address the settlement of all contractual and administrative issues, such as protests, appeals, and disputes. 
  • The policies must also outline a timetable to ensure that the selection of a one-stop operator through a competitive process is conducted every four years.
• Appropriate Methods of Procurement for Competitions
  • Non-Federal entities are required to use the methods of procurement described at 2 CFR 200.320 when selecting a one-stop operator which are:  
    • Sealed Bids
    • Competitive Proposals
    • Sole Source
• Full and Open Competition 
  • A funding level range or an up to amount must be provided in the RFP that ensures the responsibilities in the Statement of Work can be performed.
  • Such competition must be conducted for all procurement transactions. 
  • Written procedures must allow for sufficient time for all phases of the procurement process to be carried out in a manner that would not unduly restrict competition. 
    • The RFP must be open for a minimum of 20 business days.
  • Pre-qualified lists must be current and include enough qualified sources to ensure open and free competition, and must not preclude bidders and offerors from qualifying during the solicitation period. 
    • Procurements that are in excess of the simplified acquisition threshold (currently set at $150,000 by 48 CFR 2.1) cannot use the small purchase procurement.  
    • Entities performing a competitive procurement must ensure the proposed costs of the one-stop operator are allowable, meaning that they are reasonable, necessary and allocable.  
    • Restricting competition is not allowed. Activities that may be considered to be restrictive of competition include, but are not limited to: 
      • Placing unreasonable requirements on firms in order for them to qualify to do business. 
      • Requiring unnecessary experience and excessive bonding. o Non-competitive pricing practices between firms or between affiliated companies. 
      • Non-competitive contracts to consultants that are on retainer contracts.
      • Organizational conflicts of interest. 
      • Specifying only a “brand name” product instead of allowing “an equal” product to be offered and describing the performance or other relevant requirements of the procurement. 
      • Any arbitrary action in the procurement process.
• Standards of Conduct
  • Each Local WDB must have written standards of conduct that require fairness, objectivity, ethical standards and other related standards of conduct during all phases of the procurement process, and must address:
    • Mitigating apparent or real conflicts of interest. Conflicts of interest would arise when the employee, officer or agent, any member of his or her immediate family, his or her partner, or an organization which employs or is about to employ any of the parties indicated has a financial or other interest or a tangible personal benefit from a firm considered for a contract.  
    • Disclosure of any real or apparent conflict of interest, whether individual, or organizational. Written standards of conduct must identify the process for recusal of individuals or organizations that are members of the Local WDB who disclose a real or apparent conflict of interest.  
    • A description of the firewalls and internal controls to mitigate conflict of interest in circumstances including, but not limited to, situations where an entity acts in more than one role in the one-stop delivery system or performs more than one function in the procurement process, as well as situations where the non-federal entity uses a sole source selection.  
    • Confidentiality of the information contained in the proposals submitted for consideration.  
    • Not allowing any entity that develops or drafts specifications, requirements, statements of work, IFBs or RFPs, and evaluation of proposals to compete under the procurement. 
• Transparency and Responsibility
  • The procurement process must be conducted with transparency and responsibility from the planning phase to the closeout phase. 
  • Information about the selection and certification of the one-stop operators must be made available to the public on a regular basis through electronic means and open meetings, in accordance with Sunshine Provision. 
  • Information must also be made available to auditors and Federal reviewers. This provides an avenue for public comment and participation in the process. 
  • When selecting an entity as the one-stop operation, the Local WDB must consider the entity’s programmatic and fiscal integrity, compliance with public policy, record of past performance and other factors that demonstrate transparency and responsibility. 
  • The Local WDB must also ensure that any entity is not debarred, suspended, or otherwise excluded from or ineligible to participate in Federal assistance programs or activities.

Local Workforce Development Boards (WDBs) must prepare written documentation explaining the competitive process for selecting a one-stop operator. States and Local WDBs must also maintain sufficient records to detail the history of procurement.  Records must be retained for a period of three years.

These records must include, but are not limited to the following: 

• All proposals/bids received
• Ratings of those proposals
• Rationale for the method of procurement  
• Selection of agreement or contract type  
• Selection or rejection of proposals/bids 
• Appeals and disputes  
• Basis for the contract price

Local WDBs that make the selection for one-stop operation through sole source procurement must prepare and maintain written documentation of the entire sole source selection process, including evidence that a minimum of two attempts to competitively procure for the one-stop operator was completed, in accordance with Allowable Methods for Competitive Procurement of the One-Stop Operator. The documentation should provide evidence that the review was performed by an impartial entity or organization; and clarify the firewalls that are in place during the review of the proposals.

All contracts, agreements, and the Memorandum of Understanding (MOU) between the one-stop operator and Local Workforce Development Board (WDB), State Workforce Development Board (WDB), or Iowa Workforce Development (IWD) must include the essential elements of a legally executed and binding written agreement, and contain at a minimum the following:

• Statement of Work (SOW)
  • The SOW specifies the period of performance, or the start and end date of the contract. 
  • It also specifies the services to be performed, including measurable performance goals to be delivered under the contract, agreement, or MOU. 
• Authorized Officials and Purpose
  • Authorized officials are persons authorized to enter into and sign legally binding agreements and must be on record as the signatory official. 
  • Signatures of the offeror/bidder and offeree (Local WDB, State WDB, or IWD) must be contained as part of the written contract. 
• Additional contractual terms and conditions
  • Contracts, agreements, and MOUs must include such standard terms and conditions that are either required by the State, Local Workforce Development Area, or the Federal agency as national, local policy requirements. 

The contract, agreement, or MOU must identify that one-stop operators are subrecipients of Federal funds.

Each one-stop operator must disclose potential conflicts of interest arising from the relationships of the operators with particular training service providers or other service providers. A conflict of interest can arise when actions taken or may appear to be taken by any entity or individual involved in more than one role, when the performance of that entity or individual affects the interest of the other role, thereby making it difficult for the entity or individual to perform the procurement process objectively and impartially. 

Proper firewalls, in accordance with Firewalls, must be in place to ensure the transparency and integrity of the procurement process, and to demonstrate that the selection process was unbiased and free of preferential treatment toward the awardee. 

Recusal of Members of the Local WDB

Due diligence must be exercised to avoid certain conflicts of interest which may arise during the competitive process, including recusal of members of the Local Workforce Development Board (WDB) with financial or other interests in the entities applying to be the one-stop operator. However, if the number of members who must recuse themselves deprives the Local WDB of a quorum, the Local WDB must follow an alternative process and outsource the selection to an outside entity. Local WDBs procurement policies and procedures must define the requirements for a quorum for decisions made by the Local WDB.

Local WDB to Compete as One-Stop Operator

The Workforce Innovation and Opportunity Act (WIOA) requires the Local WDB to select the one-stop operator through a competitive process.  However, WIOA and its implementing regulations also permit the Local WDB to compete for and be selected as the one-stop operator. 

Local WDBs must adhere to Conflict of Interest.  Additional ways to avoid a conflict of interest is to establish effective internal conflict of interest policies and maintain appropriate firewalls that apply when the Local WDB competes to be the one-stop operator. This may include:

• A requirement for an outside entity to conduct the competition
  • The Local WDB could contract with a separate and independent outside entity to conduct the competition. 
  • Outsourcing the entire process (including development of requirements, drafting the request for proposal (RFP) or invitation for bid (IFB), evaluation of proposals/bids, and identification of best entity) to an alternate entity would be the best practice in this circumstance to avoid a conflict of interest. 

These costs and activities are allowable under WIOA. 

Outside Entity

If the Local WDB or State Workforce Development Board (WDB) chooses to have an outside entity conduct part of, or the entire one-stop operator competition, the outside entity must meet certain requirements. 

The outside entity must:

• Be an independent organization that is capable of exercising professional and ethical judgment. 
• Submit a conflict of interest statement. 

Public Disclosure

The Local WDB or State WDB must publicly disclose any conflicts of interest, real or apparent, and any recusal by individuals or organizations with real or apparent conflicts of interest. 

Oversight and monitoring are an integral function of the Local Workforce Development Board (WDB) to ensure the one-stop operator’s compliance with the requirements of the Workforce Innovation and Opportunity Act (WIOA), the activities per the Statement of Work, performance reporting requirements, and the terms and conditions of the contract or agreement governing the one-stop operator. 

Monitoring includes an attestation by the monitoring entity that it has examined compliance with the requirements of WIOA, Uniform Guidance, and the terms and conditions of the contract/agreement with the one-stop operator. 

Allowable monitoring entities include staff to the Local WDB, a contracted outside organization, or peer monitoring conducted by another Local WDB’s staff.  When the Local WDB is the one-stop operator, there is an inherent conflict of interest in that the Local WDB cannot effectively monitor itself. In these circumstances, an outside organization or entity must conduct the monitoring and report the results to the Chief Lead Elected Official (CLEO) and Iowa Workforce Development (IWD) upon request.

Oversight is performed in many ways, including one-site monitoring, conducting risk assessments, desk reviews of case files, and analysis of performance and financial reports.  Local WDBs must establish local policies and procedures describing their monitoring process including a schedule for monitoring, which at a minimum, must occur biennially.

Content not applicable. Section heading only.

Local Workforce Development Boards (WDBs) are responsible for identifying eligible providers of career services for the Workforce Innovation and Opportunity Act (WIOA) Title I Adult and Dislocated Worker programs and eligible providers of youth workforce investment activities for the WIOA Title I Youth program.

Local WDBs must select providers of WIOA Title I Adult and Dislocated Worker program services and WIOA Title I Youth program services through a competitive procurement process as described in Allowable Methods for Competitive Procurement of Service Providers. Local WDBs may select separate entities to provide WIOA Title I Adult and Dislocated Worker program services and WIOA Title I Youth program services.  The entity selected to provide WIOA Title I Adult and Dislocated Worker program services will also be the provider of National Dislocated Worker Grant services.

