Subpart A Purposes and Policies 668.100 What is the purpose of the programs established to serve Native American peoples (INA programs) under section 166 of the Workforce Investment Act? (a) The purpose of WIA INA programs is to support comprehensive employment and training activities for Indian, Alaska Native and Native Hawaiian individuals in order to: (1) Develop more fully their academic, occupational, and literacy skills; (2) Make them more competitive in the workforce; (3) Promote the economic and social development of Indian, Alaska Native and Native Hawaiian communities according to the goals and values of such communities; and (4) Help them achieve personal and economic self-sufficiency. (b) The principal means of accomplishing these purposes is to enable tribes and Native American organizations to provide employment and training services to Native American peoples and their communities. Services should be provided in a culturally appropriate manner, consistent with the principles of Indian self-determination. (WIA sec. 166(a)(1).) 668.120 How must INA programs be administered? (a) We will administer INA programs to maximize the Federal commitment to support the growth and development of Native American people and communities as determined by representatives of such communities. (b) In administering these programs, we will observe the Congressional declaration of policy set forth in the Indian Self-Determination and Education Assistance Act, at 25 U.S.C. section 450a, as well as the Department of Labor s American Indian and Alaska Native Policy, dated July 29, 1998. (c) The regulations in this part are not intended to abrogate the trust responsibilities of the Federal Government to Native American bands, tribes, or groups in any way. (d) We will administer INA programs through a single organizational unit and consistent with the requirements in section 166(h) of the Act. We have designated the Division of Indian and Native American Programs (DINAP) within the Employment and Training Administration (ETA) as this single organizational unit required by WIA section 166(h)(1). (e) We will establish and maintain administrative procedures for the selection, administration, monitoring, and evaluation of Native American employment and training programs authorized under this Act. We will utilize staff who have a particular competence in this field to administer these programs. (WIA sec. 166(h).) 668.130 What obligation do we have to consult with the INA grantee community in developing rules, regulations, and standards of accountability for INA programs? We will consult with the Native American grantee community as a full partner in developing policies for the INA programs. We will actively seek and consider the views of all INA grantees, and will discuss options with the grantee community prior to establishing policies and program regulations. The primary consultation vehicle is the Native American Employment and Training Council. (WIA sec. 166(h)(2).) Subpart A Purposes and Policies 684.100 What is the purpose of the programs established to serve Indians and Native Americans under the Workforce Innovation and Opportunity Act? (a) The purpose of WIOA INA programs in sec. 166 is to support employment and training activities for INAs in order to: (1) Develop more fully the academic, occupational, and literacy skills of such individuals; (2) Make such individuals more competitive in the workforce and to equip them with entrepreneurial skills necessary for successful self-employment; and (3) Promote the economic and social development of INA communities in accordance with the goals and values of such communities. (b) The principal means of accomplishing these purposes is to enable tribes and Native American organizations to provide employment and training services to INAs and their communities. Services should be provided in a culturally appropriate manner, consistent with the principles of the Indian Self-Determination and Education Assistance Act (25 U.S.C. 450 et seq.). (WIOA sec. 166(a)(2)). 684.110 How must Indian and Native American programs be administered? (a) INA programs will be administered to maximize the Federal commitment to support the growth and development of INAs and their communities as determined by representatives of such communities. (b) In administering these programs, the Department will follow the Congressional declaration of policy set forth in the Indian Self-Determination and Education Assistance Act, at 25 U.S.C. 450a, as well as the Department of Labor s American Indian and Alaska Native Policies. (c) The regulations in this part are not intended to abrogate the trust responsibilities of the Federal government to federally-recognized tribes in any way. (d) The Department will administer INA programs through a single organizational unit and consistent with the requirements in sec. 166(i) of WIOA. The Division of Indian and Native American Programs (DINAP) within the Employment and Training Administration (ETA) is designated as this single organizational unit as required by sec. 166(i)(1) of WIOA. (e) The Department will establish and maintain administrative procedures for the selection, administration, monitoring, and evaluation of INA employment and training programs authorized under this Act. 684.120 What obligation does the Department have to consult with the Indian and Native American grantee community in developing rules, regulations, and standards of accountability for Indian and Native American programs? The Department s primary consultation vehicle for INA programs is the Native American Employment and Training Council. The Department will consult with the INA grantee community in developing policies for the INA programs, actively seeking and considering the views of INA grantees prior to establishing INA program policies and regulations. (WIOA sec. 166(i)(4)). The Department will follow DOL s tribal consultation policy and Executive Order Page 1 of 24
