TEGL States Plan Modification Guidance

EMPLOYMENT AND TRAINING ADMINISTRATION
ADVISORY SYSTEM
U.S. DEPARTMENT OF LABOR
Washington, D.C. 20210

CLASSIFICATION

WIOA State Plans
CORRESPONDENCE SYMBOL

OWI
DATE

December 14, 2021

ADVISORY:

TRAINING AND EMPLOYMENT GUIDANCE LETTER NO. 4-21

TO:

STATE WORKFORCE AGENCIES
STATE WORKFORCE ADMINISTRATORS
STATE WORKFORCE LIAISONS
STATE AND LOCAL WORKFORCE BOARD CHAIRS AND DIRECTORS
AMERICAN JOB CENTER DIRECTORS
STATE LABOR MARKET INFORMATION DIRECTORS
STATE APPRENTICESHIP AGENCIES
STATE DIRECTORS OF THE OFFICE OF APPRENTICESHIP
STATE AND LOCAL STAKEHOLDERS IN THE WORKFORCE
INNOVATION AND OPPORTUNITY ACT

FROM:

ANGELA HANKS
Acting Assistant Secretary

SUBJECT:

Modification Requirements for Workforce Innovation and Opportunity Act
(WIOA) State Plans for Program Years (PYs) 2022 and 2023

1. Purpose. This Training and Employment Guidance Letter (TEGL) conveys to states1 the
Administration’s priorities, modification requirements, submission process, and deadline for
the required modification of the WIOA Unified and Combined State Plans (State Plans) for
PY 2022 and PY 2023, consistent with Sections 102 and 103 of WIOA.
2. Action Requested. In accordance with WIOA, its implementing regulations, and the
information collection request (ICR) Workforce Innovation and Opportunity Act (WIOA)
Unified and Combined State Plan Requirements, approved under Office of Management and
Budget (OMB) control number 1205-0522, states must submit a two-year modification of
their WIOA Unified or Combined State Plans to the U.S. Departments of Labor and
Education (the Departments). States should submit plan modifications by March 15, 2022,
using the online portal described in Section 4.d. of this guidance. Once submitted, the
Departments will review and provide a decision within 90 days for the core programs, as
required by section 102(c)(2)(B) and (3)(B) of WIOA.

For purposes of the Unified or Combined State Plans, the term “State” refers to the 50 States, the District of
Columbia, Puerto Rico, American Samoa, Guam, the U.S. Virgin Islands, the Northern Mariana Islands, and, as
appropriate for certain programs, the Republic of Palau (20 CFR § 676.105(e), 34 CFR §§ 361.105(e) and
463.105(e)).
1

RESCISSIONS

EXPIRATION DATE

None

Continuing

3. Summary and Background.
a. Summary – This joint guidance outlines the WIOA planning requirements for the
required two-year modification of the four-year State Plan and provides submission
deadlines and procedures.
b. Background – WIOA requires the Governor of each state to submit a Unified or
Combined State Plan that includes a four-year strategy and operational plan for the
continuing implementation of the state’s workforce development system, with an update
after two years. States must have federally approved State Plans to receive funding under
the six core programs (Adult, Dislocated Worker, Youth, Adult Education and Family
Literacy Act (AEFLA), Wagner-Peyser, and the Vocational Rehabilitation (VR)
programs). All states currently have approved WIOA State Plans for PYs 2020-2023.
However, WIOA requires that states review their plan every two years and update State
Plan strategies, based on changes in the labor market and economic conditions or other
factors affecting the implementation of the State Plan. Such factors may include
reorganization of state administering agencies of WIOA programs, redesignation of local
areas or establishment of new planning regions, changes to sub-state funding allocations,
and other significant strategic or operational changes within states.
Under WIOA, the Unified and Combined State Plans communicate the state’s vision for
the state workforce system. WIOA planning requirements aim to foster better alignment
of federal investments across job training and education programs in order to align
service delivery across programs among shared customers, to improve efficiency in
service delivery, and to ensure that the workforce system matches skilled individuals with
high-quality job opportunities and employers. Cross-program planning promotes a
shared understanding of the workforce needs within each state. Such planning cultivates
the development of more comprehensive and aligned approaches, such as career
pathways and sector strategies, for addressing the needs of workers, especially those with
barriers to employment, including individuals with disabilities, and of businesses.
Additionally, it enables the workforce system to provide a wider range of coordinated and
streamlined services to shared customers.
The Departments recognize that states have been engaged in responding to the
convergence of economic and health crises that have exposed and exacerbated inequities
within our communities during the past two years since approval of their PYs 2020-2023
Unified or Combined State Plans. Past economic recoveries inequitably impacted people
of different demographics, geographic locations, occupations, and industries; this
recovery can be different with intentional planning and action. With this in mind, and in
light of the reassessment by states of education and workforce needs and strategic
approaches to addressing the shifting economic and workforce landscape, strategic
planning and cross-partner conversations are more important than ever. Such planning
can drive implementation that more fully realizes the opportunities, innovations, and
equitable prosperity that WIOA envisions for America’s workers and learners.