Competition is intended to promote the efficiency and effectiveness of service providers providing career services and youth workforce investment activities by providing a mechanism for the Local WDB to regularly examine performance and costs against original expectations.  

If the Local WDB has an established standing youth committee, it may assign the committee the function of selection of service providers.  Local WDBs, or their standing youth committee, must select youth service providers best positioned to provide program elements in accordance with Program Elements resulting in strong outcomes.

Non-Federal entities are required to use the following methods of procurement to select a service provider through a competitive process:

• Sealed Bids, (formal advertising), such as an invitation for bids (IFB) 
• Competitive Proposals, such as a request for proposals (RFP)

Sole source must only be pursued after a minimum of two attempts to competitively procure, including one attempt that combines the procurement of the Adult and Dislocated Worker service provider with the selection of the one-stop operator.

Sole Source

Local WDBs may select a service provider through sole source selection only under the criteria outlined in the Workforce Investment and Opportunity Act (WIOA). The Local WDB must follow its local sole source policies and procedures, the Uniform Guidance, and State policy. Local WDBs that use the sole source selection process must prepare and maintain written documentation describing the entire process of making such a selection. 

Sole source procurement can only be utilized when: 

• The item or service is available only from a single source.  
• The public exigency or emergency for the item or service will not permit a delay resulting from competitive solicitation.  
• The Federal awarding agency or pass-through entity expressly authorizes noncompetitive proposals in response to a written request from the non-Federal entity.  
• After solicitation of a number of sources, competition is determined to be inadequate, whether for reasons of number or quality of proposals/bids.

Local WDBs requesting to use sole source procurement for service providers must submit a formal request to Iowa Workforce Development electronically at: WIOAgovernance@iwd.iowa.gov.  

The request must include justification that all other options were exhausted and identify the reason for sole source. The Local WDB must identify the timeline and the activities performed prior to the sole source request, and must certify that all appropriate measures consistent with the WIOA and this policy have been taken. 

The following documentation should also be included with the request for sole source:  

• Copy of the RFP or IFB
• Proof of the announcement medium used (newspaper, social media)
• Documentation showing how long the announcement was posted
• The name of the entity to which the sole source is to be awarded
• Documentation showing that the entity has the capacity and ability to perform the functions required to provide career services and/or youth workforce investment activities

Procurement Standards

When the State conducts the competitive procurement process for the Local WDB, it must follow the same policies and procedures it uses for procurements with non-federal funds, to include appropriate protections from conflict of interest, per the State’s own procurement policies and procedures. 

All other non-Federal entities, including entities that receive funding from a State (such as Local WDBs), must use a competitive process to select a service provider that is based on local procurement policies that are consistent with the procurement standards of the Uniform Guidance.

General procurement requirements under WIOA must be followed as part of the competitive process. The requirements must be consistent with the Uniform Guidance, and include: 

• Written Policies and Procedures
  • Such policies and procedures must describe the competitive process for selecting a service provider and the manner in which it will address the settlement of all contractual and administrative issues, such as protests, appeals, and disputes. 
  • The policies must also outline a timetable to ensure that the selection of service providers through a competitive process is conducted every four years.
• Appropriate Methods of Procurement for Competitions
  • Non-Federal entities are required to use the methods of procurement described at 2 CFR 200.320 when selecting a service provider which are:  
    • Sealed Bids
    • Competitive Proposals
    • Sole Source
• Full and Open Competition 
  • A funding level range or an up to amount must be provided in the RFP that ensures the responsibilities in the Statement of Work can be performed.
  • Such competition must be conducted for all procurement transactions. 
  • Written procedures must allow for sufficient time for all phases of the procurement process to be carried out in a manner that would not unduly restrict competition. 
    • The RFP must be open for a minimum of 20 business days.
  • Pre-qualified lists must be current and include enough qualified sources to ensure open and free competition, and must not preclude bidders and offerors from qualifying during the solicitation period. 
    • Procurements that are in excess of the simplified acquisition threshold (currently set at $150,000 by 48 CFR 2.1) cannot use the small purchase procurement.  
    • Entities performing a competitive procurement must ensure the proposed costs of the service provider are allowable, meaning that they are reasonable, necessary and allocable.  
    • Restricting competition is not allowed. Activities that may be considered to be restrictive of competition include, but are not limited to: 
      • Placing unreasonable requirements on firms in order for them to qualify to do business. 
      • Requiring unnecessary experience and excessive bonding. o Non-competitive pricing practices between firms or between affiliated companies. 
      • Non-competitive contracts to consultants that are on retainer contracts.
      • Organizational conflicts of interest. 
      • Specifying only a “brand name” product instead of allowing “an equal” product to be offered and describing the performance or other relevant requirements of the procurement. 
      • Any arbitrary action in the procurement process.
• Standards of Conduct
  • Each Local WDB must have written standards of conduct that require fairness, objectivity, ethical standards and other related standards of conduct during all phases of the procurement process, and must address:
    • Mitigating apparent or real conflicts of interest. Conflicts of interest would arise when the employee, officer or agent, any member of his or her immediate family, his or her partner, or an organization which employs or is about to employ any of the parties indicated has a financial or other interest or a tangible personal benefit from a firm considered for a contract.  
    • Disclosure of any real or apparent conflict of interest, whether individual, or organizational. Written standards of conduct must identify the process for recusal of individuals or organizations that are members of the Local WDB who disclose a real or apparent conflict of interest.  
    • A description of the firewalls and internal controls to mitigate conflict of interest in circumstances including, but not limited to, situations where an entity acts in more than one role in the one-stop delivery system or performs more than one function in the procurement process, as well as situations where the non-federal entity uses a sole source selection.  
    • Confidentiality of the information contained in the proposals submitted for consideration.  
    • Not allowing any entity that develops or drafts specifications, requirements, statements of work, IFBs or RFPs, and evaluation of proposals to compete under the procurement. 
• Transparency and Responsibility
  • The procurement process must be conducted with transparency and responsibility from the planning phase to the closeout phase. 
  • Information about the selection of the service provider must be made available to the public on a regular basis through electronic means and open meetings, in accordance with Sunshine Provision. 
  • Information must also be made available to auditors and Federal reviewers. This provides an avenue for public comment and participation in the process. 
  • When selecting an entity as the service provider for career services and/or youth workforce investment activities, the Local WDB must consider the entity’s programmatic and fiscal integrity, compliance with public policy, record of past performance and other factors that demonstrate transparency and responsibility. 
  • The Local WDB must also ensure that any entity is not debarred, suspended, or otherwise excluded from or ineligible to participate in Federal assistance programs or activities.

The one-stop delivery system brings together workforce development, educational, and other human resource services in a seamless customer-focused service delivery network that enhances access to the programs’ services and improves long-term employment outcomes for individuals receiving assistance. One-stop partners administer separately funded programs as a set of integrated streamlined services to customers.

Through the one-stop system, partner programs and their service providers ensure that businesses and job seekers — a shared client base across the multiple programs — have access to information and services that lead to positive employment outcomes. Under the Workforce Innovation and Opportunity Act (WIOA), the one-stop system:

• provides job seekers with the skills and credentials necessary to secure and advance in employment with family-sustaining wages;
• provides access and opportunities to all job seekers, including individuals with barriers to employment, such as individuals with disabilities, to prepare for, obtain, retain, and advance in high-quality jobs and high-demand careers;
• enables businesses and employers to easily identify and hire skilled workers and access other supports, including education and training for their current workforce;
• participates in rigorous evaluations that support continuous improvement of one-stop centers by identifying which strategies work better for different populations;
• ensures that high-quality integrated data inform decisions made by policymakers, employers, and job seekers.

The management of the one-stop delivery system is the shared responsibility of States, local boards, elected officials, the core WIOA partners, other required partners, and one-stop center operators.

Components of the One-Stop Delivery System

The one-stop delivery system must include at least one comprehensive center in each Local Workforce Development Area (LWDA).  To supplement the comprehensive one-stop center(s), the system may also utilize:

• An Affiliated Site or a network of affiliated sites, where one or more partners make programs, services, and activities available.
• A network of eligible one-stop partners through which each partner provides one or more of the programs, services, and activities that are linked, physically or technologically, to an affiliated site or access point that assures customers are provided information on the availability of career services, as well as other program services and activities, regardless of where they initially enter the public workforce system in the LWDA.
• Specialized Centers that address specific needs, including those of dislocated workers, youth, or key industry sectors, or clusters.

The design of the LWDA’s one-stop delivery system must be described in the Memorandum of Understanding (MOU).

Comprehensive One-Stop Centers

A comprehensive one-stop center, also known as the American Job Center (AJC) or the IowaWORKS Center in Iowa, is a physical location where job seeker and employer customers can access the programs, services, and activities of all required one-stop partners.

Required one-stop partner programs must provide access to programs, services, and activities through electronic means if applicable and practicable. This is in addition to providing access to services through the mandatory comprehensive physical IowaWORKS Center and any affiliated sites or specialized centers. The provision of programs and services by electronic methods such as web sites, telephones, or other means must improve the efficiency, coordination, and quality of one-stop partner services. Electronic delivery must not replace access to such services at a comprehensive IowaWORKS Center or be a substitute to making services available at an affiliated site if the partner is participating in an affiliated site. Electronic delivery systems must be in compliance with the nondiscrimination and equal opportunity provisions of WIOA sec. 188 and its implementing regulations at 29 CFR part 38.

