Approved by the Governor
and
New York State
Workforce Investment Board
July 1, 2005 – June 30, 2007
I.
State Vision
2
II.
State Workforce Investment Priorities
5
III.
State Governance Structure [§112(b)(8)(A)]
7
IV.
Economic and Labor Market Analysis [§112(b)(4)]
13
V.
Overarching State Strategies
24
VI.
Major State Policies and Requirements
32
VII.
Integration of One-Stop Service Delivery
35
VIII.
Administration and Oversight of Local Workforce Investment System
40
IX.
Service Delivery
54
X.
State Administration
86
XI.
Assurances
93
Program Administration Designees and Plan Signatures
96
Appendix A - Public Comment
98
Describe, in one page or less, the process for developing the State Plan.
1. Include (a) a discussion of the involvement of the Governor and the State Board in the development
of the plan, and (b) a description of the manner in which the State Board collaborated with economic
development, education, the business community and other interested parties in the development of
the State Plan. [§112(b)(1)]
An initial draft State Plan was developed by the New York State Department of Labor (NYSDOL) as
the designated State agency responsible for overseeing implementation of the Workforce Investment
Act (WIA), working on behalf of the State Workforce Investment Board (SWIB). Its task was to
incorporate ideas, concerns, and comments from a variety of entities. Input was sought from
workforce development partners on the State and local level, including Chief Elected Officials
(CEOs), business, labor, and Community Based Organizations (CBOs). The Plan was made available
for public comment via the New York State Register, Internet and through a NYSDOL Technical
Advisory. All input was reviewed, considered and incorporated as appropriate. The State Board, and
its representatives from economic development, education and business majority, reviewed and
finalized the plan. The Governor provided final approval and NYSDOL submitted the plan to the
United States Department of Labor (USDOL).
2. Include a description of the process the State used to make the Plan available to the public and the
outcome of the State’s review of the resulting public comments. [(§§111(g) and 112(b)(9)]
The Plan was made available for public comment via the New York State Register, Internet and
through a NYSDOL Technical Advisory. Comments have been incorporated into the Plan as
Appendix A. Each of these comments was reviewed. Changes were considered and made where
necessary and appropriate prior to presenting the State's WIA Plan to the State Board for final
approval.
New York State Plan
1
I. State Vision
Describe the Governor’s vision for a statewide workforce investment system. Provide a summary
articulating the Governor’s vision for utilizing the resources of the workforce system in support of the
State’s economic development that address the issues and questions below. States are encouraged to
attach more detailed documents to expand upon any aspect of the summary response if available.
[(§112(a) and (b)(4)(A-C).
The inception of WIA provided New York State with an opportunity to begin the process of aligning the
many facets of its workforce system to focus on improving the lives of New Yorkers, supporting our
State’s businesses, and strengthening our economically-diverse communities. While that core mission
has not changed, the methods by which the Governor and the SWIB have worked to ensure that the
workforce system remains mission driven have changed.
Technology, globalization and deregulation are the powerful forces driving economic change and
New York’s 10 different economic regions are experiencing and responding to this change in different
manners. New York is committed to ensuring that its workforce is positioned to respond in this new
economic reality – an environment of constant change, with very much shortened product life-cycles, and
intense time-to-performance pressures. Our workforce must possess those broad skills that are valued in
this economic world: flexibility, cross-training, multi-tasking, teaming, and project-based work. These
changes all presume the ability for a worker to learn and re-skill continually throughout a career. New
career structures and pathways have to be constructed outside individual employment organizations and
across whole industrial sectors and regional labor markets to help meet these challenges.
A. What are the State’s economic development goals for attracting, retaining and growing business and
industry within the State? [§112(a) and (b)(4)(A-C)]
New York State’s economic development goals focus on ensuring that the State is at the forefront of
the global high-tech revolution. Through an unprecedented investment of federal, state and private
resources, New York has leveraged its economic development strategies around its Centers of
Excellence—high tech research centers which will focus on critical emerging technologies that are
anticipated to become economic and employment growth areas. Funded as part of the State’s 20022003 budget, the state-of-the-art research and development being conducted at the State’s academic
institutions – in partnership with New York’s business community – is designed to produce
tremendous economic benefits. Centers include:





Center of Bioinformatics at SUNY Buffalo whose mission specializes in drug design research,
computational and three-dimensional visualization, product commercialization and workforce
training.
Center of Environmental Systems in Syracuse whose mission focuses on indoor environments in
the areas of indoor air quality, comfort, lighting, acoustics and intelligent controls.
Center of Infotonics in Greater Rochester whose mission focuses on creating technology transfer
and pilot fabrication facilities for high-resolution imaging and ultra-fast communications devices
that can be shared by Center partners to accelerate product development.
Center of Nanoelectronics at SUNY Albany will be the only university-based 300-millimeter
computer wafer pilot prototyping facility in the world. It will provide critical laboratory and clean
room space for research, build incubator space for high-tech company spin-offs, and create a
workforce development program. The Center is also home to International SEMATECH North.
Center of Wireless Internet & Information Technology at SUNY Stony Brook whose mission will
focus on large scale computing and data mining critical to genomics and other data intensive
areas, Internet applications, wireless telecommunications, health care applications, and workforce
development programs.
New York State Plan
2
B. Given that a skilled workforce is a key to the economic success of every business, what is the
Governor’s vision for maximizing and leveraging the broad array of Federal and State resources
available for workforce investment flowing through the State’s cabinet agencies and/or education
agencies in order to ensure a skilled workforce for the State’s business and industry? [(§112(a) and
(b)(4)(A-C)]
The Centers of Excellence have already created job growth opportunities across New York State. To
close the gap between the existing and future needs of employers for skilled workers and the supply
of New York residents prepared to meet that need will require an alignment of strategy, customers,
performance measures and funding between and across all levels of the publicly funded workforce
systems. Separate federal and state workforce-related funding streams present challenges to
achieving a vision that strives for the highest customer satisfaction standards. Integration of
programs and services will be key to maintaining productivity as well as improving the
responsiveness of the publicly funded system. Integration in workforce development services will
permit the unique needs of individuals from target populations to continue to be served in a
coordinated manner across the various funding partners. The State’s workforce development system
seeks to make services from multiple providers a straightforward and effective experience for job
seekers, youth, and business. Our challenge is to maintain a performance accountability system for
workforce development that is integrated across programs in an effort to achieve the vision of an
integrated workforce development model that improves customer service.
C. Given the continuously changing skill needs that business and industry have as a result of innovation
and new technology, what is the Governor’s vision for ensuring a continuum of education and training
opportunities that support a skilled workforce? [(§112(a) and (b)(4)(A-C)])
New York State is blessed with a wealth of education and training providers through a network of
public and private universities, and community based organizations. This vast network serves as
economic engines, as employers and research centers for communities and businesses. In addition
to our State University of New York with its 64 geographically dispersed two and four year institutions,
New York is home to over 100 private institutions of higher education and countless more proprietary
schools—all of which strive to meet the academic and workforce needs of the State’s population.
Alignment around the State’s economic development objectives will help guide in the identification of
objectives and strategies to meet the workforce development needs of the various labor markets. As
communities and Local Workforce Investment Boards (LWIBs) seek to meet the demographic and
economic challenges they are confronting, improved access and expanded partnerships with the
education and training arena will be key to long-term success. A key component and role for the
workforce system will be to actively encourage lifelong learning, re-skilling, and upgrading of the
workforce through a system of creative incentives for human capital investments by individuals and
employers.
Design and implementation of these incentives in conjunction with the employment and training
community in New York will be essential if we are to be successful in providing opportunities to the
emerging and existing workforce. Continued State investment in career mapping and career ladder
strategies will help to ensure that the relevant players including education, workforce and business
are part of the long-term solution. Faster, cheaper, more effective ways need to be found to build
mind, not muscle, in the information age.
D. What is the Governor’s vision for bringing together the key players in workforce development
including business and industry, economic development, education, and the workforce system to
continuously identify the workforce challenges facing the State and to develop innovative strategies
and solutions that effectively leverage resources to address those challenges? [§112(b)(10)]
Fact-based decision making throughout the workforce system is essential if strategies to address our
workforce needs are to be successful. In 2003, New York offered incentives to its 33 LWIBs to
New York State Plan
3
engage in community strategic planning. The State Board sought to empower New York’s local
boards by providing financial incentives to bring together disparate regional interests in an effort to
position the LWIBs as active, facilitative workforce change agents.
A system, which is capable of meeting the diverse needs of job-seeker and business customers alike,
needs to collect and disseminate relevant, real-time labor market information; needs to convene
regional interests around workforce challenges such as critical skill shortages and changing
demographic trends; needs to facilitate dialog around emerging trends and community needs; and
needs to leverage its resources to impact change at the local and regional level.
New York’s boards embraced the opportunity to engage in a broad regional dialog around current and
future workforce trends. From these sessions evolved in-depth community planning with the
development of strategic plans setting forth goals, objectives and strategies unique to those regional
economies. The process helped position LWIBs in the arena where their expertise rests and to
permit local boards to support and empower other community interests in their efforts to further the
economic stability of their communities.
In a state as economically, geographically, and demographically diverse as New York, change is
often best embraced and understood when developed from a ground-up approach. The Governor
and State Board will continue to provide the incentives necessary to foster regional-based planning
around workforce challenges and solutions. The Governor and State Board will continue to evolve
their system of System Indicators to measure the impact of the State-level investment, as well as the
response of the publicly funded workforce system to those locally-established goals and objectives.
E. What is the Governor’s vision for ensuring that every youth has the opportunity for developing and
achieving career goals through education and workforce training, including the youth most in need of
assistance, such as out-of-school youth, homeless youth, youth in foster care, youth aging out of
foster care, youth offenders, children of incarcerated parents, migrant and seasonal farmworker
youth, and other youth at risk? [§112(b)(18)(A)]
For New York State to remain and enhance our competitive advantages, a committed effort across
education and workforce partners to the needs of our emerging workforce is key. The Governor and
State Board are committed to the integration of career guidance into school curricula. We must build
on the success of effective dropout prevention and retrieval programs and help students and their
families plan for the future beyond high school.
New York State and its communities invest over $38 billion in its elementary and secondary education
system and yet many students continue to struggle to reach their potential. A continued commitment
to increase the capacity of high schools to provide high–quality workforce education and training
programs will be an essential component of our commitment to the success of our future workforce.
The State Board will continue to explore opportunities that develop new programs and increase
student enrollments in workforce training and career and technical education diploma programs,
especially in high-demand industry clusters such as health care and information technology. The
State Board will look for opportunities to improve the efficiency of student transitions by granting
credit for prior learning, developing statewide agreements for transfer and articulation, and increasing
the availability of applied degrees. The Board will continue its efforts to enhance “employability skills”
training in workforce development programs through the Equipped for the Future Work Readiness
Credential, a national project to develop a portable documentation of entry-level work skills. The
Board will also work closely with the education community to highlight and replicate best practices
from around the State and nation in career and technical education.
Ultimately New York’s economic future rests on the shoulders of its emerging workforce, regardless
of their unique status or target population status. The Governor and State Board are committed to
joining with the Board of Regents to ensure that academic preparedness translates into workforce
New York State Plan
4
preparedness. The State Board is committed to the high standards set by the Board of Regents and
will work to align goals and objectives for mutual success.
II. State Workforce Investment Priorities
Identify the Governor’s key workforce investment priorities for the State’s workforce system and how each
will lead to actualizing the Governor’s vision for workforce and economic development. [(§§111(d)(2) and
112 (a)]
The Governor has identified the following key workforce investment priorities:
1. Invest in public/private partnerships that promote New York’s competitiveness
a. Support sector initiatives that build on State and regional strengths
b. Invest in skills for the jobs of the future.
c. Increase productivity through investments in workers and technology
2. Provide Broader Opportunity to Post Secondary Education & Training for All Citizens
a. Continue New York’s commitment to state-supported financial aid programs for part- and fulltime students (Tuition Assistance Program - TAP)
b. Support community colleges and Board of Cooperative Educational Services (BOCES)
workforce initiatives
c. Increase the number of working adults enrolled in and successfully completing education and
training programs
d. Advocate for increased flexibility and availability in the federal Pell Grant program
3. Create a Workforce System that Works for Everyone
Design a system with “no wrong doors”
Eliminate bureaucratic barriers to assisting employers and providing people with critical skills
Provide incentives for career ladders and lattices
Develop a system with real time labor market information
Detail occupations with looming demographic challenges
Identify and apply common measures across all workforce programs that focus on outcomes
that matter
g. Ensure all New Yorkers, regardless of employment barrier, are afforded the opportunity to
engage in employment
a.
b.
c.
d.
e.
f.
4. Invest in the Next Generation of Workers
a. Identify and implement ways to imbed and measure work readiness skills in the K-12
curriculum
b. Continue support for career and technical education programs
c. Work with state and federal leaders to ensure federal support is maintained for vocational
education at the secondary and post secondary levels
Over the past five years, New York has developed and implemented creative initiatives that have
successfully addressed the key workforce investment priorities outlined above.
Significant investments have been and will continue to be made in public/private partnerships that secure
New York’s competitive edge by preparing its workforce for the jobs of the future. For example, nearly
$23 million in Strategic Training Alliance Program (STRAP) grants have been awarded to upgrade the
skills of over 30,000 workers, many in high technology jobs. This effort was further enhanced by High
Tech grant awards, totaling over $15 million, which trained approximately 4,000 workers in this thriving
New York State Plan
5
industry. Another $10 million in grants will be available in the near future to upgrade the skills of workers
in the Agribusiness, Biotechnology, Information Technology and Advanced Manufacturing industries.
Post-secondary education opportunities and incumbent worker training have also been aggressively
supported. Building Skills in New York State (BUSINYS) grants trained over 46,000 incumbent workers in
specific, transferable skills that lead to potential career growth and increased wages. Over $42 million
has been awarded to fund this initiative during the past several years. Incumbent worker training grants
for manufacturing firms, a declining sector in New York’s economy, have also made over $14.5 million
available to train 35,000 individuals.
New York has continued its untiring commitment to create a workforce system that universally works for
everyone. At the State level, grants have been made to Local Workforce Investment Areas (LWIAs) to
support 44 Disability Program Navigators in 62 One-Stop Centers to ensure all customers, regardless of
disability or barrier to employment, are appropriately served. Over the last two years, approximately $2.6
million in federal and State-level dollars has been leveraged to support this effort. Other examples of
universal service include Moving NY Forward, a career ladder initiative that helped prepare over 400
workers for employment advancements and State efforts to institute common performance measures the
focus on outcomes, not process.
Finally, all partners have worked closely with the State Education Department to ensure New York’s
students are work-ready. New York is engaged in a national effort to develop the Equipped for the
Future Work Readiness Credential, a portable document that certifies emerging workers posses requisite
entry-level work skills. Additionally, the State has awarded nearly $5 million in WIA Youth Work
Readiness grants to prepare nearly 2,300 youngsters for the world of work.
The above examples are cited to illustrate that New York is moving forward to realize the Governor’s key
workforce priorities. More work, however, needs to be done. The State will build off these successes by
replicating promising programs, supported these funds and/or other resources, in additional local areas.
It will also learn from previous experience to develop and support enhanced efforts, with each new
initiative specified designed to actualize the Governor’s vision for workforce and economic development.
New York State Plan
6
III. State Governance Structure [§112(b)(8)(A)]
A. Organization of State agencies in relation to the Governor:
1. Provide an organizational chart that delineates the relationship to the Governor of the agencies
involved in the public workforce investment system, including education and economic
development and the required and optional One-Stop partner programs managed by each
agency.
Governor George E. Pataki
Deputy Secretary to the
Governor
Title V of Older Americans Act
Community Services Block Grant
Department of Labor
WIA Title 1-B
Wagner-Peyser
Unemployment Insurance
Trade Adjustment
Veterans Programs
New York State Plan
Board of
Regents
State Education
Department
Post secondary Vocational
Education
Vocational Rehabilitation
Adult Education & Literacy
Office of Children
& Family Services
Empire State
Development
Vocational
Rehabilitation
Economic Development
7
2. In a narrative describe how the agencies involved in the public workforce investment system
interrelate on workforce and economic development issues and the respective lines of authority.
The Governor and SWIB will continue to rely on a strong interagency network of public agency
workforce professionals which align regularly around the Governor’s agenda. Interagency teams
are constituted on an ad hoc basis, or as part of broader strategic planning, depending on the
purpose and outcome. Currently interagency staff teams are operationalized on agenda items
including re-entry of ex-offenders; increasing employment opportunities and outcomes for
individuals with disabilities; development and implementation of the Equipped for the Future Work
Readiness Credential; and strengthening youth development principles in youth programming,
including addressing the issues for youth aging out of foster care. Each of these priorities is led
by the public agency with expertise in the given topic; all interagency members have been
designated by their Commissioners as individuals who are able to offer policy advice and
recommendations on behalf of their agency. Additionally, policy-level staff within the various
agencies brings forth agency-specific expertise to an array of public boards and councils.
In addition to State-level staff-to-staff meetings, frequent opportunities are provided for material to
be brought to a regional and local level. Public workforce investment system agencies often
develop and present on topics related to the Governor’s agenda at conferences, professional
development seminars, teleconferences, and webinars.
B. State Workforce Investment Board [§112(b)(1)]
1. Describe the organization and structure of the State Board. (§111)
New York’s forty-one member SWIB was created pursuant to Chapter 624 of the Laws of 1999.
The business majority board, which is chaired by Richard A. Calo, Vice President of Working
Relations at IBM, meets five times per year. The response to Question 2 below details the
membership categories.
In an effort to maximize the unique talents of each member, the Board has established the
following four subcommittees:




Emerging Worker – Focuses on issues affecting New York’s future workers, including the
special needs of at-risk youth.
Skills Standards, Assessments and Credentials – Addresses strategies for ensuring an
appropriately skilled workforce, including the development and implementation of the
Equipped for the Future Work Readiness Credential.
Local Board Liaison – Maintains critical communications with LWIBs, for the purpose of
creating informed policies that can be effectively implemented at the local level.
System Integration – Devises strategies to strengthen collaborative relationships among
workforce partners at the State and local levels.
Each subcommittee studies and advises the full Board on significant policy-related matters within
its respective area of expertise. The subcommittees are staffed by senior-level employees from
the State Departments of Labor and Education and the Office of Children and Family Services.
2. Identify the organizations or entities represented on the State Board. If you are using an
alternative entity which does not contain all the members required under section 111(b)(1),
describe how each of the entities required under this section will be involved in planning and
implementing the State’s workforce investment system as envisioned in WIA. How is the
alternative entity achieving the State’s WIA goals? [§§111(a-c), 111(e), and 112(b)(1)]
The State Board’s membership is drawn from a cross-section of New York’s industries and
workforce constituencies. The business members represent large and small companies from
New York State Plan
8
diverse industry sectors, including manufacturing and agriculture. Two of the State’s top four
employers (IBM and Wegman’s Foods, Inc.) are represented on the SWIB. Non-business
members include four representatives nominated by organized labor (such as the New York State
AFL-CIO); two chief elected officials (the Mayor of Buffalo and Dutchess County Executive); four
representatives from the State Legislature (two from each House); and several representatives
from CBOs (a number of who are involved in youth activities). Board members were selected
based on their level of experience in delivering workforce development services and their desire
to create a seamless service delivery system. Close attention was paid to securing a diverse
group of individuals (both ethnically and geographically) to better align their expertise with the
workings of the Board.
At the State level, the Governor’ representative, along with the following members of his
executive branch, complete the non-business membership on the Board: the Commissioners of
Labor, Education (who is responsible to New York’s Board of Regents) and Office of Children and
Family Services; Chancellor of the State University of New York; and Chairman of Empire State
Development Corporation. The contributions of each of these executive agencies align workforce
and economic development and better prepare New York’s workforce of the future.
3. Describe the process your State used to identify your State Board members. How did you select
board members, including business representatives, who have optimum policy-making authority
and who represent diverse regions of the State as required under WIA? [20CFR 661.200]
The Governor's Appointments Office received over two hundred requests from CBOs, not-forprofit providers, and educators seeking appointment to the State Board. Selections for
membership on the Board were based on qualifications, interest in developing a truly
comprehensive system, and level of contribution to the development of the Design Team report,
entitled “New York’s Workforce Development System – A Report to Governor George E. Pataki.”
Pursuant to both the federal and State-enabling legislation, business representation on the Board
was secured from an array of sources. Statewide organizations representing various sectors of
the economy were canvassed for potential representatives. Those organizations included the
Business Council of New York State, the Manufacturing Association of Central New York, the
Retail Council of New York State, the National Federation of Independent Business, the General
Building Contractors of New York, the New York State Food Merchants Association, and the New
York Farm Bureau. Business members on the State Board represent all regions of New York
State, and all of New York's critical economic sectors: manufacturing, agriculture, high
technology, hospitality and tourism, health care, telecommunications, transportation, construction,
energy, and retail. The board member selection process paid critical attention to ensure both
geographic well as industry representation.
Many of the business representatives on the State Board have responsibilities that are statewide
in focus. A number are Chief Executive Officers (CEOs) of their companies; several also have
multi-state workforce responsibilities. The review and final appointment process, which included
thorough background checks and personal interviews, ensured that all business members have
optimum policy-making authority. Business members constitute a majority of the State Board.
4. Describe how the board’s membership enables you to achieve your vision described above.
[§§111(a-c) and 112(b)(1)]
The Governor and the State Board strive to be as inclusive as practical in developing and
achieving workforce policy objectives. Particular attention is given to ensuring an active voice
from small and medium sized businesses, which represent the majority of New York’s economic
base. As employment pathways are a continuum, membership geographic and sector diversity is
maintained as well. The State Board’s by-laws permit the Board to access talent and opinions on
issues of importance, if the board membership does not sufficiently meet that need.
New York State Plan
9
5. Describe how the Board carries out its functions as required in Section 111 (d) and 20 CFR
661.205. Include functions the Board has assumed that are in addition to those required. Identify
any functions required in Section 111 (d) the Board does not perform and explain why.
Per Section 111(d)(2)(A), the State Board shall assist the Governor in the development and
continuous improvement of a statewide system of activities that are funded under this subtitle.
Article 24a of the State Labor Law requires the State Board to assist the Governor in fulfilling the
requirements of the WIA. By statute, the Board must meet quarterly, at a minimum. It is
anticipated that the subcommittees of the Board will meet more frequently to address
implementation of this strategic plan. The Board will assist the Governor in identifying innovative
statewide activities for potential incumbent worker projects, develop insight into skills standards
and credentials, and establish policies that provide the greatest amount of flexibility necessary to
utilize WIA as an economic development tool. Economic development and economic selfsufficiency are strategically linked goals and the Board intends to use its collective experience to
provide guidance to the enhancement of the statewide system. The assistance of the
Commissioners from the State-level partners will be essential as they work with their respective
agencies to carry out the Board's mission.
6. How will the State Board ensure that the public (including people with disabilities) has access to
board meetings and information regarding State Board activities, including membership and
meeting minutes? [20 CFR 661.205]
The State Board will ensure that the public (including people with disabilities) has access to
Board meetings and information regarding SWIB activities, including membership and meeting
minutes. State Board meetings will follow New York State's Open Meetings Law and the sunshine
provisions of Article 24a of the State Labor Law.
Information on State Board meetings is made available through all media outlets and information
is posted on the State's workforce development website (www.workforcenewyork.org).
7. Identify the circumstances which constitute a conflict of interest for any State or local workforce
investment board member or the entity that s/he represents, and any matter that would provide a
financial benefit to that member or his or her immediate family. [§§111(f), 112(b)(13), and 117(g)]
The New York State Department of State and the New York State Ethics Commission established
a standard of conduct for officers and employees in State service. The standard pertaining to
Conflict of Interest indicates that an officer or employee may not engage in activities that would
create or appear to create a conflict with their public duties. Using this as a guide, the State has
created a policy statement pertaining to the SWIB.
A member of the SWIB may not: (a) vote on a matter under consideration by the SWIB (i)
regarding the provision of services by such member or by an entity that such member represents;
or (ii) that would provide direct financial benefit to such member or the immediate family of such
member; or (b) engage in any other activity determined by the Governor to constitute a conflict of
interest.
Finally, while it is acknowledged that the majority of the SWIB is representative of the private
sector business community and does not represent any particular State agency or division, it is
understood that they are serving on a board which represents the interests of the public in
relation to workforce development. Therefore, each SWIB member should endeavor to pursue a
course of conduct which will not raise suspicion among the public that they are likely to be
engaged in acts that are in violation of their public trust. Additionally, each LWIB is required to
establish by-laws that address conflict of interest procedures.
New York State Plan
10
8. What resources does the State provide the board to carry out its functions, i.e. staff, funding,
etc.?
While State legislation specifically prohibits the State Board from having stand-alone staff, policylevel staff from several agencies has been designated to carry out the functions needed to staff
the State Board. Staffing is supported by policy-level staff from the NYSDOL, the State
Education Department and the Office of Children & Family Services.
Additionally, funding for Board activities is supported through WIA Title 1-B state level activities.
This includes activities related to Board subcommittee projects and initiatives, travel to Board
meetings and conferences, and dues for professional organizations. In addition, several times a
year speakers are secured to address current workforce topics and stimulate Board discussion.
Past speakers have included:









Greg Newton: “How to Build A Local System with Centralized State Programs”
“Industry Sectors: Trade Associations Speak Out!” with Mick Fleming, Manufacturers
Association of New York; Dan Sisto, Health Care Association of New York State;
Sandy Parker, Industrial Management Council
Basil Whiting, National Association of Manufacturers: “Keeping America Competitive: How a
Talent Shortage Threatens US Manufacturing”
Graham Toft, Hudson Institute: “Beyond Workforce 2020: The Coming (and present)
International Market for Labor”
Steve Gunderson: “The Jobs Revolution, Changing How America Works”
Greg Newton: “System Indicators and System Report Cards”
Dr. Jeff King, Director of the United States European Network for Education & Training:
“Strategic Planning for a World Class Economy”
Mary Ann Lawrence: “Enhancing Performance: An Update on Secret Shopping of
New York’s One-Stop Centers”
Tom Flint, Council on Adult & Experiential Learning: “Adult Learners and Workforce
Competitiveness”
C. Structure/Process for State agencies and State Board to collaborate and communicate with each
other and with the local workforce investment system. [(§112(b)(8)(A)]
1. Describe the steps the State will take to improve operational collaboration of the workforce
investment activities and other related activities and programs outlined in section 112(b)(8)(A), at
both the State and local level (e.g., joint activities, memoranda of understanding, planned
mergers, coordinated policies, etc.). How will the State Board and agencies eliminate any existing
State-level barriers to coordination? [§§111(d)(2) and 112(b)(8)(A)]
The Governor and State Board will continue to access the public service talent across public
workforce agencies in pursuit of the Governor’s workforce and economic development agendas.
Additionally, the State Board will continue to invite the active participation of the 33 Local Board
Chairs in its proceedings and will use the State Board staff to survey and bring forth issues
requiring State-level intervention. The State Board has found it most effective to provide the
means for Local Board Chairs to present at each State Board meeting, using that as a platform to
identify barriers which are impeding strong collaborative efforts.
The State Board subcommittees will continue to use ad hoc groups to help assist in the
identification as well as the solutions to collaboration and coordination barriers. This will be
especially important as WIA Reauthorization proposals working through Congress call for new
ways to fund infrastructure; to incorporate the Wagner-Peyser staff into local One-Stop Centers,
and add to the mix of core services available through One-Stop Centers.
Finally, the State Board, on behalf of the Governor, will continue to make available the talents of
competitively procured consultants to serve as facilitators on a State and local level.
New York State Plan
11
2. Describe the lines of communication established by the Governor to ensure open and effective
sharing of information among the State agencies responsible for implementing the vision for the
workforce system and between the State agencies and the State Workforce Investment Board.
The Governor has appointed key agency heads to the State Board, as well as the Commissioner
of Education, who answers to the State Board of Regents. Additionally, staff to the State Board
are executive level appointees, engaged in the policy level discussions between the executive
branch and the agencies in setting and carrying out the Governor’s objectives. All means of
communication are used to keep lines of communication open: email, websites, telephone
conferences, meetings, and conferences. Joint meetings are occasionally held to enhance
strategic planning efforts. For instance, the State Board and the State Board of Regents
convened a joint meeting to create dialog around the educational system’s role in helping to
address labor market shortages in specific industries; how K-16 is preparing emerging workers;
and linking workforce services to at-risk youth with efforts to close the performance gap in student
achievement. These discussions helped shape the strategies and future projects of the Emerging
Worker Subcommittee that eventually led to grant opportunities and demonstration projects.
3. Describe the lines of communication and mechanisms established by the Governor to ensure
timely and effective sharing of information between the State agencies/State Board and local
workforce investment areas and local Boards. Include types of regularly issued guidance and
how Federal guidance is disseminated to local Boards and One-Stop Career Centers.
[§112(b)(1)]
Continued efforts will be made to broaden the communication lines across all levels of the OneStop system. Currently Local Board Directors are convened for bi-monthly meetings which
include set agendas, homework assignments, and discussion of national and State policy issues.
One-Stop Operators are convened several times a year in regional forums. A separate website is
maintained for the publication policy directives, both federal and state; to publicize funding
opportunities; to make available State Board presentations, minutes, agendas, etc. and to provide
a calendar of events. Email distribution lists are used to distribute these materials as well.
4. Describe any cross-cutting organizations or bodies at the State level designed to guide and
inform an integrated vision for serving youth in the State within the context of workforce
investment, social services, juvenile justice, and education. Describe the membership of such
bodies and the functions and responsibilities in establishing priorities and services for youth?
How is the State promoting a collaborative cross-agency approach for both policy development
and service delivery at the local level for youth? [§112(b)(18)(A)]
The Emerging Worker Subcommittee of the SWIB is the State-level body responsible for setting
New York’s integrated vision for serving youth, especially those most-in-need. The
Subcommittee has established and embraced the following mission: “Ensure that all New York’s
youth, under age 21, are better prepared for employment by: enabling them to meet New York
State’s education/learning standards; providing them with the work skills, life skills and supports
necessary to succeed in New York’s job market; and exposing them to a greater array of potential
career opportunities, including current demand occupations.” The 10 member Subcommittee,
which includes a business majority and is co-chaired by the State Education Commissioner, has
placed a high priority on most-in-need youth, including out-of-school youth, those at-risk of
dropping out, youth in foster care, those aging out of foster care, youth offenders, pregnant or
parenting youth and homeless or runaway youth. John A. Johnson, Commissioner of the Office
of Children and Family Services, the State agency responsible for serving at-risk youth, is a also
a prominent contributing member of the Subcommittee.
Over the past five years, the Subcommittee has taken concrete actions to support its top two
priorities: (1) “to expand/enhance business involvement in preparing youth for jobs and careers;
and (2) to support comprehensive year-round programs for all youth.” With regard to Priority #1,
New York State Plan
12
the Subcommittee sponsored the Hudson Valley Regional Business Forum at IBM’s East Fishkill
Campus to learn first-hand about businesses’ expectations of its employees and how local
workforce partnerships can better prepare emerging workers to meet the needs of New York
State employers. Commissioners Mills and Johnson were joined by Labor Commissioner Linda
Angello and Dutchess County Executive William Steinhaus to engage representatives of five
leading Hudson Valley employers in this critical dialogue with local workforce partners. In
addition, on the Subcommittee’s behalf, NYSDOL awarded more than $1.29 million in competitive
Incentive Grants to foster innovative local partnerships between business, education and LWIAs
to expose youth to real-world work experiences in demand occupations. As to Priority #2, nearly
$1 million in competitive Challenge Grants were awarded to LWIBs to enhance each local area’s
strategic approach to providing comprehensive year-round services for youth. These grants were
specifically designed to further integrate partner services, leverage resources from multiple
funding streams and make comprehensive youth programming an integral component of local
One-Stop systems.
The Subcommittee is currently engaged in several efforts to help emerging workers develop the
“soft skills” needed to succeed in the workplace. Approximately $5 million was competitively
awarded to CBOs and not-for-profit, for-profit and public entities (that entered into partnerships
with LWIAs) to support work readiness programs for WIA eligible youth. Additionally, the
Subcommittee, in conjunction with the Systems Integration Subcommittee of the State Board, is
actively involved in guiding the development of the national Equipped for the Future Work
Readiness Credential.
As illustrated by the examples cited above, the Emerging Worker Subcommittee has been
instrumental in fostering strong public/private partnerships to better prepare New York’s youth for
entry into the workplace. The commitment and leadership shown by its members will continue to
guide youth policy during the course of this two-year plan.
IV. Economic and Labor Market Analysis [§112(b)(4)]
As a foundation for this strategic plan and to inform the strategic investments and strategies that flow from
this plan, provide a detailed analysis of the State’s economy, the labor pool, and the labor market context.
Elements of the analysis should include the following:
A. What is the current makeup of the State’s economic base by industry?
Over the past 15 years, the New York State economy continued its long-term transition from one that
was centered in manufacturing and goods production (manufacturing/production-based) to one
dominated by the service-providing sector. (See the table below.) Since 1990, the number of goodproducing (mostly manufacturing) jobs in the State has fallen by 392,700 (- 29.9%) while serviceproviding jobs have grown by 626,900 (9.1%). This shift in the State’s employment base has had a
significant impact on the occupational trends and educational and skill needs of the workforce.
Recent Developments
In 2004, the number of nonfarm wage and salary jobs in New York State stood at 8,446,600, up
39,600 from 2003, but down 188,600 from 2000, a reflection of the lingering affects of the World
Trade Center disaster and the recent recession. During 2004, nearly six in every 10 (58.4%) jobs in
the State were in one of these four industries: trade (14.4%), professional and business services
(12.5%), health care and social assistance (13.9%), and government (17.6%). The table below
shows the relative distribution of nonfarm jobs by major industry for 1990 and 2004 for New York
State.
New York State Plan
13
Industry
Total Nonfarm
Goods-Producing
Natural Resources and
Mining
Construction
Manufacturing
Service-Providing
Trade
Transportation,
Warehousing, and
Utilities
Information
Financial Activities
Professional and
Business Services
Educational Services
Health Care and Social
Assistance
Leisure and Hospitality
Other Services
Government
Nonfarm Jobs by Industry
New York State
1990 vs. 2004 Annual Averages
1990
2004
Percent
Percent
of Total
of Total
Nonfarm
Nonfarm
Jobs
Jobs
Jobs
Jobs
8,212,300
100% 8,446,600
100.0%
1,312,700
16.0%
920,000
10.9%
Net
234,300
-392,700
Percent
2.9%
-29.9%
6,700
322,800
983,100
6,899,700
1,574,800
0.1%
3.9%
12.0%
84.0%
19.2%
5,700
318,400
596,000
7,526,600
1,219,900
0.1%
3.8%
7.1%
89.1%
14.4%
-1,000
-4,400
-387,100
626,900
-354,900
-14.9%
-1.4%
-39.4%
9.1%
-22.5%
303,300
286,300
779,400
3.7%
3.5%
9.5%
263,500
270,600
701,500
3.1%
3.2%
8.3%
-39,800
-15,700
-77,900
-13.1%
-5.5%
-10.0%
856,600
226,400
10.4%
2.8%
1,053,500
343,000
12.5%
4.1%
196,900
116,600
23.0%
51.5%
850,200
574,300
278,400
1,473,400
10.4%
7.0%
3.4%
17.9%
1,177,600
662,000
351,700
1,483,300
13.9%
7.8%
4.2%
17.6%
327,400
87,700
73,300
9,900
38.5%
15.3%
26.3%
0.7%
Change:
1990-2004
The trend of growth in service-providing industries is expected to continue in the foreseeable future,
with educational and health services, professional and business services, leisure and hospitality,
construction, and trade expected to add the most jobs over the 2002-2012 period. The only
industries expected to lose jobs over the 10-year period are manufacturing and government
administration.
B. What industries and occupations are projected to grow and or decline in the short term and over the
next decade?
Industry Analysis
Over the 10-year period between 2002 and 2012, the industries expected to have the fastest
percentage rates of growth in New York State include construction, leisure and hospitality, education
and health services, professional and business services, and real estate rental and leasing. No other
industries are expected to have an annual growth rate faster than that of the average of all industries
combined.
Several industries in the State are expected to continue their long-term decline over the decade.
Most notable are manufacturing, mining, and utilities. Additionally, government is expected to decline
as budgets are tightened further.
New York State Plan
14
Occupational Analysis
Among the major occupational groups projected to grow fastest from 2002–2012 are those that
address the aging of the population and those associated with the impact of technology on the
economy, including: health care support occupations (+23.5%); computer and mathematical
occupations (+20.8%); community and social services occupations (+19.3%); healthcare practitioners
and technical occupations (+17.8%); personal care and service occupations (+17.7%); construction
and extraction occupations (17.7%); and education, training and library occupations (+15.4%). Only
two occupational groups are expected to decline: production occupations (-6.7%) and office and
administrative support (-1.2%).
Among the major occupational groups expected to add the most jobs in absolute terms over the
2002–2012 period are education, training, and library occupations (+107,900); healthcare
practitioners and technical occupations (+79,900); healthcare support occupations (+68,100); sales
and related occupations (+67,500); food preparation and serving related occupations (+66,400);
construction and extraction occupations (64,900); personal care and service occupations (+64,500);
and management occupations (+53,400). Only two major occupational groups are expected to lose
jobs over the 10-year period, those being production occupations (-33,600) and office and
administrative support occupations (-20,600). These are expected to decline as manufacturing
continues to increase productivity and replace workers with labor-saving capital expenditures and
industries continue to move toward jobs requiring high tech skills.
C. In what industries and occupations is there a demand for skilled workers and available jobs, both
today and projected over the next decade? In what numbers?
Demographic changes, especially the aging of the population, will significantly impact industries and
occupations in demand. As the number of older New Yorkers continues to grow, the most
overwhelming demand will be in the number of health care workers. In the next 15 years, New
Yorkers age 55-64 are expected to grow by over 500,000, while those 65 and older will increase by
704,000. In contrast, the core working-age population, 35-54 years old, is expected to decline by
630,000. As a result, nearly all the occupation groups identified earlier are involved with providing
health care or social services related support to the aging population. The variety of health-related
occupations identified, including professional and technical health practitioners, health care support,
direct care social services occupations, and personal care service occupations, all require specialized
training and skills. (See the table entitled “Occupational Projections, New York State, 2002-2012”
that follows.)
A variety of manufacturing and professional business services industries have indicated a critical
demand for skilled workers in the fields of business finance, computer, math, and engineering.
Employer Needs Surveys conducted for LWIBs throughout the State repeatedly identified skills in
demand, including: information technology skills upgrading for incumbent workers, as well as
demand for industry-specific skills in machine trades, process engineering, precision measurement
and gauging, technical process control, and environmental and water chemistry technology. Although
manufacturing employment as a whole is projected to continue to decline, specific high technology
industries are projected to grow and develop, including: biomedical, chemical, bioinformatics,
infotonics, and nanoelectronics. In order to maintain, and grow these industries, New York’s
Workforce System will need to attract and continually train highly skilled and educated engineers,
mathematicians, and scientists as well as related technical and support staff.
Construction is one of the few non-health-related categories expected to have a large number of
available jobs. Skilled tradesmen, including carpenters, stonemasons, electricians, and sheet metal
workers will continue to be in demand. While apprenticeships exist in the skill trades, employers are
experiencing difficulty in recruiting in these trades. Businesses have reported that apprenticeship
programs have trouble attracting enrollees and only a small portion of potential enrollees have the
required employability skills to successfully complete the training.
New York State Plan
15
Population trends are also expected to affect the need for workers in education and related
occupations, as teachers retire and members of Generation Y (those born from 1982 to 2001) move
through the educational system. Strong growth is projected for educational workers, as the
population aged 25-34 is expected to grow by over 200,000 in the next 15 years. This growing group
(now 10-19 years old) will require many more teachers, professors and college-level instructors, not
only because of their large numbers, but also because of the pending retirement of Baby Boomers
currently in those positions.
Occupational Projections
New York State
2002-2012
Occupational Group
Total, All Occupations
Management Occupations
Business and Financial Operations Occupations
Computer and Mathematical Occupations
Architecture and Engineering Occupations
Life, Physical, and Social Science Occupations
Community and Social Services Occupations
Legal Occupations
Education, Training, and Library Occupations
Arts, Design, Entertainment, Sports, and Media Occup.
Healthcare Practitioners and Technical Occupations
Healthcare Support Occupations
Protective Service Occupations
Food Preparation and Serving Related Occupations
Building/Grounds Cleaning and Maintenance Occup.
Personal Care and Service Occupations
Sales and Related Occupations
Office and Administrative Support Occupations
Farming, Fishing, and Forestry Occupations
Construction and Extraction Occupations
Installation, Maintenance, and Repair Occupations
Production Occupations
Transportation and Material Moving Occupations
Source: NYSDOL Division of Research and Statistics
2002
9,105,600
464,130
372,430
187,160
118,620
74,340
161,830
119,970
702,070
217,510
448,160
289,410
267,210
543,800
356,970
364,390
941,850
1,725,570
61,830
366,000
333,450
498,440
490,470
2012
9,892,450
517,570
415,080
226,080
120,590
81,690
193,130
132,460
810,010
237,150
528,020
357,480
300,290
610,240
390,110
428,850
1,009,310
1,704,970
68,330
430,890
363,960
464,880
501,370
Change
Net
Percent
786,850
8.6
53,440
11.5
42,650
11.5
38,920
20.8
1,970
1.7
7,350
9.9
31,300
19.3
12,490
10.4
107,940
15.4
19,640
9.0
79,860
17.8
68,070
23.5
33,080
12.4
66,440
12.2
33,140
9.3
64,460
17.7
67,460
7.2
-20,600
-1.2
6,500
10.5
64,890
17.7
30,510
9.1
-33,560
-6.7
10,900
2.2
D. What jobs/occupations are most critical to the State’s economy?
In his State of the State address, Governor Pataki highlighted a number of new and emerging
industries targeted for economic development in New York State. In order to accomplish this, the
State has funded five Centers of Excellence. These investments will bolster high tech job
development in bioinformatics, environmental systems, infotonics, nanotechnology, wireless Internet,
and information technology. While much of the growth in these sectors will require highly educated,
highly skilled employees, they will also require many highly trained technicians and support staff. The
statewide Workforce Development System will deliver training for such staff in vocational and
technical fields through BOCES and community college networks. Community colleges and BOCES
need to continue to work with the business community to keep abreast of skill needs, in order to
develop up-to-date curricula.
New York State Plan
16
Aside from the job opportunities that will be made available by emerging industries, job growth is
expected in other sectors and will be driven by demographic and labor force trends. In order to meet
the growing health care needs of New York’s aging population, health care practitioners and technical
occupations, as well as health care support occupations, will be in great demand over the next
decade. Meeting this need will be crucial in maintaining a high-quality lifestyle for the State’s
workforce and population. Failure to meet the demand for skilled health care workers will result not
only in a critical shortage of services to the State’s citizens, but also limit our ability to retain, grow
and attract firms in New York State.
Despite its long-term decline, manufacturing continues to play a critical role in the State’s economy,
and continues to provide high skill, high paying jobs. Not only have shortages been reported in a
number of highly skilled manufacturing occupations, but the workforce in many such critical
occupations is fast approaching retirement age. Tool and die makers, machinists, numerical control
machine operators, to name a few, are reported to be in demand now and these shortages are
expected to grow. In order to compete in the global economy virtually all manufacturing firms now
require workers trained in high quality, world class manufacturing processes.
The Empire State Development Corp., the economic development arm of New York State
government, has identified 16 industry clusters (groups of related industries) targeted for growth and
retention efforts. These clusters are crucial to the State’s economy and its labor markets, and in
many cases, are industries in which New York State has a natural advantage. These high tech
clusters are expected to play a major role in the future economic expansion in New York State.
Among the clusters identified are several that fall into or are related to the high tech categories
mentioned in the State Vision, Section I. The biomedical cluster includes drug and chemical and
medical equipment manufacturing as well as laboratories and research. The Center for
Bioinformatics in Buffalo was created to give extra impetus in these fields. The Center for Infotonics
in Rochester was created to support an already growing electronics and imaging cluster. The Center
for Nanoelectronics in Albany was funded to provide labs and clean room space for research; provide
incubator space for high tech spin-off firms; and create a workforce development program.
SEMATECH North, a consortium of private high tech firms also located at the University at Albany, is
working to develop the technology that will be used to create the next generation 300-millimeter
computer chip. The Center for Environmental Systems in Syracuse was founded to concentrate on
indoor environments, including indoor air quality, comfort, lighting, acoustics, and intelligent controls.
The Center for Wireless Internet and Information Technology at Stony Brook will concentrate on large
scale computer data mining for genomics, Internet applications and wireless telecommunications.
This Center will conduct research and spin-off firms that will eventually grow the communications,
software, and media services cluster of industries.
The following table shows the 16 clusters identified and examples of typical occupations found in the
cluster.
New York State Plan
17
Cluster/Subcluster*
Back Office & Outsourcing
Biomedical
Drug and Chemical Manufacturing
Medical Equipment and Supplies
Laboratories and Research
Communications, Software & Media Services
Printing
Publishing
Motion Picture and Sound Recording
Industries
Broadcasting and Telecommunications
Distribution
Wholesale Durables
Wholesale Non-Durables
Wholesale (Non-Industry Specific)
Air Freight
Water and Rail Freight
Trucking
Multimodal Freight
Warehousing
Logistics Management
Electronics and Imaging
Electronics
Imaging
Fashion, Apparel & Textiles
Textile Mills
Apparel Manufacturing
Leather Goods & Footwear
Jewelry and Miscellaneous
Apparel Wholesale
Occupations (Examples)
Clerk, receptionist, secretary, bill collector,
telemarketer, customer service representative
Chemist, packaging machine operator,
technicians, mixing & blending, machine
operator, inspector, tester, engineers
Printing machine operator, editor, advertising
sales agent, news analyst, reporter, film & video
editor, broadcast technician, telecommunications
equipment installer
Sales representative,-wholesale and
manufacturing, truck drivers, laborer and
material mover, customer service representative
Electronic equipment assembler, inspectors and
testers, technician; electronics engineer
Sales representative, sewing machine operators,
fashion designer, jewelers
Financial Services
Banking and Credit
Securities, Commodities and Investments
Insurance
Funds and Trusts
Bank Holding Companies
Financial services sale agent, teller, loan officer,
brokerage clerk, insurance agent, customer
service representative
Food Processing
Crop Production and Dairy
Food Manufacturing
Beverage Manufacturing
Forest Products
Forestry and Logging
Forest Product Manufacturing
Paper Manufacturing
Furniture Manufacturing
Packers and packagers, butchers, trucker
drivers, food processing, machine operators
New York State Plan
Laborers, truck drivers, paper goods machine
operators,
cabinet makers, material handlers
18
Cluster/Subcluster*
Occupations (Examples)
Front Office & Producer Services
Environmental Services
Business Services
Headquarters
Organizations
Industrial Machinery and Services
Fabricated Metal
Machinery Manufacturing
Instruments
Electrical Equipment Manufacturing
Information Technology Services
Architect, graphic designer, management
analyst, lawyer, public relations specialist
Materials Processing
Chemicals
Plastics and Rubber
Stone, Clay, Glass and Concrete
Primary Metals
Petroleum Products
Truck driver, chemical equipment operator, metal
machine operators, material handlers,
maintenance and repair workers
Welder, broiler, machinist, machine tool operator,
assembler
Computer programmer, systems analyst,
systems engineer
Miscellaneous Manufacturing
Travel agent, bookkeepers, general office clerk
Travel and Tourism
Travel Retail
Passenger Transportation
Culture, Recreation and Amusements
Truck drivers, transportation equipment operator,
Transportation Equipment
Motor Vehicles
railroad conductors
Aerospace
Railroads and Other
*NOTE: Clusters defined by Empire State Development Corp.
The types of jobs required to keep this diverse set of clusters growing are wide-ranging. Beside the
computer, mathematical and engineering occupations needed to power the high tech clusters, and
the varied set of occupations that manufacturing industries will need, the tourism and related
industries will need many workers. Even though some of these jobs do not appear at first glance to
be very specialized, they do require “soft skills,” such as effectively dealing with people, and work
readiness. These jobs often are the first jobs that many new entrants, including youth, take as they
enter into the labor force. Therefore, they provide an important port of entry into the labor market.
Jobs such as servers, food preparers, hotel service staff, and at amusement and recreation sites
often teach young workers their first lessons concerning the world of work and serve as a stepping
stone to other jobs with increasing levels of responsibility.
E. What are the skill needs for the available, critical and projected jobs?
New York State has many current entry level jobs in the health-related industries and the trade and
tourism sectors; nearly all require workers with basic employability skills. Through numerous surveys,
employers have identified significant skill deficiencies of available workers including communications,
decision-making, and work readiness skills. These deficiencies are being addressed through the
SWIB’s involvement in guiding the development of the Equipped for the Future Work Readiness
Credential. Employability skills deficiencies are the most often reported need identified in our surveys
of businesses. In order to maintain a strong industry and employment base, we must prepare
emerging workers with the work readiness skills required in today’s work place.
New York State Plan
19
A number of industries need smaller numbers of highly skilled workers in specific critical occupations.
These jobs are frequently reported in areas such as advanced manufacturing, high technology, and
professional and business services industries. They usually require high levels of job-specific skill
that are unique to the business in which they are employed. Reported examples include: computer
controlled manufacturing equipment operators, nanoelectronic manufacturing technicians, biomedical
and chemical technologists, and chip fab manufacturing technicians.
The State’s network of local Labor Market Analysts have assisted LWIBs in conducting skills needs
surveys of local businesses. Even though this was not a statewide sample, some interesting findings
were noted in assessing skill shortages. Of the 20,000 businesses surveyed, approximately one-third
reported worker deficiencies in some general work readiness and management skills. Smaller
numbers reported deficiencies in critical technical and computer skills. A complete summary of skills
needs information collected through these surveys is detailed below.
Skills Category
General Skills
Basic grammar, punctuation, spelling, math
English as a second language
Interpersonal/verbal communications
Other (specify)
Problem-solving/decision-making
Self-directed work teams
Team building
Workforce diversity
Workplace ethics
Workplace preparedness
Written communications
Management and Supervisory Skills
Coaching/counseling
Conducting employee appraisals
Conducting meetings
Effective supervisory skills
Employee motivation
Facilitating groups
Other (specify)
Problem-solving/decision-making
Team/leadership development
Train-the-trainer
Business Growth Skills
International trade (export/import)
ISO Certification
Other (specify)
Quality Improvement Teams
Statistical Process Control (SPC)
Total Quality Management (TQM)
Zenger-Miller (TQM)
Technical Skills
Blueprint reading
Cell design
New York State Plan
Percent
18.6%
3.0%
30.9%
3.6%
35.1%
18.7%
27.6%
9.6%
28.9%
27.2%
19.3%
15.7%
17.0%
10.5%
29.7%
37.1%
8.1%
1.0%
36.0%
29.8%
12.3%
1.6%
2.3%
0.8%
7.1%
2.2%
16.4%
1.4%
12.4%
0.7%
20
Design failure mode analysis
Design for manufacturing assembly
Electrical technology
Electronic soldering/assembly
Electronics
Flow manufacturing fundamentals
Geometric dimensioning and tolerancing
HVAC
Machine operation (specify)
Machinist training (CNC)
Micrometer reading
Other (specify)
Precision measurement and gauging
Process failure mode analysis
Programmable logic controllers
Root cause analysis
Shop math
Statistical Process Control (SPC)
Computer Skills
Auto CAD
C/C++
Database skills
Desktop publishing
HTML
Java
Lotus Notes
Microsoft Office software
Other (specify)
Pascal
Programming languages
Spreadsheets
Visual Basic
Web design
Windows
Environmental Skills/Certification
Confined space standard
Fall protection
Grade C/B water operator
Hazardous materials/pollution prevention
HazMat
HazWoper
Landfill operator
Lockout, tagout
Other (specify)
QS9000
Right-to-Know
Wastewater treatment plant operator certificate
Water chemistry lab procedures
New York State Plan
1.0%
1.5%
0.5%
2.4%
0.3%
2.1%
1.9%
0.4%
4.9%
1.9%
3.0%
4.8%
4.9%
1.5%
0.2%
0.3%
8.1%
0.2%
4.1%
1.0%
6.5%
2.2%
4.3%
1.5%
2.3%
32.9%
4.6%
0.7%
1.8%
6.0%
1.7%
2.6%
29.8%
4.5%
7.5%
1.1%
11.8%
9.0%
1.6%
1.2%
7.4%
0.9%
0.6%
7.4%
1.9%
0.9%
21
Projected shortages of professional and technical health services workers, as well as shortages of
teachers and professors, and skilled tradesmen, will require extended formal education or vocational
skills training. Shortages have been reported for registered nurses, licensed practical nurses, and a
variety of health technician and technology jobs in the health-care sector. In the educational sector,
teachers and college professors in a variety of disciplines are projected to have significant shortages
in the future.
F. What are the current and projected demographics of the available labor pool (including the incumbent
workforce) both now and over the next decade?
The graphic entitled “Projected Change in Working Age Population (ages 16-64), New York State,
2005-2020” was the basis for much of the discussion thus far in Section IV. The changes in the
working age population over the next 15 years will affect the industries, occupations and skills in
demand over that period by not only creating a need for replacements as this group retires, but to
address the health care, housing, and leisure and related needs of the group as it ages. New York’s
working age population (ages 16-64) is expected to grow by only 40,000 over the next 15 years. The
State’s core working-age population (ages 35-54) is projected to decline by more than 600,000. As
Baby Boomers move out of the labor force in greater numbers, there will be insufficient numbers of
core working age individuals to replace them.
These population changes will require New York State to mount a focused effort to attract and train
increased numbers of individuals who traditionally have had low labor force participation rates. This
will require the Workforce Development System to continue special efforts in the areas of literacy,
special accommodation in the work place, flexible work hours, and skill upgrades.
The number of minorities in the New York State labor force grew dramatically between 1993 and
2003. New York City has historically been, and continues to be, a center of international immigration
and port-of-entry for many people, and as such has been one of the contributing factors to the
increase in the minority population. The number of Hispanics in the labor force statewide grew 71%
over the decade, while the number of blacks increased by 22% compared with only 5% growth
New York State Plan
22
among whites (see table below.) Of the population five years and older in 2000, nearly 5,000,000, or
28% of the State’s population, (all of whom will be in our future labor force by the year 2010) spoke a
language other than English at home. These people are concentrated in New York City where nearly
half (47%) do not speak English at home.
Not only do we need to draw a greater share of our population into the labor force, in order to replace
the aging Baby Boomers, but we need to prepare dislocated workers to take some of those jobs.
Workers entering the ranks of the unemployed as a result of dislocation (plant closings or mass
layoffs) from other jobs often may not be fully prepared for many of the new jobs available. A review
of New York workers recently unemployed due to large layoffs showed that 65% had a high school
education or less. However, only 25% of the high-wage, high-demand jobs of the future will be
available to those with a high school education or less. The system will need to be able to provide
skill upgrading and basic and post-secondary training opportunities to many dislocated workers to
allow them to successfully compete in today’s labor market.
G. Is the State experiencing any “in migration” or “out migration” of workers that impact the labor pool?
A review of Current Population Survey data shows that relatively small net numbers of young,
educated workers are leaving the State; small enough not to be statistically significant. However, this
may vary among regions of the State.
As discussed, immigration is an important factor in the State, especially in New York City and it brings
with it the task of preparing a diverse group for the workforce. Many do not speak English, while
others need additional education or training to compete successfully in the labor force. The
Workforce Development System in New York State must be able to address the unique needs of this
group.
H. Based on an analysis of both the projected demand for skills and the available and projected labor
pool, what skill gaps is the State experiencing today and what skill gaps are projected over the next
decade?
The table below details some of the occupations in New York State experiencing skill gaps, along
with the industries in which they are most commonly found and the skills required to perform in those
occupations.
Industry
Healthcare
Manufacturing,
Information
Technology,
Finance,
Communications
Manufacturing,
Information
Technology,
Finance,
Communications
New York State Plan
Occupations
Skills
Comments
Healthcare practitioners
(including technicians,
technologists, reading,
equipment maintenance,
therapists, nurses,
doctors, dentists, and
pharmacists)
Information Technology
professionals
Science, judgment, critical
thinking, troubleshooting,
Half of openings will
be due to growth
Math, science,
programming,
troubleshooting, learning,
speaking
8 of 10 openings will
be due to growth
Engineers
Math and science, critical
thinking, listening,
learning, writing,
monitoring, reading,
quality control, problem
solving
1,400 openings per
year
23
Education
Teachers
Manufacturing
Machinists, tool and die
makers
I.
Instructing, speaking,
listening, writing,
perceptiveness, subject
knowledge
Math, equipment
operation, troubleshooting,
reading, quality control
analysts, blue print
reading, equipment repair
Need to replace
retirees
Machinists – 400
openings per year,
tool and die makers –
100 openings per
year
Based on an analysis of the economy and the labor market, what workforce development issues has
the State identified?
Although many issues can be identified through the analysis of data, the following represent those
which reflect opportunities for collaborative system solutions in support of the economic growth of
New York State:





J.
The need to increase labor force participation rates and accessibility for training to increase the
skills of the workforce in high demand areas.
The need to increase the levels of literacy to develop a 21st Century knowledge workforce.
(Increased availability and access to training, that contextualizes English as a Second Language
for the workplace, will be key to better assimilating our immigrant population and meeting the
workforce needs of our businesses.)
The need for mature worker retention strategies and younger worker attraction strategies in our
Upstate regions, where population growth is not keeping pace with workforce needs.
An increased attention to aligning economic and labor market needs with the K-12 curriculum to
increase the understanding of local economies and the critical role education plays in keeping
those economies vibrant.
A heightened focus on ensuring that New York’s civilian labor force has access to the tools
needed to assess and understand their skills (and skill gaps) in relation to the local and regional
economies.
What workforce development issues has the State prioritized as being most critical to its economic
health and growth?
During the next several years, the State will focus on the following critical issues: increasing the
levels of literacy in its workforce; developing worker attraction and retention strategies; and
developing tools to empower workers to better understand their skills and skill gaps in relation to their
local and regional economies.
V. Overarching State Strategies
A. Identify how the State will use WIA Title I funds to leverage other Federal, State, local, and private
resources in order to maximize the effectiveness of such resources and to expand the participation of
business, employees, and individuals in the Statewide workforce investment system? [§112(b)(10)]
New York State will continue its efforts to leverage and maximize available federal, State, local and
private resources by collaborating with local public and private employment and training entities and
human resource agencies, such as Community Based Organizations. Further integration of partner
program services in the State’s One-Stop system will be encouraged to reduce duplication of service
structures, allowing more resources to be freed-up to expand the participation of individuals and
businesses in the One-Stop system.
New York State Plan
24
Local Boards, which are comprised of leaders from many differing agencies, organizations and
companies, have the ability to leverage multiple resources in each community, for the purpose of
building strong workforce development systems. In some instances, this may ensure that services
are not duplicated at the local level. In other situations, it may further expand the impact of resources
that currently exist in a community. With further coordination of services and more opportunities for
co-location of staff, additional funding from the required and optional partners is leveraged to enhance
services to customers and increase the overall participation of individuals and businesses in the
system. In this environment, administrative costs are shared, resulting in less duplication and more
efficient utilization of all partners’ funding. WIA Title I funds can be concentrated on providing
traditional employment and training activities (with an even greater emphasis on intensive and
training services), while partner resources might be utilized to support more of the core and
supportive services provided through the system. As services are streamlined, the opportunities for
grants from private resources, foundations and fee-for-service will be greatly increased.
New York has, and intends to continue to, aggressively leverage resources with private entities
through incumbent worker training opportunities. For example, the Strategic Training Alliance
Partnership (STRAP) program has awarded nearly $23 million to upgrade the skills of over 30,000
workers. This innovative effort has also leveraged over $29 million in matching funds from the
awarded businesses to support employee training. The Building Skills in New York State (BUSINYS)
initiative has awarded over $42 million to train approximately 46,000 workers, while requiring that all
trainees be compensated at their normal wage rate during instruction. This significant investment by
the awarded businesses is another excellent example of leveraged private resources. Funding to
provide incumbent worker training will continue to be maximized as both private and public dollars will
be contributed to support incumbent worker training.
B. What strategies are in place to address the national strategic direction discussed in Part I of this
guidance, the Governor’s priorities, and the workforce development issues identified through the
analysis of the State’s economy and labor market? [§§112(b)(4)(D) and112(a)]
Many of the priorities set forth in the national strategic direction are already part of New York’s
approach toward addressing workforce development issues and implementing WIA within the State.
From the inception of WIA, and even before then, New York has sought to develop a workforce
system that is demand-side driven, based on the needs of our employers. In order for LWIBs and
local One-Stop systems to be truly effective in aligning service structures and resources to meet the
needs of local employers, the Governor and State Board determined it was necessary to provide
maximum flexibility to our LWIAs, with regard to their policy development and service structures. At
the same time, at the State level, we have continued to convene partners and stakeholders to identify
ways to improve collaboration, merge common missions, where applicable, and provide leadership to
local areas as they seek to further integrate the vast array of available employment, training, and
support services.
New York State has incorporated the national strategic direction, Governor’s priorities and issues
related to the State’s economy and labor market into our local strategic planning process, which
seeks to bring together all influential business, education, workforce and human service stakeholders
to identify key local workforce issues and develop strategies that address local concerns. New York
State’s recently released Local Planning Guidance fosters this locally driven strategic planning
process by requiring LWIBs to: identify key workforce issues, strategies adopted by the partnership to
address those issues, roles of the partners, established goals towards addressing the issues, and the
manner in which outcomes will be measured and evaluated. Our planning guidance also requires
LWIBs to identify how the vast array of resources and services comprising their local workforce
systems, as well as the policies established for each system, align with national and State priorities.
More specifically, the State’s local planning guidelines requires Local Boards to: identify infrastructure
costs within their system (with an aim towards eliminating duplicative costs), describe how the Local
Board will foster greater coordination and integration of One-Stop services, describe opportunities to
New York State Plan
25
utilize freed-up resources to expand training opportunities, describe how the Local Board will expand
the focus of youth services for out-of-school youth populations, and provide information on how the
Local Board is capturing and analyzing baseline data in preparation for the new common measures.
Each of these requirements addresses strategic directions established by USDOL.
The Governor’s priorities, as outlined in Section 1: State Vision, also reflect the economic and labor
market realities currently impacting New York State. The Governor and State Board have continued
to strategically target State-level WIA funds towards addressing priority economic and labor market
issues. These resources have been, and will continue to be, used to address training needs in key
existing and emerging industries, such as advanced manufacturing, biotechnology and information
technology. Funds are also used to support the retraining, skills upgrading and lifelong learning
necessitated by an ever changing workplace, where flexibility and broad skills are essential to
continued employability and career advancement. The State has also used, and will continue to use,
State-level funds to incentivize Local Boards to engage in vital activities, such as local strategic
planning and mapping career ladders around key industry sectors.
In an effort to address one of the key workforce issues impacting the State’s labor market, New York
has entered into a multi-state/business partnership to create an Equipped for the Future Work
Readiness Credential, which will certify that emerging workers have the knowledge, skills and abilities
to succeed in entry level work in the 21st Century workplace. This is an outgrowth of a previous State
Board initiative (Assessing Local Skills Shortages), which identified that one of the greatest needs of
local businesses is work ready individuals, who possess the basic skills and knowledge needed to
perform entry level work. Through the active engagement of the SWIB’s Skill Standards and
Assessments and Emerging Worker Subcommittees, it is anticipated that this initiative will offer
New York businesses a critical tool, which they have requested, to augment existing hiring practices.
C. Based on the State’s economic and labor market analysis, what strategies has the State implemented
or plans to implement to target industries and occupations within the State that are high-growth, highdemand, and vital to the State’s economy? [§§112(a) and 112(b)(4)(A)] The State may want to
consider:
1.
2.
3.
4.
Industries projected to add a substantial number of new jobs to the economy; or
Industries that have a significant impact on the overall economy; or
Industries that impact the growth of other industries; or
Industries that are being transformed by technology and innovation that require new skill sets for
workers; or
5. Industries that new and emerging and are expected to grow.
New York is focusing its economic development strategies on Centers of Excellence, which are hightech research centers devoted to critical emerging technologies that are anticipated to become
economic and employment growth areas. These Centers of Excellence, several of which are located
on SUNY campuses, are already creating job growth opportunities across New York, which are
anticipated to expand further as these new technologies become more commercially profitable.
New York will continue to target resources and workforce policies toward meeting the employment
and training needs of businesses that are engaged in developing products and services from these
emerging technologies. Alignment around the State’s economic development objectives will help
guide local partnerships in identifying objectives and strategies to meet the workforce development
needs of various labor markets.
New York’s continued support of regional strategic planning and career ladder mapping linked to
these emerging technologies is vital to ensure that local workforce systems align with the changing
skills needs and training requirements that are likely to arise from employment opportunities in these
new technological fields. Continued State investments in career mapping and career ladder
strategies will further help to ensure that all the relevant players, including education, workforce and
business are part of the long-term answer to addressing the State’s key workforce needs.
New York State Plan
26
In support of career ladder mapping strategies, NYSDOL, on behalf of the SWIB, competitively
created a list of highly qualified consultant organizations in late PY 2002 to assist LWIAs in mapping
career ladders in key industry sectors. Based on requests for assistance for proposed projects from
Local Boards, assignments for consulting services are developed and subsequently awarded. Key
projects funded through this process, which are currently underway or completed, are outlined below
by local area and industry sector:

Finger Lakes - Consulting services from Syracuse University analyzed selected occupations in
the Photonics and Bio-Tech Industries to develop a schematic of career ladders using the
WorkKeys system.