668.140 What WIA regulations apply to the INA program? (a) The regulations found in this subpart. (b) The general administrative requirements found in 20 CFR part 667, including the regulations concerning Complaints, Investigations and Hearings found at 20 CFR part 667, subpart E through subpart H. (c) The Department s regulations codifying the common rules implementing Office of Management and Budget (OMB) Circulars which generally apply to Federal programs carried out by Indian tribal governments and nonprofit organizations, at 29 CFR parts 95, 96, 97, and 99 as applicable. (d) The Department s regulations at 29 CFR part 37, which implement the nondiscrimination provisions of WIA section 188, apply to recipients of financial assistance under WIA section 166. 668.150 What definitions apply to terms used in the regulations in this part? In addition to the definitions found in WIA sections 101 and 166 and 20 CFR 660.300, the following definitions apply: DINAP means the Division of Indian and Native American Programs within the Employment and Training Administration of the Department. Governing body means a body of representatives who are duly elected, appointed by duly elected officials, or selected according to traditional tribal means. A governing body must have the authority to provide services to and to enter into grants on behalf of the organization that selected or designated it. Grant Officer means a Department of Labor official authorized to obligate Federal funds. Indian or Native American (INA) Grantee means an entity which is formally designated under subpart B of this part to operate an INA program and which has a grant agreement under 668.292. NEW means the Native Employment Works Program, the tribal work program authorized under section 412(a)(2) of the Social Security Act, as amended by the Personal Responsibility and Work Opportunity Reconciliation Act (Public Law 104 193). Underemployed means an individual who is working part time but desires full time employment, or who is working in employment not commensurate with the individual s demonstrated level of educational and/or skill achievement. 13175 of November 6, 2000. 684.130 What definitions apply to terms used in this part? In addition to the definitions found in secs. 3 and 166 of WIOA, and 20 CFR675.300, the following definitions apply: Alaska Native-Controlled Organization means an organization whose governing board is comprised of 51 percent or more of individuals who are Alaska Native as defined in secs. 3(b) and 3(r) of the Alaska Native Claims Settlement Act (43 U.S.C. 1602(b), (r)). Carry-in means the total amount of funds unobligated by a grantee at the end of a program year. If the amount of funds unobligated by a grantee at the end of a program year is more than 20 percent of the grantee s total funds available for that program year, such excess amount is considered excess carry-in. DINAP means the Division of Indian and Native American Programs within the Employment and Training Administration of the U.S. Department of Labor. Governing body means a body of representatives who are duly elected, appointed by duly elected officials, or selected according to traditional tribal means. A governing body must have the authority to provide services to and to enter into grants on behalf of the organization that selected or designated it. Grant Officer means a U.S. Department of Labor official authorized to obligate Federal funds. High-poverty area means a Census tract, a set of contiguous Census tracts, or a county or Indian reservation that has a poverty rate of at least 30 percent as set every 5 years using American Community Survey 5-Year data. INA Grantee means an entity which is formally selected under subpart B of this part to operate an INA program and which has a grant agreement. Incumbent Grantee means an entity that is currently receiving a grant under this subpart. Indian and Native American or INA means, for the purpose of this part, an individual that is an American Indian, Native American, Native Hawaiian, or Alaska Native. Indian-Controlled Organization means an organization whose governing board is comprised of 51 percent or more individuals who are members of one or more Federally-recognized tribes. Page 2 of 24
Subpart B Service Delivery Systems Applicable to Section 166 Programs 668.200 What are the requirements for designation as an Indian or Native American (INA) grantee? (a) To be designated as an INA grantee, an entity must have: (1) A legal status as a government or as an agency of a government, private non-profit corporation, or a consortium which contains at least one of these entities; (2) The ability to administer INA program funds, as defined at 668.220; and (3) A new (non-incumbent) entity must have a population within the designated geographic service area which would provide funding under the funding formula found at 668.296(b) in the amount of at least $100,000, including any amounts received for supplemental youth services under the funding formula at 668.440(a). Incumbent grantees which do not meet this dollar threshold for Program Year (PY) 2000 and beyond will be grandfathered in. We will make an exception for grantees wishing to participate in the demonstration program under Public Law 102 477 if all resources to be consolidated under the Public Law 102 477 plan total at least $100,000, with at least $20,000 derived from section 166 funds as determined by the most recent Census data. Exceptions to this $20,000 limit may be made for those entities which are close to the limit and which have demonstrated the capacity to administer Federal funds and operate a successful employment and training program. (b) To be designated as a Native American grantee, a consortium or its members must meet the requirements of paragraph (a) of this section and must: (1) Be in close proximity to one another, but they may operate in more than one State; (2) Have an administrative unit legally authorized to run the program and to commit the other members to contracts, grants, and other legally-binding agreements; and (3) Be jointly and individually responsible for the actions and obligations of the consortium, including debts. (c) Entities potentially eligible for designation under paragraph (a)(1) or (b)(1) of this section are: (1) Federally-recognized Indian tribes; (2) Tribal organizations, as defined in 25 U.S.C. 450b; Incumbent grantees who received funding under WIA can include members of State recognized tribes in meeting the 51 percent threshold to continue to be eligible for WIOA sec. 166 funds as an Indian-Controlled Organization. Tribal Colleges and Universities meet the definition of Indian-Controlled Organization for the purposes of this regulation. Native Hawaiian-Controlled Organization means an organization whose governing board is comprised of 51 percent or more individuals who are Native Hawaiian as defined in sec. 7207 of the Native Hawaiian Education Act (20 U.S.C. 7517). Total funds available means all funds that a grantee had available at the beginning of a program year. Underemployed means an individual who is working part-time but desires full-time employment, or who is working in employment not commensurate with the individual s demonstrated level of educational and/or skill achievement. Subpart B Service Delivery Systems Applicable to Section 166 Programs 684.200 What are the requirements to apply for a Workforce Innovation and Opportunity Act grant? (a) To be eligible to apply for a WIOA, sec. 166 grant, an entity must have: (1) Legal status as a government or as an agency of a government, private nonprofit corporation, or a consortium whose members all qualify as one of these entities; and (2) A new