All comprehensive IowaWORKS Centers must provide:

• Access to programs and activities carried out by the following required one-stop partners:
  • Programs authorized under Title I of WIOA, including:
    • Adult, Dislocated Worker and Youth programs
    • Job Corps
    • YouthBuild
    • Native American programs
    • Migrant and Seasonal Farmworker Advocacy System
  • WIOA Title III Wagner-Peyser Act Employment Service program
  • Activities authorized under Title II of WIOA
  • Vocational Rehabilitation programs
  • Senior Community Service Employment program
  • Carl D. Perkins Career and Technical Education Act career and technical education programs at the postsecondary level
  • Trade Adjustment Assistance activities
  • Jobs for Veterans State Grants programs
  • Community Services Block Grant employment and training activities
  • Housing and Urban Development employment and training activities
  • Unemployment compensation programs
  • Reentry Employment Opportunities programs
  • Temporary Assistance for Needy Families, in Iowa this is Promoting Independence and Self Sufficiency through Employment (PROMISE JOBS)
  • Other entities that carry out a workforce development program, including Federal, State, or local programs and programs in the private sector, may serve as additional partners in the one-stop delivery system if the Local Workforce Development Board (WDB) and Chief Lead Elected Official approves the entity’s participation
  • Employment and training programs administered by the Social Security Administration, including the Ticket to Work and Self-Sufficiency Program
  • Employment and training programs carried out by the Small Business Administration
  • Supplemental Nutrition Assistance Program (SNAP) employment and training programs
  • Client Assistance Program, administered by Iowa Department of Human Rights
  • Programs authorized under the National and Community Service Act
  • Other appropriate Federal, State or local programs, including, but not limited to, employment, education, and training programs provided by public libraries or in the private sector
• Career services
• Access to training services
• Access to employment and training activities
• Workforce and labor market information

Providing career services in the comprehensive IowaWORKS Center does not mean that each required partner must provide these services directly on-site. However, it does mean that some career services must be provided directly on-site.

Career services for other required partner programs may be provided at IowaWORKS Centers through access to one-stop partner programs and activities in one of three ways:

• Having a program staff member physically present at the IowaWORKS Center;
• Having a staff member from a different partner program physically present at the IowaWORKS Center appropriately trained to provide information to customers about the programs, services, and activities available through partner programs; or
• Making available a direct linkage through technology to program staff who can provide meaningful information or services, which includes:
  • Providing a direct connection at the IowaWORKS Center, within a reasonable time, by phone or through a real-time web-based communication to a program career planner who can provide program information or services to the customer.
  • A direct linkage cannot exclusively be providing a phone number or computer web site or providing information, pamphlets, or materials.

IowaWORKS Centers are required to be open during statewide core business hours, at a minimum of 8:00 a.m. to 4:30 p.m. Monday through Friday; other service hours may be established to accommodate the schedules of individuals who are not able to access IowaWORKS Center(s) during regular business hours.  Title I Adult, Dislocated Worker and Youth and Title III Wagner-Peyser staff must be present and available full-time during posted work hours; this includes having Title III and at minimum one Title I staff physically present at the IowaWORKS Center. Staff must be trained to provide information to customers about the programs, services, and activities; and providing technology-based support such as a phone for job seekers, use of a fax machine to transmit paperwork, or access to a computer that can provide a direct connection to program information or services. Required partners must be available on-site or through electronic or referral means.

It is imperative for the success of integration that all IowaWORKS Centers have all core partners coordinating and providing services to all customers throughout the Center process. This includes both Title I Adult, Dislocated Worker and Youth and Title III Wagner-Pesyer team member’s participation on all functional teams to include, but not limited to: Welcoming, Exploratory, Career Services and Business Engagement. Title II and Title IV core partners will also participate on functional teams to benefit the customers, both job seekers and businesses and are encouraged to co-locate in IowaWORKS Centers either full-time or on an itinerant basis and will be given priority over other tenants when space is assigned.

All IowaWORKS Centers must be physically and programmatically accessible to individuals with disabilities.

Affiliated Site

Local (WDBs), in consultation with their partners and the One-Stop Operator, may choose to designate affiliated sites.  In addition to the comprehensive IowaWORKS Center in the LWDA, affiliated sites make available to job seeker and employer customers one or more of the one-stop partners’ programs, services, and activities.

If used by LWDA’s as a part of the service delivery strategy, affiliated sites must be implemented in a manner that supplements and enhances customer access to services. An affiliated site does not need to provide access to every required one-stop partner program.

Affiliated sites must be physically and programmatically accessible to individuals with disabilities.

Co-location of Title III Wagner-Peyser Employment Services in an Affiliated Site

Title III Wagner-Peyser employment services cannot be a stand-alone affiliated site.  If Title III Wagner-Peyser employment services are provided at an affiliated site, there must be at least one or more other partners in the affiliated site with a physical presence of combined staff more than 50 percent of the time the affiliated site is open.

The partner programs administering Local Veterans’ Employment Representatives (LVERs), Disabled Veterans’ Outreach Program Specialists (DVOPs), or Unemployment Compensation programs would not count as the other partner for purposes of this requirement.  If Title III Wagner-Peyser employment services and any of these three programs are provided at an affiliated site, an additional partner or partners must have a presence of combined staff in the center of more than 50 percent of the time the affiliated site is open.

The frequency of program staff’s physical presence in the affiliate site will be determined through partner Memorandum of Understanding negotiation at the local level.

Specialized Centers

Based on local workforce needs, Local (WDBs), in consultation with their partners and the One-Stop Operator, may determine that a specialized one-stop center is more appropriate to serve a particular population such as youth, veterans, or individuals with disabilities, key industry clusters, or a specific group of dislocated workers affected by a regional layoff.

Specialized centers do not need to provide access to every required partner, but should be knowledgeable about, and prepared to make referrals to, partners in the comprehensive IowaWORKS Center or affiliated site. Any network of one-stop partners or specialized centers, must be connected to the comprehensive IowaWORKS Center and any appropriate affiliated site, for example, by having processes in place to make referrals to these centers and the partner programs located in them.

Partner services provided through specialized centers must be determined through partner negotiations at the local level and incorporated into the MOU.

Co-location of WIOA Title III Wagner-Peyser Employment Services in a Specialized Center

Title III Wagner-Peyser Act employment services cannot be a stand-alone specialized site.  If Title III Wagner-Peyser Act employment services are provided at a specialized center, there must be at least one or more other partners in the specialized site with a physical presence of combined staff more than 50 percent of the time the specialized center is open.

The partner program administering LVERs services, DVOP services, or unemployment compensation services would not count as the other partner for purposes of this requirement.  If Title III Wagner-Peyser employment services and any of these three programs are provided at a specialized site, an additional partner or partners must have a presence of combined staff in the center of more than 50 percent of the time the specialized center is open.

The Workforce Innovation and Opportunity Act (WIOA) requires that the Governor, in consultation with chief elected officials (CEOs), the State Workforce Development Board (WDB) and Local Workforce Development Boards (WDB), must develop and issue guidance for use by local areas for State-administered one-stop partner programs for determining contributions to a one-stop delivery system, based on such programs’ proportionate use and relative benefit received. IWD, as designated by the Governor, issues this guidance to assist Local WDBs, CEOs, and one-stop partners in local areas in determining equitable and stable methods of funding the costs of infrastructure at one-stop centers.

Integrated service delivery is the cornerstone of the public workforce delivery system, through which workforce development, educational, and other human resource services are made available to individuals and employers at the One-Stop centers in each Local Workforce Development Area. Management of the local service delivery system is to be shared among states, Local Workforce Development Boards (WDB), core WIOA programs, required partners, additional partners, and One-Stop Operators.

Required partner programs, as outlined below in Required One-Stop Partners Roles and Responsibilities, must make services available through local workforce development systems and local One-Stop centers. Required partners must also use a portion of their program funds to maintain local workforce development systems in proportion to the use of and relative benefit received. This includes costs of infrastructure and other costs associated with the operation of the local workforce development system.

Local WDBs, CEOs, and local required and additional partners including, as appropriate, the entity or agency in the State responsible for administering or supervising the program; in each local area must enter into good-faith negotiations to determine:

• How services and activities will be coordinated.
• Which services will be shared.
• How proportionate shares of costs will be determined, allocated, and funded.
• How referrals will be made.
• How all parties will ensure that programs, services, and activities are accessible to all individuals, including those with barriers to employment and individuals with a disability.

Once consensus is reached among the parties, the result of negotiations will be written into a local Memorandum of Understanding (MOU).  A single “umbrella” MOU may be developed that addresses the issues relating to the local one-stop delivery system.  Local WDBs, with the agreement of the Chief Lead Elected Official (CLEO), may still enter into separate agreements between each partner or groups of partners; however, the aim of the “umbrella” MOU is to allow partner programs to focus on service delivery and not the process of negotiating several MOUs.

Required One-Stop Partners Roles and Responsibilities

The required partners are the entities responsible for administering the following programs and activities in the local area, including:

• Programs authorized under Title I of WIOA, including:
  • Adult, Dislocated Worker and Youth programs
  • Job Corps
  • YouthBuild
  • Native American programs
  • Migrant and Seasonal Farmworker programs
• Wagner-Peyser Act Employment Service program
• Adult Education and Family Literacy Act program
• Vocational Rehabilitation programs
• Senior Community Service Employment program
• Carl D. Perkins Career and Technical Education Act career and technical education programs at the postsecondary level
• Trade Adjustment Assistance activities
• Jobs for Veterans State Grants programs
• Community Services Block Grant employment and training activities
• Housing and Urban Development employment and training activities
• Unemployment compensation programs
• Reentry Employment Opportunities programs
• Temporary Assistance for Needy Families

Each required partner must:

• Provide access to its programs or activities through the one-stop delivery system, in addition to any other appropriate locations, to include:
  • Having a program staff member physically present at the One-Stop center; or
  • Having a staff member from a different partner program physically present at the One-Stop center appropriately trained to provide information to customers about the programs, services, and activities available through partner programs; or
  • Making available a direct linkage through technology to program staff who can provide meaningful information or services, which includes:
    • Providing a direct connection at the One-Stop center, within a reasonable time, by phone or through a real-time web-based communication to a program staff member who can provide program information or services to the customer.
    • A direct linkage cannot exclusively be providing a phone number or computer web site or providing information, pamphlets, or materials.
  • Being physically and programmatically accessible to individuals with disabilities.
• Use a portion of funds for the IFA and other cost sharing agreements made available to the partner’s program, in accordance to the relative benefit and proportionate use, and in accordance with the partner’s authorizing statutes and regulations.
• Enter into an MOU with the Local WDB and CLEO relating to the operation of the one-stop delivery system.
• Participate in the operation of the one-stop delivery system consistent with the terms of the MOU, requirements of the partner’s statutes and regulations, the Federal cost principles, and all other applicable legal requirements.
• Provide representation on the State and Local WDBs as required by WIOA, and participate in board standing committees as needed.