Greater Capital Region - The Workforce Strategy Center developed long-term career ladder
models around three diverse clusters (medical manufacturing, animal husbandry, laboratory
technician) of the broader bio-technology industry.

Long Island Region - The Aerospace and Defense Diversification Alliance in Peacetime
Transition (ADDAPT) and the SUNY Research Foundation at Stony Brook identified and worked
with transportation, manufacturing and information technology companies in the Aerospace
Industry to develop career ladders, as well as plans to address the curriculum and training needs
resulting from this process

Long Island Region - Consultants at the Workforce Strategy Center developed career ladders
within the Life Sciences Industry, broadly defined to include the pharmaceutical, biotechnology,
medical device and life systems technology (nutriceutical, cosmeceutical) sectors, for technical
positions in research and development, laboratory staffing and management, regulatory affairs,
quality control and quality assurance.
In addition, SUNY has also engaged in innovative workforce skill enhancement projects. Below are
three examples:

Onondaga Community College (Lean Manufacturing) - The Onondaga Community College Lean
Manufacturing Institute (LMI) was formed as a collaborative effort between County government,
the manufacturing/business community and higher education to ensure that the skills of the local
workforce in Central New York can meet or exceed the demands of today’s competitive global
marketplace. The LMI offers the manufacturing core of Onondaga County the opportunity and
ability to remain on the cutting edge of innovation in manufacturing processes through training
and educating students and incumbent workers on state-of-the-art equipment and in state-of-theart lean methods. The LMI also provides manufacturing enterprises a venue for testing new
equipment, demonstrating new techniques, and studying technology transfer options. It is a
showplace for conducting industry training seminars and conferences.

Monroe Community College (Automotive) - Monroe Community College’s Automotive Technology
associate’s degree program combines on-the-job training with classroom instruction to prepare
students for careers as automotive technicians. All students enrolled in MCC’s automotive
technologies program complete hands-on training in the field. Working with its industry partners,
the college incorporates satellite uplinks and web-based diagnostic tools from manufacturers,
thereby ensuring that students learn the most relevant and up-to-date information available.
MCC’s Lexus/Toyota Automotive Technician Training has twice been named one of the top five
training programs in the country by Toyota Motor Sales, USA Inc. MCC is NATEF (National
Automotive Technicians Education Foundation Inc.) certified and its automotive technology
instructors are fluent in defining the career ladders and corresponding competency models.
MCC’s Office of Workforce Development has also been successful in delivering training in a
variety of specialized topics customized to the needs of the automotive service community.

Cayuga Community College (Geospatial) - The NASA-sponsored Institute for the Application of
Geospatial Technology at Cayuga Community College (IAGT) is a non-profit organization
New York State Plan
27
dedicated to accelerating the application of geospatial technology including remote sensing, the
Global Positioning System (GPS), and computerized Geographic Information Systems (GIS) –
across government, education, and commercial sectors. Working together, IAGT and the
associate degree program in GIS at Cayuga Community College provide career ladder training
and practical intern experience to those pursuing the knowledge necessary to enter the
workforce, to those seeking to upgrade skill levels, and to those who desire the education
required to assume new jobs. In tandem with the county’s Cayuga Works Career Center (local
WIB/One Stop), the IAGT and the College have submitted a grant proposal to fund the creation of
a GIS credential program featuring on-the-job training, classroom experience, and service
learning.
Additional assignments will be made as project proposals are developed by Local Board-led
partnerships and submitted for consideration. New York State anticipates that this valuable service
will continue to expand as the needs of key industry sectors and emerging industries are incorporated
into the Local Board-led strategic planning process that is currently underway in communities across
the State. Local boards will be able to use these career maps to help align workforce system
services and policies, as well as influence curriculum development in the educational system and the
types of training offerings available from service providers.
D. What strategies are in place to promote and develop ongoing and sustained strategic partnerships
that include business and industry, economic development, the workforce system, and education
partners (K-12, community colleges, and others) for the purpose of continuously identifying workforce
challenges and developing solutions to targeted industries’ workforce challenges? [§112(b)(8)]
The major strategy undertaken by New York to promote and develop ongoing and sustained strategic
partnerships that include business and industry, economic development, the public workforce system
and education partners (including community colleges), for the purpose of continually identifying
workforce challenges and developing solutions to those challenges, has been the initiation of a local
strategic planning process.
At the beginning of PY 2003, 28 Local Boards were provided $2.8 million of WIA Statewide Activities
funds to define and organize local community workforce functions through the local strategic planning
process. By design, the process required strong community engagement and permitted LWIBs
sufficient time to undertake focused analysis for successful alignment. Local Boards are reporting
many positive impacts from their strategic planning process including:






increased respect from their economic development partners;
increased awareness on key issues and providing for a board role in those key issues;
clearer sense of focus;
development of common goals for regional planning beyond the LWIA’s boundaries;
stronger engagement from the K-12 education system partners; and
an opportunity to develop new partnerships and a broader “interested party” pool to assist the
Board in issue identification and carrying out its mission.
Local Boards are also reporting key workforce issues emerging from this strategic planning process,
which will provide both opportunity and challenge to the State and Local Boards as we seek to
identify goals and strategies to address regional issues. The Governor and the State Board are
supporting and assisting Local Boards around these human resources challenges:





population issues (including an aging workforce and out-migration of our young people);
entry level skill issues (including literacy, foundational math and science skills);
changing nature of work (including assisting individuals make the transition from larger
organizations to smaller companies);
strengthening the education-workforce connection;
defining the labor and skill shortage in terms other than the unemployment rate.
New York State Plan
28
Some examples of local strategic planning efforts include the following:

In the Greater Capital Region, where four LWIBs have come together to identify and address
common workforce issues, strategic planning efforts have led to regional initiatives, such as
career mapping, development of industry-specific training programs, and “soft skills” programs for
emerging workers to address the needs articulated by businesses in the region.

The Chenango/Delaware/Otsego LWIA identified population shifts as one of the key factors that
have lead to a decline in the available workforce. To address this issue, the partnership
developed, through their strategic planning process, a plan to develop stronger communication
links with local colleges, universities, community colleges, and high schools about available local
job opportunities for graduates, including an internship web-site that connects college students
and local businesses.

In Chautauqua, where over 425 local business, community and education leaders have
participated in their local strategic planning process, efforts have led to the development of a
WORK 101 model in response to concerns raised about the educational system and the lack of
entry level employees with work ethics and basic skills. The program incorporates hands-on
integrative education with work based learning in three priority industries (manufacturing, health
care and tourism) for older youth, including high school graduates, who do not demonstrate work
readiness skills.

In Oswego, four key target industry clusters were identified as critical to the future growth of the
county’s economy and workforce: energy, manufacturing, health care, and hospitality/leisure. It
was determined that overcoming human resource challenges, including flexible workforce,
workforce retention/attraction, skills development (particularly in science and math), aging
workforce, and rapid advances in technology, was critical to developing these industries.
Oswego will also focus on attracting “knowledge workers” by expanding its economy in four
areas: financial services, professional services, innovative technology, and travel and
entertainment.

Monroe County identified key challenges including: an overall growth rate that lags behind the
rest of the State and nation, significant loss of the key aged 20-34 labor force component, and a
significant number of underemployed residents. Some of the recommendations that were
developed out of this strategic planning process include: focusing economic development efforts
toward transitioning to a more diversified economy, creating a community image of a dynamic
technical and innovation center, retaining college graduates and expanding college recruiting,
and targeting seminars and training programs for dislocated workers (particularly those from
larger companies) that emphasize adapting their skills to smaller, more flexible operations.

New York City’s (NYC) strategic planning process has led to the development of five major
strategies to help strengthen the City’s workforce investment system. Strategies include:
aligning the City’s One-Stop system with workforce needs; strengthening the training system;
promoting education, life skills development, youth employment and connecting NYC youth to
careers in key industries; initiating targeted sector-based activities with an initial focus on the
health care/biotechnology and hospitality and tourism sectors; and researching options to create
an information clearinghouse for all NYC workforce information.
In addition to the above, the State has also used its Statewide Activities funding to foster relationships
among the various components of the Workforce Development System. Some examples of these
ongoing efforts to promote, develop and sustain partnerships include:

Accelerate New York - The State awarded 26 contracts totaling $1,692,837 to aid 317 small- and
medium-sized businesses to develop, update or modify their Strategic Business Plans and
New York State Plan
29
identify and prioritize their related staff training needs. Qualified organizations worked in
conjunction with their respective LWIBs to identify industry sectors critical to the local economy
and businesses within those sectors that would benefit from such help.

Capacity Building/Workforce Development Assistance - The State awarded $980,000 to
organizations to aid in capacity building for workforce development professionals; made $450,000
available to secure consultants to provide statewide training to these individuals; and increased
the pool of consultants to provide statewide technical assistance, training and capacity building to
workforce development professionals.
E. What State strategies are in place to ensure that sufficient system resources are being spent to
support training of individuals in high-growth/high-demand industries? [§§112(b)(17)(A)(i) and
112(b)(4)(A).]
As part of its monitoring function of Local Board and local One-Stop systems, New York State reviews
expenditure data and local policies to insure that system resources are being used to address the
needs of high-growth/high-demand industries. In the course of their monitoring, Field Staff from the
Department routinely examine local training policies including: types of course offerings included on
or notably missing from Eligible Training Provider lists, Individual Training Account policies, and
Customized Training and OJT policies. Staff will monitor to insure these policies are in alignment with
identified local demand occupations. Staff will further examine the level of training expenditures
being made, number of individuals being placed into training, types of training individuals are being
placed into and outcomes related to the training, to insure that these are reasonable and in alignment
with identified local demand occupations. Areas of concern that arise out of these reviews are
addressed through technical assistance and, if necessary, implementation of corrective action plans.
At the State level, a significant portion of the resources from the Governor’s set-aside for Statewide
Activities is targeted towards meeting training needs, including incumbent worker training for
individuals in high-growth/high-demand industries. Competitive procurements are targeted towards
businesses in specific high-growth/high-demand industries (such as manufacturing, information
technology, biotechnology, etc.) with identified training needs. The Governor and State Board will
continue to evaluate available economic and workforce data to identify high-growth/high-demand
industries and target available resources accordingly.
F. What workforce strategies does the State have to support the creation, sustainability, and growth of
small businesses and support for the workforce needs of small businesses as part of the State’s
economic strategy? [§§112(b)(4)(A) and 112(b)(17)(A)(i)]
Creation, growth and sustainability efforts for small businesses are coordinated through New York’s
economic development agencies, at the State and regional levels. Additionally, extensive support is
provided through Small Business Development Centers, strategically affiliated as part of the State
University of New York system.
As small businesses represent the largest share of New York’s employers, one of the State’s primary
workforce strategies focuses on ensuring that small companies have access to incumbent worker
training funds to sustain and grow their businesses. As an example, the Skilled Manufacturing
Resource Training (SMART) 100 grants provided nearly $5 million to small manufacturing firms to
train approximately 7,400 workers. The Strategic Training Alliance Partnership (STRAP) program
also awarded nearly $23 million to upgrade the skills of over 30,000 workers. Small business
received 123 of the 233 STRAP awards. The Business Skills in New York State (BUSINYS) initiative
provided substantial assistance to private sector businesses for incumbent worker training programs
that emphasized transferable skills that lead to potential career growth and increased wages. Small
businesses received 425 of the 738 BUSINYS awards, which overall made more than $42 million
available to train 46,035 workers in New York. Finally, E-Learning grants, which funded over
$700,000 in on-line training courses for businesses, aided small employers in upgrading the skills of
their workforces.
New York State Plan
30
In response to economic and labor market analysis, the State has also supported strategies that help
small employers strengthen their business plans to better identify workforce training needs and
market viability. Nearly $1.7 million has been awarded, through Accelerate New York grants, to 317
small- and minimum-sized businesses to develop, update or modify their Strategic Business Plan,
and identify and prioritize staff training needs. Local organizations have worked with LWIBs to
identify industry sectors critical to the local economy that would benefit from this assistance.
G. How are the funds reserved for statewide activities used to incent the entities that make up the
State’s workforce system at the State and local levels to achieve the Governor’s vision and address
the national strategic direction identified in Part I of this guidance? [§112(a)]
Funding reserved for Statewide Activities is used in a variety of ways to incentivize State and local
workforce partners to embrace the Governor’s vision for the State’s workforce system and the
national strategic direction. State-level funds are used to reward promising practices in local
workforce systems that reflect many of the same ideas encompassed within New York’s vision for its
system. Areas such as enhanced services to businesses and job seekers, local board
development/practices, workforce development partnerships and One-Stop design and management
all fit within the State’s vision for a streamlined integrated system that is aligned with local workforce
needs.
Supplemental allocations to local areas made from State-level resources are also utilized to further
the State’s goals and vision for its workforce system. Supplemental allocations of Adult and
Dislocated Worker funds are provided to local areas to allow them to expand training opportunities
within their local systems.
State-level resources are also used to incentivize local systems to reach out to businesses, to learn
more about what their skills needs are and understand how the workforce system can work to help
address those gaps. State funding for local efforts, such as our two-phased Assessing Local Skills
Shortages and Addressing Local Skills Shortages, fit within the State and national focus of making
the workforce system truly demand-side driven and responsive to the needs of business.
State-level resources are also utilized at the State level to address priorities reflected in the national
direction and the State’s vision, such as our ability to engage the State’s Office of Children and
Family Services and utilize their network of service agencies to expand our focus on services for outof-school youth populations.
State-level resources are also used to retain the services of national and regional consultants, who
are made available at little or no cost to our workforce system partners to help facilitate and work
through issues and concerns that are reflected the State’s priorities and vision for its system.
New York will continue to use funds in this manner to further the dialog around the State’s priorities
and the national direction as WIA reauthorization becomes a reality.
H. Describe the State’s strategies to promote collaboration between the workforce system, education,
human services, juvenile justice, and other systems to better serve youth that are most in need and
have significant barriers to employment, and to successfully connect them to education and training
opportunities that lead to successful employment. [§112(b)(18)(A)]
The Emerging Worker Subcommittee of the SWIB is the State-level body responsible for setting New
York’s integrated vision for serving youth, especially those most in need and with significant barriers
to employment. In this capacity, the Subcommittee is the formal mechanism for promoting
collaborations among the State’s education, human services and juvenile justice systems and, by
extension, local service delivery entities. These collaborations, and each agency’s strong
commitment to the public workforce system, are reinforced at the highest levels, with the
Commissioners of Education and Office of Children and Family Services actively serving as
prominent Subcommittee members.
New York State Plan
31
Over the past five years, significant steps have been taken to better connect most-in-need youth to
education and training opportunities that result in successful employment. For example, the State
Labor Department, on behalf of the Subcommittee, awarded more than $1.29 million in competitive
Incentive Grants to foster innovative local partnerships between business, education and LWIAs to
expose youth to real-world work experiences in demand occupations. Under these grants, most-inyouth, including youth with disabilities, experienced first-hand the connections between education and
employment. Other competitive awards, including $1 million in Challenge and $5 million in WIA
Youth Work Readiness grants, were also made, on the Subcommittee’s behalf, to accomplish similar
goals. These awards were specifically made to better prepare all eligible youth, including out-ofschool youth, those at-risk of dropping out, youth in foster care, those aging out of foster care, youth
offenders, pregnant or parenting youth and homeless or runaway youth, for successful entry into the
workforce.
The Subcommittee has evaluated the outcomes attained pursuant to these awards, for the purposes
of replicating successful programs elsewhere in the State and strengthening future solicitations to
enhance performance. This on-going process will result in further refined strategies to better serve
the needs of youth with significant barriers to employment.
I.
Describe the State’s strategies to identify State laws, regulations, policies that impede successful
achievement of workforce development goals and strategies to change or modify them. [§112(b)(2)]
State laws and regulations are continually reviewed both by the Governor’s Office of Regulatory
Reform and the individual State agencies tasked with administering and overseeing workforce
development programs and services. Recommendations for change are made in those areas where
existing statute or regulation might negatively impact the State’s vision and goals for its workforce
development system.
The policies of the State Board and Governor, as they relate to the operation of the State’s Workforce
Development System, are also continually reviewed to assure that existing policies are in alignment
with the goals set for the system. Local Boards are also expected to review existing local policies and
update or change as needed to reflect the strategic goals and local priorities of their system. The
Department’s Field Staff is responsible for reviewing and monitoring LWIA policies to insure that they
are relevant and in alignment with the stated vision and direction for the local area’s workforce
development system.
J.
Describe how the State will take advantage of the flexibility provisions in WIA for waivers and the
option to obtain approval as a workflex State pursuant to §189(i) and §192.
New York State will continue to examine potential options to request individual waivers, in
accordance with the flexibility provisions contained under WIA. We do not anticipate pursuing
approval as a workflex state at this point in time.
VI. Major State Policies and Requirements
Describe major State policies and requirements that have been established to direct and support the
development of a statewide workforce investment system not described elsewhere in this Plan as
outlined below. [§112(b)(2)]
A. What State policies and systems are in place or planned to support common data collection and
reporting processes, information management, integrated service delivery, and performance
management? [§§111(d)(2) and 112(b)(8)(B)]
NYSDOL has selected the One-Stop Operating System (OSOS) as its case management/WIA
reporting system under WIA. At the current time, 24 of the 33 LWIAs are using OSOS as its WIA
reporting system. Where the LWIA does not use the OSOS, local areas have been converting
New York State Plan
32
their reporting data into a WIA Standardized Record Data (WIASRD) file format to meet WIA
reporting requirements.
Policies and guidelines, via technical advisories, have been set forth by NYSDOL with respect to
reporting deadlines for both OSOS and non-OSOS users. These policies and reporting
guidelines have been posted on the Workforce New York Website.
For non-OSOS users, WIASRD reporting format has been posted on www.workforcenewyork.com
including the WIASRD edit check program for the LWIA to submit an error free file.
The Department’s Research and Statistic’s Division reviews all LWIA participant files for errors
prior to submission to USDOL.
Additional policies and guidelines, via technical advisories, have been posted on the website with
regards to WIA Performance Management.
B. What State policies are in place that promote efficient use of administrative resources such as
requiring more co-location and fewer affiliate sites in local One-Stop systems to eliminate
duplicative facility and operational costs or to require a single administrative structure at the local
level to support local boards and to be the fiscal agent for WIA funds to avoid duplicative
administrative costs that could otherwise be used for service delivery and training? The State
may include administrative cost controls, plans, reductions, and targets for reductions if it has
established them. [§§111(d)(2) and 112(b)(8)(A)]
In an effort to promote efficient use of administrative resources, the State developed a matrix
which details the One-Stop operating costs for each LWIA. Individual staff wages and fringe
benefit costs, plus infrastructure costs such as rent and utilities expenses, were identified and
compared by each category for the LWIAs. The results of these analyses were provided to LWIB
directors for review and comment. Each LWIB director examined this information to identify
strategies for streamlining administrative overhead.
C. What State policies are in place to promote universal access and consistency of service
Statewide? [§112(b)(2)]
The challenge to ensure consistency in One-Stop services statewide while still retaining local
flexibility in the State’s 33 LWIAs is ongoing. Each area has a unique set of economic and
workforce issues that can rarely be addressed through a lockstep approach. However, several
initiatives are in place that promote universal access, and guide local areas to ensure consistency
in One-Stop services.

Technical Advisories – On behalf of the State Board, NYSDOL issues State policies via
Technical Advisories to the local areas. In the past year, Advisories have addressed several
issues including: the provision of Interpretive Services for One-Stop Customers with Limited
English Proficiency; guidance regarding Oversight and Monitoring Responsibilities;
Integrating Services Under the Trade Act Programs; Common Measures Youth Literacy and
Numeracy Gains; Standard List of Swipe Card Activities/Services, Referrals and Workshops;
and Local Plan guidance. Many of the Technical Advisories are followed-up with training at
the local area or One-Stop Center level.

State-Level Validation of Local One-Stop Operator Recertification – In April 2001, the State
instituted a State-level program for validating local areas’ One-Stop operator certification
processes. Site visits were an integral part of the initial State-level certification review and
addressed many universal access issues, including access for persons with disabilities and
exploration of how the local area reaches out to traditional and non-traditional partners to
broaden access to all One-Stop services. Initial certification allowed for certified operators of
full-service and affiliate sites to utilize the State One-Stop “Workforce New York” brand and
New York State Plan
33
logo that signaled to customers a basic level of quality services were available at those
centers.
In 2004, Recertification guidelines were developed that promote greater LWIB leadership and
One-Stop operator accountability. A critical feature of the current Recertification process is
the Operator’s Business Plan, which must address the customer service plans for both
jobseekers and business customers, as well as how those services can be accessed and
how they are delivered. Operators are required to include marketing, technology and staff
development plans and indicate how their business plan aligns with the vision and priorities of
the Local Board. Recertification is also tied to each area’s local plan; thereby further
ensuring consistency with Board policies and strategies. The Recertification process is
explained in more detail in Section VII.A.

Training and Capacity Building – Consistency of service is also achieved by providing a
constant message to the local One-Stop systems, regarding expected levels of performance,
service delivery and service quality. Through our own staff initiatives and our variety of
contractors, the State provides training throughout the State and at the local area and OneStop Center level to promote consistency. In conjunction with contractors, NYSDOL holds
two workforce conferences per year, a series of One-Stop Operator Community of Practice
meetings, facilitated local WIB Director sessions and regional and statewide training events
more specifically described in Section VII.D.

Promising Practices – Promising Practice grants are available to LWIBs to apply for funding
that recognizes initiatives resulting in measurable outcomes in relation to: Services to
Business Customers; Services to Job Seekers; Local Board Development and Practices;
One-Stop Design and Management; and Workforce Development Partnership Initiatives.
Awarded initiatives are posted on the Workforce New York website. To help facilitate
replication by other local areas, each initiative includes a step-by-step description of how it
was developed and how outcomes were achieved. By sharing promising practices and
encouraging replication, we also promote consistency of service.
D. What policies support a demand-driven approach, as described in Part I. “Demand-driven
Workforce Investment System”, to workforce development – such as training on the economy and
labor market data for local Board and One-Stop Career Center staff? [§§ 112(b)(4) and
112(b)(17)(A)(iv)]
From the inception of WIA, New York State has required Local Boards to develop their strategic
local plans based upon an analysis of local workforce demands. They are required to consider
key industries, occupations in demand, skills in demand, and particular economic development
priorities. To do this, Local Boards continuously use NYSDOL’s out-stationed local Labor Market
Analysts as a major source of Labor Market Information (LMI) on which to base demand-driven
decisions. Local Analysts have always been available to explain local LMI to LWIBs and their
staff, as well as front–line One-Stop partner staff. Analysts attend LWIB and sub-committee
meetings as consultants, available to answer LMI-related questions. Additionally, Analysts assist
LWIBs in maintaining their lists of demand occupations. Training is offered regularly, including at
the semi-annual New York Association of Training and Employment Professionals (NYATEP)
conferences.
A major training effort is about to be launched to familiarize One-Stop front-line staff of partner
agencies with LMI and its uses. A curriculum has been developed, and pilot sessions are being
scheduled. Based on the feedback from the pilot sessions, the curriculum will be modified and
training will then be offered to all partner staff.
The Workforce Development and Training Division (WDT) has offered grants to LWIBs who
engage in data-based planning.
New York State Plan
34
The Division of Research and Statistics (R&S) conducts surveys of businesses at the request of
Local Boards in order to identify occupational and skill demands of local businesses. The
surveys are designed so that LWIBs can plan their training offerings to meet business needs.
E. What policies are in place to ensure that the resources available through the Federal and/or State
apprenticeship programs and the Job Corps are fully integrated with the State’s One-Stop
delivery system? [§112)(b)(17)(A)(iv)]
Apprenticeship Training staff (local and Central Office) maintains ongoing communication with
Division of Employment Services (DOES) staff on apprenticeship opportunities, including new
recruitments, career days and job fairs. In addition, Apprenticeship staff are always available to
answer any questions that other NYSDOL staff may have about apprenticeship in general, or the
status of particular training programs or individual apprentices. In some localities, WIA funding
has been available to employers who participate in registered apprenticeship program. Job
Corps candidates can enter an apprenticeship program directly, without regard to their rank on
recruitment lists. However, Job Corps candidates must meet the minimum qualifications for all
candidates.
VII.
Integration of One-Stop Service Delivery
Describe the actions the State has taken to ensure an integrated One-Stop service delivery system
Statewide. [§§112(b)(14) and 121]
A. What State policies and procedures are in place to ensure the quality of service delivery through OneStop Centers such as development of minimum guidelines for operating comprehensive One-Stop
Centers, competencies for One-Stop Career Center staff or development of a certification process for
One-Stop Centers? [§112(b)(14)]
Early on, we recognized the importance of ensuring the integrity and quality of One-Stop service
delivery to not only serve our customers well, but also as a necessary element in attracting new
partnerships and leveraging additional resources. As such, we employ a multi-pronged approach to
build the capacity of LWIBs, One-Stop Operators and center staff, as well as partners and providers,
to ensure growth and improved performance is attainable. Specific ways in which this is carried out
are listed below:

Comprehensive One-Stop Centers and Certification:
Many of the multi-county LWIAs in New York State include more than one full-service One-Stop
Center in addition to affiliate sites. Beginning in 2001, at least one full-service center in each of
the 33 workforce areas was reviewed as part of the State’s validation of local One-Stop Operator
certifications. Using standardized review instruments, the on-site visits were conducted to
ascertain the quality and array of services available to all customers – those with special needs,
limited English, persons with disabilities, veterans, youth, older workers, etc. During these
reviews, LWIB members and operators, center staff and customers were interviewed to
determine integration of services in the One-Stop, service delivery to jobseekers and business
customers, and standard procedures across their One-Stop Center system. Representatives
from State-level partner agencies, the New York State Office for the Aging and the New York
State Office of the Advocate for Persons with Disabilities, accompanied NYSDOL staff on the
majority of the visits and reviewed the access to services for older workers and the disabled.
Each One-Stop Center was reviewed to ensure resources and information were available in a
variety of media.

One-Stop Recertification:
In 2004, the State’s validation process was updated and more detailed Recertification guidance
was disseminated to each local area regarding the Local Board’s leadership role and the One-Stop
New York State Plan
35
Operator’s responsibilities (view the Guide at www.workforcenewyork.com/osrecerttoolkit.htm.)
The current State-level Recertification eliminates the on-site visit (Field Staff review One-Stop
Center sites during normal monitoring duties) and incorporates not only the application review, but
a broader review of available WIA performance, OSOS and Swipe Card data; fiscal and program
monitoring reports; secret shopper feedback and Field Staff input. Once a comprehensive review
has been conducted, feedback is provided to the local WIB Director through a telephone interview.
Recertification is approved after any issues that have been found are addressed. Recertification
has also been made a part of the local planning process, which further ensures alignment with
LWIB goals and strategies.