2

4. Content.
a. WIOA Planning Priorities.
i. Data-driven decisions. When states last submitted WIOA State Plans in March 2020,
the COVID-19 pandemic and its significant disruptions to the global and to local
economies had only just begun. As a result, it is particularly critical, for purposes of
developing and submitting the State Plan modification for PYs 2022 and 2023, that
states reassess economic and labor market information (LMI) and adjust strategies for
what may now be a different set of growing and declining industries, occupations,
and skills, thereby ensuring the State Plan modification reflects changes in the labor
market and economic conditions and other factors affecting implementation of the
State Plan as required by section 102(c)(3)(A) of WIOA. LMI informs both
immediate response and ongoing recovery efforts during this rapidly changing
economic environment, and state planners must work closely with the LMI Directors2
within their states to understand the current and growing needs of their economy. In
their examination of LMI, states must analyze data to assess disparities in labor
market outcomes among various populations3 and should focus planning efforts on
not just how to tackle workforce challenges generally, but also how best to adapt and
adjust their workforce goals and strategic focus for those communities with
disproportionately higher unemployment rates and lower earnings—particularly
among underserved population groups, or individuals facing barriers to employment
(e.g., low-income individuals, English language learners, individuals without housing,
individuals with disabilities). The State Plan modification must reflect any such
strategic re-focusing. The Departments encourage states to widely share state LMI,
including the state LMI used in state plans across state agencies, regardless of
inclusion in the WIOA State Plan, to support data-informed decisions. For example,
such data analysis could support Perkins V subrecipients in carrying out
comprehensive local needs assessments4.
ii. Reemployment. WIOA emphasizes integrating services to better serve workforce
customers. All workforce system partners have a shared responsibility to facilitate
the reemployment of unemployed individuals and the improved employment of
underemployed individuals. To accomplish this shared responsibility, each one-stop
partner program contributes services to individuals who meet program eligibility
requirements and offers opportunities for individuals to co-enroll in more than one
program. The Departments encourage states to examine how well their systems and
operations across the WIOA one-stop partner programs, including Unemployment
Insurance (UI), can work more seamlessly together to positively affect the shared
goal of reemployment, particularly for individuals with barriers to employment,
including individuals with disabilities.

2

A list of all LMI Directors is available at https://www.bls.gov/bls/ofolist.htm.
WIOA Section 102(b)(1)(B) and Workforce Innovation and Opportunity Act (WIOA) Unified and Combined State
Plan Requirements (OMB control # 1205-0522), section II(a)(1)(B).
4
Perkins V is the Carl D. Perkins Career and Technical Education Act of 2006, as amended by the Strengthening
Career and Technical Education for the 21st Century Act. Section 135(c) requires comprehensive local needs
assessments.
3