MOU Requirements

Each MOU must include the following elements. The Local WDB may add additional elements to account for unique local conditions or partnerships.

• A list of all parties to the MOU.  The list must contain the name of the party, the program(s) they operate, and their program authority statute.
• A list of the comprehensive and affiliate One-Stops in the local area.  The list must include the name and address of each facility.
• Agreement period.  The maximum agreement period is three (3) years.
• Partner responsibilities.  All parties to the agreement must ensure at a minimum that they will:
  • Make their career services available to individuals through the local areas one-stop delivery system, in accordance with Required One-Stop Partners Roles and Responsibilities described below.
  • Share in the costs of the One-Stop system.
  • Remain as a party to the MOU throughout the agreement period, in accordance with the MOU Modification Requirements described below.
  • Participate in the operation of the One-Stop system as agreed to in the MOU.
  • Provide priority of service to Veterans, where required.
  • Comply with WIOA regulations as well as all applicable federal, state, and local laws, rules, and policies.
• A description of services to be provided through the one-stop delivery system.  MOUs must include a list of services and how the services are delivered to customers in the one-stop system.
• Methods of referral.  This section must describe a formal, systematic approach to the referral of individuals requiring one-stop services. The MOU must describe how the referral process will connect customers to services, whether it is at the comprehensive One-Stop or another location.

Infrastructure Funding and Other Cost-sharing Agreements

The IFA must use a cost allocation methodology that demonstrates how costs are charged to each partner in accordance with the partner’s relative benefit and proportionate use, and in accordance with the partner’s authorizing statutes and regulations. Examples of cost allocation methodology include number of customers served, square footage used or number of full-time equivalent staff (FTEs).

In addition to jointly funding infrastructure costs, one-stop partners must use a portion of funds made available under their programs’ authorizing Federal law to pay the additional costs relating to the operation of the one-stop delivery system. These other costs must include applicable career services and may include other costs, including shared services. Shared costs must be allocated according to the proportion of benefit received by each of the partners, consistent with the Federal law authorizing the partner's program, and consistent with all other applicable legal requirements, including Federal cost principles requiring that costs are allowable, reasonable, necessary, and allocable.

For Infrastructure Funding and other cost-sharing agreements, the MOU must contain the following:

• The period of time in which the IFA is effective.  This may be a different time period than the duration of the MOU;
• Identification of an infrastructure and shared services budget that will be periodically reconciled against actual costs incurred and adjusted accordingly to ensure that it reflects a cost allocation methodology that demonstrates how infrastructure costs are charged to each partner in proportion to its use of the one-stop center and relative benefit received, and that complies with 2 CFR part 200 (or any corresponding similar regulation or ruling);
• Identification of all one-stop partners, Chief Elected Officials (CEOs), and Local Workforce Development Board (WDB) participating in the IFA;
• Steps the Local WDB, CEOs, and one-stop partners used to reach consensus or an assurance that the local area followed the guidance for the State funding process;
• A description of the process to be used among partners to resolve issues during the MOU duration period when consensus cannot be reached; and
• A description of the periodic modification and review process to ensure equitable benefit among one-stop partners.
• Any other provisions agreed to by the parties that are consistent with the authorizing statutes and regulations of One-Stop partner programs and the WIOA regulations.

Negotiating MOUs

WIOA emphasizes full and effective partnerships between Local WDBs, CEOs, and one-stop partners. Local WDBs and partners must enter into good-faith negotiations. Local WDBs, CEOs, and one-stop partners may also request assistance from a State agency responsible for administering the partner program, the Governor, State WDB, or other appropriate parties on other aspects of the MOU. If a local negotiation impasse persists, assistance may be requested from the US Department of Labor Region V office to preserve the local funding mechanism.

The Local WDB must report to the State WDB, Governor, and relevant State agency when MOU negotiations with one-stop partners have reached an impasse.

• The Local WDB and partners must document the negotiations and efforts that have taken place in the MOU. The State WDB, one-stop partner programs, and the Governor may consult with the appropriate Federal agencies to address impasse situations related to issues other than infrastructure funding after attempting to address the impasse. Impasses related to infrastructure cost funding must be resolved using the State funding mechanism (SFM) for infrastructure cost funding.
• The Local WDB must report failure to execute an MOU with a required partner to the Governor, State WDB, and the State agency responsible for administering the partner’s program. Additionally, if the State cannot assist the Local WDB in resolving the impasse, the Governor or the State WDB must report the failure to the Secretary of Labor and to the head of any other Federal agency with responsibility for oversight of a partner's program.

Copies of signed MOUs, including IFA’s and other cost sharing agreements, must be submitted to: WIOAgovernance@iwd.iowa.gov.

MOU Reconciliation

The one-stop operating budget must be periodically reconciled against actual costs incurred and adjusted accordingly. As part of the MOU development process, local areas must develop a process for periodic review and reconciliation of the one-stop operating budget against actual costs incurred (ex. monthly or quarterly, but no less frequently than every 6 months). The budget must be adjusted accordingly through an amendment, modification, or renewal based on the nature of the adjustment. Local areas must ensure that a current MOU is submitted to IWD for permanent file when changes are made.

MOU Amendment and Modification

The MOU must include description of the periodic modification and review process to ensure equitable benefit among one-stop partners. The MOU may be changed through processes of modification, amendment, or renewal. Triggers for these types of change may include the annual review, periodic reconciliation or request from one of the signatories.

• Amendment: Amendments are for adding, deleting, or editing terms and provisions that improve the contract on behalf of the parties and change the spirit of the agreement. All parties will need to review and agree to the elements of the MOU that have been changed and re-sign the MOU. 
• Modification: A modification is a change that does not alter the overall meaning or substance of the provisions in the agreement. A modification will require parties to review and agree to the elements that change but does not require new signatures of the MOU.
• Renewal: If renegotiation will be required from all partners, the MOU must follow the process for renewal. Renewal requires all parties to review and agree to all elements of the MOU and re-sign the MOU.

Annual review and periodic reconciliation may result in the identification of changes to be made to the MOU including the IFA or OSOB. In developing the process for periodic modification and review, the Local WDB and partners may agree to circumstances that will prompt the amendment process. An amendment is triggered by a substantial change that requires renegotiation. This might include adding or removing a shared cost or service from the one-stop operating budget or a change in a partner’s engagement in a center.

The MOU should include a process to ensure that all parties receive advance notice of the amendment and are provided the opportunity to comment. The MOU should also include a provision to ensure that each party receives a copy of each executed MOU amendment and updated budget and/or IFA, as applicable, within a timely manner, as established in the local process for periodic modification.

If a non-substantial change is identified and renegotiation is not required, a modification may be made to the MOU. All signatories should be made aware of the modification, as established in the local process for periodic modification. The MOU does not need to be re-signed for a modification.

MOU Renewal

WIOA requires that the MOU contain provisions that specify when the process and timeframe for renewal of the MOU during the conclusion of each MOU period. MOUs are required to be renewed no less than every three (3) years by all Local WDBs and partners. Renewal will also be required when there are substantial changes to the MOU that must be renegotiated by all partners. Substantial changes that require renewal of the MOU include addition or removal of one-stop partner programs and the election of a new chief elected official. Renewal requires all parties to review and agree to all elements of the MOU and re-sign the MOU.

All parties must meet at least once annually to review the current MOU, OSOB, and IFA to determine if re-negotiation of terms and/or costs is necessary. At the annual review, the MOU may be changed through processes of modification, amendment, or renewal.  

For the renewal MOU period, the IFA must be negotiated and executed concurrently with the MOU.  If the IFA cannot be submitted as finalized by the due date, the existing IFA may remain in place for (one) 1 quarter.  If the Local WDB reports that an impasse in infrastructure funding negotiations, the State Funding Mechanism (SFM) may be triggered.

State Funding Mechanism

Each entity that carries out a program or activities through a local one-stop center must use a portion of the funds available for the program and activities to maintain the one-stop delivery system, including payment of the infrastructure costs of one-stop centers (WIOA Sec. 121(b)(1)(A)(ii) 20 CFR 678.738). Failure by one (1) required partner to reach consensus regarding infrastructure costs will trigger the implementation of the state funding mechanism (SFM), even if all other required partners agree on the terms of the IFA.

Under the SFM, the Governor determines partner contributions in accordance with 20 CFR 678.730-678.738 and subject to the funding caps outlined in 20 CFR 678.738(c). Native American programs and additional partners are excluded from the SFM. The Governor may direct the Local WDB, CEOs, and required partners into renegotiations.

Notification and Negotiation Materials

If the Local WDB, CEOs, and the local partners cannot reach consensus on the one-stop center’s infrastructure costs and/or the amounts to be paid by each partner, the Local WDB must notify the Governor of the impasse. Notification must be given by submitting an email to WIOAgovernance@iwd.gov. The notification must be submitted at least three months prior to the projected MOU start date and include appropriate and relevant materials and documents used in the negotiations. At a minimum, these materials should include:

• The Local WIOA plan,
• The cost allocation methodology or methodologies proposed by the partners to be used in determining the proportionate share,
• The proposed amounts or budget to fund infrastructure costs,
• The amount of partner funds included,
• The type of funds (cash, non-cash, and third-party in-kind contributions) available
  • Including all documentation on how Partners valued non-cash and third-party in-kind contributions consistent with 2 CFR 200.306
• Any proposed or agreed on American Job Center budgets (for individual centers or a network of centers),
• Any partially agreed upon, proposed, or draft IFAs, and
• Additional materials as appropriate.