Staff Competencies:
One-Stop Center staff competencies is an issue we continue to address, with a current focus on
career development and career exploration skills required to help customers gain or regain
employment. Utilizing the National Career Development Facilitator (NCDF) curriculum, as
customized for workforce professionals by the Heldrich Center at Rutgers University, NYSDOL
has conducted two complete CDF certification courses (120 hours each) and sponsored one CDF
train-the-trainer in the recent past. Additionally, CDF module components have been delivered
across the State as stand-alone workshops and additional customization and possible on-line
delivery is planned to provide as many workforce professionals as possible the opportunity to
gain career development skills using an easily consumable delivery format.

Web-Based Trainings:
Along with career development, Resource Room training was delivered statewide in 2004 and will
be followed-up with training that has a greater emphasis on utilizing labor market tools to assist
customers in the Resource Room. Use of web-based technology will be a more frequent medium
as we acknowledge the needs of local areas to bring training closer to them to avoid travel
expenses and depletion of staff resources while in training. Web-based seminars held and
planned for the next several months include training on America’s One-Stop Operating System,
Trade Act/Trade Adjustment Assistance (TAA), and Performance and Monitoring.

Workforce New York Resources:
As an ongoing resource for front-line staff, the Workforce New York website maintains capacity
building information and resources, including the One-Stop Benchmarking Study and Assessment
Tool developed by the Corporation for a Skilled Workforce; Trade Act and TAA information
including Questions and Answers (Q&As); and a multitude of resources that provide information
on serving individuals with disabilities.

One-Stop Center/Service Standards:
We believe it is important to allow local flexibility in many areas of One-Stop system development;
however we have also been consistent in communicating expectations of quality services and
high performance. Nevertheless, we recognize that there are some fundamental areas that lend
themselves to standardization statewide. Within the next year, the State, in conjunction with the
Systems Integration Subcommittee of the SWIB, will develop One-Stop Center and service
delivery standards. Input is being sought through focus groups, facilitated front-line staff
sessions, on-line surveys and research of nationwide best practices. In addition, local planning
guidance requires that local areas identify standards planned or in place.
B. What policies or guidance has the State issued to support maximum integration of service delivery
through the One-Stop delivery system for both business customers and individual customers?
[§112(b)(14)]
Clear expectations regarding service integration have been articulated to local areas from the
inception of WIA legislation and carry throughout all of the State’s policies and initiatives.
In 2003, LWIAs were given the opportunity to access grant funds to begin strategic planning for local
and regional coordination of WIA activities. Components of the “Strategic Planning for a Human
New York State Plan
36
Capital Advantage” grant were adapted into the local planning guidance and require respondents to
address several key areas, including how partners will be engaged in the development of the
strategic plan and identification of key workforce issues. Throughout development of the local plan,
LWIBs are required to describe how they are working collaboratively with partners to address their
workforce goals, ultimately moving toward a more integrated system.
The State’s utilization of OSOS as its case management, tracking and reporting system is one
example of policy that drives integration. The availability of OSOS to local areas and partners in the
One-Stop system has increased each year and, as we move toward common measures, we
anticipate most of our local areas converting to OSOS. Similarly, in 2003, the State made Swipe
Card technology available to full-service and certified affiliate site centers in each of the 33 LWIAs.
Swipe Cards capture common data fields and information across all One-Stop systems, therefore
increasing the ability to identify trends and potential issues and enable local areas to begin collecting
data related to the common measures.
The Systems Integration Subcommittee of the SWIB was instituted in November 2002, in recognition
of the importance of integrated service delivery across One-Stops statewide. On behalf of the
Subcommittee, a task force of local WIB Directors, partner programs and NYSDOL staff identified
system indicators to begin collecting data that promote an integrated systems approach to measuring
performance. Phase I of the project identified indicators that include Business and Individual
Customer Market Penetration Rates; Total System Investment as it relates to Business and Individual
Customers; and Customer Repeat Usage for Business Customers. The development of these
measures requires partners to begin sharing customer information, which in turn promotes
integration. Phase II of the project will identify the standards upon which measures will be based and
is anticipated to begin in the latter part of this year.
This past January, the Subcommittee launched a project to further the goal of system integration
across all partner programs, beginning with examining potential process improvements in the way
services to the disabled population are delivered through the One-Stop system. Through a series of
activities meant to promote dialogue, diagnosis of the situation, examination of the facts, analysis and
reflection, six key issues were identified for immediate action. Two teams have been commissioned
by the Systems Integration Subcommittee to put action plans into place to address “Intake, Eligibility
and Referral” issues and “Communication” issues that relate to identifying and serving persons with
disabilities. These teams will collect customer data, benchmark best practices, develop pilot projects
to test possible solutions and then make recommendations to the Subcommittee by November 2005
for system-wide integration.
The majority of New York’s LWIBs chose to use consortia of partner programs as the One-Stop
Operators of their centers or system. Through State-level Recertification, we require that locals
formalize the understanding between Operator consortium members to provoke collaborative thought
and planning with regard to operational issues. Therefore, a critical requirement of State-level
Recertification is the Operator Consortium Agreement. This agreement, combined with a collaborative
Business Plan, ensures a fundamental level of integration of services and service delivery, which is
expected and encouraged to expand during the term of Recertification.
C. What actions has the State take to promote identifying One-Stop infrastructure costs and developing
models or strategies for local use that support integration? [§112(b)(14)]
The State provided trainings at several NYATEP sessions, as well as at regional sessions throughout
the State, on the identification of One-Stop system costs which included infrastructure costs.
Additionally, individual training sessions were held at all LWIAs that requested such training. Those
training sessions also focused heavily on the WIA mandate to integrate services and how the
development of resource sharing agreements would provide a vehicle for the equitable sharing of
One-Stop (including infrastructure) costs among the benefiting partners. In support of these trainings,
the State issued Technical Advisory 00-1, "Guidelines for Cost Allocation and Resource Sharing in
the One-Stop System." State personnel were heavily involved in providing direct assistance to all the
New York State Plan
37
LWIAs and One-Stop partners during the early phases of the development of Memoranda of
Understanding (MOUs).
The LWIB Directors were asked to assess and develop a list of their infrastructure costs, as an
exercise to bring to light the relative burdens of each LWIAs' infrastructure costs relative to their total
costs. More recently, the State monitors have started to gather detailed cost information from the
LWIAs that would allow for more in-depth analysis of each the LWIA's infrastructure costs and how
those relate to services provided.
D. How does the State use the funds reserved for Statewide activities pursuant to §§129(b)(2)(B) and
134(a)(2)(B)(v) to assist in the establishment and operation of One-Stop delivery systems?
[§112(b)(14)]
New York State utilizes funds reserved for Statewide Activities towards the establishment and
operation of One-Stop delivery systems in several different ways. Funds are utilized to support
brokered training for One-Stop Operators, One-Stop system staff, and Local Board staff on a variety
of topics related to One-Stop development, operation and improvement. WIA Statewide Activities
funds continue to support efforts that build the skills of the front line staff at the One-Stop Centers,
and provide the staff in the workforce system with opportunities to broaden their skills on an array of
topics. Featuring national experts, NYSDOL staff and State and local workforce practitioners, over
150 classroom training sessions have been delivered to date on such topics as:


























Calculating and Reporting Performance Outcomes.
WIA: Customers First.
Partnerships for Performance: Implementing the One-Stop MOU.
Marketing Your One-Stop Services.
Writing SMART Employability Plans.
Intro to Economic Development for Workforce Professionals.
Coaching and Counseling.
Credentialing.
Writing Effective Case Notes.
Stellar Customer Service.
Understanding How Our Customers Communicate.
Assistive Technology Training.
Youth Services Points of Contact.
Managing Services for Optimum Performance.
Measuring Customer Satisfaction Under WIA.
Job Development, Retention & Advancement: A Roadmap to One-Stop Success.
Using the Rightly Written System to Improve Employment Plans.
Advanced Job Development: Seeing Your One-Stop through Business Eyes.
Overview of Integrated Workforce Development System.
Assessing Through Interviewing.
Assessment Strategies.
Establishing Service Maps, Common Definitions and System-wide Measures.
Who Does What in a High-Performing One-Stop System.
You Don’t Have to Be a VR Counselor to Place Individuals with Disabilities.
Understanding How to Better Serve Businesses.
MOU Toolkit Training.
Targeted training and consultant services have included day-long training events for Disability
Program Navigators, One-Stop Operators, adult and dislocated worker program providers, youth
service providers, businesses and NYSDOL workforce staff responsible for WIA fiscal and program
New York State Plan
38
monitoring and oversight. These targeted sessions address issues specific to the particular
audience. For example, a series of Job Services Employer Committees (JSEC) breakfast sessions
were held around the State to address “Employability and Disability.” Annual Rapid Response
sessions are held to address issues related to the provision of rapid response services; informal
question and answer forums continue to be held across the State to discuss TAA issues; and staff
development sessions are held annually for NYSDOL’s workforce staff. The Summer 2004 staff
development session resulted in a revamping of the State’s monitoring procedure and new monitoring
guidance to local areas.
With regard to special populations, concerted efforts have been made over the past several years to
address the needs of persons with disabilities. In 2002, assistive technology workstations were
installed in one full-service One-Stop Center located in each of the 33 LWIAs across the State.
Equipment consisted of both hardware and software to ensure computer access for the disabled
customer: Dell computer system, JAWS, Zoom Text, Open Book, Smart View CCTV with camera,
Tash mini keyboard and a track ball mouse. Assistive technology training was then delivered on-site
to center staff and was supplemented with information and tips on serving customers with disabilities.
At the same time, the JSEC breakfasts were held around the State for businesses to learn more
about employing people with disabilities. In 2003, NYSDOL sponsored nearly a dozen training
sessions presented by national speaker Richard Pimentel of Milt Wright Associates, entitled “You
Don’t Have to be a VR Counselor to Place Individuals with Disabilities.” In addition to training,
resources are available on the Workforce New York website that provides additional insights into
serving the disabled customer. Finally, NYSDOL recognizes and publishes local area promising
practices. A recent initiative was recognized for improved and increased services to customers with
disabilities through a combination of staff training, leveraging of additional resources and system
enhancements. The step-by-step description of the project is available at:
http://www.workforcenewyork.com/promisingpractices2/hempsteaddesc2.htm, so that other local
areas can replicate these efforts. The Systems Integration Subcommittee of the SWIB is also
examining ways to further integrate services to the disabled customer through the One-Stop system.
That project is described more specifically elsewhere in this document.
NYSDOL has also contracted with several nationally known consultants and capacity building
organizations to allow local areas to utilize their expertise in workforce development and related OneStop system issues. Through these contracts NYSDOL is able to make available assignments for
work with local areas on various requested topics. Assistance is provided in the form of facilitation,
training, one-on-one consulting and general technical assistance. Most recently, NYSDOL made
consultants available to local areas from April to August 2005, for projects that will reinvigorate
partnerships through facilitated meetings and retreat events designed to encourage and renew
teambuilding efforts toward joint initiatives and goals.
In addition to the above, NYSDOL also utilizes its Statewide Activities funds to directly support
specific facets of the development and operation of local One-Stop systems. Funds have been
provided to support the acquisition of Swipe Card systems to capture and report on front door traffic
and use of core services in the One-Stop Centers; Secret Shopper reviews of One-Stop Centers; a
One-Stop certification and re-certification process; development of marketing materials and logo for
the State’s One-Stop system; and the provision of funds to local areas to assist with their own
marketing efforts.
E. How does the State ensure the full array of services and staff in the One-Stop delivery system
support human capital solutions for businesses and individual customers broadly? [§112(b)(14)]
The State ensures that the full spectrum of assets in the One-Stop system are supporting the broad
needs identified by local businesses and individuals primarily through the local planning process and
the regular monitoring and review of the local system by NYSDOL’s Field program and fiscal staff.
New York State’s LWIBs have been engaged in a community strategic planning process, with a goal
of aligning demand driven economic and workforce development needs with the policy, governance
New York State Plan
39
and operational effectiveness of the local workforce system. NYSDOL has linked this vital effort into
its own Local WIA Planning Guidance. Local areas are required to describe their strategic planning
efforts; the human capital needs of their businesses and workers; the strategic partnerships
developed with business, education and workforce to address those needs; their goals towards
addressing those needs; and how the resources and policies of their local workforce system will be
brought into alignment with these needs.
NYSDOL will monitor the implementation of the local area plans, allowing the State to ensure that
local resources and policies are in alignment with and supporting the human capital needs identified
through the local area’s strategic planning process for their businesses and customers alike.
VIII.
Administration and Oversight of Local Workforce Investment System
A. Local Area Designations
1. Identify the State’s designated local workforce investment areas and the date of the most recent
area designation, including whether the State is currently re-designating local areas pursuant to
the end of the subsequent designation period for areas designated in the previous State Plan.
[§112(b)(5)]
A list of the 33 designated LWIAs in New York State is available at
http://www.workforcenewyork.com/localboards.htm. There have been no changes to local area
designations since implementation of WIA.
2. Include a description of the process used to designate such areas. Describe how the State
considered the extent to which such local areas are consistent with labor market areas:
geographic areas served by local and intermediate education agencies, post-secondary
education institutions and area vocational schools; and all other criteria identified in section
116(a)(1) in establishing area boundaries, to assure coordinated planning. Describe the State
Board’s role, including all recommendations made on local designation requests pursuant to
section 116(a)(4). [§§112(b)(5) and 116(a)(1)]
Chief Local Elected Officials (CLEOs) were contacted and a standardized “Request for
Designation as a LWIA” form was sent to them with instructions on completion. Requests
included information on the following: counties/cities included in the proposed Local Area, Chief
Elected Officials, current Service Delivery Area (SDA) status, category under which designations
were requested, previous performance, financial integrity, and status of One-Stop implementation
in the area. Designation of local areas is consistent with labor market and geographic areas
served by pertinent agencies.
At the time the local areas were designated, all requests were reviewed, verified and organized
by NYSDOL staff, and presented to the State Board for consideration and approval in concert
with the Governor. All LWIA requests for designation were approved.
3. Describe the appeals process used by the State to hear appeals of local area designations
referred to in §§112(b)(5) and 116(a)(5).
No appeals were necessary, since all designation requests were approved. However, an appeals
process is in place for any future appeals. Any appeals from units not designated will be directed
to the State Board for review in conjunction with the Governor. If the designation request is still
denied, an appeal may be made to the Secretary of Labor for decision.
New York State Plan
40
Local area designations have been made. To date, no appeals have been received and none is
anticipated since designations were approved based on the requests received from CLEOs. For
future reference, the State's appeal process is as follows.
An appeal of a negative determination on a request for designation as a LWIA will be accepted
from any, or all, of the CLEOs who had requested the designation. The appeal must be:
a. postmarked within 30 days of the issuance of the notice of disapproval;
b. submitted to the Director, Workforce Development and Training Division; and
c. provided concurrently to any other CLEOs affected, but not parties to the appeal.
For the appeal to be most effective, it should clearly address the question of how the decision
being appealed is contrary to the best interest(s) of the businesses and residents of the local
area. It should provide supportive documentation dealing with:
a. Geographic areas served by local educational agencies and intermediate educational
agencies.
b. Geographic areas served by post-secondary educational institutions and area vocational
education schools.
c. The extent to which the proposed local area is consistent with the labor market area.
d. The distance that individuals would need to travel to receive services provided in the
proposed local area.
e. The resources of the local area that are available to effectively administer the activities
carried out under Title IB of WIA.
The State will respond to the appeal, after consultation with the SWIB Chair, and, if appropriate,
the full State Board. If a response is not possible within 30 days, the State will notify the
appellant (and any other affected CLEOs) of the reason for the delay and a reasonable date by
which a decision will be issued.
B. Local Workforce Investment Boards - Identify the criteria the State has established to be used by the
chief elected official(s) in the local areas for the appointment of local board members based on the
requirements of section 117. [(§§112(b)(6) and 117(b)]
New York State provided CLEOs with criteria to guide their appointment of members to their Local
Boards. These criteria and the review/certification process for LWIB composition assure compliance
with both the statutory composition requirements [Sec. §§112(b)(6) and 117(b)] and related State
policy. A copy of the complete “Local Board Appointment Criteria” is available on the Workforce
New York website: www.workforcenewyork.com.
The guidance requires that nominations of business representatives be sought from two or more local
business organizations and trade associations, and appointments be made of the “highest-level”
private sector business representatives. Business representation should be reflective of local
business and community demographics, with equitable representation of small and medium-sized
business, including minority and women owned enterprises as appropriate. Inclusion of
representatives from high-technology enterprises and growing and emerging businesses is
encouraged. Appointment of representatives who have an interest and background in youth issues,
for possible appointment to the Youth Council, is emphasized. Nominations from local labor
federations are made with the cooperation of organized labor, including the AFL-CIO. The State
requires that, in the selection of representatives of Community-Based Organizations, special
consideration be given to including representatives of organizations representing individuals with
disabilities, veterans and other populations that may have a significant presence in the LWIA. Local
Board appointment criteria also calls for staggered terms of office, in order to ensure the continuity
and stability required for successful LWIB operation.
New York State Plan
41
In its role of providing technical assistance and oversight, NYSDOL has directed local areas,
concerning LWIB membership changes; guidance on governance issues and the role of the Local
Board; and guidance on the oversight and monitoring responsibilities of CLEOs and LWIBs
(Technical Advisories #01-4, #01-19 and #04-19 respectively). In its guidance to LWIAs on the
development of their comprehensive plans, New York State steers Chief Elected Officials toward a
critical evaluation of Local Board composition, by requiring them to analyze the functions, policies,
and effectiveness of the boards, as the plan seeks information on subcommittee roles and
responsibilities, integration of activities, and performance levels and planned adjustments to foster
continuous improvement. With WIA reauthorization, New York State will amend LWIB membership
guidance, as needed, to assure that membership criteria will result in Local Boards that reflect the
focus and goals of the Act.
C. How will your State build the capacity of Local Boards to develop and manage high performing local
workforce investment system? [(§§111(d)(2) and 112(b)(14)]
The State takes an aggressive approach to ensuring that Local Boards remain current, relevant and
innovative with regard to workforce issues. Every six to eight weeks for the past several years, the
State has convened all LWIB Directors in professionally facilitated one-day sessions. These sessions
focus on peer-to-peer sharing of best practices, issue resolution, policy development and new
learning. A two-day off-site event is held once each year. Lead by national consultants, these annual
events focus on policy development and strategic planning. In addition, national consultants are
made available to Local Boards for coaching and training services. A sample of topics addressed
during regular WIB Director sessions includes:












Key Implementation Issues: A Peer-to-Peer Technical Exchange
WIB Staff and the WIB Policy Role
Leading the State Workforce Investment System
The Resource Matrix: Aligning the System and Partnering Priorities
Negotiating the WIA Partnership
Marketing and Public Relations: Getting Support and Customers
State and Local WIBs: Supporting Businesses in Building Workforce Skills
Roles and Responsibilities of the WIB Staff
WIB Staff: Responding to New Initiatives and a Changing Economy
System Building and Partnership
Supporting Businesses in Building Workforce Skills
Planning, Achieving and Reporting Success!
Twice a year, the State convenes WIB Directors and One-Stop Operators in a joint session on
emerging topics, such as performance excellence, data integrity and strategic planning. Finally, Local
Board Chairs and State Board members are occasionally addressed jointly by national business
organizations and consultants to discuss economic trends, emerging skill needs and other matters
that impact the workforce. In the next several months, we will be exploring use of web technology to
bring additional learning and sharing opportunities to Local Boards.
D. Local Planning Process -- Describe the State mandated requirements for local workforce areas’
strategic planning. What assistance does the State provide to local areas to facilitate this process,
(112(b)(2) and 20 CFR 661.350(a)(13).) including:
1. What oversight of the local planning process is provided, including receipt and review of plans
and negotiation of performance agreements? and
Local areas must have developed and implemented new strategic plans on July 1, 2005, (unless
an extension is granted as detailed below) to be eligible to receive WIA Titles I and III funds for
administering the One-Stop system and delivering services to its customers. The NYSDOL’s
New York State Plan
42
Workforce Development and Training Division, through Technical Advisory #05-3, issued
planning instructions to Local Boards to guide them in the development and submission of
comprehensive three-year local plans. The Local Plan is considered the key to supporting
strategic activities that will result in achieving a local workforce system that provides high quality
services to its business and job-seeking customers.
The planning guidelines require Local Boards and Chief Elected Officials to reflect upon their
current One-Stop delivery system, identify gaps and workforce challenges within their
communities, and consider the manner in which they will strategically move their systems forward
- by developing partnerships that align around locally identified key workforce issues; leveraging
additional resources for the system; designing actions and strategies for improving service
delivery and increasing performance; and ensuring that policies and procedures support their
strategic and continuous improvement goals.
The evolution of the local workforce system through the previous five-year plan is the foundation
for determining how the local area will move forward in providing services, meeting performance
standards and meeting the economic and workforce challenges of the communities it serves. To
assist local areas in planning prospectively, in organizing and executing the necessary LWIB
activities, related to the alignment of demand-driven economic and workforce development needs
with the policy, governance and operational effectiveness of the local workforce system,
New York State, in 2003, provided funds for strategic planning grants to LWIAs. More than twothirds of the State’s local areas took part in this planning grant and their efforts are expected to be
reflected in their plans for the upcoming three years.
While all Local Plans are due before the July 1, 2005, implementation date, opportunities exist for
deadline extensions. In order to provide local areas with sufficient time to engage additional
community partners, align them around key local economic and workforce issues, and determine
methods for measuring continuous improvement, a LWIA may request an extension to submit
their complete plan. Deadline extensions will be considered only for those local areas that submit
a formal request, which contains adequate justification and a detailed timeline for completing the
plan. Partial plan submissions and extensions are also available for local areas that have not
fully completed their strategic planning process. Contingent approvals may be granted for plans
missing the strategic planning component, provided all other requirements are met. Final
approval will only be granted following receipt and approval of the fully completed Local Plan.
Local Plans will be reviewed by a team of workforce professionals, who are familiar with the local
area’s workforce challenges and opportunities and are specialists in one or more of the following
areas: program development, labor market information, allocations and expenditures, past
performance and level of partner integration.
Local PY 2005 performance standards will be negotiated with all Local Boards once New York
State has completed negotiations on the statewide standards with the U.S. Department of Labor.
The planning guidelines include submittal of the area’s PY ’05 performance standards with the
plan, if they are available. At a minimum, local plan guidance calls for a discussion of
performance levels, including the manner in which they affect local policies, procedures, and
initiatives and how they are analyzed in an integrated approach that considers both fiscal and
program data and evaluates the impact on performance. If PY05 performance levels are
unavailable for inclusion in the plan, the plan must be modified when the locally negotiated
performance standards become available. The plan must be made available for public comment.
2. How does the local plan approval process ensure that local plans are consistent with State
performance goals and State strategic direction?
Each Local Plan, submitted in accordance with the guidelines transmitted through Technical
Advisory #05-3, must include a completed Local Area Strategic Planning section, in order to be
granted formal approval. This section requires each LWIA to fully complete the process
established under NYSDOL’s Strategic Planning for a Human Capital Advantage project. As a
New York State Plan
43
result, all approved plans will describe the local area’s economic environment and, based on this
analysis, identify its key workforce issues. Once this process is completed, each LWIA must
further detail how it will engage community partners in workforce solutions, align the delivery of
available services, and measure achievement of performance goals.
Local Plan reviewers, both at the Field and Central Office level, will evaluate each area’s
strategies to ensure alignment with State priorities and negotiated performance measures. While
it is recognized that workforce issues and solutions are parochial in a locally-driven system,
common strategies typically surface that address statewide concerns. NYSDOL will ensure that
these strategies are consistent with the economic and workforce development directions
established by the Governor and SWIB, while allowing some local flexibility for special
circumstances.
E. Regional Planning [§§112(b)(2) and116(c)]
1. Describe any intra-State or inter-State regions and their corresponding performance measures.
This plan does not include any formal intra-State or inter-State regions.
2. Include a discussion of the purpose of these designations and the activities (such as regional
planning, information sharing and/or coordination activities) that will occur to help improve
performance. For example, regional planning efforts could result in the sharing of labor market
information or in the coordination of transportation and support services across the boundaries of
local areas.
While New York State has not designated any intra-State or inter-State regions, we continue to
encourage geographic areas to form partnerships and to work together in self-organizing systems
to address cross-over issues, such as regional transportation, support services and economic
development. These partnerships will be encouraged to investigate the value of cost
sharing/pooling arrangements between and among counties. The State expects that regional
partnerships will continue to be a valuable tool in assessing economic development and
workforce development needs throughout their communities, identifying service gaps and
emerging trends, and for recommending a strategy to target resources. The partners may also
be instrumental in setting outcomes for the local system, including entered and retained
employment, wage levels for training program graduates, decreased welfare dependency,
attainment of industry recognized credentials, and in collecting and making public outcome
results for all workforce development programming.
Recent examples of regional cooperation and planning, include the four LWIAs comprising the
Greater Capital Region (Capital District, Columbia/Greene, Saratoga/Warren/Washington,
Fulton/Montgomery/Schoharie) in the undertaking of strategic planning activities and the
development of a regional State of the Workforce Report. These four local areas have also
joined together to undertake a career ladder mapping project around the biotechnology industry.
The three LWIAs comprising Long Island (Hempstead, Suffolk, Oyster Bay) have also joined
together to undertake two career ladder mapping projects around the aerospace/defense industry
and the life sciences/biotechnology industry. A regional Business Services Team has also been
established to coordinate business outreach and services to employers in the Long Island region.
3. For inter-State regions (if applicable), describe the roles of the respective Governors and State
and local Boards.
Not applicable.
New York State Plan
44
F. Allocation Formulas [112(b)(12)]
1. If applicable, describe the methods and factors (including weights assigned to each factor) your
State will use to distribute funds to local areas for the 30% discretionary formula adult
employment and training funds and youth funds pursuant to §§128(b)(3)(B) and 133(b)(3)(B).
New York State does not distribute funds to local areas using the 30% discretionary formula
detailed in §§128(b)(3)(B) and 133(b)(3)(B).
2. Describe how the allocation methods and factors help ensure that funds are distributed equitably
throughout the State and that there will be no significant shifts in funding levels to a local area on
a year-to-year basis.
New York State will use the standard Youth formula allocation, complying with WIA Section
128(b)(l) and 128(b)(2)(A)(i) and will use the standard Adult formula allocation, complying with
Section 133 (b).
The State will allocate 85 percent of its Adult and Youth allotments to LWIAs. The chart below
shows the allocation factors and their weights.
The State will allocate Adult and Youth funds using the hold-harmless provisions of the law, as
authorized by the Secretary of Labor, so that every LWIA will receive an allocation percentage
that is at least 90% of its average allocation percentages for the two preceding years. For
PY2005, the percentages for the two preceding years will be based on the WIA formula
allocations in PY2003 and 2004.
New York State Allocation Formula for the WIA Adult and Youth Programs
Program Year 2005
Weight
Assigned in
Data Sources and Time Period for
Allocation Factor
Formula
Program Year 2005 Allocation
Unemployed in Areas of
Local Area Unemployment Statistics,
Substantial Unemployment
33.3%
NYSDOL, July 2003 – June 2004
(6.5%)1
Local Area Unemployment Statistics,
Excess Unemployed (4.5%)2
33.3%
NYSDOL, July 2003 – June 2004
Economically Disadvantaged
33.3%
2000 Census
Adults (Adult formula only)3
Economically Disadvantaged
33.3%
2000 Census
Youth (Youth formula only)4
1
2
3
4
Number of unemployed persons in areas with an unemployment rate of 6.5 % or more.
Number of unemployed in excess of 4.5 % of the civilian labor force (in the LWIB or in the
areas of substantial unemployment within the LWIB, whichever is higher).
An adult aged 22-72 whose income, or whose family income, was below poverty or below 70%
of the lower living standard income level.
A youth aged 16-21 whose income, or whose family income, was below poverty or below 70%
of the lower living standard income level.
3. Describe the State’s allocation formula for dislocated worker funds under §133(b)(2)(B).
New York State will allocate WIA funds for services to dislocated workers, in accordance with
WIA Section 133(b). The State will allocate 60% of its Dislocated Worker allotment to LWIAs.
New York State Plan
45
The allocation formula is the formula specified in the State's Worker Adjustment Assistance Act.
The chart below shows the allocation factors and their weights.
New York State Allocation Formula for the WIA Dislocated Worker Program
Program Year 2005
Weight
Assigned in
Data Sources and Time Period for
Allocation Factor
Formula
Program Year 2005 Allocation
Unemployment Insurance
Unemployment Insurance data, NYSDOL,
Combined
Beneficiaries
Calendar Year 2003
Weight5
Long Term Unemployed
Federal Bureau of Labor Statistics and NYSDOL,
92%
Calendar Year 2003
Unemployed in Areas of
Local Area Unemployment Statistics,
Substantial
2%
NYSDOL, July 2003 – June 2004
Unemployment (6.5%)1
Unemployed under the
Mass Layoff Statistics,
Mass Layoff Statistics
2%
NYSDOL, October 2002 – Sept 2004
program2
Change in Employment in
Unemployment Insurance data,
Industries with Job
NYSDOL, December 1998 – December 2003
2%
Losses in Past Five
Years3
Farms with Net Losses4
Number of Farms with Sales of $10,000 or more,
2%
with expenses in excess of sales,
2002 Census of Agriculture
1
2
3
4
5
Represents unemployment concentrations.
Defined as 50 or more UI claimants from a single firm within a five week period.
Represents declining industries data. Defined as the number of jobs lost during the most
recent five-year period in industries that lost jobs. The number of jobs lost is determined by
employment reports of employers as filed with the NYSDOL under the Unemployment
Insurance program (ES-202 data).
Represents farmer-rancher economic hardship data.
The factors for Unemployment Insurance Beneficiaries and Long Term Unemployed have a
combined weight of 92%. They are, in effect, self-weighted in proportion to the total number of
UI beneficiaries and long term unemployed.
4. Describe how the individuals and entities on the State Board were involved in the development of
the methods and factors, and how the State consulted with chief elected officials in local areas
throughout the State in determining such distribution.
In accordance with the statutory authority provided in WIA, the Governor has elected not to
develop alternative methods and factors for distributing formula Dislocated Worker funds.
G. Provider Selection Policies (§§112(b)(17)(A)(iii), 122, 134(d)(2)(F).)
1. Identify the policies and procedures, to be applied by local areas, for determining eligibility of local
level training providers, how performance information will be used to determine continuing
eligibility and the agency responsible for carrying out these activities.
WIA automatically grants initial eligibility to all entities that carry out programs under the Higher
Education Act of 1965 and the National Apprenticeship Act. Thus, New York State automatically
grants initial eligibility status to such programs, upon receipt of a completed initial eligibility
application for the program.
New York State Plan
46
Providers must submit an initial eligibility application for each offering they wish to be considered
for initial eligibility status. The application is submitted electronically through the New York State
Eligible Training Provider (ETP) website to the LWIB in the area in which the training is offered.
The LWIB is responsible for reviewing the application and, within 30 days of receipt of application,
must make a recommendation to the State whether to accept or deny the initial eligibility
application. The State will confirm LWIB recommendations within 30 days of receipt of the
recommendation from the LWIB. To be included on the statewide training list, an offering must
be granted initial eligibility status by both the LWIB and NYSDOL.
NYSDOL established core statewide data elements that must be included in all LWIB initial
eligibility applications. Local customization is allowed and NYSDOL encourages the locals to
collect any information they feel may be useful in making an initial eligibility determination.
Subsequent eligibility for course offerings is determined at the local level. As part of the
subsequent eligibility review process, the locals request performance information through the
web-based application, including cost and placement in unsubsidized employment, from
providers for offerings that have been operating for at least 18 months. The local areas also
solicit feedback from participants and consider any other information they may have gathered
about an offering before making a determination regarding continuing eligibility to remain on the
statewide list. The LWIBs are expected to post both their initial and subsequent eligibility policies
on the ETP website for public review.
2. Describe how the State solicited recommendations from local boards and training providers and
interested members of the public, including representatives of business and labor organizations,
in the development of these policies and procedures.
NYSDOL staff traveled throughout the State to meet with local partners and training providers, in
order to collaborate with LWIAs, Community Colleges, Community-Based Organizations,
vocational-technical schools and other training providers on a variety of Eligible Training Provider
issues. NYSDOL also places draft material on its website for review and comment by any
interested parties.
3. Describe how the State will update and expand the State’s eligible training provider list to ensure
it has the most current list of providers to meet the training needs of customers.
The State maintains the Eligible Training Provider List in a database format on a dedicated
website. Training providers have access to password protected information about their own
offerings and are expected to update or add offerings when necessary. Local areas also have
the ability to request that providers update offering information. The NYSDOL website has a
direct link to the ETP site and can be accessed electronically at all One-Stop Career Centers or
through any internet connection.
4. Describe the procedures the Governor has established for providers of training services to appeal
a denial of eligibility by the local board or the designated State agency, a termination of eligibility
or other action by the board or agency, or a denial of eligibility by a One-Stop operator. Such
procedures must include the opportunity for a hearing and time limits to ensure prompt resolution.
The recommendation to deny the eligibility status of an offering may originate from either the
LWIB or NYSDOL. However, both the LWIB and NYSDOL must concur on the decision to deny
initial or subsequent eligibility status. If a consensus is not reached within 30 days of NYSDOL’s
receipt of the application, the application will be denied.
Training providers are notified in writing of a decision to deny eligibility status to an offering.
New York State Plan
47
Eligibility of an offering may be denied for the following reasons:
a. The application is not complete or not submitted in a timely manner.
b. The offering does not meet the definition of WIA training services.
c. The performance data is not included with the application or the performance data does not
meet established performance levels. (Note: The performance data requirement may be
waived for the one-year initial eligibility period.)
d. The training provider is delinquent in delivery of reports, payment of debt or otherwise out of
compliance with the Act, regulations, or any agreement or does not satisfy the terms of a
local policy executed under the Act.
e. The training provider intentionally supplied inaccurate information.
f. The training provider substantially violated any requirement under the Act.
g. The training provider is not current in the payment of unemployment insurance contributions
or reimbursements, or
h. Any other requirement for a training program under the Act is not met.
Training Providers have the right to appeal the denial of eligibility status for an offering. The
provider has 15 working days from the date of a denial notice in which to file an appeal.
The request for an appeal must be in writing, signed and submitted to both the LWIB and the
NYSDOL WIA Grievance Officer.
The LWIB and NYSDOL may reverse their original denial, if an administrative error was made or
if additional information submitted by the training provider changes the basis on which the original
decision for the offering was issued.
If the LWIB and NYSDOL do not reverse their original denial within 10 working days from receipt
of the appeal, they will forward the appeal to the SWIB. The SWIB will have 15 working days to
conduct a formal review where the training provider, LWIB and NYSDOL will be allowed to
present their cases.
If the SWIB reverses the denial of the offering, the LWIB and NYSDOL will comply with the
decision in a prompt and efficient manner. The SWIB’s decision will be final. There is no appeal
to USDOL.
If the appeal of an offering is denied by the SWIB, the provider will not be able to reapply for
eligibility for that offering for a 24-month period from the date of the initial denial.
5. Describe the competitive and non-competitive processes that will be used at the State level to
award grants and contracts for activities under Title I of WIA, including how potential bidders are
being made aware of the availability of grants and contracts. (§112(b)(16).)
The awarding of grants at the State-level for youth, adult and dislocated worker activities will be
primarily a competitive process. We do not anticipate any non-competitive grants, except for
specialized consultants on a limited basis. If the need arises to utilize consultants, justification will
be provided and State Procurement Guidelines will be used. Any instance of sole source
procurement will be dealt with in accordance with State Procurement Guidelines.
Competitive grants are awarded through the use of Requests for Proposals/ Applications
(RFPs/RFAs). State acquisitions of services and technology are to fulfill programmatic needs and
provide the State with the “best value,” ensuring open and fair competition. The State makes
efforts to ensure that bidders are apprised of solicitation opportunities, by arranging for
notification in the State Register, mailing Interested Parties letters to known bidders and industry
associations, disseminating Technical Advisories, and posting on NYSDOL's Workforce
New York website (www.workforcenewyork.com). State procurement guidelines will be used.
New York State Plan
48
RFPs/RFAs set forth specifications and requirements that define services or technologies needed
and do not favor a particular bidder, product or service. RFPs/RFAs state required qualifications
of bidders and mandatory contract terms and conditions in a tailored, written application package.
Proposals/applications are evaluated according to written guidelines, and evaluation criteria are
applied equally and uniformly. Performance and demonstrated effectiveness, while not the only
criteria for award, are requested in the RFP/RFA or Sole Source document and are part of the
written evaluation. Weights of written evaluation criteria vary depending on the particular service
and means of delivery sought. They are built into the formal evaluation guidelines. Examples
might include, but are not limited to, geographic area, experience in delivery, or population
served. Major disqualifying factors might include, but are not limited to: bids not received by the
required date, inappropriate budgets, lack of demonstrated effectiveness, outstanding liabilities,
or failure to provide appropriate information.
Successful bidders are posted on NYSDOL’s website. Written contracts or agreements are
developed, including specific terms and conditions, budgets and program narratives.
6. Identify the criteria to be used by local boards in awarding grants for youth activities, including
criteria that the Governor and local boards will use to identify effective and ineffective youth
activities and providers of such activities. (§112(b)(18)(B).)
Local Boards will award grants and contracts for youth activities to qualified providers that fulfill
programmatic needs and offer “best value,” ensuring open and fair competition. Grants and
contracting will comply with established local procurement policies and be based on the
recommendations of the Youth Council. Effective programs typically will include the ability to:














target specific populations;
collect data on a regular basis to allow accurate tracking of progress toward outcomes;
collect information on program cost to estimate return on investment;
maintain a Management Information System;
compare program progress against interim goals and modify delivery process as necessary
to improve results;
monitor and evaluate the individual progress of the participants and modify service delivery
strategies accordingly;
implement a program design that includes all elements of the required design framework and
at least three of the required 10 program elements other than follow-up;
recruit and retain the required targeted population;
adequately network to provide appropriate referrals as needed;
recruit and hire professional staff that meet the needs of the targeted population to be served;
build strong collaborative partnerships that foster coordination and non-duplication, to meet
the needs of the targeted population;
provide follow-up services for not less than 12 months;
maintain an accounting system in accordance with Generally Accepted Accounting Principles
(GAAP); and
properly maintain internal controls.
H. One-Stop Policies [§112(D)(14)]
1. Describe how the services provided by each of the required and optional One-Stop partners will
be coordinated and made available through the One-Stop system. Include how the State will
consolidate Wagner-Peyser Act funds to avoid duplication of core services. (§112(b)(8)(A).)
Services provided by the One-Stop partners are coordinated through the development of local
Memoranda of Understanding among all local partner agencies. The local MOUs define the
New York State Plan
49
“shared” responsibilities, as well as the “individual” responsibilities of each One-Stop partner.
Wagner-Peyser funded core and intensive services are clearly outlined in the local MOUs. In
New York State, NYSDOL is the state agency responsible for Wagner-Peyser Grant funds, and
Wagner-Peyser services are delivered as part of the One-Stop system by NYSDOL State meritstaff of the Division of Employment Services (DoES).
DoES staff sit on each of the LWIBs, representing the State-level NYSDOL mandated programs –
specifically Wagner-Peyser, Veterans’ Employment and Training Services and Unemployment
Insurance (UI). To avoid duplication, DoES has statewide responsibility for maintenance and
oversight of the New York State Job Bank, Talent Bank, and Labor Exchange functions of the
One-Stop Operating System. Each LWIA’s mandated partners must agree to participate in the
New York State Job Bank as part of the local MOU process. DoES also encourages the local
area to agree on a local Business Services Plan and develop a Business Services Team to
coordinate the delivery of services to employers for the purpose of optimizing business services
and avoiding duplicate system contacts with the business customer.
In New York State, the statewide responsibility for the administration of the UI work test and the
provision of any Labor Exchange, reemployment and/or other required Wagner-Peyser services
to UI claimants, is also retained as a State-level function delivered by DoES staff as part of the
One-Stop system. New York State has a $35 million State Reemployment Services Program,
which supplements the Wagner-Peyser and federal Reemployment funds available for services to
UI customers. Retaining these functions as statewide programs helps to avoid duplication of
effort, maximize program economies of scale, leverage resources, and facilitate coordination with
the UI Program, since both Employment Service (ES) and UI functions are maintained within the
State Department of Labor.
DoES has also provided a greater degree of autonomy to its staff to make decisions that benefit
the One-Stop and the community and to leverage local resources.
In the past, DoES required each office to operate in exactly the same manner, regardless of local
conditions. This new autonomy with emphasis on customer service, accountability and strong
partnerships affords better coordination and collaboration among the partners at the local level.
2. Describe how the State helps local areas identify areas needing improvement and how technical
assistance will be provided.
The State utilizes a variety of methods to assess local area improvement opportunities: through
Field program and fiscal monitoring; accountability and program performance management
information; the Recertification review process; and secret shopper program.
Technical assistance takes many forms, including dissemination of Technical Advisories and
Information Memos; day-to-day technical assistance provided by Field and Central Office staff;
training and capacity building events and activities including bi-annual workforce conferences,
One-Stop Operator community of practice meetings and professionally facilitated LWIB sessions;
and State-sponsored consultant services to local areas.
During the past year, NYSDOL staff and contractors have provided one-on-one consultant and
coaching services to local areas and delivered training on topics, such as Trade Act activities,
Youth Service Delivery, One-Stop Performance, OSOS, and Adult/Dislocated Worker measures.
Through bi-annual Workforce New York conferences, NYSDOL provides learning and sharing
opportunities on a variety of policy-related One-Stop system and service delivery issues. WIB
Directors and One-Stop Operators are brought together for the pre-conference session to jointly
explore service delivery and performance management strategies. WIB Director meetings are
held every six to eight weeks where the LWIA Quarterly WIA Report Cards are reviewed and
discussed. The Report Cards contain data by local workforce area on: WIA performance,
participant levels, and expenditure levels.
New York State Plan
50
In conjunction with our contractor, the New York Association of Training and Employment
Professionals, One-Stop Operator Community of Practice meetings are held regionally twice a
year to promote peer-to-peer dialogue and learning opportunities on current One-Stop issues-recent meetings addressed data quality. Through brokered training with national consultants, onsite NYSDOL training and teleconference opportunities, front-line One-Stop staff are also
exposed to capacity building opportunities on a number of service delivery topics. Within the past
year, Department staff delivered Resource Room training to several areas of the State. The full
Career Development Facilitator program has been delivered to a limited number of One-Stop
Center staff in the last few years and will be piloted in module format in the coming months.
Additionally, NYSDOL is working with NYATEP to deliver a variety of one-hour training programs
through “WebEx” technology. Currently scheduled are sessions on using America’s One-Stop
Operating System, Trade Act and Trade Adjustment Assistance programs, Performance Issues
and Local Monitoring.
3. Identify any additional State mandated One-Stop partners (such as TANF or Food Stamp
Employment and Training) and how their programs and services are integrated into the One-Stop
Career Centers.
The Governor and State Board have not identified any additional mandated partner programs.
I.
Oversight/Monitoring Process -- Describe the monitoring and oversight criteria and procedures the
State utilizes to move the system toward the State’s vision and achieve the goals identified above,
such as the use of mystery shoppers, performance agreements. [§112(b)(14)]
New York State monitors its 33 LWIAs through the Financial Oversight and Technical Assistance Unit
(FOTA-financial oversight) and Program Specialists (program monitoring). Financial Oversight
reviews are conducted in accordance with the FOTA Review Guide and consist of reviews in areas,
such as financial management, cost allocation, procurement, property, One-Stop system cost
allocation, and program year closeouts. Monthly analyses of reported expenditures are conducted to
ensure that local areas are not over or under expending and to determine if spending is
commensurate with services provided. Program Specialists use newly revised guides covering
Adults, Dislocated Workers, Youth, Summer Youth, Governance and Subrecipients, as well as
monthly desk reviews of services and expenditures.
The State issued Technical Advisory #04-19 on November 19, 2004, to emphasize the requirements
in WIA statute and regulations that, in conjunction with the Chief Local Elected Officials (or his/her
fiscal agent), must conduct financial, program, and performance monitoring and oversight of
subrecipient activities in the local area. The Technical Advisory specified a significant change in
State policy, in that the local area LWIB/CLEO/fiscal agent would now be responsible for monitoring
and oversight of subrecipient counties in a multi-county LWIA. The Technical Advisory emphasized
that performance and accountability are key elements of an oversight plan and prescribed the scope
and minimum frequency of reviews in an acceptable oversight plan. Attached to the Technical
Advisory was a "Local Workforce Investment Area Program, Financial and Performance Monitoring
Guide for Subrecipients." Local areas are required to use this guide or incorporate the elements of
the guide into their own guides.
Information is gathered from a number of sources to provide a comprehensive review of each local
area and how well it performs. As part of the One-Stop Recertification process, staff review
monitoring reports, performance data and trends, and secret shopper feedback. Local plans are also
used as a monitoring tool, and to determine progress toward key workforce goals identified in the
plans.
The State initiated the secret shopper program in 2003, as an ongoing customer service improvement
effort. From March to June 2003, 13 secret shoppers made 86 unannounced visits as job seekers
(including a youth and hearing impaired shopper) and business customers to full-service and affiliate
One-Stop Centers across the State. Additionally, 15 visits were conducted in New York City. Secret
New York State Plan
51
shoppers were primarily workforce professionals from across the country that had held, or currently
hold, positions relating to the workforce development and training arena. A standard review
instrument was developed to assist shoppers in recording their findings in three specific areas:
access to the One-Stop Center by telephone, website, and through an on-site customer visit. The
initial round of secret shopper feedback provided the State with a multitude of information which was
subsequently shared with the Local Boards and One-Stop Operators. Follow-up discussions with
each local area allowed for not only reaction and action planning, but also evaluation of the shopper
program. As a result, several improvements were made and several more are in process.
Since 2004, the secret shopper program has been available to LWIBs on request. Any LWIB can
request shoppers to anonymously visit their One-Stop Centers and evaluate an entire customer
experience or a particular service or function of the One-Stop Center. Shopper reports are forwarded
directly to the LWIB for their information and action. The program continues to gain acceptance
across the State and, in fact, several LWIBs now have their own secret shopper program to help
assess services from the customer’s point of view. Through our contractors, we are reviewing
possible improvements to the shopper program, including a shopper certification and on-line reporting
system that will enhance the credibility and convenience of the current program.
An integral part of the State monitoring function is providing feedback to the local area, with regard to
program performance. Through the use of Local WIA Quarterly Reports and information that includes
rosters of individuals in each of the measures, Field staff engage local areas in dialogue related to
data quality and performance improvement strategies.
J.
Grievance Procedures. Attach a copy of the State’s grievance procedures for participants and other
affected parties (including service providers). [§§122(g) and 181(cc)]
New York State’s established procedures for processing non-criminal complaints and grievances at
the local level are contained in Technical Advisories #00-40 and #00-40.1. Policy guidance to the
local areas includes directions regarding required elements, sample procedures, required timeframes
and the hearing process. In accordance with Section 181(c), the State’s guidance provides the
framework for local area policy development, providing participants and interested parties with a
vehicle for registering complaints. Technical Advisories #00-40 and # 00-40.1 are available at:
www.workforcenewyork.com.
The process for appealing a denial of status as an Eligible Training Provider is detailed in Section VIII
(G)(4).
K. Describe the following State policies or procedures that have been developed to facilitate effective
local workforce investment systems (§§112(b)(17)(A) and 112 (b)(2).
1. State guidelines for the selection of One-Stop providers by local boards;
The selection and certification of One-Stop Operators is a local decision, made in accordance
with applicable WIA statute and regulation. However, the State has issued One-Stop Operator
recertification guidelines, which minimally require each LWIB to ensure operators:




develop or update the Operator’s Consortium Agreement;
update and submit a Business Plan that aligns with the LWIBs vision and goals;
provide the name, address, hours of operation, and list of on-site partners for each fullservice One-Stop Center and certified affiliate site; and
review and sign the revised LWIB/Operator Agreement.
The LWIB is required to submit a complete copy of the operator’s local application materials to
NYSDOL, including a current Operator’s Consortium Agreement, unless the operator was
selected through competitive bid. The LWIB’s feedback to the operator application must also be
forwarded, with a timeline for addressing any noted deficiencies.
New York State Plan
52
2. Procedures to resolve impasse situations at the local level in developing memoranda of
understanding (MOUs) to ensure full participation of all required partners in the One-Stop delivery
system;
The Memorandum of Understanding Toolkit, jointly developed by NYSDOL and NYATEP,
describes the process for resolving impasses in the development of local-level MOUs. The
following action must be taken when an impasse occurs:

LWIBs and partners document their efforts.

Locality reports impasse to the SWIB or Governor and the State agency responsible for
administering the program(s) at issue.

State reports impasse to the US Secretary of Labor and the head of any other federal agency
with responsibility for oversight of the program(s) at issue.
3. Criteria by which the State will determine if local Boards can run programs in-house;
All LWIBs are required to comply with 20 CFR Part 661.310, provisions governing the limited
conditions under which a Local Board may directly provide core, intensive, or training services, or
act as a One-Stop Operator. The State’s “Planning Guidelines for the Comprehensive ThreeYear Local Plan,” distributed via Technical Advisory #05-3 on February 18, 2005, specifically
requires Chief Elected Officials and Local Board Chairs to provide written assurances that the
local area is in compliance with Part 661.310. To date, the State has received no requests from a
Local Board to run programs in-house.
4. Performance information that on-the-job training and customized training providers must provide;
Local Boards are required to establish policy, regarding appropriate cost matches for On-the-Job
Training (OJT) or other customized training, using Technical Advisories #01-5 and #01-5.1 for
guidance.
The Local Boards must also Identify any LWIB subcommittee that is responsible for policies
related to Customized Training and OJT. It must also describe the process and frequency for
reviewing local policies with regard to OJT, skills upgrading or other customized training.
5. Reallocation policies;
Technical Advisory #02-18 was issued on October 7, 2002, to notify local areas about the State’s
policy for the reallocation of recaptured WIA funds after the two-year availability period. WIA
funds, which are not expended by a local area in the two-year availability period, must be
returned to NYSDOL. Under WIA, these recaptured funds can be used for statewide projects or
be redistributed to other local areas that had fully expended their allocation of funds for the same
program year within the two-year period. NYSDOL has redistributed the recaptured funds to
those local areas which had fully expended their allocation of funds. These funds must be spent
in the program in which they were recaptured and on the same types of activities as their formula
fund. These funds will not be subject to the transfer authority between the Adult and Dislocated
Worker programs.
6. State policies for approving local requests for authority to transfer funds (not to exceed 20%)
between the Adult and Dislocated Worker funding streams at the local level;
Technical Advisory #04-7 was issued on May 24, 2004, to notify the local areas of the increased
transfer authority provided under Section 133(b)(4) of WIA from 20% to 30% and to provide
NYSDOL’s policies and procedures for requesting such transfers.
New York State Plan
53
7. Policies related to displaced homemakers, nontraditional training for low-income individuals, older
workers, low-income individuals, disabled individuals and others with multiple barriers to
employment and training;
As part of the local planning process, the LWIAs are asked to develop strategies for service
delivery to special populations, including displaced homemakers and others.
8. If you did not delegate this responsibility to local boards, provide your State’s definition regarding
the sixth youth eligibility criterion at section 101(13)(C)(iv) (“an individual who requires additional
assistance to complete an educational program, or to secure and hold employment”). (§§
112(b)(18)(A) and 20 CFR 664.210).)
Local Boards are required to define, “an individual who requires additional assistance to complete
an educational program, or to secure and hold employment,” in their local plans. As this definition
is developed, in accordance with the particular needs of youth in the area, the State suggests that
Local Boards consider the following characteristics as guidelines:










Chronic absenteeism and truancy from school, or school dropout
Chronic underachievement in school
Chronic behavior problems or legal offenses
Physical, mental, or social/developmental immaturity or impairment
Substance abuse
Deficiency in basic literacy skills
Lack of occupational skills/goals
Victim of physical/sexual/psychological abuse
Status as a homeless, runaway, or foster child
Pregnant, or a teen parent, or single parent status
Educational assistance may include tutoring, vocational/occupational skill building or training, or
an individualized program of study.
IX. Service Delivery
Describe the approaches the State will use to provide direction and support to local Boards and the OneStop Career Center delivery system on the strategic priorities to guide investments, structure business
engagement, and inform service delivery approaches for all customers. (§112(b)(17)(A).) Activities could
include:
A. One-Stop Service Delivery Strategies: (§§112(b)(2) and 111(d)(2).)
1.
How will the services provided by each of the required and optional One-Stop partners be
coordinated and made available through the One-Stop system? (§112(b)(8)(A).)
New York State has always emphasized the importance of partnership building and integration,
both at the State partner level and at the local level. All of the policies, guidance and directives
communicated to LWIAs carry the consistent theme of collaboration and expansion of partnering
for One-Stop system success. One of the primary ways this message is delivered is through the
One-Stop Operator State-level Recertification process. Recertification at the State level is
required for all local One-Stop Operators. Designed to hold LWIBs accountable in their role as
overseers of their One-Stop systems, State-level Recertification provides LWIBs with the
opportunity to formally assess operator performance and take corrective action when necessary.
The Recertification Guide provided by the State outlines components that are required, such as
an Operator Business Plan. Developed by each One-Stop Operator or Operator Consortium, the
New York State Plan
54
Business Plan must describe how One-Stop services are provided, which partners and partner
services are on-site in the One-Stop Centers, and how they plan to expand to include nontraditional partners and services.
2.
How are youth formula programs funded under (§128(b)(2)(A).) integrated in the One-Stop
system?
The original Certification process and Recertification review require local areas to describe how
they are serving youth through the One-stop System. Each of the 33 local areas approaches
youth services in a slightly different manner, but all are making strides to incorporate this
population into the One-Stop system. For instance, in the Herkimer, Madison, Oneida local area,
the LWIB supported efforts by Oneida County Workforce Development to create the “Ladder to
the Future” initiative, whose purpose was to reach out to specific neighborhood youth with vast
needs to better connect them to the workforce system. Through a partnership of the LWIA and
faith-based and community organizations, youth received soft-skills training, tours of the Utica
One-Stop Center to provide awareness of available services and resources, and 50 hours of
mentoring during small group sessions in community locations. Through the program’s success,
the area is able to leverage additional resources and hopes to create outreach positions that can
work in the neighborhoods full-time to increase referrals to the One-Stop system.
In the Chenango, Delaware, Otsego area, the LWIB recognized the need to make youth more
aware of One-Stop Center services and the local employment climate. Through a joint effort of
the local board, the Youth Council, the Alliance for Youth, local businesses, educational
institutions and other partners, youth were recruited to design and implement a Workforce Youth
Summit, which highlighted local youth workforce issues relating to employment and rural
economics. Through the Summit, youth learned about the demographic and employment
statistics for the area, discussed future workplace trends and the needs of local employers, and
participated in discussions and planning exercises to act upon what they learned.
3.
What minimum service delivery requirements does the State mandate in a comprehensive OneStop Center or an affiliate site?
The Recertification process identifies the State’s expectations, with regard to minimum services
and resources available to customers through local One-Stop systems. Once a comprehensive
review of the application and available performance data has been completed, the State
discusses findings with the WIB Director and ensures that any gaps in service delivery or design
are addressed before recertification is approved. Multi-county areas are expected to have
established more than one full-service One-Stop Center at this juncture, and those who have not
yet done so are required to submit justification or a timeline for when additional full-service sites
will be established. Local areas have the flexibility to determine, consistent with WIA, the
minimum service standards for affiliate sites in their areas. However, each One-Stop Operator –
whether full-service or affiliate site operator – is held to the same Certification/Recertification
process and therefore must be approved before they can carry the Workforce New York logo and
certification. In addition, Recertification requires local boards to consider the One-Stop Center
“Critical Success Factors” outlined in the national research study conducted by Corporation for a
Skilled Workforce, entitled “Benchmarking One-Stops,” which provides indicators of success in
relation to employer services, job seeker services and design and management of One-Stop
Centers. Recertification also emphasizes the LWIB’s responsibility to articulate and hold OneStop Operators accountable for performance standards (beyond the 17 WIA performance
measures) as outlined in the LWIB/Operator Agreement and must begin collecting data in relation
to the State’s System Indicators adopted by the State Board.
New York State Plan
55
4.
What tools and products has the State developed to support service delivery in all One-Stop
Centers Statewide?
The primary tool developed for local areas is the One-Stop Operator Recertification Guide, which
provides guidance not only to local boards, but also to One-Stop Operators regarding their roles
in the Recertification process and in delivering One-Stop services. In combination with the
recently developed Local Monitoring Guide and Local Planning Guidance, the State has provided
LWIAs with resources that, when used together, help to ensure thoughtful planning and quality
service delivery throughout the State. Collateral resources include the acquisition of assistive
technology workstations for each full-service center; Swipe Card systems; capacity building
opportunities for staff on-site, regionally, through teleconferences and web-based presentations;
and sharing of promising practices via conference workshops, website publication and peer-topeer opportunities.
5.
What models/templates/approaches does the State recommend and/or mandate for service
delivery in the One-Stop Centers? For example, do all One-Stop Centers have a uniform method
of organizing their service delivery to business customers? Is there a common individual
assessment process utilized in every One-Stop Center? Are all One-Stop Centers required to
have a resource center that is open to anyone?
Recertification review emphasizes uniformity of intake, assessment and referral processes within
local One-Stop systems and encourages the sharing of best practices. The Secret Shopper
Program was also instituted to identify and encourage quality system-wide practices that promote
good customer service. For instance, during initial secret shopper reviews, shoppers posed as
business customers and entered One-Stop Centers seeking services or information. As a result
of the shopper findings, local areas are required during the Recertification process to describe
how business services are accessed through the One-Stop Center and how business services
are coordinated among each of the partners to avoid redundancies. Most local areas have
instituted business services teams that include collaboration with the Wagner-Peyser employer
representatives, as well as the WIA business services staff.
With regard to access, New York State is vigilant in ensuring that resource center services are
available universally to all populations. Particular efforts have been made to ensure that persons
with disabilities are able to access the resource centers. Original Certification reviews included
on-site visits to One-Stop Centers that evaluated physical and program access for this population.
Training has been provided to Resource Room staff with regard to operating the accessible
workstation equipment and working with persons with disabilities in the Resource Room. To
ensure equity in service access, secret shopper visits to centers included shoppers with visible
and non-visible disabilities. Additionally, staff is better able to accommodate customers with
limited English proficiency through an interpretive service recently made available to all fullservice One-Stops across the State.
B. Workforce Information – A fundamental component of a demand-driven workforce investment system
is the integration and application of the best available State and local workforce information including,
but not limited to, economic data, labor market information, census data, private sources of workforce
information produced by trade associations and others, educational data, job vacancy surveys,
transactional data from job boards, and information obtained directly from businesses. (§§111(d)(8),
112(b)(1), and 134(d)(2)(E).)
1.
Describe how the State will integrate workforce information into its planning and decision making
at the State and local level, including State and local Boards, One-Stop operations, and case
manager guidance.
At the State-level, NYSDOL’s Division of Workforce Development and Training (WDT) and
Division of Research and Statistics (R&S) serve as staff and resources to the State Board. R&S
staff make presentations to the State Board and are available to advise the SWIB as needed.
New York State Plan
56
WDT staff are in regular contact with R&S staff and work together to identify and develop Labor
Market Information (LMI), required for program planning or the development of RFPs/RFAs for
distribution of statewide monies, as well as curriculum for training.
WDT will continue its efforts to encourage Local Boards to engage in demand-driven strategic
planning. For example, the recently issued Planning Guidelines for Comprehensive Three-Year
Local Plans requires each LWIA to complete a demographic and workforce profile of its local
economy using Labor Market Information. WDT has also offered grants to engage Local Boards
in strategic, data-based planning. Two-thirds of the local areas are either involved in, or have
completed, that planning process. Some areas have also completed their resulting State of the
Workforce Reports. WDT staff will continue to monitor the completion of theses reports and the
incorporation of the resulting findings into the planning processes of the Local Boards.
One-Stop Operators and case managers have on-line access to Management Reports, based on
information extracted from the One-Stop Operating system. The local partner staff continue to
advise R&S, concerning the next set of enhancements to add to the management reports; it is an
ongoing process. The reports assist operators in allocating staff and resources and allow
managers to monitor changes in the characteristics of participants or the nature of businesses
using the One-Stop.
Local Labor Market Analysts assist Local Boards and their staff with data to help them decide
how to allocate training funds for demand occupations including:
a. Identifying the priority industries—based on information such as largest industries, fastest
growing industries, highest wage industries, economic development priorities.
b. Identifying the top occupations in those priority industries—based on Occupational
Employment Statistics (OES) Program staffing patterns.
c. Surveying firms in those industries, determining which of the top occupations are in demand.
d. Once firms have identified demand occupations, target those occupations for training dollars.
Local Analysts also will continue to be available to conduct workforce development surveys of
businesses to identify skill needs and to train local staff on the use and interpretation of Labor
Market Information.
2.
Describe the approach the State will use to disseminate accurate and timely workforce
information to businesses, job seekers, and employment counselors, in easy to use formats that
are readily accessible within One-Stop Career Centers and at remote locations such as libraries,
schools, worksites, and at home.
LMI is available via a number of venues including the web. The LMI website receives 6,000
inquiries per month, primarily from other State agencies, planners, and researchers. NYSDOL’s
website is a major source of LMI for libraries, schools, businesses, job seekers, One-Stop staff,
and the media. The CareerZone website, a major source of career information, receives 70,000
to 80,000 users per month. It is heavily used by school systems, libraries, employment
counselors, and job seekers looking for user-friendly career and Labor Market Information. Web
statistics show that 10% of career and labor market users come after business hours, between
6:00 p.m. and 11:00 p.m. A newly released CareerZone jobseeker portfolio will make a host of
new jobseeker tools available on-line.
The Division of Research and Statistics local Labor Market Analysts are available for training of,
and consultation with, Local Boards and their staff, One-Stop front-line staff, job seekers,
businesses, and the public at large. Analysts are available to attend Local Board and
subcommittee meetings to answer LMI-related questions, make presentations to interested
groups and train One-Stop staff. As they have been in the past, Analysts are available via the
phone, e-mail, letter, and in person.
New York State Plan
57
3.
Describe how the State’s Workforce Information Core Products and Services Plan is aligned with
the WIA State Plan to ensure that the investments in core products and services support the
State’s overall strategic direction for workforce investment.
The Core Products and Services Plan is developed in consultation with the State Board.
The Plan is structured to provide data that explains labor market dynamics, and is available
electronically, on the internet, by personal contact and traditional printed media. The Plan
includes numerous examples of how the staff of R&S will inform the Workforce Development
System and its customers.
NYSDOL’s CareerZone on-line career exploration tool supports the priorities of the State Board’s
Emerging Workforce Subcommittee.
4.
Describe how State workforce information products and tools are coordinated with the national
electronic workforce information tools including America’s Career Information Network and
Career Voyages.
New York State continues to populate the America’s Labor Market Information System (ALMIS)
database and has developed its own front-end to interrogate the database. This user-friendly
interface is accessed by approximately 6,000 users each month to query detailed LMI. In
addition, CareerZone, is based on the O*NET database. This software seamlessly integrates job
openings from America’s Job Bank; occupational information from O*NET and Occupational
Outlook Quarterly; and training information from the State’s Eligible Training Provider database.
Career Voyages adapted assessment tools from New York’s CareerZone website for use in their
national product.
C. Adults and Dislocated Workers
1. Core Services. (§112(b)(17)(a)(i).)
a. Describe State strategies and policies to ensure adults and dislocated workers have universal
access to the minimum required core services as described in §134(d)(2).
The statewide Wagner-Peyser program strategy promotes universality, customer choice,
accountability and strong partnerships. This program strategy provides service delivery
options that are intended to be flexible and responsive to both the LWIA and to individual
customer needs and circumstances. Across the State, Wagner-Peyser services are available
at all designated full-service One-Stop Centers and may also be available at other affiliate
system sites, including designated affiliate One-Stop Centers, NYSDOL-leased offices, colocated partner sites, and/or at itinerant locations in the form of either staff and/or electronic
access. On a statewide basis, DoES continues to support moving the system to the highest
level of integration possible given the local needs/circumstances.
DoES continues to support universal access to core services through the development and
maintenance of a wide variety of high quality self-help and facilitated self-help resources, and
widespread access to information and services through a variety of State-supported
mediums. We plan to continue efforts to facilitate and broaden access to all job seeker
customers through improved/expanded Internet applications.
New York State Plan
58
b. Describe how the State will ensure the three-tiered service delivery strategy for labor
exchange services for job seekers and employers authorized by the Wagner-Peyser Act
includes (1) self-service, (2) facilitated self-help service, and (3) staff-assisted service, and is
accessible and available to all customers at the local level.
Labor Exchange services for job seekers and employers are available statewide using the
three-tiered approach, as outlined below:
High Quality Self-Help Services – includes access to information and services through
web-based technology available through the Internet, as well as through the wide variety of
self-help Resource Room tools available on-site at local One-Stop system locations.
Resource Rooms provide a variety of information/tools through various mediums (including
print media, videos, equipment, Job Bank/Talent Bank listings and matching systems, PC
applications, as well as Intranet and Internet-based web applications), which are available to
customers as either Self-Help and/or Facilitated Self-Help services, depending on customer
need/choice.
Facilitated Self-Help Services – minimal individual staff assistance is provided to customers
to access or effectively use Resource Room information and tools available on-site at OneStop system locations.
Staff-Assisted Services – ranges from intensive on-on-one services to group settings.
Services might include assessment, intensive job search assistance, job clubs or other
workshops.
Access to the State Job Bank/Talent Bank and Labor Exchange job match tools are the
“core” Wagner-Peyser services available to the universal population. The New York State
Job Bank/Talent Bank uses the One-Stop Operating System (OSOS) application in
conjunction with America’s Job Bank (AJB). Both job seekers and employers have either
staff-assisted or self-service access to OSOS on-site at all networked One-Stop system
locations, or self-help access through the Internet through AJB.
In this tiered service approach, customers are encouraged and supported in moving toward
self-directed services. Wagner-Peyser resources are used to provide all tiers of service for
the universal One-Stop population. DoES’ statewide policy direction views outstanding
customer service, accountability and strong partnerships as critical to our mission. As such,
Wagner-Peyser continues to put high priority on the support of customer service staff and the
availability of facilitated self-help and staff-assisted services in One-Stop locations statewide,
maximizing the use of all partner staff to achieve these outcomes. Staff-assisted services are
concentrated mainly on the Wagner-Peyser special target populations (UI, Veterans, and
Migrant Seasonal Farm workers).
c.
Describe how the State will integrate resources provided under the Wagner-Peyser Act and
WIA Title I for adults and dislocated workers as well as resources provided by required OneStop partner programs, to deliver core services.
Wagner-Peyser services in New York State are delivered through the One-Stop system in
collaboration with WIA Title I and other One-Stop partners, in accordance with WIA
requirements. In New York State, Wagner-Peyser services will continue to be delivered by
NYSDOL state merit staff from the Division of Employment Services within the framework of
the One-Stop system.
New York State Plan
59
In accordance with the Wagner-Peyser Act, the DoES statewide program strategy is to
support the following required Wagner-Peyser priority functions:




provision of Wagner-Peyser funded staff resources at each designated full-service OneStop location;
maintenance/oversight of a statewide Job Bank/Talent Bank system;
provision of Labor Exchange services (via a three-tiered service strategy) to both job
seekers and employers, including UI claimants, veterans, and Migrant and Seasonal
Farm Workers; and
administration of the UI work-test and the provision of reemployment services to UI
claimants.
Within this broad statewide framework, all DoES managers have been provided leadership
training to help them learn new skills to manage in a partnership environment, and staff have
been given authority to make decisions that accommodate local needs and local system
design. Details as to how Wagner-Peyser local resources are integrated with WIA Title I
Adult/Dislocated Worker, and other required One-Stop partner program services, are
negotiated locally and agreed to as part of the required One-Stop local Memorandum of
Understanding. In addition, the required One-Stop Certification guidelines and local OneStop Operator Agreements all require local planning efforts to reflect the integration of
services and the elimination of duplication between partner programs.
2. Intensive Services. (§112(b)(17)(a)(i).) Describe State strategies and policies to ensure adults
and dislocated workers who meet the criteria in §134(d)(3)(A) receive intensive services as
defined.
The delivery of intensive services to adults and dislocated workers is determined by the workforce
demands identified by each local area. It is expected that the development and sharing of
individual employment plans among partner agencies will reflect integrated service strategies,
which enhance the effectiveness of the variety of intensive services available to One-Stop
customers. The depth and breadth of specialized assessment tools, evaluation techniques,
counseling opportunities, and prevocational and case management services offered through
partner agencies are further strengthened by the benefits of shared staff, resources, experience
and perspectives. Each local area is required to explain how intensive services are delivered
through its One-Stop system in the Local Plan.
3. Training Services. (§112(b)(17)(A)(i).)
a. Describe the Governor’s vision for increasing training access and opportunities for individuals
including the investment of WIA Title I funds and the leveraging of other funds and resources.
The Governor has increased access to training by aggressively using Statewide Activities
funds to train incumbent workers. Through multiple grants and initiatives, the Governor has
expanded the opportunities that already exist within the One-Stop system to include those
incumbent workers that need upgraded skills to remain gainfully employed. In most cases,
these workers are not customers of the One-Stop system and these training opportunities
would not have been made available without State assistance. The State is also able to
leverage private resources and achieve business commitment and “buy-in,” by requiring
matching funds and/or requiring that workers be paid their normal wages during periods of
instruction. It is the Governor’s intent to continue to use Statewide Activities monies to fund
new and similar efforts, thereby increasing access and opportunities for training.
New York State Plan
60
b. Individual Training Accounts:
i.
What policy direction has the State provided for ITAs?
The State has not established policy guidelines beyond those in federal statute, which
direct how Individual Training Accounts (ITAs) should be issued at the local level. This is
consistent with the Governor’s vision that maximum local flexibility will allow for the
delivery of services in the most strategically relevant manner. The State Plan stipulates
that resources are not limited, and through oral and written communication local areas
have been encouraged to establish policies that leverage multiple resources to support
the varied training needs of publicly-funded workforce system customers. State policy
guidance has been limited to requiring local areas to modify their Local Plans upon
changes in any ITA policy, including demand occupations eligible for training, the dollar
amount of the ITA, and whether a priority of service has been implemented.
ii.
Describe innovative training strategies used by the State to fill skills gaps. Include in the
discussion the State's effort leverage additional resources to maximize the use of ITAs
through partnerships with business, education (in particular, community and technical
colleges), economic development agencies, and industry associations and how business
and industry involvement is used to drive this strategy.
Training strategies have been implemented through various State-level initiatives that
leverage multiple funding streams, including support from the State’s General Fund, WIA
State Activities funds, TANF funds, industry-specific surcharges and other revenue
sources as appropriate. In accordance with State procurement regulations, all initiatives
have been competitively procured. Strategies have included the use of leveraged
resources to support stronger youth employment-business connections; mapping career
ladders and lattices in emerging or existing industry sectors or clusters; incumbent worker
training; e-learning pilots in a business-led model; sector-specific initiatives focusing on
the high-tech, health care and manufacturing sectors; strategic planning/business plan
development initiatives targeted to small businesses within specific sectors; and special
population training initiatives, particularly to displace homemakers and mature workers.
These State-level managed initiatives have permitted Local Boards to focus their
resources more strategically and eliminate duplication of effort. Additionally, the State
has engaged the active participation of Local Boards in identifying training needs, scoring
competitive proposals, and evaluating processes to foster a stronger collaborative
partnership in the provision of training. Business and trade organizations have been
essential in helping shape the strategies and opportunities through the information
sharing process, including valuable guidance on emerging trends within given sectors.
Training providers, including our publicly-funded education system, benefit from the
actual training awards, but also from the ability to use these competitive initiatives as a
tool to evaluate their offerings against business demand in any given course of study. To
date, all training initiatives have been business demand-driven and have permitted the
businesses or consortia of businesses to identify both the training need and the training
provider of choice to assist in meeting that need. In accordance with State procurement
rules, best value must be demonstrated in selecting the training provider, with cost being
a part of that review.
iii. Discuss the State’s plan for committing all or part of WIA Title I funds to training
opportunities in high-growth, high-demand and economically vital occupations.
The State Board will continue to be guided by the Governor’s policy objectives in the use
of WIA Statewide Activities funds for training. Given the diversity of New York’s
economy, sector or industry-based initiatives will be considered as part of the overall
strategic goal. New York State commits varied resources to federally identified high-
New York State Plan
61
growth sectors and occupations, of which WIA Title 1 funds represent just one part. For
instance, an industry-based surcharge generates approximately $40 million per year for
health care workforce training. These resources are returned to the regions in which the
surcharge is collected, and are specifically dedicated to training health care workers.
WIA Statewide Activities funds have supported numerous training opportunities for
businesses in the sectors identified by USDOL. Three separate manufacturing-specific
WIA initiatives have been issued. High-technology and biotechnology-specific grants
have also been awarded. Our broader incumbent worker training grants have touched all
sectors of New York’s economy, and all sizes of businesses.
The State anticipates continued research and analysis on the best use of WIA State
Activities funds, and will target those resources to fill gaps not already being met through
other State or federal resources.
iv. Describe the State’s policy for limiting ITAs (e.g., dollar amount or duration)
The State has not, and does not, anticipate issuing any guidance that would limit local
flexibility in this regard.
v.
Describe the State’s current or planned use of WIA Title I funds for the provision of
training through apprenticeship.
Local WIA funds have been used to support registered apprenticeship models, where
appropriate. The State is exploring, and will continue to explore, how WIA resources can
support expanded use of the apprenticeship model and whether this is an effective use of
these resources. Where apprenticeship opportunities exist, the duration of the
apprenticeship continues to be a challenge, given the federal directives on WIA
expenditures. A broader discussion needs to be completed about competency-based
apprenticeship models in various industry sectors, before the commitment of WIA
resources can be considered.
vi. Identify State policies developed in response to changes to WIA regulations that permit
the use of WIA title I financial assistance to employ or train participants in religious
activities when the assistance is provided indirectly) such as through an ITA. (Note that
the Department of Labor provides Web access to the equal treatment regulations and
other guidance for the workforce investment system and faith-based and community
organizations at http://www.dol.gov/cfbci/legalguidance.htm.
The State has issued no policies, which further define the federal regulation. Policies
relating to the provision of training assistance, through ITAs, On-the-Job Training (OJT)
or customized training, are established at the local level and monitored by the State as
part of NYSDOL’s administrative responsibilities. Training in religious activities would
need to align with a local area’s demand occupation list, and the training provider would
need to be on the State’s ETP list. The development of an employment plan, with a
training component, is a locally provided WIA service and is monitored accordingly by the
State.
c.
Eligible Training Provider List. Describe the State’s process for providing broad customer
access to the statewide list of eligible training providers and their performance information
including at every One-Stop Career Center. (§112(b)(17)(A)(iii).)
The eligible training provider list is maintained in database format on a dedicated Internet
website that is accessible to anyone who may be interested in browsing the information. The
Workforce New York website includes a link to the ETP site that is prominently displayed on
New York State Plan
62
its homepage, and all One-Stop Career Centers have internet access available to customers,
who may browse the site on their own or with assistance from a One-Stop staff member.
All providers are required to submit performance information for each offering to the LWIA
during the subsequent eligibility review process. In order to remain on the list, each offering
must have achieved, at a minimum, the acceptable levels of performance set by the LWIA.
d. On-the-Job (OJT) and Customized Training (§§112(b)(17)(A)(i) and 134(b).) Based on the
outline below, describe the State’s major directions, policies and requirements related to OJT
and customized training.
i.
Describe the Governor’s vision for increasing training opportunities to individuals through
the specific delivery vehicles of OJT and customized training.
The Governor and State Board are strongly committed to aggressively using WIA
Statewide Activities funds to support expanded training opportunities for New York’s
workers. This, however, must be done in coordination with the Governor’s overall vision - that LWIAs must be given maximum flexibility to strategically design and deliver training
programs specifically tailored to local business needs. On-the-Job Training (OJT) and
Customized Training opportunities are, therefore, primarily identified and delivered at the
local level, in accordance with this vision. As circumstances warrant, and upon
consultations with Local Boards, the State has offered competitive OJT and Customized
Training grants to supplement local resources in addressing a particular need.
Maximizing State and local funding in this manner has effectively met the workforce
needs of local businesses, while maintaining local flexibility for determining the how
training should be delivered.
Community colleges have had great success with customized training. The SUNY
community colleges are allocated $1 million annually in the State budget for the
Workforce Development Training Grants Program (also known as Contract Courses).
These funds are competitively awarded to the colleges for customized training programs
for specific businesses or consortia of businesses. This is a highly popular and
successful program, which provides training ranging from computer and management
skills to advanced technological skills in fields such as manufacturing. Over the past
seven years, $8.5 million was allocated and has provided training to over 300 projects
and over 36,000 workers. The participating employers also invested over $9 million,
including $1.5 million in cash. The employers have reported that, as a result of the
training, they were enabled to create 2,500 jobs and retain 31,000 others. Participating
employers also report other outcomes or benefits from the program, including increased
employee skills and knowledge, increased productivity, increased sales and market
opportunities, increased quality and ISO certification efforts, improved process efficiency,
improved safety and reduced accidents and worker’s compensation claims, adoption of
new products and technologies, employee promotions and pay raises, and cost savings.
ii.
Describe how the State:

Identifies OJT and customized training opportunities;
OJT and Customized Training opportunities are primarily identified at the local level,
as Local Boards and One-Stop partners are best situated to understand the training
needs of local businesses. Nonetheless, NYSDOL is in constant communication with
State-level business and trade organizations, such as Chambers of Commerce, that
offer valuable input in identifying potential OJT and Customized Training
opportunities. These exchanges are particularly helpful in addressing emerging
trends within given business sectors. In such cases, the State will engage Local
New York State Plan
63
Boards in developing strategies to address previously unanticipated needs, and
support the delivery of specialized training for identified employers.

Markets OJT and customized training as an incentive to untapped employer pools
including new business to the State, employer groups;
OJT and Customized training opportunities are marketed at the State and local
levels. Local Boards, in conjunction with One-Stop partners, continuously work with
local businesses to specifically design training opportunities that address unmet skill
needs. OJT and Customized Training are among the options discussed. At the
State level, NYSDOL partners with Empire State Development; statewide business
associations, such as the Business Council of New York State; Chambers of
Commerce; and other business interests to explore opportunities for OJT and
Customized Training. The State works with the appropriate Local Boards to develop
potential programs.

Partners with high-growth, high-demand industries and economically vital industries
to develop potential OJT and customized training strategies;
High-growth and economically vital industries provide fertile ground for potential OJT
and Customized Training opportunities. Pursuing such opportunities is consistent
with the Governor’s strategic vision for ensuring New York is at the forefront of the
global high-tech revolution. The State will utilize all the training tools at its disposal,
including OJT and Customized Training, to develop an appropriately skilled workforce
that is responsive to current and future economic realities. This includes partnering
with high-growth, high-demand and economically vital industries, through OJT,
Customized Training and other training initiatives, to maintain a world-class workforce
in New York State.

Taps business partners to help drive the demand-driven strategy through joint
planning, competency and curriculum development; and determining appropriate
lengths of training, and
By their very nature, OJT and Customized Training programs do not feature onesize-fits-all or off-the-shelf training modules. They are, by definition, tailored to meet
the workforce skill needs of individual employers. At the local level, Local Boards
and One-Stop partners work diligently with interested businesses to develop and
implement training options, including specialized OJT and Customized Training
programs. This also occurs at the State level through NYSDOL’s partnerships with
statewide business and trade organizations. In addition to the Chambers of
Commerce OJT programs described below, the State has issued competitive
Requests for Proposals, which give businesses the opportunities to structure
individualized OJT and Customized Training programs that address their specialized
needs.

Leverages other resources through education, economic development and industry
associations to support OJT and customized training ventures.
For many years, the New York State budget has included funds specially
appropriated for the operation of Chambers of Commerce On-the-Job Training
Programs. Chambers of Commerce are competitively awarded OJT grants in
response to Requests for Proposals. The program’s objective is to provide
assistance for the extraordinary costs of training to new, small and medium-sized
employers expanding their businesses by hiring new employees, or by introducing
new products or technologies that require current workers to learn new skills.
Businesses relocating to New York State are also eligible to participate in the
New York State Plan
64
program. In State Fiscal Year 2004, New York integrated this stand-alone initiative
with WIA, using Statewide Activities funds to support Chamber efforts. The program
continues to focus on business development, but now also includes a strong
emphasis on coordinating Chamber activities with local One-Stop services to
businesses and jobseekers. This redesigned effort will offer enhanced services to
participating businesses, while better aligning the individual training programs and
employment plans of One-Stop customers with the skills demanded by local
employers. The integration of these functions will result in non-duplication of
customer services and increase out reach to employer pools through the Chamber of
Commerce networks.
4. Service to Specific Populations. (§112(b)(17)(A)(iv).)
a. Describe the State’s strategies to ensure that the full range of employment and training
programs and services delivered through the State’s One-Stop delivery system are
accessible to and will meet the needs of dislocated workers, displaced homemakers, lowincome individuals, migrants and seasonal farm workers, women, minorities, individuals
training for non-traditional employment, veterans, public assistance recipients and individuals
with multiple barriers to employment (including older individuals, people with limited Englishspeaking proficiency, and people with disabilities.)
With universal access, One-Stop Centers are able to serve all individuals from all of the
special population groups identified above. Each LWIA is allocated funds by formula to serve
dislocated workers. These funds can be used for both intensive services and training.
Dislocated Worker funds are also able to be used to serve displaced homemakers, without
restriction, for intensive and training services through the One-Stop delivery system. State
reserved funds are also utilized to provide support for services to displaced homemakers
through a network of Displaced Homemaker Centers. The performance information collected
on displaced homemakers is analyzed and used to provide for continuous improvement in
service delivery in the One-Stop system.
Low-income individuals, such as public assistance recipients and Migrant and Seasonal Farm
Workers, are continuing to experience a greater availability of streamlined services through
the State’s One-Stop delivery system, due to the coordinated efforts of partner agencies who
provide services to these populations. Partner agencies have access to information about
the services already provided to a customer by other partners, so that duplication can be
avoided. The LWIAs are able to offer service that is more efficient, as well as better tailored
to the needs of the customer.
Individuals, who are interested in training for non-traditional employment, are finding the full
range of partner services available to assist them in reaching their goals. They are able to
access Labor Market Information, career information, educational and training opportunities,
a multitude of training grant applications, and post-training assistance in finding employment all under one seamless system of partner agencies.
The special needs of individuals with multiple barriers are being addressed quickly and
thoroughly now that the service providers they might need are joined together under the local
One-Stop system. The New York State Office for the Aging, the New York State Education
Department (including the Office of Vocational and Educational Services for Individuals with
Disabilities), the New York State Department of Health, the Office of Children and Family
Services (including the Commission for the Blind and Visually Handicapped), the Office for
Alcohol and Substance Abuse, the Office of Temporary and Disability Assistance, the State
University of New York, NYSDOL, and local providers, among others, have received crosstraining to understand the services that are provided by partner agencies. The partners are
New York State Plan
65
now aware of each other's involvement with the customer instead of working in a vacuum.
This is greatly reducing the duplication of services to customers.
In addition, our local One-Stop systems were provided with an additional service that can
greatly enhance their ability to coordinate services for individuals with disabilities. The
Disability Program Navigator (DPN) program provides funding to train and support individuals
in workforce systems charged with developing strategies to increase the employment
opportunities and self-sufficiency of persons with disabilities. DPNs are working closely with
One-Stop Center staff, local business networks and supportive service providers to help
individuals with disabilities navigate the opportunities available to them to secure meaningful
employment. Additionally, as noted elsewhere in this document, assistive technology was
purchased for each full-service One-Stop Center, accompanied by statewide training for
Resource Room staff to learn how to help customers use the equipment. Through
collaborative training events and web-based resources, the State continues to provide
information to ensure enhanced access to One-Stop services for persons with disabilities.
b. Describe the reemployment services you will provide to unemployment insurance claimants
and the Worker Profiling services provided to claimants identified as most likely to exhaust
their unemployment insurance benefits in accordance with section 3(c)(3) of the WagnerPeyser Act.
In August 1998, UI reform legislation, signed into law in New York State, included a provision
that deposited a portion of the UI tax paid by employers into a special fund to support a
Reemployment Services Program for targeted UI customers (capped at $35 million annually).
The availability of this dedicated State fund has allowed NYSDOL to implement a statewide
Reemployment Services Program delivered by DoES staff. Without this dedicated State
program, federal dollars available from Wagner-Peyser and federal Reemployment Grant
funds would not be sufficient to adequately serve the UI population.
The State program design shares many of the same goals/objectives as the federal
Reemployment Grant Program, including:




integration of ES/UI services;
more intensive or staff-assisted services;
early intervention services; and
linkage with the One-Stop system.
The New York State Reemployment Services Program focuses on the following main service
delivery strategies:


providing early intervention and coordinating a more intensive level of reemployment
assistance aimed at returning claimants to work as early as possible, thus reducing the
length of the claim period.
ensuring that UI work test eligible claimants statewide are provided a minimum level of
reemployment services.
Key components of the program strategy are:



Establishing/maintaining strong linkages between the UI Telephone Claims Centers
(TCCs) and DoES, and through DoES, a strong connection to the One-Stop system.
The TCC initial claims process automates a partial employment service registration in the
New York State Talent Bank for all UI claimants.
Based on an automated weekly download of new UI claimants, local DoES staff send
letters to UI work test eligible claimants scheduling them to report to a designated local
New York State Plan
66





c.
office/One-Stop at a scheduled date/time (within 10 calendar days of the date of the
letter) for an initial Reemployment Services Orientation (RSO).
The initial orientation includes an explanation of the claimant’s UI work search
requirements, information on the DoES and One-Stop partner services available in the
One-Stop system, completion of the claimant’s registration into the New York State
Talent Bank, including the assignment of appropriate occupational codes and
identification of skills, as well as job matching and referral to suitable job openings.
The Reemployment Program design is intended to insure that all UI claimants are aware
and take full advantage of any and all services offered throughout the One-Stop system.
DoES works closely with partner programs to insure that participants are able to obtain
appropriate/needed services to enhance job search and job readiness. All participants
are registered in the One-Stop Operating System that is used to track all services and
referrals.
During the RSO (or following the RSO, if it does not take place on-site at a full service
One-Stop Center), all claimants are strongly encouraged to report to, and register with,
the nearest One-Stop Center location as an integral part of the claimant’s ongoing job
search efforts.
Through the full integration of ES as a partner in the “Workforce New York” One-Stop
system, the array of services available to the UI Reemployment Services Program
customers is maximized, including but not limited to: workshops, Labor Market
Information, resume preparation/critiquing, staff assistance in the use of Resource Room
information/tools, skills assessment, job readiness assistance, job matching, job
development, development of employability plans, job clubs, referrals to supportive
services, and referrals to training.
All UI customers are profiled using the State’s statistical model. Those assigned a score
of 70 or above are profiled as most likely to exhaust benefits. UI profiled customers are
identified as part of the weekly download process. Profiled customers are provided
general profiling orientation information, regarding the reemployment services available
to them and their responsibility for participation as part of their continued UI benefit
eligibility, either as part of the overall RSO process or as part of a separate Profiling
Orientation, depending on local program design. Strategies for coordination of
reemployment services to UI Profiled customers are developed/implemented at the local
level between the DoES and WIA Dislocated Worker program partners based on
customer needs and resources available in the local One-Stop system.
Describe how the State administers the unemployment insurance work test and how
feedback requirements (under §7(a)(3)(F) of the Wagner-Peyser Act) for all UI claimants are
met.
DoES staff administer the UI work test as an integrated part of the Reemployment Services
Program. Full participation in the State’s Reemployment Services Program is mandated for
all work test eligible claimants. DoES staff insure that UI customers understand the UI work
search requirements as part of the RSO. Customers are excused once for a missed
scheduled DoES appointment, but are immediately re-scheduled. Any second or subsequent
failure to report results in an immediate automated hold being placed by DoES staff on the
claimant’s future weekly UI benefits. A letter is generated to the claimant explaining that the
failure to report has resulted in a hold on benefits, and that the claimant must report
immediately to the designated DoES service location, as a requirement of releasing the hold.
DoES staff are also instructed to identify and report to the TCCs any potential UI issues (such
as availability/capability issues) discovered during any DoES contact with the claimant, as
part of ongoing Reemployment Services Program efforts throughout the life of the claim.
DoES staff review work search efforts with the customer as part of any scheduled
Reemployment Services appointment. If work search efforts are inadequate, staff may
develop a Work Search Agreement with the customer and schedule future follow-up
New York State Plan
67
appointments to monitor compliance with the agreement. Failure to comply with the Work
Search Agreement would be reported to UI as a potential disqualifying issue.
We are developing the Re-Employment Operating System (REOS) to better manage the
State’s reemployment efforts. REOS is a case management and scheduling system that will,
upon completion, allow reemployment staff to access information from OSOS and UI data
sources in a single application. The system will allow staff to schedule customers for
required appointments; generate appointment letters; attendance and required follow-up; and
track and place a hold on UI checks when customers fail to report for scheduled
appointments. The system, when fully operational, will save staff data entry time and allow
them to spend more time with customers, further strengthening the linkage between ES and
UI.
d. Describe the State’s strategy for integrating and aligning services to dislocated workers
provided through the WIA rapid response, WIA dislocated worker, and Trade Adjustment
Assistance (TAA) programs. Does the State have a policy supporting co-enrollment for WIA
and TAA?
New York State has determined that participants under WIA and the Trade Adjustment
Assistance programs are best served through LWIAs. The One-Stop Center is the main point
of participant intake and delivery of services. The State established July 1, 2004, as the date
LWIAs would fully integrate services to trade affected workers, as part of the overall WIA
Dislocated Worker services.
The Rapid Response, Dislocated Worker and TAA programs are operating under a
State/local collaboration and partnership to ensure that the One-Stop system has the ability
to respond effectively and deliver services to affected workers.
Rapid Response services for workers affected by Worker Adjustment and Retraining
Notification Act (WARN) and TAA petitions are provided by Regional Teams coordinated by
the State Rapid Response Services Unit to ensure consistent quality services across the
State. The Team includes, but is not limited to, staff from: the One-Stop system; regional
Division of Employment Service and Division of Research and Statistics; State and/or local
economic development agencies; State and/or local stakeholders (such as local educational
entities or community colleges); and organized labor, as appropriate.
New York State has developed a policy that mandates co-enrollment for WIA and TAA. The
policy is stated, and guidance provided regarding the integration of services, in Technical
Advisory #04-6, issued May 18, 2004. The policy statement is as follows: Local Boards shall
ensure that dislocated workers eligible for TAA, who are unable to find suitable employment
through WIA Title I core services, are co-enrolled in WIA Title I dislocated worker services for
referral to WIA-funded intensive and Trade-funded training services.
LWIBs are required to set local policy for coordinating its various service delivery approaches
with those under TAA. Specifically, Local Boards will set policy to:




assist dislocated workers eligible for assistance under TAA to obtain suitable employment
as an alternative to training;
promote the use of WIA core and intensive services to support the rapid reattachment to
the workforce;
refer individuals to vocational training in demand and targeted occupations; and
assist in job retention and career advancement.
The goal of service delivery integration is not to create a new category of staff that
specializes in TAA rules and regulations, but to align existing One-Stop Center partner
employment and training programs to meet the needs of the affected worker. To realize the
New York State Plan
68
full integration of programs, local areas developed new schematics of customer flow to
identify available resources, partner responsibility for service delivery and how customers will
access such services. Full integration and alignment of services can now be realized
because local area staffs have the authority to coordinate the best array of services available
under the workforce programs. It is believed that local area partners know best how to
deliver services based on unique customer need, volume and staff levels. OSOS serves as
the data collection/case management/reporting system used statewide to document TAA
participant information.
A determination of eligibility for TAA does not supplant the eligibility process for enrollment in
the WIA dislocated worker program. It is recognized, however, that many elements of
eligibility are the same. For example, local board policy must make certain that prior to
enrollment in WIA Title I, customers meet the requirements for selective service registration
and the legal right to work in the United States.
All trade affected workers are afforded career counseling, including assessment necessary to
determine an employment plan; job development and placement; and case management
support services. An employment plan has been prescribed by NYSDOL for use for all trade
affected workers. Many local areas have adopted this employment plan for use with adult
and dislocated workers.
NYSDOL makes TAA funds available to local areas for training and related costs, job search
and relocation, as authorized under TAA. Local area staff request funds for these benefits,
as detailed and justified in the individual’s employment plan. Funds are authorized by
individual and distributed to local areas via a Notice of Obligational Authority (NOA).
NYSDOL retains program monitoring, technical assistance, and fiscal management duties. In
addition, the Department determines individual eligibility for TAA, Trade Re-Adjustment
Allowance (TRA), and Alternative Trade Adjustment Assistance (ATAA); makes TRA and
ATAA payments; coordinates Health Care Tax Credit (HCTC) eligibility; and processes
hearings and appeals related to determinations and decisions for TAA funded benefits. A
Trade Act resource page at www.workforcenewyork.com communicates up-to-date guidance
and technical assistance to local staff.
e. How is the State’s workforce investment system working collaboratively with business and
industry and the education community to develop strategies to overcome barriers to skill
achievement and employment experienced by the populations listed in paragraph (a.) above
and to ensure they are being identified as a critical pipeline of workers?
In addition to making incumbent worker training funds available for workforce retention and
career pathway growth for New York’s businesses, the State has also implemented a layoff
aversion process, which seeks to work with companies to guide and fund the development of
strategies to avert dislocations.
Through the use of WIA State Activities funds, the Governor and State Board have promoted
business-led active and strategically focused Local Workforce Investment Boards. The
strategic design and delivery of workforce development services, in conjunction with local
educational entities such as community colleges, is key to ensuring that business and
industry workforce needs are met. It also helps to align the community vision with economic
opportunities, and challenges and provides data through which guided decision-making can
take place.
New York State supports these efforts through a variety of State and federally funded tax
credits, a critical business offering of the publicly-funded workforce system. These tax credits
include the Work Opportunity Tax Credit (WOTC), Welfare-to-Work Tax Credit (WtWTC),
Workers with Disabilities Tax Credit (WDTC), and Empire Zone Tax Credit (EZTC) (targeted
New York State Plan
69
to the dislocated worker population). Each of these tax credits provides incentives and
opportunities for New York’s businesses to meet their workforce needs, and benefit from
supporting the social goals of improving employment outcomes for targeted populations.
Finally, New York State offers its own Earned Income Tax Credit (EITC), in addition to the
federal tax credit, making it one of the most generous incentives and supports for low-wage
working individuals.
f.
Describe will the State ensure that the full array of One-Stop services are available to
individuals with disabilities and that the services are fully accessible?
New York is one of 17 states participating in the national Disability Program Navigator
initiative, jointly funded through grants from USDOL and the Social Security Administration
(SSA). By using three funding sources – the USDOL/SSA grant, federal Work Incentive
Grants (WIGs), plus a two-year $1 million commitment of WIA State-Activities dollars –
New York has leveraged over $2.6 million to support this initiative in its first two years. With
these resources, the State is now supporting 44 DPNs, who help individuals with disabilities
access appropriate services and supports available through local One-Stop systems. The
Navigator’s ultimate job is to enhance each disabled individual’s opportunity to enter, reenter
and remain in employment that leads to economic self-sufficiency. The DPNs currently serve
62 One-Stop Centers in 25 of the State’s 33 LWIAs. New York is in the forefront of this
nationwide demonstration, with more DPNs dedicated to assisting disabled One-Stop
customers than any other state in the country. It should also be noted that, during the past
several years, the State has partnered with Cornell University’s Employment and Disability
Institute to deliver disability awareness training to local areas and support the development of
Universal Access-NY, an on-line toolkit to assess the availability of One-Stop services for
individuals with disabilities. In addition, the State has spent $620,000 in State-Activities funds
to equip 62 One-Stop Centers and Division of Employment Services (Wagner-Peyser) sites
with assistive technologies for persons with disabilities. The actions outlined above have
established a firm foundation for making One-Stop programs and services accessible for
customers with disabilities.
g. Describe the role LVER/DVOP staff have in the One-Stop Delivery System. How will the
State ensure adherence to the legislative requirements for veterans’ staff? How will services
under this Plan take into consideration the agreement reached between the Secretary and
the State regarding veterans’ employment programs? (§§112(b)(7), 112 (b)(17)((B); 322, 38
U.S.C. Chapter 41; and 20 CFR §1001.120).)
Disabled Veteran Outreach Program Specialists (DVOPS) and Local Veteran Employment
Representatives (LVERs) are being integrated into the One-Stop delivery system in
conjunction with DoES staff. Our goal is to work cooperatively to facilitate this process and
ensure that every veteran (and certain eligible spouse) that seeks service through a OneStop, obtains priority of service, as required by U.S.C. 38 and in accordance with the Jobs for
Veterans Act PL 107-288.
Our veterans’ service mission is to network strong and robust relationships with the various
One-Stop Operators to ensure that they understand and respond appropriately to the laws
governing Labor Exchange services.
In accordance with the Jobs for Veterans Act, DVOPS and LVERs will provide services that
include the following:
 Assessment
 Job development
 Job referral
 Intensive services for veterans with barriers to employment
 Employer outreach
 Referral to partner agencies
New York State Plan
70
h. Department of Labor regulations at 29 CFR 37, require all recipients of Federal financial
assistance from DOL to provide meaningful access to limited English proficient (LEP)
persons. Federal financial assistance includes grants, training, equipment usage, donations
of surplus property, and other assistance. Sub-recipients are also covered when Federal
DOL funds are passed through from one recipient to a sub-recipient. Describe how the State
will ensure access to services through the State’s One-Stop delivery system by persons with
limited English proficiency and how the State will meet the requirements of ETA Training and
Employment Guidance Letter (TEGL) 26-02, (May 29, 2003) which provides guidance on
methods of complying with the Federal rule.
Technical Advisory #04-14, “Interpretive Services for One-Stop Customers with Limited
English Proficiency,” was issued on August 9, 2004, to ensure universal access to One-Stop
Career Center services for customers with limited proficiency in the English language. While
it was recognized that many local areas have taken steps to provide interpretive services
through multi-lingual staff and partner resources, this Advisory was developed to address any
gaps in serving non-English speaking customers. Under the Advisory, NYSDOL’s Workforce
Development and Training Division offered to assist local areas in meeting their interpretation
needs, by providing immediate access to telephonic interpretation services in approximately
170 languages through Language Services Associates (LSA). WDT also agreed to assume
the cost of this service for all full-service One-Stop Centers on a one-year pilot basis,
October 1, 2004 to September 30, 2005. Thirty-two of the State’s 33 local areas requested
access and are currently using LSA services. The one remaining area (Ulster County) has
provided written assurances that it has effectively addressed this issue by leveraging
available local resources. Usage and the costs of providing this service will be continuously
evaluated to determine if any policy revisions are necessary and whether the commitment to
assume all LSA costs will be extended beyond the pilot period. It should also be pointed out,
that NYSDOL has actively engaged all its divisions in developing a comprehensive approach
to fully comply with the Federal rule governing services to non-English speaking customers.
This includes a cooperative arrangement with the State Office of Temporary and Disability
Assistance to translate key workforce-related documents into selected foreign languages.
i.
Describe the State’s strategies to enhance and integrate service delivery through the OneStop delivery system for migrant and seasonal farm workers and agricultural employers.
How will the State ensure that migrant and seasonal farm workers have equal access to
employment opportunities through the State’s One-Stop delivery system? Include the
following:

The number of Migrant and Seasonal Farm Workers (MSFWs) the State anticipates
reaching annually through outreach to increase their ability to access core, intensive, and
training services in the One-Stop Career Center System.
Services to the agricultural community under WIA will be provided by dedicated staff in
the One-Stop locations, and by bilingual outreach workers serving multiple counties and
Migrant Seasonal Farm Workers. The staff with agricultural expertise assigned to OneStop locations will provide Labor Exchange services to employers and MSFWs in the
following three service categories: self-service, facilitated self-help service and staff
assisted services. Staff providing services to MSFWs is required to directly assist the
vast majority of workers, due to their low educational level in reading and their inability to
understand English. We have experienced a significant change in the farm worker
population over the last decade to a predominately Spanish-speaking population. Our
program information is available in Spanish and English, and five outreach workers are
bilingual. In addition, we modified our Strategic Five-Year Plan in September 2004 to use
our Wagner-Peyser 10% funds to provide specialized outreach and follow-up services to
domestic MSFWs.
New York State Plan
71
The number of MSFWs may rise and fall by several hundred each year, depending more
on quantity of the crops and the weather during the growing and harvesting season than
on any other factor. As the number of farms continues to decline, there is a trend for
existing farms to expand, increase crops and, therefore, use approximately the same
number of workers each year.
The economic boom has made the supply of local agricultural workers and domestic
migrants barely adequate to meet the demand. The agricultural community has
increasingly turned to importing temporary foreign workers through the H-2A Program to
continue to meet that tight demand. The H-2A Program will continue to be operated
under the One-Stop format and we anticipate that activity will increase slowly each year.
Proposed legislation now pending in Congress could mean a major change in the H2-A
application process.
Equitable services under the One-Stop system will be provided to MSFWs, as well as
agricultural employers, by dedicated rural staff and outreach workers. The rural program
under the Division of Employment Services has been providing assistance to MSFWs
and employers under a One-Stop concept for over 10 years. We do not anticipate any
changes in the level of services, but we do anticipate providing a more complete package
of services. MSFWs will continue to require assisted services as the influx of Spanishspeaking farm workers increases. We will continue to adapt to the changing
demographics of the MSFW population as needed.
The number of MSFWs contacted by the five outreach workers during the previous year
totaled 10,000. The information provided to MSFWs by outreach workers and local OneStop rural staff emphasizes the services available at local One-Stop Centers and the
advantages of completing a full application. All rural staff members have cellular phones
and are very mobile. Most MSFWs who call are provided with timely information and
services in the field or on the telephone.
Integration with One-Stop partners is enhanced by periodic informational meetings with
rural staff, the distribution of brochures that describe the services provided by rural staff,
and the availability of an updated Power Point presentation to fully inform all One-Stop
partners of our services. Agricultural employers are contacted by One-Stop rural staff
throughout the year, and intensively during the winter, as we staff informational booths at
all the major farm shows, cooperative extension meetings, Farm Bureau meetings and
other labor-related functions.
Our ability to increase MSFWs’ access to core and intensive services is limited by the
number of MSFWs desiring to drop out of the migrant stream. Most workers have
families and homes in Mexico and usually produce questionable identification papers,
thus limiting their program participation.
5. Priority of Service
a. What procedures and criteria are in place under 20 CFR 663.600 for the Governor and
appropriate local boards to direct One-Stop operators to give priority of service to public
assistance recipients and other low-income individuals for intensive and training services if
funds allocated to a local area for adult employment and training activities are determined to
be limited? (§§112(b)(17)(A)(iv) and134(d)(4)(E).)
New York State has determined that there are sufficient funds available to provide services
and meet the needs of its public assistance and low-income populations. As such, the State
has not implemented a priority of service determination policy. Local Boards are strongly
encouraged to identify and coordinate all available partner resources in its One-Stop system
to meet the needs of all individuals requiring services, thus eliminating any need for
New York State Plan
72
prioritization. If a Local Board determines that funds are locally limited, it must identify in its
Local Plan the criteria used to make such a determination and the priority of the groups to be
served. Any such determination must be consistent with the requirements outlined in WIA.
The State will review these policies for compliance with WIA, with the State's approval of the
Local Plan constituting its acceptance of the policy.
b. What policies and strategies does the State have in place to ensure that, pursuant to the
Jobs for Veterans Act (P.L.107-288)[38 USC 4215], that priority of service is provided to
veterans (and certain spouses) who otherwise meet the eligibility requirements for all
employment and training programs funded by the U.S. Department of Labor, in accordance
with the provisions of TEGL 5-03 (9/16/03/)?
Priority employment services are provided to veterans and other eligibles within the One-Stop
delivery system as required by Training and Employment Guidance Letter (TEGL) 5-03,
“Implementing the Veterans’ Priority Provisions of the ‘Jobs for Veterans Act’ (PL 107-288).”
Our strategy to ensure priority service includes working to network strong and robust
relationships with the various One-Stop Operators to create an understanding and
appropriate response to laws governing such services. Minimally, at least one DVOP and/or
LVER is assigned to each LWIA. The DVOPs and LVERs serve as liaisons to facilitate
service coordination with One-Stop workers to ensure that veterans are fully served in a
timely manner. This includes the entire array of job placement, job development, Labor
Market Information, resume development, employment counseling and various support
services available through One-Stop Centers. In addition, DVOPs and LVERs deliver
education, technical assistance and training to One-Stop staff, relative to programs, available
resources and priority of services, to ensure veterans are appropriately served.
Our goal is that when a veteran accesses a One-Stop point of service and identifies
him/herself as a veteran (or certain eligible spouse) that he/she will immediately be referred
to a DVOP or LVER, who is on site. Veterans serving veterans is a tried and true service
model. There is a powerful synergy created when the veteran or certain eligible spouse
receives services from a compassionate and understanding staff member, who has a similar
military background. We have found that this is what makes veterans most comfortable and
relaxed, helping them to open up and share their heart-felt needs, which is necessary to get
at the root challenges they face. The DVOPs and LVERs, who are skilled at identifying
employment barriers particular to veterans, including Post Traumatic Stress Disorder (PTSD)
and other psychological conditions, guarantee that veterans will receive appropriate services,
including intensive case management services when needed.
D. Rapid Response. (112(b)(17)(A)(ii).) Describe how your State provides Rapid Response services
with the funds reserved under section 133(a)(2).
1. Identify the entity responsible for providing Rapid Response services. Describe how Rapid
Response activities involve local boards and Chief Elected Officials. If Rapid Response activities
are shared between the State and local areas, describe the functions of each and how funds are
allocated to the local areas.
NYSDOL has been designated by the Governor as the State agency responsible for
administering WIA, and as such, is responsible for the coordination and oversight of Rapid
Response activities. Within the Department, the Division of Employment Services is responsible
for service delivery, the Division of Research and Statistics for performance and accountability,
and the Workforce Development and Training Division for policy development, capacity building,
technical assistance, program oversight, and monitoring.
The DoES local or regional Rapid Response Specialist makes initial contact with the affected
employer’s human resource representative, for the purpose of conducting a reemployment
services fact gathering and preliminary planning session. The Layoff Transition Assistance
New York State Plan
73
Services brochure, which clearly outlines the services available to targeted workers, is issued to
the affected employer’s human resource representative. This initial session, which may take
place as a meeting or a conference call, involves the employer’s human resource representative,
one local or regional Rapid Response Specialist, and one key local WIA representative. When
appropriate, a proposal to establish a Labor/Management Committee may be made for the
purpose of seeking ways to curtail or avert any pending layoffs. The outcomes from the session
are documented and shared immediately by the local or regional Rapid Response Specialist with
local partners, including WIB Directors, Empire State Development representatives (economic
development), the New York State AFL-CIO, and New York State Association of Counties and
Chief Elected Officials, for the purpose of cooperatively developing an efficient reemployment
services strategy on the behalf of the affected workers. The human resource representative is
also linked with a UI Telephone Claims Center representative in advance of the planned layoffs to
identify and resolve potential issues that ensure a smooth original UI claims filing process for the
dislocated workers.
This process is applied on a consistent basis throughout the State, and always involves a team
approach. Emphasis is placed on ensuring early intervention on the behalf of affected workers.
2. Describe the process involved in carrying out Rapid Response activities.
a.
What methods are involved in receiving notice of impending layoffs (include WARN Act notice
as well as other sources)?
Notices to provide Rapid Response services are issued by the Division of Workforce
Development and Training to involved DOES staff and workforce development partners, who
are responsible for providing a coordinated and collective reemployment service on the
behalf of the affected workers. Rapid Response services are always triggered by a WARN
notice or the receipt of a TAA petition. Potential layoffs that are non-WARN related may also
be acted upon. Expeditious Response is the term used to classify reemployment services
that are provided on the behalf of the affected workers, who are not covered under the
WARN Act. Such services are provided when an employer has a significant level of
discharged workers in relation to the local labor market.
b.
What efforts does the Rapid Response team make to ensure that rapid response services are
provided, whenever possible, prior to layoff date, onsite at the company, and on company
time?
With the permission of the affected employer, a reemployment service orientation is provided
to groups of targeted workers on a scheduled basis. The orientation may be held on-site or
at a location near the affected employer, and is scheduled in consideration of work shift
compatibility.
c.
What services are included in Rapid Response activities? Does the Rapid Response team
provide workshops or other activities in addition to general informational services to affected
workers? How do you determine what services will be provided for a particular layoff
(including layoffs that may be trade-affected)?
The sessions are coordinated by the local Rapid Response Specialist and are presented in
conjunction with the involved Workforce New York partners. When appropriate, the
standardized Expeditious Response/Rapid Response PowerPoint presentation is used during
the orientation. The content for each session is as follows:

One-Stop Operating System registration form completion if the information has not been
received and data entered in advance of the orientation
New York State Plan
74







Needs assessment survey completion to determine a customized re-employment service
plan if the surveys have not been received in advance of the orientation
Issuance of the Your Team for Finding the Next Job brochure that clearly outlines the
services available to targeted workers
Description of the services available at the local One-Stop Career Centers:
 Contact information (telephone number/address) and hours of operation for nearby
One-Stop Career Centers or New York State Department of Labor Local Offices
 Employment referrals
 New York’s Job Bank
 Resource Rooms
 Copiers
 Fax machines
 PCs with Internet access and related software programs (resume, cover letter
and career exploration guidance)
 Telephones
 Business directories
 Business magazines
 Job search coaching guides
 Newspapers
 Scheduled workshops that are designed to assist affected workers to find their next
jobs. Some of the more popular topics are entitled: Resume Development, Finding
the Hidden Job Market, and Successful Employment Interview Tips. Registration
instruction is also provided as to how an affected worker would register for specific
workshops in each of the nearby One-Stop Career Centers.
 Career counseling to assist the affected worker with the identification of transferable
skills that can expand job search options
 Community service information (child care, public transportation, healthcare, credit
counseling, etc.) and the appropriate referral(s)
 Vocational training programs and related financial aid assistance sources that are
available to certified Dislocated Workers for improving future employment prospects
Customized local Labor Market Information that encourages consideration of career
paths and related occupations for viable employment opportunities in the local labor
market. The following related on-line tools and resources are also highlighted:
 CareerZone
 Company Expansions & Contractions
 Employment in New York State newsletter
 Occupational projections
 Occupations Licensed & Certified in New York State
 Occupational wages
 Job Seeker’s Guide to Industries
 New York State Business Directory
 Skills Profiler
Information on how to file an Unemployment Insurance original claim. An emphasis is
placed on the convenience of filing and later certifying for benefits on-line.
Information about TAA, when appropriate.
With permission from the affected employer, the following services may also be
offered to targeted workers while they are currently employed:
 Presentations from employers that possess compatible job openings concerning the
skills required, pay rates and benefits available. An employment referral process to
these interested employers is established on the behalf of the affected workers.
 A Resource Room can be established on-site or at a nearby location to provide direct
job search assistance similar to that which is provided at the One-Stop Career
Center.
 Affected worker resumes can be scanned into a CD for a targeted mailing to industrycompatible local companies.
New York State Plan
75

A targeted job fair, inviting companies with comparable job openings for
consideration, can also be conducted on the behalf of the affected workers
3. How does the State ensure a seamless transition between Rapid Response services and OneStop activities for affected workers?
A seamless transition between Rapid Response and One-Stop activities is ensured by the
presence of local Rapid Response teams in each LWIA that follow established Rapid Response
service delivery procedures. The team approach has been designed to ensure that open and
rapid communication among partners occurs with frequent e-mail updates. Standardized forms,
brochures, and a presentation “shell” have been developed to ensure a consistent information
gathering and presentation format is used statewide. The team customizes its presentation and
handouts to reflect the local community and labor market, and determines the appropriate mix of
services to offer based upon a thorough assessment of customer needs (both employer and
workers) and the resources that are available. New York’s Rapid Response program is totally
focused on connecting employers and workers to One-Stop system services. Additional
resources are requested, if it is determined that local resources are not adequate.
4. Describe how Rapid Response functions as a business service? Include whether Rapid
Response partners with economic development agencies to connect employees from companies
undergoing layoffs to similar companies that are growing and need skilled workers? How does
Rapid Response promote the full range of services available to help companies in all stages of
the economic cycle, not just those available during layoffs? How does the State promote Rapid
Response as a positive, proactive, business-friendly service, not only a negative, reactive
service?
Employers are encouraged to consult NYSDOL, the LWIB, and local/regional economic
development officials for assistance in developing a layoff aversion strategy, which may include
one or more of the following approaches:
 Skills scan of employees
 Use of Labor/Management Committees (where appropriate)
 Skills upgrading
 Classroom or consultant based training
 Employee Stock Option Purchase
 Shared Work Program
 Solicitation of a buyer through economic development partners
To assist companies interested in layoff aversion, the State has established a grant program to
make funding available to support layoff aversion training activities. All Rapid Response partners
are aware of the availability of this grant, which is posted on the Workforce New York website.
As indicated earlier, the State is also poised to offer Expeditious Response services to employers
when there are early indicators that they are struggling to maintain their workforce. Contacts with
these employers often present an opportunity to engage in layoff aversion discussions and
ensure connections are made with local economic development officials. Leads for Expeditious
Response are identified through the network of partners, such as State/local economic
development agencies, the New York State AFL-CIO, the New York State Association of
Counties, WIB Directors, and One-Stop Center Operators. Information about these employers is
shared on a confidential basis for the sole purpose of offering early intervention and support.
Often these struggling employers are grateful for the support and information that is provided to
them.
When layoffs cannot be averted, the dialogue with partners, including business organizations and
economic development agencies, is maintained, for the purpose of receiving recommendations
concerning new and expanding companies that may be interested in hiring the affected workers.
New York State Plan
76
These companies are invited to participate in any planned employment projects on the behalf of
the affected workers.
5. What other partnerships does Rapid Response engage in to expand the range and quality of
services available to companies and affected workers and to develop an effective early layoff
warning network?
Advance notice concerning potential layoffs is often secured through the routine, open
communication channels that have been cultivated with various business organizations. These
organizations can also be a source of valuable information concerning new and expanding
companies that may be interested in hiring the affected workers. Some examples of such
organizations are as follows:





Business Council of New York State, Inc.
Chamber Alliance of New York State
Chamber of Commerce – local entities
Job Service Employer Committee – local chapters
Society for Human Resource Management – local chapters
6. What systems does the Rapid Response team use to track its activities? Does the State have a
comprehensive, integrated Management Information System that includes Rapid Response,
Trade Act programs, National Emergency Grants, and One-Stop activities?
The primary system that the Rapid Response program uses to track activities, including One-Stop
activities, is the One-Stop Operating System. Both affected employers and workers are entered
into the system, with special naming conventions which allows NYSDOL to produce a number of
customized local, regional and statewide Rapid and Expeditious Response reports.
The State’s case management system tracks the activities and services offered through the WIA
Title 1-B, Wagner-Peyser, and Trade Act programs. It could be modified to accommodate
services provided as part of a National Emergency Grant, if the need arose. The system does
not have a financial management system component.
7. Are Rapid Response funds used for other activities not described above (e.g., the provision of
additional assistance to local areas that experience increased workers or unemployed individuals
due to dislocation events)?
Yes. Funds are made available for layoff aversion activities with business and industry; prefeasibility studies; and the issuance of supplemental awards to provide additional services to
dislocated workers. The State’s policy for making supplemental awards is revised yearly and
aligned with the availability of funds, current federal expenditure policies, and an analysis of local
enrollments and performance outcomes. Additionally, the State awards contracts to assist in the
provision of on-site Rapid Response information to members of organized labor, and to provide
community-based services information, in addition to the employment services being offered by
the Rapid Response team.
To support these efforts, the State has make over $61 million in Supplemental Dislocated Worker
funds (from State-level Rapid Response allocation) available to local areas over the past four
program years. During this same period, more than $2.8 million has been awarded for Layoff
Aversion activities. Additionally, the New York State AFL-CIO, New York State Association of
Counties, and Consortium for Worker Education have been competitively awarded approximately
$4 million over the past four years to assist with local Rapid Response efforts.
New York State Plan
77
E. Youth. ETA’s strategic vision identifies youth most in need, such as out of school youth, (and those
at risk) youth in foster care, youth aging out of foster care, youth offenders, children of incarcerated
parents, homeless youth, and migrant and seasonal farmworker youth as those most in need of
service. State programs and services should take a comprehensive approach to serving these youth,
including basic skills remediation, helping youth stay in or return to school, employment, internships,
help with attaining a high school diploma or GED, post-secondary vocational training, apprenticeships
and enrollment in community and four-year colleges. (§112(b)(18).)
1.
Describe your State's strategy for providing comprehensive, integrated services to eligible youth,
including those most in need as described above. Include any State requirements and activities
to assist youth who have special needs or barriers to employment, including those who are
pregnant, parenting, or have disabilities. Include how the State will coordinate across State
agencies responsible for workforce investment, foster care, education, human services, juvenile
justice, and other relevant resources as part of the strategy. (§112(b)(18).)
New York State will continue to provide comprehensive services to eligible youth, including those
with special needs and/or barriers to continued education and employment, through the auspices
of Youth Councils, which act in advisory or policy-making capacities to the Local Boards.
In Albany, over a dozen agencies worked together and came to agreement on a State-level MOU
to reflect the special programs and services that each agency contributes to WIA-eligible youth.
This collaboration has resulted in the New York Youth Resource Pack, an inventory of Stateadministered youth programs that assist local areas in providing comprehensive youth services.
Separate matrixes are provided for each program, indicating which program components
correspond to the 10 required WIA youth program elements. Local areas are expected to
leverage these programs to structure their comprehensive youth development-oriented strategies
for servicing eligible youth, including out-of-school youth, those at-risk of dropping out, youth in
foster care, those aging out of foster care, youth offenders, pregnant or parenting youth and
homeless or runaway youth.
This paragraph contains examples of key partner programs that support local systems.
Transitional and Alternative Education Programming is offered through the State Education
Department (SED). SED offers an extensive menu of transitional and alternative education
programming that is targeted to in-school, as well as out-of-school youth (such as General
Education Development (GED) test preparation, alternative high schools, Attendance
Improvement Dropout Prevention, Educationally Related Support Services). The Department
also sponsors work-based learning programs, including the Work Experience and Career
Exploration Program, Career Exploration and Internship Program, and Tech Prep. A host of
Special Education and Vocational Rehabilitation programs help students with disabilities to attain
the academic, career and technical education preparation necessary to be as independent as
possible as adults. Coordination with foster care, welfare, and other youth programs is typically
negotiated locally between schools and service providers. At the State level, Memoranda of
Agreement exist between SED, the Office of Children and Family Services, the Department of
Correctional Services, and the Office of Mental Health outlining specialized services to be
provided to institutionalized and incarcerated youth.
As stated earlier, the Emerging Worker Subcommittee of the SWIB is the State-level body
responsible for setting New York’s integrated vision for serving all youth. Staffed by senior level
employees from the Departments of Labor and Education and the Office of Children and Family
Services, the Subcommittee builds upon the expertise and services of these agencies, and the
contributions of other State and local partners to support local workforce systems.
New York State Plan
78
2.
Describe how coordination with Job Corps and other youth programs will occur. (§112(b)(18)(C).)
There are seven Job Corps Centers in New York State. Local One-Stop systems partner with
Job Corps in a variety of ways, including a staff presence in One-Stop Centers, linked activities at
various locations, Job Corp cross-training with other partners, and the establishment of formal
recruitment links. Job Corps representatives are included on LWIBs and Youth Councils, where
they provide valued input on local policies and practices. The State Office of Children and Family
Services has also worked closely with NYSDOL to develop strong linkages between local Youth
Bureaus and Youth Councils. This effort is consist with the national strategy to make local
workforce programs and services available to most-in-need youth, including out-of-school youth,
those at-risk of dropping out, youth in foster care, those aging out of foster care, youth offenders,
pregnant or parenting youth and homeless or runaway youth.
3.
How does the State Plan to utilize the funds reserved for statewide activities to support the
State’s vision for serving youth? Examples of activities that would be appropriate investments of
these funds include:
a.
utilizing the funds to promote cross agency collaboration;
The Emerging Worker Subcommittee of the SWIB is the State-level body responsible for
setting New York’s integrated vision for serving youth, especially those most-in-need. The
Subcommittee’s membership and functions provide the foundation for effective cross agency
collaboration within the State. Education Commissioner Richard Mills (Co-chair) and Office
of Children and Family Services Commissioner John A. Johnson are prominent
Subcommittee members. In addition, the Subcommittee is staffed by senior level employees
from the State Departments of Labor and Education and the Office of Children and Family
Services. During the past five years, the Subcommittee has promoted broader cross agency
collaboration by, among other activities:

encouraging State and local agencies to leverage available funding through the issuance
of the New York Youth Resource Pack, an inventory of State-administered youth
programs, with separate matrixes indicating whether program components incorporate
any of the 10 required WIA youth program elements;

designating One-Stop Youth Services Points of Contact in each of New York’s 33 LWIAs
to facilitate communications among partner agencies that deliver youth services;

guiding the development of the national Equipped for the Future Work Readiness
Credential, a business-inspired initiative to create a portable certificate documenting that
emerging workers possess the requisite skills to successfully enter the workforce; and