entity (which is not an incumbent grantee) must have a population within the designated geographic service area which would receive at least $100,000 under the funding formula found at 684.270(b), including any amounts received for supplemental youth services under the funding formula at 684.440(a). Incumbent grantees which do not meet this dollar threshold will be grandfathered in. Additionally, the Department will make an exception to the $100,000 minimum for grantees wishing to participate in the demonstration program under Public Law 102 477 if all resources to be consolidated under the Public Law 102 477 plan total at least $100,000, with at least $20,000 derived from sec. 166 funds. However, incumbent Public Law 102 477 grantees that are receiving WIA funding of less than $20,000 as of the date of implementation of WIOA will be grandfathered into the program and can continue to be awarded the same amount. (b) To be eligible to apply as a consortium, each member of the consortium must meet the requirements of paragraph (a) of this section and must: (1) Be in close proximity to one another, but may operate in more than one State; (2) Have an administrative unit legally authorized to run the program and to commit the other members to contracts, grants, and other legally-binding agreements; and (3) Be jointly and individually responsible for the actions and obligations of the consortium, including debts. (c) Entities eligible under paragraph (a)(1) of this section are: (1) Federally-recognized Indian tribes; (2) Tribal organizations, as defined in 25 U.S.C. 450b; (3) Alaska Native-controlled organizations; Page 3 of 24
(3) Alaska Native-controlled organizations representing regional or village areas, as defined in the Alaska Native Claims Settlement Act; (4) Native Hawaiian-controlled entities; (5) Native American-controlled organizations serving Indians; and (6) Consortia of eligible entities which individually meets the legal requirements for a consortium described in paragraph (c) of this section. (d) Under WIA section 166(d)(2)(B), individuals who were eligible to participate under section 401 of JTPA on August 6, 1998, remain eligible to participate under section 166 of WIA. State-recognized tribal organizations serving such individuals are considered to be Native American controlled for WIA section 166 purposes. 668.210 What priority for designation is given to eligible organizations? (a) Federally-recognized Indian tribes, Alaska Native entities, or consortia that include a tribe or entity will have the highest priority for designation. To be designated, the organizations must meet the requirements in this subpart. These organizations will be designated for those geographic areas and/or populations over which they have legal jurisdiction. (WIA sec. 166(c)(1).) (b) If we decide not to designate Indian tribes or Alaska Native entities to serve their service areas, we will enter into arrangements to provide services with entities which the tribes or Alaska Native entities involved approve. (c) In geographic areas not served by Indian tribes or Alaska Native entities, entities with a Native American controlled governing body and which are representative of the Native American community or communities involved will have priority for designation. 668.220 What is meant by the ability to administer funds for designation purposes? An organization has the ability to administer funds if it: (a) Is in compliance with Departmental debt management procedures, if applicable; (b) Has not been found guilty of fraud or criminal activity which would affect the entity s ability to safeguard Federal funds or deliver program services; (c) Can demonstrate that it has or can acquire the necessary program and financial management personnel to safeguard Federal funds and effectively deliver program services; and (d) Can demonstrate that it has successfully carried out, or has the capacity to successfully carry out activities that will strengthen the ability of the individuals served to obtain or retain unsubsidized employment. 668.230 How will we determine an entity s ability to administer funds? (a) Before determining which entity to designate for a particular service area, we will conduct a review of the entity s ability to administer funds. (b) The review for an entity that has served as a grantee in either of the two designation periods before the one under consideration, also will consider the extent of compliance with the WIA regulations or the JTPA regulations at 20 CFR part 632. Evidence of the ability to administer funds may be established by a satisfactory Federal audit record. It may also be established by a recent record showing substantial compliance with Federal record keeping, reporting, program performance standards, or similar standards imposed on grantees by this or other public sector (4) Native Hawaiian-controlled organizations; (5) Indian-controlled organizations serving INAs; and (6) A consortium of eligible entities which meets the legal requirements for a consortium described in paragraph (b) of this section. (d) State-recognized tribal organizations that meet the definition of an Indian-controlled organization are eligible to apply for WIOA sec. 166 grant funds. State-recognized tribes that do not meet this definition but are grantees under WIA will be grandfathered into WIOA as Indian controlled organizations. 684.210 What priority for awarding grants is given to eligible organizations? (a) Federally-recognized Indian tribes, Alaska Native entities, or a consortium of such entities will have priority to receive grants under this part for those geographic service areas in which they have legal jurisdiction, such as an Indian reservation, Oklahoma Tribal Service Area (OTSA), or Alaska Native Village Service Area (ANVSA). (b) If the Department decides not to make an award to an Indian tribe or Alaska Native entity that has legal jurisdiction over a service area, it will consult with such tribe or Alaska Native entity that has jurisdiction before selecting another entity to provide services for such areas. (c) The priority described in paragraphs (a) and (b) of this section does not apply to service areas outside the legal jurisdiction of an Indian tribe or Alaska Native entity. Page 4 of 24
