Employment and Training Administration
Washington, D. C. 20210






May 23, 2001




June 30, 2002











  Wendy L. McConnell for
Deputy Assistant Secretary




Planning Guidance for Program Year (PY) 2001 Labor Market Information (LMI) Products and Services: One-Stop/LMI Formula Allocations to States


  1. Purpose. To transmit guidance for the development and management of PY 2001 One-Stop/LMI grant plans.

  2. References. Section 7, Parts (a)(3)(D)and(d)and Section 15 of the Wagner-Peyser Act; Section 309 of the Workforce Investment Act; Section IV(C)(3) of the WIA/Wagner-Peyser Planning Guidance (FRN/Vol 64, No. 37/Thursday, February 25, 1999); 29 CFR Parts 93, 96, 97 and 98; and OMB Circular A-87.

    Consistent with the Paperwork Reduction Act of 1995 (44 U.S.C. 3501-3520), OMB has reviewed and approved the Information Collection Request for this planning guidance (OMB Control Number 1205-0417). This approval expires May 31, 2004. Under 5 CFR 1320.f(b), an Agency cannot conduct, sponsor, or require a response to a collection of information unless the collection displays a valid OMB Control Number.

  3. Allocations. Funding for the One-Stop/LMI plan is provided from the $150 million One-Stop Career Center/America's Labor Market Information System (ALMIS)appropriation for Fiscal Year (FY) 2001. For PY 2001, $38 million, minus a 2.4 percent postage reserve($912,000), is allocated by formula to the fifty States, the District of Columbia, Guam, Puerto Rico and the Virgin Islands. See Attachment I for the table of allocations and allocation formula.

  4. Period of Performance. The maximum expenditure period for these funds is three years, pursuant to the Wagner-Peyser Annual Funding Agreement. The grant plan will cover, at minimum, the 12 month period of July 1, 2001 to June 30, 2002 but may, if negotiated between the State and Regional Office, cover a longer period of time up to the maximum expenditure period ending June 30, 2004.

  5. Grant Plan. Funds are being provided to States for the development of core LMI products and services, and for the development of other LMI products and services which might be required to support the State's strategic workforce investments. These core products and services must be consistent with the most recent priority core products and services defined by the Workforce Information Council, the cooperative governance structure established pursuant to Section 309 (b)(1) of WIA to achieve cooperative management of the nationwide employment statistics system. See Attachment III.

    If the PY 2001 formula allocation, in combination with any fund balances from prior year grants, is not sufficient to address all of the priority core products and services, the State and Regional Office may negotiate which of the core products and services will be addressed by the plan.

    In order to receive funding, States must submit a grant plan which conforms to the requirements of this issuance. Pursuant to the requirements of Section 309 of WIA, the grant plan must also be consistent with the State's WIA/Wagner-Peyser Five-Year Strategic Plan. Any planned grant activities and deliverables, in addition to core products and services, must be developed in consultation with the State Workforce Investment Board in order to support the State's strategic workforce investments, with activities and planned outcomes defined in the context of the State's WIA/Wagner-Peyser Five-Year Strategic Plan.

    Funds provided by this grant may not be used to supplant funds obligated from other funding sources for labor market information activities.

    Any planned data collection activities must conform to the technical standards and methodologies established by the Bureau of Labor Statistics or provide, in the plan, a sound business rationale for the use of an alternative methodology.

  6. Annual Reports. States are required to submit an annual report on achievements and outcomes for each planned activity as specified in Attachment III.

    The annual report must be submitted to the appropriate Regional Office with a copy to the National Office address found in Section 9 of this issuance, within 30 days following the end of the Program Year.

    States are requested to submit copies of hard copy publications produced with these grant funds to the Regional Office and to the LMI Institute. Posting such publications on the State web site(s)is encouraged. Submission of publications to the Employment and Training Administration (ETA) National Office is not required.

    Note: Section 309 of Title III of WIA requires that customer satisfaction information be collected annually and used to continuously improve the nationwide employment statistics system, with particular attention paid to improvements needed at the State and local levels.

    It is ETA's intent to develop a customer satisfaction survey process related to these grants. To that end, ETA will convene a collaborative workgroup representing the Workforce Information Council, the National Association of State Workforce Agencies and other appropriate stakeholders to develop a methodology for assessing customer satisfaction with workforce information products and services systemwide. It is intended that future State annual reports will include a report on the results of an assessment of customer satisfaction with the State's employment statistics system.

  7. Financial Management and Reporting. States are to forecast actual cash needs by program year quarter on SF-424A, Section D, for all quarters covered by the plan. State Employment Security Agencies (SESAs)will report quarterly expenditures by direct data entry of Standard Form 269 into the web-based Enterprise Information Management System (EIMS). Quarterly financial reports are due within 30 days following the end of each quarter. A financial reconciliation will be conducted by the Regional Office at the end of the program year.

    Questions regarding financial management and reporting for PY 2001 or any existing prior year fund balances should be addressed to the appropriate Regional Office.

  8. Plan Modifications. The Grantee and Regional Office may jointly modify planned activities and associated expenditures, within the State allocation, during the plan period of performance. The Regional Office has unilateral authority to recommend funding adjustments to the Grant Officer when overall grant expenditures are substantially below quarterly budgeted forecasts in the approved SF-424A. In the event that the

    Secretary of Labor may be required to carry out other responsibilities not anticipated in the plan, States may be requested to submit a plan modification to carry out the additional responsibilities.

  9. Action Required. Grant plans are due within 45 days of the date of this directive. Regional Offices may extend the due date, if necessary. SESA Administrators are requested to:

    1. Immediately transmit this planning guidance to the appropriate SESA office.

    2. Submit two signed copies of the PY 2001 grant plan to the appropriate Regional Administrator and one copy to the U.S. Department of Labor, Employment and Training Administration, Division of USES/ALMIS, Room S-4231, 200 Constitution Avenue, N.W., Washington, D.C. 20210, Attention: Olaf Bjorklund

    3. The grant application must include:

      1. A Transmittal Letter

      2. Application for Federal Assistance (SF-424)

      3. Budget Plan(SF-424A, Section D only)

      4. Annual Plan Narrative

  10. Inquiries. Questions on plan requirements may be directed to the appropriate Regional Office or to Olaf Bjorklund at 202-693-2870. Grant and financial management questions may be directed to the appropriate Regional Office or to Gwendolyn Baron-Simms at 202-693-3309 or to Fred Tello, Grant Officer, at (202)693-3333.

  11. Attachments. 

    1. Allocations for PY 2001

    2. Grant Procedures

    3. Annual Plan Guidelines