Governor’s Determinations and Calculations

After notification is received, the Governor will:

• Determine one-stop center infrastructure budget(s),
• Establish cost allocation methodology(s),
• Determine partners’ proportionate shares,
• Calculate statewide caps,
• Assess the aggregate total of infrastructure contributions as it relates to the statewide cap, and
• Adjust allocations.

Once all determinations and calculations are completed, the Governor will notify the Local WDB Chair (or designee) of the final decision and provide a revised IFA for execution by the parties. The IFA becomes effective as of the date of signing by the final signatory.

Appeals Process

Any Local Workforce Development Board (WDB) or One-Stop required partner may appeal for cause, within 10 business days, the Governor’s determination regarding the portion of funds (or non-cash contributions) it is to provide for One-Stop infrastructure costs.

WIOA stipulates that the State mechanism allocation determination may be appealed only if the determination is inconsistent with the requirements of WIOA sec. 121(h)(2)(E). The Final Rule further limits admissible grounds for an appeal to three possibilities. The appellant must make a case that the State’s determination is inconsistent with the:

• Proportionate-share requirements
• Cost-contribution limitations
• Cost-contribution caps

To be officially received, an appeal must fully contain and evidence the following:

• An introduction identifying the appellant and designating the correspondence letter as a formal appeal.
• Full citations from WIOA or the corresponding regulations that support the appeal.
• Identify the basis for the appeal.
• Signature and date of the appellant.

The appeal must be submitted electronically to: WIOAgovernance@iwd.iowa.gov.

The state shall review the appeal and documentary evidence submitted by the board or one-stop partner for the grounds that the governor's determination was inconsistent with proportionate-share requirements, cost-contribution limitations, or cost-contribution caps. Additional information may be requested, or an investigation conducted if necessary. A written response/decision will be issued within 20 business days of the receipt of the appeal.

Appellants who do not receive a decision within 20 business days or who received an adverse decision may file an appeal with the State WDB. The appeal must be filed in writing within 10 business days after the adverse decision was received or if no decision is received. Upon receiving an appeal, the State WDB will review the appeal and issue a final decision within 20 business days after the appeal was filed.

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Membership of the State Workforce Development Board (WDB) must meet the following requirements, and must represent diverse geographic areas of the State, including urban, rural, and suburban areas. 

The voting members of the State WDB shall include the following:

• The Governor
• One state senator appointed by the president of the senate after consultation with the majority leader of the senate
• One state representative appointed by the speaker of the house of representatives after consultation with the majority leader of the House of Representatives
• The Director of the Department of Workforce Development or the director’s designee
• The Director of the Department of Education or the director’s designee
• The Director of the Department for the Blind or the director’s designee 
• The Administrator of the Division of Iowa Vocational Rehabilitation Services of the Department of Education or the administrator’s designee

Following the nomination process established in the State WDB by-laws, the following twenty-six voting members shall be appointed by the Governor for staggered terms of four years, so that the terms of no more than nine members expire in a calendar year.  An individual shall not serve as a member of the State WDB in more than one capacity.

• Seventeen members who shall be representatives of businesses in the state to whom each of the following applies:
  • The members shall be owners of businesses, chief executives or operating officers of businesses, or other business executives or employers with optimum policymaking or hiring authority, and may, in addition, be members of a local workforce development board.
  • The members shall represent businesses, including small businesses, or organizations representing businesses, that provide employment opportunities that, at a minimum, include high quality, work-relevant training and development in in-demand industry sectors or occupations in the state.
  • The members shall be appointed from among individuals nominated by state business organizations and business trade associations.
• Seven members who shall be representatives of the workforce in the state and who shall include all of the following:
  • Four representatives of labor organizations who have been nominated by state labor federations.
  • One representative of a joint labor-management apprenticeship program in the state who shall be a member of a labor organization or a training director. If such a joint program does not exist in the state, the member shall instead be a representative of an apprenticeship program in the state
  • Two representatives of community-based organizations that have demonstrated experience and expertise in addressing the employment, training, or education needs of individuals with barriers to employment, including but not limited to organizations that serve veterans or that provide or support competitive, integrated employment for individuals with disabilities; or that serve eligible youth, including representatives of organizations that serve out-of-school youth.
• One city chief elected official.
• One county chief elected official.

The nonvoting members of the State WDB shall include the following:

• One state senator appointed by the minority leader of the senate.
• One state representative appointed by the minority leader of the house of representatives.
• One president, or the president’s designee, of the University of Northern Iowa, the University of Iowa, or Iowa State University of Science and Technology, designated by the State Board of Regents on a rotating basis.
• One president, or the president’s designee, of an independent Iowa college, appointed by the Iowa Association of Independent Colleges and Universities.
• One president or president’s designee, of a community college, appointed by the Iowa Association of Community College Presidents.
• One representative of the Economic Development Authority, appointed by the director.
• One representative of the Department on Aging, appointed by the director.
• One representative of the Department of Corrections, appointed by the director.
• One representative of the Department of Human Services, appointed by the director.
• One representative of the United States Department of Labor, Office of Apprenticeship.
• One representative from the largest statewide public employees’ organization representing state employees.
• One representative of a statewide labor organization representing employees in the construction industry.
• One representative of a statewide labor organization representing employees in the manufacturing industry.

State Board Chairperson

The Governor shall select a chairperson from among the members who are representatives of business whose term length shall coincide with the length of their appointment.

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The State Workforce Development Board (WDB) shall assist in:

• Development, implementation, and modification of the 4-year State Plan.
• Review of statewide policies, programs, and recommendations on actions that must be taken by the State to align workforce development programs to support a comprehensive and streamlined workforce development system. Such review of policies, programs, and recommendations must include a review and provision of comments on the State Plans, if any, for programs and activities of one-stop partners that are not core programs.
• Development and continuous improvement of the workforce development system, including:
  • Identification of barriers and means for removing barriers to better coordinate, align, and avoid duplication among programs and activities.
  • Development of strategies to support career pathways for the purpose of providing individuals, including low skilled adults, youth, and individuals with barriers to employment, including individuals with disabilities, with workforce investment activities, education, and supportive services to obtain or retain employment.
  • Development of strategies to provide effective outreach to and improved access for individuals and employers who could benefit from workforce development system.
  • Development and expansion of strategies to meet the needs of employers, workers, and job seekers, particularly through industry or sector partnerships related to in-demand industry sectors and occupations.
  • Identification of regions, including planning regions, and the designation of Local Workforce Development Areas, after consultation with Local Workforce Development Boards (WDBs) and Chief Elected Officials.
  • Development and continuous improvement of the one-stop delivery system in Local Workforce Development Areas, including providing assistance to Local WDBs, one-stop operators, one-stop partners, and providers. Such assistance includes assistance with planning and delivering services, including training and supportive services, to support effective delivery of services to workers, job seekers, and employers.
  • Development of strategies to support staff training and awareness across the workforce development system and its programs.
• Development and updating of comprehensive State performance and accountability measures to assess core program effectiveness.
• Identification and dissemination of information on best practices, including best practices for:
  • The effective operation of American Job Centers (AJC), relating to the use of business outreach, partnerships, and service delivery strategies, including strategies for serving individuals with barriers to employment.
  • The development of effective Local WDBs, which may include information on factors that contribute to enabling Local WDBs to exceed negotiated local levels of performance, sustain fiscal integrity, and achieve other measures of effectiveness.
  • Effective training programs that respond to real-time labor market analysis, that effectively use direct assessment and prior learning assessment to measure an individual’s prior knowledge, skills, competencies, and experiences for adaptability, to support efficient placement into employment or career pathways.
• Development and review of statewide policies affecting the coordinated provision of services through the State’s one-stop delivery system, including the development of:
  • Objective criteria and procedures for use by Local WDBs in assessing the effectiveness, physical and programmatic accessibility and continuous improvement of AJCs. Where a Local WDB serves as the one-stop operator, the State WDB must use such criteria to assess and certify the AJC.
  • Guidance for the allocation of AJC infrastructure funds.
  • Policies relating to the appropriate roles and contributions of entities carrying out one-stop partner programs within the one-stop delivery system, including approaches to facilitating equitable and efficient cost allocation in the system.
• Development of strategies for technological improvements to facilitate access to and improve the quality of services and activities provided through the one-stop delivery system, including such improvements to:
  • Enhance digital literacy skills 
  • Accelerate acquisition of skills and recognized postsecondary credentials by participants
  • Strengthen professional development of providers and workforce professionals
  • Ensure technology is accessible to individuals with disabilities and individuals residing in remote areas
• Development of strategies for aligning technology and data systems across one-stop partner programs to enhance service delivery and improve efficiencies in reporting on performance accountability measures, including design implementation of common intake, data collection, case management information, and performance accountability measurement and reporting processes and the incorporation of local input into such design and implementation to improve coordination of services across one-stop partner programs.
• Development of allocation formulas for the distribution of funds for employment and training activities for adults and youth workforce investment activities, to Local Workforce Development Areas.
• Preparation/review of the annual reports.
• Development of the statewide workforce and labor market information system.
• Development of other policies that may promote statewide objectives for and enhance the performance of the workforce development system in the State. 