supported programs. (c) For other entities, the review includes the experience of the entity s management in administering funds for services to Native American people. This review also includes an assessment of the relationship between the entity and the Native American community or communities to be served. 668.240 What is the process for applying for designation as an INA grantee? (a) Every entity seeking designation must submit a Notice of Intent (NOI) which complies with the requirements of the Solicitation for Grant Application (SGA). An SGA will be issued every two years, covering all areas except for those for which competition is waived for the incumbent grantee under WIA section 166(c)(2). (b) NOI s must be submitted to the Chief of DINAP, bearing a U.S. Postal Service postmark indicating its submission no later than October 1st of the year which precedes the first year of a new designation cycle (unless the SGA provides a later date). For NOI s received after October 1, only a timely official U.S. Postal Service postmark is acceptable as proof of timely submission. Dates indicating submission by private express delivery services or metered mail are unacceptable as proof of the timely submission of designation documents. (c) NOI s must include the following: (1) Documentation of the legal status of the entity, as described in 668.200(a)(1); (2) A Standard Form (SF) 424b; (3) The assurances required by 29 CFR 37.20; (4) A specific description, by State, county, reservation or similar area, or service population, of the geographic area for which the entity requests designation; (5) A brief summary of the employment and training or human resource development programs serving Native Americans that the entity currently operates or has operated within the previous two-year period; (6) A description of the planning process used by the entity, including the involvement of the governing body and local employers; (7) Evidence to establish an entity s ability to administer funds under 668.220 through 668.230. 668.250 What happens if two or more entities apply for the same area? (a) Every two years, unless there has been a waiver of competition for the area, we issue a Solicitation for Grant Application (SGA) seeking applicants for INA program grants. (b) If two or more entities apply for grants for the same service area, or for overlapping service areas, and a waiver of competition under WIA section 166(c)(2) is not granted to the incumbent grantee, the following additional procedures apply: (1) The Grant Officer will follow the regulations for priority designation at 668.210. (2) If no applicant is entitled to priority designation, DINAP will inform each entity which submitted a NOI, including the incumbent grantee, in writing, of all the competing Notices of Intent no later than November 15 of the year the NOI s are received. (3) Each entity will have an opportunity to describe its service plan, and may submit additional information addressing the requirements of 668.240(c) or such other information as the 684.220 What is the process for applying for a Workforce Innovation and Opportunity Act grant? (a) Entities seeking a WIOA sec. 166 grant, including incumbent grantees, will be provided an opportunity to apply for a WIOA sec. 166 grant every 4 years through a competitive grant process. (b) As part of the competitive application process, applicants will be required to submit a 4-year plan as described at 684.710. The requirement to submit a 4-year plan does not apply to entities that have been granted approval to transfer their WIOA funds to the Department of Interior pursuant to Public Law 102 477. Page 5 of 24
applicant determines is appropriate. Revised Notices must be received or contain an official U.S. Postal Service postmark, no later than January 5th (unless a later date is provided in DINAP s information notice). (4) The Grant Officer selects the entity that demonstrates the ability to produce the best outcomes for its customers. 668.260 How are INA grantees designated? (a) On March 1 of each designation year, we designate or conditionally designate Native American grantees for the coming two program years. The Grant Officer informs, in writing, each entity which submitted a Notice of Intent that the entity has been: (1) Designated; (2) Conditionally designated; (3) Designated for only a portion of its requested area or population; or (4) Denied designation. (b) Designated Native American entities must ensure and provide evidence to DOL that a system is in place to afford all members of the eligible population within their service area an equitable opportunity to receive employment and training activities and services. 668.270 What appeal rights are available to entities that are denied designation? Any entity that is denied designation in whole or in part for the area or population that it requested may appeal the denial to the Office of the Administrative Law Judges using the procedures at 20 CFR 667.800 or the alternative dispute resolution procedures at 20 CFR 667.840. The Grant Officer will provide an entity whose request for designation was denied, in whole or in part, with a copy of the appeal procedures. 668.280 Are there any other ways in which an entity may be designated as an INA grantee? Yes, for an area which would otherwise go unserved. The Grant Officer may designate an entity, which has not submitted an NOI, but which meets the qualifications for designation, to serve the particular geographic area. Under such circumstances, DINAP will seek the views of Native American leaders in the area involved about the decision to designate the entity to serve that community. DINAP will inform the Grant Officer of their views. The Grant Officer will accommodate their views to the extent possible. 668.290 Can an INA grantee s designation be terminated? (a) Yes, the Grant Officer can terminate a grantee s designation for cause, or the Secretary or another DOL official confirmed by the Senate can terminate a grantee s designation in emergency circumstances where termination is necessary to protect the integrity of Federal funds or ensure the proper operation of the program. (WIA sec. 184(e).) (b) The Grant Officer may terminate a grantee s designation for cause only if there is a substantial or persistent violation of the requirements in the Act or the WIA regulations. The grantee must be provided with written notice 60 days before termination, stating the specific reasons why termination is proposed. The appeal procedures at 20 CFR 667.800 apply. (c) The Secretary must give a grantee terminated in emergency circumstances prompt notice of 684.230 What appeal rights are available to entities that are denied a grant award? Any entity that is denied a grant award for which it applied in whole or in part may appeal the denial to the Office of the Administrative Law Judges using the procedures at 20 CFR 683.800 or the alternative dispute resolution procedures at 20 CFR 683.840. The Grant Officer will provide an entity whose request for a grant award was denied, in whole or in part, with a copy of the appeal procedures. 