3

iii. Equity in service delivery and educational programming. States should examine
which population groups, particularly those identified in the LMI analysis as having
higher unemployment and lower earnings than the overall population, experience
inequities in access to and participation in public workforce programs that lead to
quality jobs. States and local areas can examine, where data are available, which
communities and neighborhoods were particularly economically impacted during the
pandemic in order to focus resources and referral networks for maximum impact.
The Departments encourage states to develop education, training, and career service
strategies that better address and promote equity in recruitment, service design,
implementation, and support services that aim to provide equitable access and
outcomes to all communities seeking access to state services. Smooth transitions and
alignment among programs, including programs that support low-income jobseekers
such as recipients of Temporary Assistance for Needy Families (TANF),
Supplemental Nutrition Assistance Program (SNAP), and those supporting
individuals with disabilities such as state Mental Health or Medicaid services,
promote economic stability. States are also encouraged to consider ways they can
continue to leverage pandemic related investment, from both the public and private
sector, to build and improve capacity of educational programming. This includes
supporting educators to leverage technology for innovative and personalized
instruction and increasing access to internet and devices for students and families.
Nimble, modularized, innovative, and personalized services—including better
leveraging technology for synchronous and asynchronous program delivery—can
provide flexibility and adaptability to workers and learners, increasing equitable
engagement in services and meeting their needs while they are balancing competing
commitments and schedule challenges.
iv. Enhance supportive service offerings. Services that assist individuals to begin to
return to work not only include education, training, and employment services, but
also include services that support individuals’ personal and family needs to address
barriers to work. States should consider providing assistance with access to
transportation, referrals to physical and mental health assistance, housing assistance,
child and dependent care, and income supports such as UI and TANF. Supportive
services are essential to ensure that youth and adults can stay engaged in program
offerings and reach their educational and employment goals and are particularly
critical for those with justice and child welfare system involvement, individuals with
disabilities, individuals without housing, or those with limited English proficiency.
Partnerships with community-based organizations with deep roots in underserved
communities are key to improve outreach and supports for an equitable recovery.
b.

Planning Requirements. States must use the ICR Workforce Innovation and Opportunity
Act (WIOA) Unified and Combined State Plan Requirements (OMB control # 1205-0522)
to develop and submit both the WIOA Unified or Combined State Plan and the two-year
modification. A copy of the ICR, which complies with statutory requirements set forth in,
as appropriate, sections 102 and 103 of WIOA, is available at
https://www.dol.gov/sites/dolgov/files/ETA/wioa/pdfs/State-Plan-ICR.pdf. A copy of

4

these requirements is also available through the State Plan portal, developed specifically for
the required electronic submission.
c. Stakeholder Collaboration and Comment. Stakeholder collaboration, review, and
comment are key requirements of the four-year planning process, as well as the two-year
modification. State Workforce Development Boards (State Boards) are responsible for
assisting the Governor in the development, implementation, and modification of the plan
and for convening all relevant programs, required partners, and stakeholders to contribute to
the State Plan. The Departments encourage inclusion of the state LMI and evaluation
offices (or their equivalent) during plan development and modification to obtain assistance
with labor market data, evidence, and analysis. The State Plan must be developed with the
assistance of the State Board, as required by Section 101(d) of WIOA, and in coordination
with administrators that have optimal policymaking authority for the core programs and
required one-stop partner programs. For Combined State Plans, the portions of the plan that
cover partner programs other than the core programs are subject to any public comment
requirements applicable to those partner programs.5 States must provide the opportunity for
public comment and input which allows interested stakeholders to participate actively,
effectively, and transparently in the development of the plan and the modification, including
via accessible means for individuals with disabilities. The Governor must ensure that the
State Plan modification is developed with an opportunity for public comment from
representatives of:









Local Workforce Development Boards and chief elected officials;
businesses;
labor organizations;
community-based organizations;
adult education providers;
institutions of higher education;
other stakeholders with an interest in the services provided by the six core programs;
and
the general public, including individuals with disabilities.

The State Board also must make information regarding the modification of the State Plan
and planning process available to the public through electronic and accessible means and
by holding regularly occurring open meetings in accordance with state law prior to the
submission of the State Plan.6
d.