A member of the State Workforce Development Board shall not:

• Vote on a matter under consideration by the board that concerns the provision of services by the member or by an entity that the member represents
• Vote on a matter under consideration by the board that would provide direct financial benefit to the member or the immediate family of the member
• Engage in any other activity determined by Iowa Workforce Development to constitute a conflict of interest as specified in the state workforce development plan

The State Workforce Development Board (WDB) may hire a director and other staff to assist in carrying out the functions described in State Board Roles and Responsibilities.  

Qualifications

The State WDB must establish and apply a set of objective qualifications for the position of director, that ensures that the individual selected has the requisite knowledge, skills, and abilities to meet identified benchmarks and to assist in effectively carrying out the functions of the State WDB. 

Payment Limitations

The director and staff hired by the State WDB are subject to limitations on the payment of salaries and bonuses.  Recipients and/or subrecipients who receive funds under Title I of the Workforce Innovation and Opportunity Act (WIOA) must not use such funds to pay the salary and bonuses of an individual, either as direct costs or indirect costs, at a rate in excess of the annual rate of basic pay prescribed for level II of the Executive Schedule under section 5313 of title 5, United States Code. This limitation does not apply to vendors providing goods and services as defined in the Office of Management and Budget Circular A–133. 

The Governor, or their delegated authority, must establish by-laws that at a minimum address: 

• The nomination process used by the Governor to select the State Workforce Development Board (WDB) chair and members
• The term limitations and how the term appointments will be staggered to ensure only a portion of membership expire in a given year
• The process to notify the Governor of a State WDB member vacancy to ensure a prompt nominee
• The proxy and alternative designee process that will be used when a State WDB member is unable to attend a meeting and assigns a designee as per the following requirements: 
  • If the alternative designee is a business representative, he or she must have optimum policy-making hiring authority. 
  • Other alternative designees must have demonstrated experience and expertise and optimum policy-making authority.

The State Workforce Development Board shall meet at the call of the chairperson, or when a majority of voting members of the State WDB file a written request with the chairperson for a meeting. 

Written Notice

Written notice of the time and place of each meeting shall be given to each member of the State WDB, in accordance with Sunshine Provision. 

Quorum

A majority of the voting members constitutes a quorum.

The State Workforce Development Board (WDB) shall make available to the public, on a regular basis through electronic means and open meetings, information regarding the activities of the State WDB, including:

• Information regarding the state plan, or modification of the state plan, prior to submission of the plan
• Information regarding State WDB membership, including the name and affiliation of each member
• State WDB by-laws
• Minutes of formal meetings of the State WDB

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The State Workforce Development Board (WDB) may designate and direct the activities of standing committees of the State WDB to provide information and to assist the State WDB in carrying out its duties. 

At minimum, the State WDB shall designate each of the following:

• A standing committee to provide information and assist with operational and other issues relating to the state workforce development system.
• A standing committee to provide recommendations regarding policies, procedures, and proven and promising practices regarding workforce development programs, services, and activities.
• A standing committee to provide information and to assist with issues relating to the provision of services to youth, which must include community-based organizations with a demonstrated record of success in serving eligible youth.
• A standing committee to provide information and to assist with issues relating to the provision of services to individuals with disabilities, including issues relating to compliance with applicable state and federal nondiscrimination laws regarding the provision of programmatic and physical access to the services, programs, and activities of the state workforce development system, as well as appropriate training for staff on providing support for, or accommodations to, and finding employment opportunities for individuals with disabilities.
• Other standing committees as determined by the State WDB.

The State Workforce Development Board (WDB) may designate and direct the activities of standing committees of the State WDB to provide information and to assist the State WDB in carrying out its duties. 

Such standing committees shall be:

• Chaired by a member of the State WDB, or designee
• May include other members of the State WDB
• Must include other individuals appointed by the State WDB who are not members of the State WDB and who is determined to have appropriate experience and expertise

The One-Stop delivery system established under the Workforce and Innovation Opportunity Act (WIOA) emphasizes informed consumer choice, job-driven training, provider performance, and continuous improvement. The quality and selection of providers and programs of training services, including Registered Apprenticeship programs and others, is vital to achieving these core principles. WIOA requires that each State must maintain a list of eligible training providers (ETPs) and their eligible training programs. The list must be accompanied by relevant performance and cost information and must be made widely available, including in electronic formats, and presented in a way that is easily understood, in order to maximize informed consumer choice and serve all significant population groups. 

Under WIOA, participants in need of training services to enhance their job readiness or career pathway may access career training through a list of state-approved training providers and their state-approved training programs. Participants can select from the list of ETP programs that meet their needs. This chapter describes the process for determining ETPs and programs for WIOA Title I, subtitle B adult, dislocated worker, and out-of-school youth (OSY) aged 16-24 training participants, and for publicly disseminating the list of these providers with relevant information about their programs.

The State is responsible for ensuring the success of the ETP system in partnership with Local Workforce Development Boards (WDBs), the One-Stop delivery system, and its partners. The approved list of ETPs should serve as an important tool for participants seeking training to identify appropriate providers, and relevant information, such as cost and program outcomes. Using the list of ETPs, career planners in the American Job Center can assist participants in identifying training and training providers in high demand industries that result in positive outcomes and recognized credentials. 

Iowa Workforce Development will ensure the state maintains an accurate and current Eligible Training Provider List (ETPL) available to Local WDBs, the One-Stop delivery system, program partners, and members of the public. Iowa’s ETPL is located at http://www.iowaworks.gov.  

Providers may be eligible to receive training funds for participants who enroll in training services under WIOA Title I. Only eligible training providers and their eligible programs will be included in Iowa’s Eligible Training Provider List (ETPL).  

Potential Eligible Training Providers

Potential Eligible Training Providers include entities that provide a program of training services and must be one of the following types:

1. Institutions of higher education that provide a program which leads to a recognized post-secondary credential.
2. An entity that carries out programs registered under the National Apprenticeship Act.  Registered Apprenticeship programs will be included and maintained on the ETPL for as long as the program remains registered under the National Apprenticeship Act. 
3. Other public or private providers of training, which may include:
   • Community Based Organizations (CBOs) or private organizations of demonstrated effectiveness that provide training under contract with the Local Board
   • Joint labor-management organizations 
   • Eligible providers of adult education and literacy activities under Title II of WIOA, if such activities are provided in combination with training services described at 20 CFR § 680.350.

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 Iowa laws in relation to operation as a training education institution.

Providers of on-the-job training, customized training, incumbent worker training, internships, paid or unpaid work experience, or transitional jobs are not subject to ETPL requirements.

Provider Registration

All providers who seek to be included on Iowa’s ETPL must complete the registration process via the data management system located at http://www.iowaworks.gov. After provider registration has been completed, training program applications must also be submitted through the data management system. Please see the Initial Eligibility policy and the Iowa Eligible Training Provider User Guide for more information. 

After a provider is successfully registered in the system, all changes in required information must be reported within ten days of the change through entry in the data management system. See the Iowa Eligible Training Provider User Guide for a list of required fields.

A program of training services is defined as one or more courses or classes, or a structured regimen that leads to:

• An industry-recognized certificate or certification, a certificate of completion of a Registered Apprenticeship, a license recognized by the State involved or the Federal government, an associate or baccalaureate degree
• A secondary school diploma or its equivalent
• Employment; or
• Measurable skill gains toward such a credential or employment 

Training services may be delivered in person, online, or in a blended approach. Training programs must make every effort 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. 

After a program is approved in the system, all changes in required information must be reported within ten days of the change through entry in the data management system. See the Iowa Eligible Training Provider User Guide for a list of required fields.

In order to determine initial eligibility, a training provider is required to provide the following program specific information for each program of training services at initial application.

Information Submission Requirements

After Provider Registration is complete in the data management system, an application for each education and training program must also be completed via the Iowa Workforce Development data management system located at http://www.iowaworks.gov.

When completing an application, the following information is required: 

1. Description of each program of training to be offered
2. Information addressing a factor related to the indicators of performance as described in WIOA
3. Description of whether the provider is in a partnership with a business
4. Information which demonstrates high quality training services that leads to recognized post-secondary credentials
5. Description of how the training program(s) align with in-demand industries and occupations, as identified in State or Local Plans

Completing all required fields in the application will meet the above requirements.

Programs which are approved receive initial eligibility for one year. Once initial eligibility expires, these programs will be subject to the Continued Eligibility policy.

Prior to the end of the initial eligibility period, providers who wish to have each of their education and training programs continue to be included on the Eligible Training Provider List (ETPL) must complete a review of continued eligibility. After the first continued eligibility determination, programs will be reviewed for continued eligibility on a biennial basis.

Information Submission Requirements

For continued eligibility of programs, the provider must submit the following information through the renewal process in the data management system located at http://www.iowaworks.gov:

1. Program-specific performance information regarding participants, including:

   • The percentage of program participants who are in unsubsidized employment during the second quarter and fourth quarter after exit from the program 

   • The median earnings of program participants who are in unsubsidized employment during the second quarter after exit from the program 

   • 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 one (1) year after exit from the program

   • Information on recognized post-secondary credentials received by program participants

   • Cost of attendance, including the cost of tuition and fees

   • Completion Rate

2. A description of how the provider provides access to training services, including to rural areas, including the use of technology

3. 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

4. Any applicable state licensure requirements of training providers

5. A description of training provider’s ability to offer industry-recognized certificates and/or credentials through the program

6. A description of training provider’s ability to offer programs that lead to post-secondary credentials

7. A description of the quality of the program of training services including a program that leads to a recognized post-secondary credential 

8. 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

9. The timeliness and accuracy of the eligible training provider’s performance reports

10. Relevant information reported to State agencies on Federal and State training programs other than programs within WIOA Title I

Review and Notification Process

Training providers renew their program eligibility status by submitting updated information to Iowa Workforce Development through the data management system located at http://www.iowaworks.gov, which will notify providers when it is time to complete the program review process. The State will review applications for the program(s) of education and training services. The State will terminate and remove providers that fail to meet the criteria necessary to remain eligible, in accordance with federal regulations and the Denial or Revocation of Eligibility/Conditions for Removal policy. 