684.240 Are there any other ways in which an entity may be awarded a Workforce Innovation and Opportunity Act grant? Yes. For areas that would otherwise go unserved, the Grant Officer may designate an entity, which has not submitted a competitive application, but which meets the qualifications for a grant award, to serve the particular geographic area. Under such circumstances, DINAP will seek the views of INA leaders in the community that would otherwise go unserved before making the decision to designate the entity that would serve the community. DINAP will inform the Grant Officer of the INA leaders views. The Grant Officer will accommodate views of INA leaders in such areas to the extent possible. Sep< 684.250 Can an Indian and Native American grantee s grant award be terminated? (a) Yes, the Grant Officer can terminate a grantee s award for cause, or the Secretary or another Department of Labor official confirmed by the Senate can terminate a grantee s award in emergency circumstances where termination is necessary to protect the integrity of Federal funds or ensure the proper operation of the program under sec. 184(e) of WIOA. (b) The Grant Officer may terminate a grantee s award for cause only if there is a substantial or persistent violation of the requirements in WIOA or the WIOA regulations. The grantee must be provided with written notice 60 days before termination, stating the specific reasons why termination is proposed. The appeal procedures at 20 CFR 683.800 apply. Page 6 of 24
the termination and an opportunity for a hearing within 30 days of the termination. 668.292 How does a designated entity become an INA grantee? A designated entity becomes a grantee on the effective date of an executed grant agreement, signed by the authorized official of the grantee organization and the Grant Officer. The grant agreement includes a set of certifications and assurances that the grantee will comply with the terms of the Act, the WIA regulations, and other appropriate requirements. Funds are released to the grantee upon approval of the required planning documents, as described in 668.710 through 668.740. 668.294 Do we have to designate an INA grantee for every part of the country? No, beginning with the PY 2000 grant awards, if there are no entities meeting the requirements for designation in a particular area, or willing to serve that area, we will not allocate funds for that service area. The funds allocated to that area will be distributed to the remaining INA grantees, or used for other program purposes such as technical assistance and training (TAT). Unawarded funds used for technical assistance and training are in addition to, and not subject to the limitations on, amounts reserved under 668.296(e). Areas which are unserved by the INA program may be restored during a subsequent designation cycle, when and if a current grantee or other eligible entity applies for and is designated to serve that area. 668.296 How are WIA funds allocated to INA grantees? (a) Except for reserved funds described in paragraph (e) of this section and funds used for program purposes under 668.294, all funds available for WIA section 166(d)(2)(A)(i) comprehensive workforce investment services program at the beginning of a Program Year will be allocated to Native American grantees for their designated geographic service areas. (b) Each INA grantee will receive the sum of the funds calculated under the following formula: (1) One-quarter of the funds available will be allocated on the basis of the number of unemployed Native American persons in the grantee s designated INA service area(s) compared to all such persons in all such areas in the United States. (2) Three-quarters of the funds available will be allocated on the basis of the number of Native American persons in poverty in the grantee s designated INA service area(s) as compared to all such persons in all such areas in the United States. (3) The data and definitions used to implement these formulas is provided by the U.S. Bureau of the Census. (c) In years immediately following the use of new data in the formula described in paragraph (b) of this section, based upon criteria to be described in the SGA, we may utilize a hold harmless factor to reduce the disruption in grantee services which would otherwise result from changes in funding levels. This factor will be determined in consultation with the grantee community and the Native American Employment and Training Council. (d) We may reallocate funds from one INA grantee to another if a grantee is unable to serve its area for any reason, such as audit or debt problems, criminal activity, internal (political) strife, or lack of ability or interest. Funds may also be reallocated if a grantee has carry-in excess of 20 percent of the total funds available to it. Carry-in amounts greater than 20 percent but less than 25 percent of total funds available may be allowed under an approved waiver issued by DINAP. 684.260 Does the Department have to award a grant for every part of the country? No, if there are no entities meeting the requirements for a grant award in a particular area, or willing to serve that area, the Department will not award funds for that service area. The funds that otherwise would have been allocated to that area under 684.270 will be distributed to other INA program grantees, or used for other program purposes such as technical assistance and training (TAT). Unawarded funds used for technical assistance and training are in addition to, and not subject to the limitations on, amounts reserved under 684.270(e). Areas which are unserved by the INA program may be restored during a subsequent grant award cycle, when and if a current grantee or other eligible entity applies for a grant award to serve that area. 684.270 How are Workforce Innovation and Opportunity Act funds allocated to Indian and Native American program grantees? (a) Except for reserved funds described in paragraph (e) of this section and funds used for other program purposes under 684.260, all funds available for WIOA sec. 166(d)(2)(A)(i) comprehensive workforce investment services program at the beginning of a program year will be allocated to INA program grantees for the geographic service area(s) awarded to them through the grant competition. (b) Each INA program grantee will receive the sum of the funds calculated using the following formula: (1) One-quarter of the funds available will be allocated on the basis of the number of unemployed American Indian, Alaska Native and Native Hawaiian individuals in the grantee s geographic service area(s) compared to all such unemployed persons in the United States. (2) Three-quarters of the funds available will be allocated on the basis of the number of American Indian, Alaska Native and Native Hawaiian individuals in poverty in the grantee s geographic service area(s) as compared to all such persons in poverty in the United States. (3) The data and definitions used to implement these formulas are provided by the U.S. Bureau of the Census. (c) In years immediately following the use of new data in the formula described in paragraph (b) of this section, based upon criteria to be described in the Funding Opportunity Announcement (FOA), the Department may utilize a hold harmless factor to reduce the disruption in grantee services which would otherwise result from changes in funding levels. This factor will be determined in consultation with the grantee community and the Native American Employment and Training Council. (d) The Department may reallocate funds from one INA program grantee to another if a grantee Page 7 of 24