5
6

Instructions for State Plan Modification Submission. States must submit their
modification of their State Plan via the State Plan Portal (https://wioaplans.ed.gov),
which has been developed for the purpose of cross-program collaboration in states and to
facilitate the simultaneous receipt and review of plans across multiple federal agencies.
While multiple individuals in states may enter content into the portal, only one individual
from each state may submit to the Departments the entire plan on behalf of the Governor

See 20 CFR § 676.143(c)(3) and 34 CFR §§ 361.143(c)(3) and 463.143(c)(3).
See WIOA Section 101(g) and 20 CFR § 676.130(d) and 34 CFR §§ 361.130(d) and 463.130(d).

5

for all included programs. The Office of the Governor for each state must notify the
Departments of the individual designated to submit the State Plan modification on behalf
of the Governor for all programs included in the State Plan, even if that designee has not
changed since the PY 2020 submission. By March 15, 2022, the Governor’s office must
submit a letter or email with the name of the designee to [email protected] with a
copy to the appropriate ETA Regional Office.
To request a State Plan portal user account or to update existing account login
information, visit https://wioaplans.ed.gov. Previously approved WIOA State Plans are
available within the portal for editing; content from the PYs 2020-2023 plans will be
available in the data entry fields, so state editors can either delete entire sections or
update specific portions of the plan.
e.

Performance Negotiations for Core Programs. To outline the requirements for
reaching agreement on the negotiated levels of performance for the states outlined in
WIOA Section 116, the Departments issued joint guidance titled, Negotiations and
Sanctions Guidance for the Workforce Innovation and Opportunity Act (WIOA) Core
Programs (ETA TEGL 11-19, OCTAE Program Memorandum 20-2, and RSA TAC-2002) and updated that guidance with the issuance of the Workforce Innovation and
Opportunity Act (WIOA) Core Program Performance Accountability Assessment for
Program Years (PYs) 2020 and PY 2021 (ETA Training and Employment Notice 14-21,
OCTAE Program Memorandum 22-1, and RSA Frequently Asked Questions (FAQ) 2201), dated October 27, 2021. The Departments will continue to use a “phased-in”
approach to establish negotiated and adjusted levels of performance for certain indicators
for specific programs. The appendix in the Unified and Combined State Plan ICR
discussed in this section, and in Attachment I of this guidance, reflect which
indicators/programs the Departments will negotiate for PYs 2022 and 2023. See
Attachment I of this guidance for more instructions on establishing performance levels.

f.

Waivers. As discussed in TEGL 08-18, Workforce Innovation and Opportunity Act
(WIOA) Title I and Wagner-Peyser Act Waiver Requirements and Request Process, the
Secretary of Labor may grant states additional flexibility through the waiver authority for
portions of WIOA Title I and Wagner-Peyser Act requirements when permitted. Waivers
are a tool for reducing barriers to WIOA implementation and spurring innovative
programming options. States may submit WIOA Title I and III waiver requests as part of
their State Plan or as a separate waiver plan.
All currently approved waivers expire on June 30, 2022.7 Therefore, states should submit
new waiver requests as part of the State Plan modification submission for reconsideration if they wish to continue implementing particular waivers that had been
approved previously. As articulated in waiver approval letters, states agreed to meet
certain performance or other program measures resulting from the waiver. States

7

For waivers related to the 75% out-of-school youth expenditure requirement, waivers are in effect for the full
amount of time that states have to spend program year funds.

6

requesting a waiver renewal beyond June 30, 2022 must provide the most recent data
available about the outcomes of the waiver in the renewal request.8 The Department of
Labor will consider this information as part of its thorough consideration on whether to
approve the requested waiver. Find waiver-related resources at
https://www.dol.gov/agencies/eta/wioa/waivers.
5.

Inquiries. Please direct inquiries to the appropriate Regional Office.

6.

References.