Institution and Training Provider Renewals

For an institution or training provider to continue to be an eligible training provider, their status must be renewed, at a minimum, biennially based on the date the institution or training provider was last approved.

The institutional or provider renewal is an update of basic provider information and general performance data. Eligible training providers must renew their status by providing updated contact and State licensure and other accreditation requirements in an accurate and timely manner.

Training Program Renewals

For an institution's or training provider's program of training services to continue to be eligible, the program's status must be renewed, at a minimum, biennially based on the date the program of training services was last approved. Program renewals may or may not occur concurrently with an institution's or provider's renewal.

If a provider of training services does not renew a program before the eligibility period expires, the program will be suspended and the training provider will no longer be permitted to provide training services funded by WIOA. A provider who has been removed from the list of eligible training providers is liable to repay all adult and dislocated worker training funds received during the period of noncompliance. Students enrolled in programs that lose eligibility may continue in the program but WIOA funds may not be used to fund the training. 

Through guidance issued in Training and Employment Guidance Letter (TEGL) 41-14, the U.S. Department of Labor (DOL) allowed for previously approved providers and programs on the state’s ETPL to be transitioned to a WIOA-compliant ETPL without being subject to initial eligibility requirements.  All Workforce Investment Act (WIA) approved providers and programs allowed to transition to the WIOA-compliant ETPL were required to have completed continued eligibility under WIOA policies no later than June 30, 2016, in accordance with TEGL 41-14, Change 1. 

Iowa began using a new data management system on June 3, 2019.  In order to ensure continuity of service for Title I participants in Iowa as we transition to the new data management system and new WIOA-compliant ETPL, all current ETPL programs/providers were allowed to convert into the new ETPL in the data management system.  However, all existing providers/programs converted into the new data management system will be required to undergo continued eligibility review within one (1) year of conversion to ensure compliance with federal guidance referenced above.  This process will occur based on a random assignment of program continued eligibility dates beginning on November 1, 2019 and concluding prior to May 31, 2020. 

All new applications for providers/programs to Iowa’s ETPL received on or after June 3, 2019, will be required to complete the application process and meet the initial and continued eligibility requirements established in Iowa’s ETPL policy.

The Continued Eligibility policy provides specific information on the requirements to complete this review process.

Approved training programs offered in other states may be used, as long as a reciprocity agreement between Iowa and the other state is established prior to Workforce Innovation and Opportunity Act (WIOA) funds being issued to an out-of-state training provider. In order for an individual to obtain training through an out-of-state provider, the training provider must be listed on that state’s Eligible Training Provider List (ETPL) and the provider must register the institution and program(s) in the Iowa data management system, located at http://www.iowaworks.gov. These providers and programs will be automatically approved in the IowaWORKS system. 

If a reciprocity agreement is unable to be established between states, WIOA funds may be issued to a training provider outside of Iowa when the following conditions are met: 

1. The training program is not offered by any eligible training providers in Iowa;
2. The training provider is in good standing on that state’s ETPL; and
3. The training provider must register the institution and program(s) in the Iowa data management system, located at http://www.iowaworks.gov and go through the Iowa approval process. 

Only the State can remove eligible training providers and programs from the ETPL and only after appropriate due process. Iowa Workforce Development (IWD), on behalf of the State, can remove an eligible training provider, a program, or both when IWD finds that an eligible training provider, a program, or both:

• Intentionally submits inaccurate data and there is evidence of this;
• Has substantially violated any provision of Title I of WIOA and its regulations;
• Is in violation of state and/or local laws;
• Has ceased to be in business and/or lost its license to operate; or
• Fails to meet performance levels

As part of the biennial review of eligibility, eligible training providers and/or programs may be subject to the removal procedure due to not meeting criteria, or failure to meet established minimum performance levels.

After removing a training provider and/or program from the ETPL, local Workforce Development Boards cannot use WIOA Title I funds to pay for WIOA participants to attend training at that training provider and/or its programs not listed on the ETPL. A training provider removed from the ETPL list for failure to meet performance or for being in violation of the WIOA statute or regulations, cannot re-apply for eligibility for a period of not less than two (2) years after the official removal date. A provider whose eligibility is terminated under these conditions is liable to repay all youth, adult, and dislocated worker training funds it received during the period of noncompliance.

If a provider of training services has its eligibility denied or terminated as a provider or for a training program, the training provider will be notified regarding the decision according to the contact person listed on the training provider’s account. 

The training provider may appeal the denial or termination within twenty (20) business days from the date of receipt of notice of termination by submitting an appeal request to ETPL@iwd.iowa.gov. The State will review the appeal, provide the opportunity for a hearing, and issue a written decision/response within thirty (30) business days of the receipt of the appeal. The appeal will be heard by the IWD Workforce Services Division Administrator and the WIOA General Counsel.

Training Provider Reinstatement

Because it is possible for a training provider to improve upon its overall performance and otherwise rectify any other conditions of their denial or revocation as an Eligible Training Provider, a provider may re-apply for eligibility two (2) years after the official removal date.

To be reinstated, the training provider must:

• comply with the requirements for initial eligibility; and
• demonstrate it has corrected all performance and other deficiencies which resulted in its removal from the ETPL.

Training Program Reinstatement

A provider whose training program is removed from the statewide list can re-apply for program eligibility no sooner than two (2) years from the date of the denial of program eligibility. A provider may re-apply for initial eligibility of the training program when it can demonstrate its program quality with at least one (1) year of performance information.

To have a training program reinstated, the training provider must:

• re-apply for program eligibility subject to the policies and procedures for initial eligibility; and
• meet the minimum performance standards, if applicable, along with any other eligibility criteria in place at the time of re-application.

Eligibility for training funds: the TAA program does not require training providers or programs to be on the Eligible Training Provider List (ETPL) in order to receive training funds, however TAA participants may select a training program offered by a provider on the State list of eligible training providers.

Co-enrollment and precedence of TAA vs WIOA requirements:  if a participant is co-enrolled in a Workforce Innovation and Opportunity Act (WIOA) program and a TAA program, the TAA program may fund training by a provider that is not on the State list of eligible training providers. However, if training services for a co-enrolled participant are paid with WIOA funds, the requirements under WIOA apply, and the training services must be provided by a provider/program on the ETPL. 

All Registered Apprenticeship Programs registered under the National Apprenticeship Act with the U.S. Department of Labor/Office of Apprenticeship are exempt from initial eligibility procedures and are automatically eligible to be included on the Eligible Training Provider List (ETPL). Registered Apprenticeship programs must be included and maintained on the list of eligible providers of training services as long as the corresponding program remains registered.

Termination of Registration

Once included on the Iowa ETPL, Registered Apprenticeship Programs will remain on the list of eligible training providers until:

1. They are deregistered, 
2. They notify Iowa Workforce Development that the program no longer wants to be on the list, or 
3. It is determined that they have intentionally supplied inaccurate information or have substantially violated any provision of WIOA Title I or WIOA Regulations.

See the Registered Apprenticeship (RA) Programs on Eligible Training Provider List (ETPL) policy for more information.

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This guidance is being issued pursuant to the Workforce Innovation and Opportunity Act (WIOA). These guidelines are subject to revision as additional guidance is issued by the United States Department of Labor (USDOL) or other applicable entity, a change in workforce trends, or other factors necessitates.

The purpose of this guidance is to assist local areas in developing policies and procedures relating to certification of participants served with WIOA Title I program funds.

Local areas are required to apply these guidelines in the development of new or revised policies and implementation of innovative programming. Current policies and practices should be examined to ensure that they reflect access to all through a focus on the removal of barriers for the state’s population.

Career planners providing services under Title I programs should adhere to all state policies, as well as any local policies.

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In making enrollment decisions, priority should be given to residents of the region, extended out to the local school district boundaries. It is the responsibility of the Local Workforce Development Board (WDB) to establish and follow geographical preference for enrollment policy and procedures. The criteria in the written policy and procedures must provide a fair and equitable method for selection among the eligible applicants, as well as a process by which to document fair and equitable determination.

Determination of eligibility for WIOA Title I programs must be based on information gathered at, or prior to, the time of enrollment. All individuals must be determined eligible before they can participate in any Title I activities. The Local Workforce Development Board (WDB) is ultimately responsible for all eligibility determinations within each region. They may delegate the execution of that responsibility to the applicable service provider.

Self-Certification

There are limited circumstances that may warrant self-certification, as detailed below. Self-certification should only be used in circumstances where alternative documentation is unavailable. Self-certification occurs when a participant states his or her status for a particular eligibility criteria, such as pregnant or parenting youth, and then signs and dates a form acknowledging this status.

The key elements for self-certification are:

• The participant identifying his or her status for permitted criteria, and
• Signing and dating a form attesting to this self-identification.

Electronic signatures are allowable on the application in the data management system, or may be on paper and uploaded to the data management system, as applicable.  Additional paper forms and signatures verifying self-certification for eligibility criteria must be uploaded to the data management system.

Authorization for Program Participation of Minors

For purposes of authorizing a minor to participate in the WIOA Title I youth program, the signature of a parent, guardian, or other responsible adult is required.

An other responsible adult may include:

• A relative with whom the individual resides,
• An adult who has been delegated custodial or administrative responsibilities in writing, either temporarily or permanently, by parents or by an appropriate agency,
• An agency or organization representative who is in a position to know the individual's circumstances (i.e., that they could not get a parent's or guardian's signature authorizing participation), for example, a clergy person, a school teacher or other school official, a probation or other officer of the court, a foster parent,
• A representative of an agency which provided support services to the individual and who is aware of the individual's circumstances (i.e., that they cannot get a parent's or guardian's signature authorizing participation), for example, a social worker, a homeless shelter official, a child protective worker, a health clinic official; or
• Other responsible adults to be appropriate to authorize the individual's participation, as defined in policy by the Local WDB.