(e) We may reserve up to one percent (1 percent) of the funds appropriated under WIA section 166(d)(2)(A)(i) for any Program Year for TAT purposes. Technical assistance will be provided in consultation with the Native American Employment and Training Council. Subpart C Services to Customers 668.300 Who is eligible to receive services under the INA program? (a) A person is eligible to receive services under the INA program if that person is: (1) An Indian, as determined by a policy of the Native American grantee. The grantee s definition must at least include anyone who is a member of a Federally-recognized tribe; or (2) An Alaska Native, as defined in section 3(b) of the Alaska Native Claims Settlement Act (ANCSA), 43 U.S.C. 1602(b); or (3) A Native Hawaiian, as defined in WIA section 166(b)(3). (b) The person must also be any one of the following: (1) Unemployed; or (2) Underemployed, as defined in 668.150; or (3) A low-income individual, as defined in WIA section 101(25); or (4) The recipient of a bona fide layoff notice which has taken effect in the last six months or will take effect in the following six month period, who is unlikely to return to a previous industry or occupation, and who is in need of retraining for either employment with another employer or for job retention with the current employer; or (5) An individual who is employed, but is determined by the grantee to be in need of employment and training services to obtain or retain employment that allows for selfsufficiency. (c) If applicable, male applicants must also register or be registered for the Selective Service. (d) For purposes of determining whether a person is a low-income individual under paragraph (b)(3) of this section, we will issue guidance for the determination of family income. (WIA sec. 189(h).) 668.340 What are INA grantee allowable activities? (a) The INA grantee may provide any services consistent with the purposes of this section that are necessary to meet the needs of Native Americans preparing to enter, reenter, or retain unsubsidized employment. (WIA sec. 166(d)(1)(B).) Comprehensive workforce investment activities authorized under WIA section 166(d)(2) include: (b) Core services, which must be delivered in partnership with the One-Stop delivery system, include: is unable to serve its area for any reason, such as audit or debt problems, criminal activity, internal (political) strife, failure to adhere to or meet grant terms and conditions, or lack of ability or interest. If a grantee has excess carry-in for a program year, the Department may also readjust the awards granted under the funding formula so that an amount that equals the previous program year s carry-in will be allocated to another INA program grantee(s). (e) The Department may reserve up to one percent of the funds appropriated under WIOA sec. 166(d)(2)(A)(i) for any program year for technical assistance and training (TAT) purposes. It will consult with the Native American Employment and Training Council in planning how the TAT funds will be used, designating activities to meet the unique needs of the INA communities served by the INA program. Section 166 grantees also will have access to resources available to other Department programs to the extent permitted under other law. Subpart C Services to Customers 684.300 Who is eligible to receive services under the Indian and Native American program? (a) A person is eligible to receive services under the INA program if that person is: (1) An Indian, as determined by a policy of the INA program grantee. The grantee s definition must at least include anyone who is a member of a Federally-recognized tribe; or (2) An Alaska Native, as defined in WIOA sec. 166(b)(1); or (3) A Native Hawaiian, as defined in WIOA sec. 166(b)(3). (b) The person also must be any one of the following: (1) Unemployed; or (2) Underemployed, as defined in 684.130; or (3) A low-income individual, as defined in sec. 3(36) of WIOA; or (4) The recipient of a bona fide layoff notice which has taken effect in the last 6 months or will take effect in the following 6-month period, who is unlikely to return to a previous industry or occupation, and who is in need of retraining for either employment with another employer or for job retention with the current employer; or (5) An individual who is employed, but is determined by the grantee to be in need of employment and training services to obtain or retain employment that allows for selfsufficiency. (c) If applicable, male applicants must also register or be registered for the Selective Service. 684.310 What are Indian and Native American program grantee allowable activities? (a) Generally, INA program grantees must make efforts to provide employment and training opportunities to eligible individuals (as described in 684.300) who can benefit from, and who are most in need of, such opportunities. In addition, INA program grantees must make efforts to develop programs that contribute to occupational development, upward mobility, development of new careers, and opportunities for nontraditional employment (WIOA sec. 194(1)). (b) Allowable activities for INA program grantees are any services consistent with the purposes Page 8 of 24
(1) Outreach; (2) Intake; (3) Orientation to services available; (4) Initial assessment of skill levels, aptitudes, abilities and supportive service needs; (5) Eligibility certification; (6) Job Search and placement assistance; (7) Career counseling; (8) Provision of employment statistics information and local, regional, and national Labor Market Information; (9) Provision of information about filing of Unemployment Insurance claims; (10) Assistance in establishing eligibility for Welfare-to-Work programs; (11) Assistance in establishing eligibility for financial assistance for training; (12) Provision of information about supportive services; (13) Provision of performance and cost information relating to training providers and training services; and (14) Follow-up services. (c) Allowable intensive services which include: (1) Comprehensive and specialized testing and assessment; (2) Development of an individual employment plan; (3) Group counseling; (4) Individual counseling and career planning; (5) Case Management for seeking training services; (6) Short term pre-vocational services; (7) Work experience in the public