8



Workforce Innovation and Opportunity Act (WIOA) (Pub. L. 113-128) (July 22, 2014)



Joint Rule for Unified and Combined State Plans, Performance Accountability, and the
One-Stop System Joint Provisions; Final Rule (WIOA Joint Final Rule) published at 81
FR 55792 (Aug. 19, 2016)



Employment and Training Administration, Workforce Innovation and Opportunity Act;
Final Rule (WIOA DOL Final Rule) published at 81 FR 56071 (Aug. 19, 2016)



State Vocational Rehabilitation Services Program; State Supported Employment Services
Program; Limitations on Use of Subminimum Wage—Final Rule (Office of Special
Education and Rehabilitative Services (OSERS) Final Rule) published at 81 FR 55630
(August 19, 2016)



Workforce Innovation Opportunity Act: Miscellaneous Program Changes—Final Rule
(WIOA OSERS Final Rule) published at 81 FR 55562 (August 19, 2016)



Programs and Activities Authorized by the Adult Education and Family Literacy Act
(Title II of WIOA)—Final Rule (WIOA OCTAE Final Rule) published at 81 FR 55526
(August 19, 2016)



ICR Required Elements for Submission of the Unified or Combined State Plan and Plan
Modifications Under the Workforce Innovation and Opportunity Act, approved under
Office of Management and Budget (OMB) control number 1205-0522



Training and Employment Guidance Letter (TEGL) No. 08-18, Workforce Innovation
and Opportunity Act (WIOA) Title I and Wagner-Peyser Act Waiver Requirements and
Request Process, dated December 19, 2018



Training and Employment Notice (TEN) No. 20-16, “Announcing the publication and
effective date of the Section 188 WIOA Nondiscrimination and Equal Opportunity
Regulations (29 CFR Part 38) Final Rule in the Federal Register,” dated December 2,
2016



TEN No. 10-15, Workforce Innovation and Opportunity Technical Amendments Act,
dated September 17, 2015



TEN No. 14-21, Workforce Innovation and Opportunity Act (WIOA) Core Program
Performance Accountability Assessment for Program Years (PY) 2020 and 2021, dated
October 27, 2021

See 20 CFR § 679.620(d)(7).

7



Unemployment Insurance Program Letter (UIPL) No. 17-14, Revised Employment and
Training (ET) Handbook No. 336, 18th Edition: “Unemployment Insurance (UI) State
Quality Service Plan (SQSP) Planning and Reporting Guidelines



UIPL No. 20-15, Unemployment Insurance and the Workforce Innovation and
Opportunity Act of 2014



Jobs for Veterans Act (Public Law 107-288, 38 U.S.C. § 4215), Priority of service for
veterans in Department of Labor job training programs (For current instructions to
submit an annual Jobs for Veterans State Grants Application for Funding, access the
policy on VETS website,
https://www.dol.gov/agencies/vets/resources/VPLS/VPLDirectory)



Program Memorandum OCTAE 22-1, Workforce Innovation and Opportunity Act
(WIOA) Core Program Performance Accountability Assessment for Program Years (PYs)
2020 and 2021, dated October 27, 2021



Rehabilitation Services Administration (RSA)-FAQ 22-01, Workforce Innovation and
Opportunity Act (WIOA) Core Program Performance Accountability Assessment for
Program Years (PYs) 2020 and PY 2021, dated October 27, 2021

7. Attachment.
 Attachment I: Performance Goals and Instructions for the Core Programs

8

Attachment I: Performance Goals and Instructions for the Core Programs

State Plan modifications must identify expected levels of performance for each primary indicator
of performance for the two years covered by the plan modification. The state must reach
agreement with the Secretary of Labor, in conjunction with the Secretary of Education, on the
negotiated levels of performance for the indicators for each of the two years of the plan
modification.
The Adult, Dislocated Worker, Youth, Adult Education and Family Literacy Act (AEFLA) and
Vocational Rehabilitation (VR) programs will have two full years of data available to make
reasonable determinations of expected levels of performance for the following indicators for
Program Year (PY) 2022 and PY 2023:






Employment9 (Second Quarter after Exit);
Employment10 (Fourth Quarter after Exit);
Median Earnings (Second Quarter after Exit);
Credential Attainment Rate; and
Measurable Skill Gains.

The Wagner-Peyser Act Employment Service (Wagner-Peyser) program will have two full years
of data available to make a reasonable determination of expected levels of performance for the
following indicators for PY 2022 and PY 2023:




Employment (Second Quarter after Exit);
Employment (Fourth Quarter after Exit); and
Median Earnings (Second Quarter after Exit).