Eligibility documents which a minor presents on behalf of a parent or guardian (e.g. income in regards to family income) must be verified by a parent or guardian. Verification by an other responsible adult would not be acceptable.

Documentation Requirements

Documentation verifying eligibility criteria must be obtained and entered in the data management system prior to program enrollment.

Non-Eligible Individuals

Any costs associated with providing WIOA Title I services to non-eligible individuals may be disallowed.

In order to participate in any WIOA Title I funded activity, males who are at least 18 years of age but less than 26 years of age must comply with Section 3 of the Military Selective Service Act, by registering for the Selective Service, when applicable.

If the individual has not complied, the individual must register with the Selective Service prior to enrollment into WIOA Title I services.

Compliance Determination Process

For males 26 years of age and older who were born on or after January 1, 1960, the career planner must determine whether the male has complied with the Selective Service requirements. If the male has not complied with Section 3 of the Military Selective Service Act, the following procedures must be followed:

• A determination must be made as to whether the male has received a discharge from the U.S. Military Service. Appropriate documentation would include a copy of the individual’s military discharge (Form DD-214) or verification from an authorized representative of Veteran Affairs.  
• If the male is an immigrant alien or refugee, parolee, asylee, seasonal agricultural worker or IRCA-legalized alien born after December 31, 1959, and was 26 years of age or older at the time of entry into the United States, Selective Service registration is not required. Appropriate documentation would include Immigration and Naturalization Service (INS) documents (documenting age, date of entry into the United States and alien status as immigrant, refugee, parolee, asylee, seasonal agricultural worker or legalized non-immigrant under the IRCA).  
• When a male applicant 26 years of age or older who was born on or after January 1, 1960, has not registered with Selective Service, the male must be advised that a "Status Information" letter is required from the Selective Service before he may be determined eligible to participate in any WIOA Title I program.

The individual must provide the following information regardless of how the letter is requested: name; social security number; date of birth; return address; and a description of the circumstances.

Status Information Letter (SIL)

The Selective Service System (SSS) will not make an actual determination, but will issue a Status Information Letter. Any male over 26 years old who receives a Status Information Letter from the SSS indicating that he was required to register, but did not, and now cannot be registered because the law does not allow for registration after the age of 26, is presumptively disqualified from participation in WIOA Title I funded activities and services. The burden then falls on the applicant to provide evidence to the Title I service provider explaining why he failed to register with the SSS. This could include a written explanation from the applicant, stating his circumstances at the time of the required registration, and his reasons for not registering, together with supporting documentation. Third party affidavits from parents, teachers, employers, doctors, etc. concerning reasons for not registering may also be provided.

The WIOA Title I service provider must use the information provided by the applicant to make a determination as to whether the applicant knowingly and willfully failed to register. If after reviewing the evidence the service provider determines that the preponderance of the evidence shows that the man's failure to register was not knowing and willful, and he is otherwise eligible, services may be granted. If the determination is that the preponderance of evidence shows the applicant's failure to register was known and willful, WIOA Title I services must be denied. Applicants denied services must be advised that they may appeal the decision through the region's complaint procedure.

If an individual who is required to register at age 18 turns 18 during his period of WIOA Title I program enrollment, he must register in order to remain enrolled in the program. Failure to register must result in immediate termination from the WIOA Title I program.

Information relating to registration status can be obtained by calling the Selective Service System telephone number, (847) 688-6888 or via the internet at http://www.sss.gov.

In an effort to ensure individuals are enrolled and served in a timely manner, the State of Iowa has established deadlines for moving individuals through the enrollment process.

1. Application - An application for WIOA Title I services is required.
2. Eligibility Determination - Once an application has been completed, career planners must verify and document program eligibility within 30 days.
3. Enrollment - Once an individual has been deemed eligible, they must be enrolled into a program service that triggers inclusion as a participant within 30 days of the date of eligibility determination.

If any of the deadlines established above are not met, a new application for services is required and the same time requirements outlined apply.

Intrastate transfer is an option when a participant relocates from one service delivery area to another. If it is determined to be appropriate to transfer, a new application is not required. Performance for the participant remains with the service delivery area that initially enrolled the participant. Regions must collaborate to ensure the continuity of services.

If services can continue with the original region, there is no requirement they be transferred to the region in which they relocated.

Re-enrollment is allowed for individuals interested in re-enrolling. A new application and a redetermination of eligibility must be completed prior to re-enrollment. Justification for re-enrollment of former participants must be documented in the data management system.

If a participant is determined to be ineligible at any time, the individual must be informed of the determination in writing, and given 30 days to respond. Local Workforce Development Boards (WDBs) must develop policies and procedures for informing individuals of ineligibility to receive services.

Upon final determination of ineligibility for a program, the participant’s activities must be closed. This must occur the same day that the final determination of ineligibility is made. The reason for the ineligibility, the date of final determination of ineligibility, and the date of discontinuation of services must be documented in the data management system.

If at any time it is found that a participant has committed fraud to receive WIOA Title I assistance or has attempted to defraud a WIOA Title I program, the individual must be informed of the determination in writing, and given 30 days to respond. Local Workforce Development Boards (WDBs) must develop policies and procedures for informing individuals of closing services due to fraud.

If it is found the individual did commit fraud to receive services, the participant’s activities must be immediately closed. All circumstances related to the fraudulent act or attempt to defraud, along with the last date of services, must be documented and maintained in the data management system.

A career pathway is a combination of rigorous and high quality education, training, and other services that:

• Aligns with the skill needs of industries in the economy of the State or regional economy involved;  
• Prepares an individual to be successful in any of a full range of secondary or postsecondary education options, including Registered Apprenticeships;  
• Includes counseling to support an individual in achieving the individual’s education and career goals;  
• Includes, as appropriate, education offered concurrently with--and in the same context as--workforce preparation activities and training for a specific occupation or occupational cluster. It also organizes education, training, and other services to meet the particular needs of an individual in a manner that accelerates the educational and career advancement of the individual to the extent practicable;  
• Enables an individual to attain a secondary school diploma or its recognized equivalent, and at least one recognized postsecondary credential; and  
• Helps an individual enter or advance within a specific occupation or occupational cluster.

Career planners and participants should work together to identify appropriate career pathways by utilizing the objective assessment results. Career pathway goals, timelines, and other considerations must be established and entered in the data management system.

Local Workforce Development Boards (WDBs) must include in their local plan a description of the strategies and services that will be used in the local area to implement career pathways.

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Adult Mentoring (MEN) is a formal, long-term relationship between a youth and an adult mentor that includes structured activities where the mentor offers guidance, support, and encouragement to develop the competence and character of the mentee. In particular, where parents are either unavailable or unable to provide responsible guidance for their children, mentors play a critical role.

Mentoring generally serves the following broad purposes:  

• Education/academic: helps mentored youth improve overall academic achievement.
• Career: helps mentored youth develop the necessary skills to enter or continue on a career path or where they assist in matching a youth participant with an employer or employee of a company.  
• Personal development: supports mentored youth during times of personal or social stress and provides guidance for decision-making.

Group mentoring activities and mentoring through electronic means are allowable as part of this activity, however, the youth must be matched to an individual mentor to whom the youth interacts with on a face-to face basis. It is encouraged that mentoring be provided by someone other than the career planner.

Mentoring is to be provided for no less than 12 months and may take place both during the program and following exit from the program. Mentoring may include workplace mentoring where the local program matches a youth participant with an employer or employee of a company. Local Workforce Development Boards (WDBs) should ensure appropriate policies and procedures are in place to adequately screen and select mentors.

Customized Training (CUS) provides training that is specific to an employer (or group of employers) which includes specific requirements so that individuals will be hired by the employer after successful completion of the training.

Customized training is designed to provide local areas with flexibility to ensure that training meets the unique needs of the job seekers and employers or groups of employers.

The following should be considered when developing CUS for participants:  

• Customized training is normally provided in a classroom setting that is designed to meet the special requirements of an employer or group of employers;  
• The employer(s) must commit to hire an individual upon successful completion of the training;  
• The employer must pay a significant portion of the cost of the training (not less than 50 percent); and  
• Participants enrolled in CUS must be covered by adequate medical and accident insurance.

Documentation of the CUS and participant progress must be noted in the data management system.

Local Workforce Development Boards (WDBs) must include in their local plan a description of the strategies and services that will be used in the local area to administer CUS.

English Language and Integrated Education and Training (ELT) is a service approach that provides English language acquisition, adult education and literacy activities. These activities are provided concurrently and contextually with workforce preparation activities, and workforce training for a specific occupation or occupational cluster for the purpose of educational and career advancement.

Entrepreneurial Training (ENT) provides the basics of starting and operating a small business.  Training must develop the skills associated with entrepreneurship. Such skills may include, but are not limited to, the ability to:

• Take initiative
• Creatively seek out and identify business opportunities
• Develop budgets and forecast resource needs
• Understand various options for acquiring capital and the trade-offs associated with each option; and
• Communicate effectively--including marketing oneself and one's ideas

Approaches to teaching participants entrepreneurial skills include, but are not limited to, the following:

• Entrepreneurship education that provides an introduction to the values and basics of starting and running a business. Entrepreneurship education programs often guide participants through the development of a business plan and also may include simulations of a business start-up and operation.

• Enterprise development which provides supports and services that incubate and help participants develop their own businesses. Enterprise development programs go beyond entrepreneurship education by helping participants access small loans or grants that are needed to begin business operation and by providing more individualized attention to the development of viable business ideas.
• Experiential programs that provide participants with experience in the day-to-day operation of a business. These programs may involve the development of a participant-run business that people participating in the program will work in and manage. Or, they may facilitate placement in apprenticeship or internship positions with entrepreneurs in the community.