or private sector; (8) Tryout employment; (9) Dropout prevention activities; (10) Supportive services; and (11) Other services identified in the approved Two Year Plan. (d) Allowable training services which include: (1) Occupational skill training; (2) On-the-job training; (3) Programs that combine workplace training with related instruction, which may include cooperative education programs; (4) Training programs operated by the private sector; (5) Skill upgrading and retraining; (6) Entrepreneurial and small business development technical assistance and training; (7) Job readiness training; (8) Adult basic education, GED attainment, literacy training, and English language training, provided alone or in combination with training or intensive services described paragraphs (c)(1) through (11) and (d)(1) through (10) of this section; (9) Customized training conducted with a commitment by an employer or group of employers to of this part that are necessary to meet the needs of INAs preparing to enter, reenter, or retain unsubsidized employment leading to self-sufficiency (WIOA sec. 166(d)(1)(B)). (c) Examples of career services, which may be delivered in partnership with the one-stop delivery system, are described in sec. 134(c)(2) of WIOA and 678.430. (d) Follow-up services, including counseling and supportive services for up to 12 months after the date of exit to assist participants in obtaining and retaining employment. (e) Training services include the activities described in WIOA sec. 134(c)(3)(D). (f) Allowable activities specifically designed for youth, as listed in sec. 129 of WIOA, include: (1) Tutoring, study skills training, instruction, and evidence-based dropout prevention and recovery strategies that lead to completion of the requirements for a secondary school diploma or its recognized equivalent (including a recognized certificate of attendance or similar document for individuals with disabilities) or for a recognized postsecondary credential; (2) Alternative secondary school services, or dropout recovery services, as appropriate; (3) Paid and unpaid work experiences that have as a component academic and occupational education, which may include: (i) Summer employment opportunities and other employment opportunities available throughout the school year; (ii) Pre-apprenticeship programs; (iii) Internships and job shadowing; and (iv) On-the-job training opportunities; (4) Occupational skill training, which must include priority consideration for training programs that lead to recognized post-secondary credentials that are aligned with in-demand industry sectors or occupations in the local area involved; (5) Education offered concurrently with and in the same context as workforce preparation activities and training for a specific occupation or occupational cluster; (6) Leadership development opportunities, which may include community service and peer-centered activities encouraging responsibility and other positive social and civic behaviors, as appropriate; (7) Supportive services as defined in WIOA sec. 3(59); (8) Adult mentoring for the period of participation and a subsequent period, for a total of not less than 12 months; (9) Follow-up services for not less than 12 months after the completion of participation, as appropriate; (10) Comprehensive guidance and counseling, which may include drug and alcohol abuse counseling and referral, as appropriate; (11) Financial literacy education; (12) Entrepreneurial skills training; (13) Services that provide labor market and employment information about in-demand industry sectors or occupations available in the local area, such as career awareness, career counseling, and career exploration services; and (14) Activities that help youth prepare for and transition to post-secondary education and Page 9 of 24
employ an individual upon successful completion of training; and (10) Educational and tuition assistance. (e) Allowable activities specifically designed for youth are identified in section 129 of the Act and include: (1) Improving educational and skill competencies; (2) Adult mentoring; (3) Training opportunities; (4) Supportive services, as defined in WIA section 101(46); (5) Incentive programs for recognition and achievement; (6) Opportunities for leadership development, decision-making, citizenship and community service; (7) Preparation for postsecondary education, academic and occupational learning, unsubsidized employment opportunities, and other effective connections to intermediaries with strong links to the job market and local and regional employers; (8) Tutoring, study skills training, and other drop-out prevention strategies; (9) Alternative secondary school services; (10) Summer employment opportunities that are directly linked to academic and occupational learning; (11) Paid and unpaid work experiences, including internships and job shadowing; (12) Occupational skill training; (13) Leadership development opportunities, as defined in 20 CFR 664.420; (14) Follow-up services, as defined in 20 CFR 664.450; (15) Comprehensive guidance and counseling, which may include drug and alcohol abuse counseling and referral; and (16) Information and referral. (f) In addition, allowable activities include job development and employment outreach, including: (1) Support of the Tribal Employment Rights Office (TERO) program; (2) Negotiation with employers to encourage them to train and hire participants; (3) Establishment of linkages with other service providers to aid program participants; (4) Establishment of management training programs to support tribal administration or enterprises; and (5) Establishment of linkages with remedial education, such as Adult Basic Education (ABE), basic literacy training, and English-as-a-second-language (ESL) training programs, as necessary. (g) Participants may be enrolled in more than one activity at a time and may be sequentially enrolled in multiple activities. (h) INA grantees may provide any services which may be carried out by fund recipients under any provisions of the Act. (WIA sec. 166(d).) (i) In addition, INA grantees must develop programs which contribute to occupational development, upward mobility, development of new careers, and opportunities for nontraditional employment. (WIA sec. 195(1).) training. (g) In addition, allowable activities include job development and employment outreach, including: (1) Support of the Tribal Employment Rights Office (TERO) program; (2) Negotiation with employers to encourage them to train and hire participants; (3) Establishment of linkages with other service providers to aid program participants; (4) Establishment of management training programs to support tribal administration or enterprises; and (5) Establishment of linkages with remedial education, such as Adult Basic Education (ABE), basic literacy training, and English-as-a-second-language (ESL) training programs, as necessary. (h) Participants may be enrolled in more than one activity at a time and may be sequentially enrolled in multiple activities. (i) Services may be provided to a participant in any sequence based on the particular needs of the participant. Page 10 of 24