The Credential Attainment Rate and Measurable Skill Gains indicators do not apply to the
Wagner-Peyser program; therefore, this program will not submit expected levels of performance
for these indicators.
The U.S. Departments of Labor and Education (Departments) determined that the Effectiveness
in Serving Employers (ESE) indicator will be measured as a shared outcome across all six core
programs within each state to ensure a holistic approach to serving employers. In the spring
2021 Unified Agenda, the Departments announced plans to engage in rulemaking to incorporate
a standard definition of the ESE indicator into the regulations implementing the Workforce
Innovation and Opportunity Act (WIOA). Until that definition of the ESE indicator is in effect,
the Departments will continue to require states to report performance results for ESE of the pilot
approaches for PY 2022 and PY 2023. Because of a lack of historical data, states are not
required to submit expected levels of performance for the ESE indicator for PY 2022 and PY
2023.

9

For Title I Youth programs, employment, education or training.
For Title I Youth programs, employment, education or training.

10

I-1

Each core program must submit an expected level of performance for all of the other indicators,
as applicable. Each state must update its plan to include the agreed-upon negotiated levels of
performance before the Departments approve a State Plan.
States may identify additional indicators in the plan, including additional approaches to
measuring ESE, and may establish levels of performance for each of the state indicators. Please
identify any such state indicators under Additional Indicators of Performance.
Include the state’s expected levels of performance relating to the performance accountability
indicators based on primary indicators of performance described in section 116(b)(2)(A) of
WIOA.
Title I – Adult Program
Program Year:
Expected
Level

Negotiated
Level

Program Year:
Expected
Level

Negotiated
Level

Employment (Second
Quarter after Exit)
Employment (Fourth
Quarter after Exit)
Median Earnings (Second
Quarter after Exit)
Credential Attainment Rate
Measurable Skill Gains

Title I – Dislocated Worker Program
Program Year:
Expected
Level

Negotiated
Level

Employment (Second
Quarter after Exit)
Employment (Fourth
Quarter after Exit)
Median Earnings (Second
Quarter after Exit)
Credential Attainment Rate
Measurable Skill Gains
I-2

Program Year:
Expected
Level

Negotiated
Level

Title I – Youth Program
Program Year:
Expected
Level

Negotiated
Level

Program Year:
Expected
Level

Negotiated
Level

Education, Training, or
Employment (Second
Quarter after Exit)
Education, Training, or
Employment (Fourth
Quarter after Exit)
Median Earnings (Second
Quarter after Exit)
Credential Attainment Rate
Measurable Skill Gains

Title II – Adult Education and Family Literacy Act
Program
Program Year:
Expected
Level

Negotiated
Level

Employment (Second
Quarter after Exit)
Employment (Fourth
Quarter after Exit)
Median Earnings (Second
Quarter after Exit)
Credential Attainment Rate
Measurable Skill Gains

I-3

Program Year:
Expected
Level

Negotiated
Level

Wagner-Peyser Act Employment Service Program
Program Year:

Employment
(Second Quarter
after Exit)
Employment
(Fourth Quarter
after Exit)
Median Earnings
(Second Quarter
after Exit)
Credential
Attainment Rate
Measurable Skill
Gains

Program Year:

Expected
Level

Negotiated
Level

Expected
Level

Negotiated
Level

Not
Applicable
Not
Applicable

Not
Applicable
Not
Applicable

Not
Applicable
Not
Applicable

Not
Applicable
Not
Applicable

Vocational Rehabilitation Program
Program Year:
Expected
Level

Program Year:

Negotiated
Level

Employment
(Second
Quarter after
Exit)
Employment
(Fourth
Quarter after
Exit)
Median
Earnings
(Second
Quarter after
Exit
Credential
Attainment
Rate
Measurable
Skill Gains
I-4

Expected
Level

Negotiated
Level

All WIOA Core Programs
Program Year:
Expected
Negotiated
Level
Level
Effectiveness in
Serving
Employers

Not applicable

Not applicable

Additional Indicators of Performance
1.
2.
3.
4.
5.
6.

I-5

Program Year:
Expected
Negotiated
Level
Level
Not
applicable

Not applicable