668.350 Are there any restrictions on allowable activities? (a) All occupational training must be for occupations for which there are employment opportunities in the local area or another area to which the participant is willing to relocate. (WIA sec. 134(d)(4)(A)(iii).) (b) INA grantees must provide OJT services consistent with the definition provided in WIA section 101(31) and other limitations in the Act. Individuals in OJT must: (1) Be compensated at the same rates, including periodic increases, as trainees or employees who are similarly situated in similar occupations by the same employer and who have similar training, experience, and skills (WIA sec. 181(a)(1)); and (2) Be provided benefits and working conditions at the same level and to the same extent as other trainees or employees working a similar length of time and doing the same type of work. (WIA sec. 181(b)(5).) (c) In addition, OJT contracts under this title must not be entered into with employers who have: (1) Received payments under previous contracts and have exhibited a pattern of failing to provide OJT participants with continued, long-term employment as regular employees with wages and employment benefits and working conditions at the same level and to the same extent as other employees working a similar length of time and doing the same work; or (2) Who have violated paragraphs (b)(1) and/or (2) of this section. (WIA sec. 195(4).) (d) INA grantees are prohibited from using funds to encourage the relocation of a business, as described in WIA section 181(d) and 20 CFR 667.268. (e) INA grantees must only use WIA funds for activities which are in addition to those that would otherwise be available to the Native American population in the area in the absence of such funds. (WIA sec. 195(2).) (f) INA grantees must not spend funds on activities that displace currently employed individuals, impair existing contracts for services, or in any way affect union organizing. (g) Under 20 CFR 667.266, sectarian activities involving WIA financial assistance or participants are limited in accordance with the provisions of 29 CFR 37.6(f). (WIA sec. 181(b).) 668.360 What is the role of INA grantees in the One-Stop system? (a) In those local workforce investment areas where an INA grantee conducts field operations or provides substantial services, the INA grantee is a required partner in the local One-Stop delivery system and is subject to the provisions relating to such partners described in 20 CFR part 662. Consistent with those provisions, a Memorandum of Understanding (MOU) between the INA grantee and the Local Board over the operation of the One-Stop Center(s) in the Local Board s workforce investment area also must be executed. Where the Local Board is an alternative entity under 20 CFR 661.330, the INA grantee must negotiate with the alternative entity on the terms of its MOU and the scope of its on-going role in the local workforce investment system, as specified in 20 CFR 661.310(b)(2). In local areas with a large concentration of potentially eligible INA participants, which are in an INA grantee s service area but in which the grantee does not conduct operations or provide substantial services, the 684.320 Are there any restrictions on allowable activities? (a) Training services must be directly linked to an in-demand industry sector or occupation in the service area, or in another area to which a participant receiving such services is willing to relocate (WIOA sec. 134(c)(3)(A)(i)(II)). (b) INA grantees must provide On-the-Job Training (OJT) services consistent with the definition provided in WIOA sec. 3(44) and other limitations in WIOA. Individuals in OJT must: (1) Be compensated at the same rates, including periodic increases, as trainees or employees who are similarly situated in similar occupations by the same employer and who have similar training, experience, and skills (WIOA sec. 181(a)(1)); and (2) Be provided benefits and working conditions at the same level and to the same extent as other trainees or employees working a similar length of time and doing the same type of work. (WIOA sec. 181(b)(5)) (c) In addition, OJT contracts under this title must not be entered into with employers who have: (1) Received payments under previous contracts under WIOA or the Workforce Investment Act of 1998 and have exhibited a pattern of failing to provide on-the-job training participants with continued, long-term employment as regular employees with wages and employment benefits (including health benefits) and working conditions at the same level and to the same extent as other employees working a similar length of time and doing the same type of work (WIOA sec. 194(4)); or (2) Have exhibited a pattern of violating paragraphs (b)(1) and/or (2) of this section. (WIOA sec. 194(4)). (d) INA program grantees are prohibited from using funds to encourage the relocation of a business, as described in WIOA sec. 181(d) and 20 CFR 683.260. (e) INA program grantees must only use WIOA funds for activities that are in addition to those that would otherwise be available to the INA population in the area in the absence of such funds (WIOA sec. 194(2)). (f) INA program grantees must not spend funds on activities that displace currently employed individuals, impair existing contracts for services, or in any way affect union organizing. (g) Under 20 CFR 683.255, sectarian activities involving WIOA financial assistance or participants are limited in accordance with the provisions of sec. 188(a)(3) of WIOA. 684.330 What is the role of Indian and Native American program grantees in the one-stop system? (a) In those local workforce investment areas where an INA program grantee conducts field operations or provides substantial services, the INA program grantee is a required partner in the local one-stop delivery system and is subject to the provisions relating to such partners described in 20 CFR part 678. Consistent with those provisions, a Memorandum of Understanding (MOU) between the INA program grantee and the Local Board over the operation of the one-stop center(s) in the Local Board s workforce investment area also must be executed. Where the Local Board is an alternative entity under 20 CFR 679.150, the INA program grantee must negotiate with the alternative entity on the terms of its MOU and the scope of its on-going role in the local workforce investment system, as specified in 20 CFR 679.410(b)(2). In local areas with a large concentration of potentially eligible INA participants, Page 11 of 24