directing the issuance of competitive Requests for Proposals that emphasize
collaborations among education, business and local workforce professionals.
The Challenge Grant RFP, issued by NYSDOL on behalf of the Emerging Work
Subcommittee, provided nearly $1 million to Local Boards to enhance each area’s strategic
system building approach for delivering comprehensive year-round services for youth. These
grants were specifically designed to promote local partner collaborations, by better integrating
partner services, leveraging resources from multiple funding streams, and making
comprehensive youth programming an integral part of local One-Stop systems.
The existing collaborations established by the Subcommittee will continue during the course
of the next two years, as Labor, Education and the Office of Children and Family Services
work with its members to refine and strengthen New York’s vision for serving youth.
New York State Plan
79
b.
demonstration of cross-cutting models of service delivery;
The NYSDOL has issued two RFAs to identity promising practices within LWIAs. Successful
applicants were subsequently rewarded with incentive funds to provide additional financial
support for their exemplary efforts. The following innovative youth programs have been
recognized as cross-cutting examples of promising practices that can be replicated in other
local areas:
Columbia/Greene WIB -- Columbia/Greene developed an innovative approach to address an
unmet need in the local area, concerning the availability of GED programs for out-of-school
youth under the age of 21. The Catskill School District, in cooperation with other workforce
partners, developed instruction formats and program schedules that accommodated the
different learning styles and daily routines of this population.
Dutchess County WIB -- In an effort to better coordinate local youth services, Dutchess
County created the position of Youth Services Navigator to extend the network of youth
development partners, expand the resources available for youth programming, and
explore/implement best practices for youth programming, including a One-Stop delivery
system for youth services.
Town of Hempstead/City of Long Beach -- The Hempstead Works for Youth Initiative
leverages the resources and expertise of local partners to expose low-income youth to higher
education and its relationship to employment. This is accomplished through academic and
occupational learning, exposure to a university setting, and cross-generational mentoring.
Jefferson/Lewis WIB -- In order to foster innovative/comprehensive services for youth,
Jefferson/Lewis initiated a Community Youth Mapping Program, which was conducted by
local youth. The project was undertaken to collect data on available community youth
resources, for the purpose of enhancing local dialogue about the youth delivery system.
Herkimer/Madison/Oneida WIB -- HMO created a Regional Out-of-School Youth Program by
taking competing proposals (submitted in response to the local area's youth provider RFP)
and combining them into one program to cover all parts of the three-county region, for the
purpose of increasing the number of youth returning to school and improving the quality of
the tri-county workforce.
It is anticipated that State Activities funding will support similar initiatives in future, by
recognizing promising practices and encouraging their replication elsewhere in the State.
c.
development of new models of alternative education leading to employment; or
As indicated above, State Activities funding has been used to support innovative education
models that lead to employment. The Columbia/Greene and Herkimer/Madison/Oneida
efforts cited above are prime examples. The Catskill School District’s approach for offering
GED programs in alternative formats, and at times that accommodate non-traditional work
schedules and working parents, is an excellent model for addressing a locally-identified
unmet need. Similarly, HMO’s Regional Out-of-School Youth Program draws from the
strengths of competing local youth providers to devise a unique approach for returning youth
to school. Through successful collaborations between Oneida County Workforce
Development and the Madison-Oneida BOCES, out-of-school youth were identified and
reconnected to the education system. Representatives from both these organizations
presented to the Emerging Worker Subcommittee, who offer to support similar efforts across
the State. Additionally, New York’s community colleges have many successful models of
alternative education leading to employment. The Erie, Finger Lakes, and Corning
community colleges are excellent examples.
New York State Plan
80
d.
development of demand-driven models with business and industry working collaboratively
with the workforce investment system and education partners to develop strategies for
bringing these youth successful into the workforce pipeline with the right skill.
On behalf of the Emerging Worker Subcommittee, NYSDOL issued a RFP entitled, “WIA
Incentive Grant for Businesses to Create or Expand Meaningful Opportunities that Expose
Youth to the Workplace.” Approximately $2.5 million in Statewide Activities funds was
dedicated to this initiative. The Incentive Grant was developed to facilitate effective systems
building opportunities for business, education and Local Boards and Youth Councils to
collaboratively expose youth to real-world demand occupations and employment
experiences. Each eligible applicant was required to form the required partner consortium,
leverage available partner resources, and provide training, worksite career exploration
activities, paid or unpaid internships, paid work experiences and/or employment-related
support services for program participants. It was expected that the experiences gained by
participants would lead to the attainment of a secondary education diploma, gainful
employment, entrance into the military, and/or enrollment in post-secondary education.
Award recipients were expected, and did, serve youth with disabilities, youth at risk of
dropping out, out-of-school youth, and youth involved in the juvenile justice system.
The Incentive Grant is cited as one example of New York’s commitment to develop demanddriven initiatives to collaboratively engage business, education and local workforce systems
to help WIA eligible youth develop the skills necessary to successfully enter the workforce. It
is anticipated that similar strategies will be pursued in the next two years to accomplish the
same objectives.
e. Describe how your State will, in general, meet the Act's provisions regarding youth program
design. [§§112(b)(18) and 129(c)]
As overseen by the Emerging Worker Subcommittee of the State Board and local Youth
Councils, the following narrative provides a general overview of the youth program design
delivered throughout the State.
Youth are introduced to Labor Market Information, resources, services, and other materials
necessary to realize their goals. Suffolk County is an excellent example of how this is
creatively accomplished. The local partners established a Youth Career Center in the same
building as the One-Stop. This is the hub around which all year-round youth activities take
place. The Center is equipped with a computer Resource Room, as well as extensive
information to expose youth to career and educational paths, and job openings. All 10
required elements are provided through local organizations involved in One-Stop system. All
local areas offer youth assistance in decision-making, academic, communication, and study
skills. Youth are advised of the most appropriate types of higher education institutions to
meet their plans. All youth are also made aware that graduation from high school is the most
direct route to higher education. Students are offered assistance with applying for financial
aid in the form of scholarships, grants, and loans.
LWIBs and Youth Councils work closely with school districts to ensure that workforce
investment youth activities complement and reinforce academic and occupational curriculum.
Through both classroom learning and learning experiences at the workplace, such as
apprenticeship, students demonstrate how academic knowledge and skills are applied in the
world-of-work. They gain knowledge about the world-of-work, the gamut of career clusters,
career options, and how to make informed career decisions. Finally, youth are required to
demonstrate a mastery of the SCANS skills that are most critical to success in the workplace.
New York State Plan
81
Once their educational and occupational needs are assessed, the out-of-school population is
enrolled in services tailored to meet their needs. Local Boards, through the use of RFPs,
shape the educational and occupational services offered by local providers. Providers are
charged with raising the literacy, social, and/or technical skills of the youth they serve, so all
youth, regardless of barriers, will successfully get and retain jobs and find career pathways to
greater responsibility and higher wages.
Assessment results are used to develop individual training plans and/or career plans tailored
to the skills, learning styles, and interests of each participant. Youth observe how skills are
transferable to different employment contexts. Youth are also acclimated to the rules and
policies, culture, and technology of the workplace. Youth prepared for unsubsidized
employment are assisted with employer connections, using intermediaries such as local
Chambers of Commerce, industry groups, local One-Stop Centers, and other employer
membership organizations. Local areas also conduct private sector job campaigns and
engage employer members in advocating for youth employment opportunities.
Alternatives to traditional school settings are critical for youth with non-traditional learning
styles and/or those with environmental deficits. Dropouts are encouraged to return to school
or acquire a high school equivalency certificate. Alternative school options are offered with
smaller class sizes, more extensive support services, closer monitoring, and case
management. Case management is used to help youth overcome educational difficulties.
This approach emphasizes positive youth development which builds on assets, both personal
and environmental (family, neighborhood, community), to ensure that no youth falls between
the cracks.
Summer employment opportunities are coordinated with context-based educational services.
These services teach basic skills and SCANS skills and help youth understand the
relationship between what is learned in an educational setting and skills applied on the job.
Linkages are established between summer and year-round education and work to help youth
translate summer successes into longer term employment. Out-of-school youth are provided
summer employment options, as part of the package of services to build educational and
occupational skills for meaningful labor market attachment. Subsidized work experiences
contribute to career and skill development. Youth who participate in unpaid work experiences,
such as job-shadowing, internships, and project and service learning, also realize work-ready
benefits. Where possible, mentors are utilized. In all cases, progress toward agreed-upon
goals in an individual service strategy or career plan are monitored and documented.
Community service and peer-centered activities offer leadership development opportunities.
Wherever SCANS skills are taught and demonstrated, youth practice leadership development
through exercises that build self-esteem, resource management skills, teamwork, problem
solving, and life-skills training such as parenting and work behavior training, evaluation and
continuous improvement. Youth learn to lead responsibly and effectively.
Some youth may only need up-to-date information about the labor market and job
opportunities, with assistance in job placement. NYSDOL's CareerZone is used to provide
direct Internet access to career and education information, utilizing the data in O*NET in a
user-friendly fashion. Occupations, grouped by career clusters, are contained in the
database, and career videos also are available for viewing. Job descriptions, estimated
wages, required education, and job outlooks are detailed. CareerZone is directly linked to
America's Job Bank, as well as resume assistance and other resources for job seekers.
Youth, who based on assessment results need individualized assistance, are referred to
appropriate guidance and counseling resources, including services at local One-Stop
Centers. These comprehensive measures remediate such barriers to education and
employment as chronic behavior problems, attitudinal disengagement, chronic health
New York State Plan
82
problems, language barriers, substance abuse, and others. Ongoing case management is
available for all youth in need.
To remove impediments to training and work experience opportunities, youth are provided
supportive services that include transportation, child and/or dependent care, medical
services, and access to appropriate work attire and work tools, assistive technology or other
reasonable accommodations within the workplace.
The Emerging Worker Subcommittee supports this framework through its mission statement
and articulated priorities. Over the past several years, NYSDOL has issued Incentive,
Challenge and WIA Youth Work Readiness competitive grants, on behalf of the
Subcommittee, to further the objectives stated above and develop promising practices for
replication throughout the State. While the State’s youth program design is well-established
and produces measurable results, efforts are continuously underway to improve programs
and services. Innovative ways to enhance youth programming will be devised and
implemented during the course of this plan.
F. Business Services. (§§112 (a) and 112(b)(2).) Provide a description of the state’s strategies to
improve the services to employers, including a description of how the State intends to:
1. Determine the employer needs in the local areas and on a statewide basis.
The development and implementation of a demand-driven system, with the employer community
as our primary customer, is the mission of the workforce system in New York State. The system
design places a high priority on increasing market penetration, particularly with new businesses
and high-growth industries. This is being accomplished by the development of Business Services
Teams, which are responsible for targeting and reaching out to new and high-growth businesses,
as well as servicing ongoing business customers with quality and consistency. These Teams,
comprised of State, county and local partner staff, are responsible for marketing the One-Stop
system’s business services, providing services to businesses, and ensuring the services meet
customer needs.
Business Services Teams:





target marketing to new businesses and high-growth industries, using direct mail and followup telephone calls to introduce customers to available programs and services;
maintain active membership and participation in local business organizations, such as
Society of Human Resource Management Chapters and local Chambers of Commerce;
develop local Employer Advisory Committees (NYJSEC Chapters) that are able to conduct
local workshops and Human Resource forums, which provide continuing certification credits
to attendees (Certified by the Human Resources Certification Institute) (This has significantly
extended our market penetration into the business and HR community.);
conduct Business Forums at the local level to market local employment and training services
and brief attendees on Labor Market Information (This has increased our local database of
customers for future marketing initiatives.); and
conduct job fairs and on-site recruitments to assist small business, high-growth industries and
targeted populations.
New performance measures have been developed and implemented to assess our effectiveness
in improving services to the business community. The State will continue to monitor those
services closely to identify enhancements. Specialized training has been provided to all DoES
Regional Administrators and Program Directors to help them evaluate the effectiveness of any
changes made.
New York State Plan
83
2. Integrate business services, including Wagner-Peyser Act services, to employers through the
One-Stop system.
In addition, NYSDOL has:




integrated the New York State Job Bank into America’s Job Bank to give business customers
the ability to view resumes and post openings on-line from their home or office, with the
additional advantage of professional referral services by the One-Stop staff;
established a network of Business Services Teams to provide services to companies that
have an established relationship with USDOL’s Business Relations Group;
established “ Match Teams” to identify marketable populations in the local Talent Bank and
communicate that information to marketing representatives, so that they can share the
information as appropriate with business customers; and
established a network of trained Human Resource (HR) Consultants to serve as “technical
experts” concerning HR issues for workforce system staff and the business community.
3. Streamline administration of Federal tax credit programs within the One-Stop system to maximize
employer participation? (20 CFR part 652.3(b), §112(b)(17)(A)(i).)
The One-Stop system has assisted in the growth and development of tax incentive programs
including:






Work Opportunity Tax Credit (WOTC)
Welfare-to-Work Tax Credit (WtWTC)
Empire Zones (EZ)
Empowerment Zones/Renewal Community Employment Incentives
Workers with Disabilities Tax Credit (WDTC)
Earned Income Tax Credit (EITC)
A network of trained regional Tax Credit Specialists serve as tax credit experts to local One-Stop
systems. These individuals enhance the marketing of the incentives and serve as key members
on local Business Service Teams. In addition, NYSDOL has established over 200 agreements
with LWIAs and CBOs to allow them to assist in screening targeted individuals. These
agreements, which clarify the local versus the State role in the process, are reinforced by the
provision of training. The increased outreach provided through this partner network has helped
increase the use of tax credits by businesses.
During the next two years, we plan to use technology to empower business customers to
connect with the local labor force directly (web-based services); conduct specialized marketing
efforts targeted to high-need employers (on-site recruitments) and multiple employers (job fairs);
increase our marketing and market penetration overall; and develop and continuously improve
the tools and information that are used to support the delivery of high-quality services and
programs to business customers.
G. Innovative Service Delivery Strategies (§112(b)(17)(A).)
1. Describe innovative service delivery strategies the State has or is planning to undertake to
maximize resources, increase service levels, improve service quality, achieve better integration or
meet other key State goals. Include in the description the initiative’s general design, anticipated
outcomes, partners involved and funds leveraged (e.g., Title I formula, Statewide reserve,
employer contributions, education funds, non-WIA State funds).
Initially made available in 2001 through WIA Title IB funds, the State developed Promising
Practice grants as an incentive to local areas to develop and submit innovative workforce
development practices. Awards of up to $50,000 each were made in the categories of
New York State Plan
84
Community Investment, Business Services, Local Board Development, One-Stop Partner
Initiatives and Performance/Customer Satisfaction. Fourteen local areas submitted 21 promising
practices; awards of $687,500 were made. In 2003, the second round of Promising Practice
grants were made available, with a particular emphasis on measurable results, in the categories
of Services to Job Seekers, Services to Business Customers, Workforce Development
Partnership Initiatives, Local Board Development, and One-Stop Design and Management. Thus
far, 11 local areas have submitted 20 promising practices and 10 have been awarded $75,000
each. Each promising practice awarded, including step-by-step descriptions of how outcomes
were achieved, is posted on the Workforce New York website (at
www.workforcenewyork.com/promise.html), so that the innovative ideas can be replicated by
other local areas.
Local areas are able to access consultant services through contracts entered into by the State
using WIA Title IB funds. Through a simple on-line request form, LWIBs are eligible to request
services related to: Content and Process Facilitation; Consulting and Coaching; Training and
Presenting; Strategic Planning and Implementation; Performance Management and Analysis; and
Research and Evaluation. Similarly, the State utilizes these consultants for a variety of capacity
building initiatives. Current consultant assignments include assisting a local area in developing
its “State of the Workforce” Report; building partner relations through facilitated meetings and
retreats; and developing a web-based confidentiality training program to be administered to users
of OSOS.
Using WIA State Activities funds, as well as USDOL Technical Assistance and Training (TAT)
grants, the State sponsors numerous capacity building opportunities either directly or through
contractors. Each February, the State and its contractor, NYATEP, co-sponsor a Youth
Academy, which attracts 200-300 participants annually. The Spring and Fall Workforce New York
Conferences attract similar numbers and cover current and emerging workforce issues relevant to
system partners statewide. In 2004, TAT funds were used to hold a two-day WDT staff
development event to further explore integrated program and fiscal monitoring strategies. The
new monitoring guidance for local areas was developed as a result of these discussions.
Over the past several years, the State has developed grant opportunities to address the needs of
large and small businesses in New York State. Eligibility for most grants requires that the
applicant work directly with the LWIB in their local area in submitting applications for grant funds.
In this way, local One-Stop systems are able to potentially increase their business customer base
and business customer retention rate, by identifying and addressing subsequent needs.
2. If your State is participating in the ETA Personal Re-employment Account (PRA) demonstration,
describe your vision for integrating PRAs as a service delivery alternative as part of the State’s
overall strategy for workforce investment.
New York is not a participant in the Personal Re-employment Account (PRA) demonstration.
H. Strategies for Faith-based and Community-Based Organizations (§112(b)(17)(i).) – Reaching those
most in need is a fundamental element of the demand-driven systems goal to increase the pipeline of
needed workers while meeting the training and employment needs of those most at risk. Faith-based
and community organizations provide unique opportunities for the workforce investment system to
access this pool of workers and meet the needs of business and industry. Describe those activities to
be undertaken to: (1) increase the opportunities for participation of faith-based and community
organizations as committed and active partners in the One-Stop delivery system; and (2) expand the
access of faith-based and community-based organizations' clients and customers to the services
offered by the One-Stops in the State. Outline those action steps designed to strengthen State
collaboration efforts with local workforce investment areas in conducting outreach campaigns to
educate faith-based and community organizations about the attributes and objectives of the demanddriven workforce investment system. Indicate how these resources can be strategically and
effectively leveraged in the State's workforce investment areas to help meet the objectives of the
Workforce Investment Act.
New York State Plan
85
New York State, and the local communities that comprise it, have a long and rich tradition of
partnering with faith-based and community-based organizations to serve the common human service
needs of individuals from all walks of life. The President’s Executive Order 13198, and the increased
national emphasis on expanding access to the workforce system and increasing opportunities for
partnering with faith-based and community-based organizations, is serving to enhance the existing
partnerships already in place in New York.
New York will seek to further increase opportunities for participation in the One-Stop system by faithbased and community-based organizations through outreach, technical assistance and guidance to
its Local Boards, One-Stop Operators and partner programs. New York will seek to identify and learn
from existing local partnership models. It will seek feedback on how Local Boards are reaching out to
these organizations and obtaining their input and feedback, as it relates to the policies and services of
the local One-Stop systems, the common goals that the workforce system shares with these
organizations, and how the services of these organizations are being integrated into the system.
New York will seek to build the capacity of all our Local Boards, One-Stop Operators and partner
programs in this area, through targeted training sessions utilizing national and regional consultants,
the dissemination of promising practices and approaches, and the provision of technical assistance
through on-site consultation with Field staff and formal State Workforce System Technical Advisories.
New York State’s goal is to continue to increase the involvement of faith-based and community
based-organizations in the State’s workforce system through the inclusion of input from local
leadership in the operation and oversight of the system. Local faith-based and community-based
leaders offer a crucial perspective on what unemployed and underemployed individuals need to join
the workforce and become self-sufficient. The workforce system can benefit greatly from the
neighborhood credibility and trust that these organizations and their leaders bring to the system.
These organizations can also greatly contribute to the system, by the services that they offer and the
well-developed personal relationships they have with the individuals they serve -- individuals who can
also benefit from further services available through the One-Stop system. Finally, the system can
benefit from the many volunteers, who provide services on behalf of these organizations. The
incorporation of these services into the system will help further leverage limited workforce partner
program resources.
X. State Administration
A. What technology infrastructure and/or management information systems does the State have in
place to support the State and local workforce investment activities such as a One-Stop operating
system designed to facilitate case management and service delivery across programs, a State job
matching system, web-based self service tools for customers, fiscal management systems, etc.?
(§§111(d)(2), 112(b)(1) and 112(b)(8)(B).)
The State supports and makes available OSOS for case management and performance management
purposes, on behalf of the WIA Title 1, Trade Act, Veterans and Wagner-Peyser programs. New
York's Career Zone provides a web-based portal for youth and adult portfolio development and
management. This portal uses as its foundation State and regional labor market information
databases, education providers, and the O*NET database. Finally, the New York Job Bank and
America's Job Bank are among the tools supported by State-level resources to provide job matching
services to job seekers and One-Stop Center staff.
B. Describe the State’s plan for use of the funds reserved for Statewide activities under WIA §128 (a)(1).
The State of New York’s preliminary plan for the use of the 15% State Activities funds is as follows:

5% will be used for State administrative cost pooling;
New York State Plan
86

the remaining 10% will include, but is not limited to, the following activities:
 providing incentive grants to local areas;
 directing technical assistance to local areas that fail to meet performance measures;
 assisting in the establishment and operation of One-Stop delivery systems;
 supporting statewide youth activities as specified in Section 129(b)(2); and
 other required statewide employment and training activities as specified in Section 134(a)(2)(B);
The balance of the State Activities funds will support statewide initiatives, in accordance with
allowable employment and training activities outlined in Section 134(a)(3), including, but not limited
to, incumbent worker training programs, innovative programs for displaced homemakers, and
capacity building throughout the system as exemplified below:
Incumbent Worker Training Programs:
The State has used WIA Statewide Activities funds to establish a number of innovative incumbent
worker training grant programs. Through such grants as Building Skills in New York State,
E-Learning, the High-Tech training grant, Moving New York Forward (Career Ladder), the
Manufacturing training grant, Layoff Aversion, the two Skilled Manufacturing Resource Training
grants, Securing Prosperity for New York’s Workforce and others, the State has awarded over $85
million to thousands of employers to fund training for over 130,000 workers. These grants have
varied widely in their industry and worker focus, means of delivery, types of funding, geographic
concentration, etc. The popularity of these programs among the State’s businesses and local areas
has strengthened the commitment of the New York State Workforce Investment Board to continue
offering a variety of grant opportunities to upgrade worker skills. A key component of the Governor’s
larger economic development plan for 2005-2006 will provide $10 million to fund training for
incumbent workers in the Agribusiness, Biotechnology, Information Technology and Advanced
Manufacturing industries.
Capacity Building Throughout the System:
The State awarded $980,000 to organizations to aid NYSDOL in capacity building for workforce
development professionals; made $450,000 available to secure workforce development consultants
to provide statewide training to these individuals; and increased the pool of consultants to provide
statewide technical assistance, training and capacity building to workforce development
professionals.
C. Describe how any waivers or workflex authority (both existing and planned) will assist the State in
developing its workforce investment system. (§§189(i)(1), 189 (i)(4)(A), and 192).)
New York State will continue to examine potential options to request individual waivers, in
accordance with the flexibility provisions contained under WIA. We do not anticipate pursuing
approval as a workflex state at this point in time.
D. Performance Management and Accountability. Improved performance and accountability for
customer-focused results are central features of WIA. To improve, states need not only systems in
place to collect data and track performance, but also systems to analyze the information and modify
strategies to improve performance. (See Training and Employment Guidance Letter (TEGL) 15-03,
Common Measures Policy, December 10, 2003.) In this section, describe how the State measures
the success of its strategies in achieving its goals, and how the State uses this data to continuously
improve the system.
1. Describe the State’s performance accountability system, including any state-system measures
and the state’s performance goals established with local areas. Identify the performance
indicators and goals the State has established to track its progress toward meeting its strategic
goals and implementing its vision for the workforce investment system. For each of the core
indicators, explain how the State worked with local boards to determine the level of the
New York State Plan
87
performance goals. Include a discussion of how the levels compare with the State’s previous
outcomes as well as with the State-adjusted levels of performance established for other States (if
available), taking into account differences in economic conditions, the characteristics of
participants when they entered the program and the services to be provided. Include a
description of how the levels will help the State achieve continuous improvement over the two
years of the Plan. [§§112(b)(3) and136(b)(3)]
NYSDOL has developed a tool called LWIA Management Reports (LWIA-MR), which allows
LWIAs to review participant information that they have entered into New York State’s One-Stop
Operating System. It also provides NYSDOL staff a means to monitor the progress of LWIAs in
enrolling participants and providing services. The LWIA-MR allows staff to obtain reports on a
wide range of criteria, such as customers, services, providers, specific time periods, specific
cohorts of participants (Adults, Dislocated Workers, Youth), registrants or exiters, etc. It also
allows staff to design a report with only the elements they select. All of the reports provide
information on total numbers of participants and allow the user to select an element in the report
and obtain a list of those participants.
NYSDOL prepares WIA Quarterly Reports for each LWIA, similar to the required Quarterly
Reports for the State. Accompanying the reports are lists of individuals and their outcomes for
each of the performance measures. These reports allow LWIA and Department staff to track their
progress toward meeting their performance goals throughout the year, and to identify which
individuals are contributing to the LWIAs meeting their goals.
2. Describe any targeted applicant groups under WIA Title I, the Wagner-Peyser Act or Title 38
Chapters 41 and 42(Veterans Employment and Training Programs) that the State tracks.
[§§111(d)(2), 112(b)(3) and 136(b)(2)(C)]
To meet federal ES reporting requirements, New York tracks Veterans, Migrant Seasonal Farm
Workers, Eligible UI Claimants, as well as Persons with Disabilities (based on voluntary
disclosure). Veterans are tracked by category, as required for federal ETA 9002 reporting (total
Veterans and Eligible Persons, Campaign Badge Veterans, Transitioning Veterans, Disabled
Veterans, and Special Disabled Veterans).
NYSDOL‘s Veterans’ Program reports quarterly to USDOL Veterans’ Employment and Training
Service (VETS) on the following performance measures:
For DVOPS
For All Veterans
 Entered Employment Rate
 Entered Employment Rate for Staff-Assisted Services
 Entered Employment Rate after Case Management Services
 Employment Retention Rate
For Disabled and Special Disabled Veterans
 Entered Employment Rate
 Entered Employment Rate for Staff-Assisted Services
 Entered Employment Rate after Case Management Services
 Employment Retention Rate
For LVERs
For All Veterans
 Entered Employment Rate
 Entered Employment Rate for Staff-Assisted Services
 Employment Retention Rate
New York State Plan
88
For Disabled and Special Disabled Veterans
 Entered Employment Rate
 Entered Employment Rate for Staff-Assisted Services
 Employment Retention Rate
For Recently Separated Veterans
 Entered Employment Rate
 Entered Employment Rate for Staff-Assisted Services
 Employment Retention Rate
In addition, we anticipate performance goals for LVERs will include measurements regarding
employer outreach.

The New York State Veterans’ Program Administration works, in conjunction with USDOL, to
ensure that we meet or exceed all provisions of the agreement reached between the
Secretary, Veterans Employment and Training Services and the State, regarding veterans’
employment and training programs. Our initiatives include fully integrating the services
provided by DVOPS and LVERs with the services provided by partner agencies to optimize
and ensure priority of service for veterans and other eligible persons.
3. Identify any performance outcomes or measures in addition to those prescribed by WIA and what
process is the State using to track and report them?
In November 2002, the SWIB created a System Integration Subcommittee for implementation of
system indicators across New York State LWIAs. The purpose of the system indicators was to
build upon the report entitled “System Indicators, 11/12/2002,” which was adopted by the SWIB.
Implementation of system indicators is intended to measure how well the workforce system is
developing, integrating, continuously improving and responding to community needs, beyond
program measures already established by federal agencies. The implementation plan focuses on
compiling and understanding the underlying data necessary to develop the following system
indicators:






Market Penetration Indicators
Business Customer Market Penetration Indicator
Individual Customer Market Penetration Indicator
Business Customer Repeat Usage Indicator
Total System Investment Indicator
Customer Satisfaction Indicator
In July 2003, NYSDOL, under the direction of the SWIB, implemented a statewide Swipe Card
system to capture One-Stop Center activity, especially those individuals receiving basic Core
services. The Swipe Card system is a tool that provides One-Stop Centers and Local Boards
with the data necessary to make programmatic and financial determinations geared toward
system improvement. Additionally, Swipe Card reports enable local and State management to
better assess the volume of services, customer flow, and system use.
4. Describe the State’s common data system and reporting processes in place to track progress.
Describe what data will be collected from the various One-Stop partners (beyond that required by
DOL), use of quarterly wage records (including how your State accesses wage records), and how
the Statewide system will have access to the information needed to continuously improve.
(§112(b)(8)(B).)
NYSDOL has selected the One-Stop Operating System as its case management/WIA reporting
system. At the current time, 24 of the 33 LWIAs are using OSOS as its WIA reporting system.
New York State Plan
89
As New York State moves to meet the new common measures provision, we anticipate the
remaining non-OSOS areas to explore using the OSOS system as their new WIA reporting
system. Even where the LWIA does not use OSOS, the local areas have been converting their
reporting data into a Workforce Investment Act Standardized Record Data (WIASRD) file format
to meet WIA reporting requirements.
NYSDOL has also developed a Local Workforce Investment Area Management Report database
where OSOS areas can evaluate performance. This real-time performance tool, with many
dropdown features, has been providing the LWIA’s a mechanism to review and analyze
performance at the touch of a button. For those LWIA’s not using OSOS, management reports
must be provided from their participant reporting system on a regular basis.
NYSDOL uses the UI wage records maintained by the New York State Department of Taxation
and Finance. Individuals exiting from WIA services are matched to these wage files on a
quarterly basis, for the purpose of determining performance measures at the local and State
levels. The performance measures data is shared with the locals for their use in achieving
continuous improvement for both service delivery and outcomes accountability.
5. Describe any actions the Governor and State Board will take to ensure collaboration with key
partners and continuous improvement of the statewide workforce investment system.
[(§§111(d)(2) and112(b)(1)]
The Governor, with the assistance of the State Board, develops the comprehensive State
performance measures and provides feedback to Local Boards. Consultation among all partners
at both State and local levels will be an integral part of the development of the performance
system to ensure collaboration and continuous improvement. Incentive awards will be
considered to reward local areas that meet State performance goals and are able to effectively
integrate services within their One-Stop systems.
Capacity building efforts and technical assistance will be provided by NYSDOL, as directed by the
Governor and State Board, to enhance collaboration and continuous improvement in the local
One-Stop systems. The Department also has developed a Workforce New York website to
communicate Technical Advisories, technical assistance, best practices, and workforce-related
information to all workforce development partners.
6. How do the State and local boards evaluate performance? What corrective actions (including
sanctions and technical assistance) will the State take if performance falls short of expectations?
How will the State and Local Boards use the review process to reinforce the strategic direction of
the system? [§§111(d)(2), 112(b)(1), and 112(b)(3)]
The State and Local Boards will evaluate performance by monitoring the progress of partners
and local areas in achieving their performance standards. Analytical capability and reports
have been established for quarterly review of the core indicators throughout the program year.
If performance in any LWIA falls short of expectations (standards), New York expects to take
the following steps:





identify local area(s) that are under-performing;
identify factors contributing to the under-performance of the standard(s);
provide Technical Assistance that may include development of a performance improvement
plan or modified local plan (Technical Assistance might also include reviewing intake,
eligibility, assessment, placement with appropriate recommendations for change.);
advise the local area that it is ineligible for incentive awards, until its performance meets
expectations;
consider corrective actions for successive failures, including:
 appointment and certification of a new Local Board;
New York State Plan
90


prohibition of the use of particular service providers or One-Stop partners that have been
identified as achieving poor levels of performance; and/or
other appropriate measures, as deemed necessary, to improve the performance of the
local area.
The State will further use the information from reviewing and monitoring programs to assure that
the State's Workforce Development System is achieving its strategic vision and goals.
7. What steps has the State taken to prepare for implementation of new reporting requirements
against the common performance measures as described in Training and Employment Guidance
Letter (TEGL), 15-03, December 10, 2003, Common Measures Policy? In addition, what is the
State’s plan for gathering baseline data and establishing performance targets for the common
measures? NOTE: ETA will issue additional guidance on reporting requirements for common
measures.
The State has extensively analyzed USDOL’s Common Measures Policy (TEGL # 15-03) and
determined that the State’s WIA reporting system (America’s One-Stop Operating System
(AOSOS)) is already capturing much of the data necessary to calculate the Common Measures,
with the exception of the youth literacy and numeracy measure. Beginning July 1, 2004, the
State’s WIA reporting system was modified to allow for collecting literacy and numeracy for
Program Year 2004. The functionality of AOSOS was further enhanced to assist states in
capturing common measures data.
The State will continue working with the OSOS consortium of States in formulating a framework
to meet all the reporting requirements for USDOL’s Common Measures Policy and ETA
Management Information and Longitudinal Evaluation (EMILE).
The State issued Technical Advisory #05-2 in February 2005, to the LWIAs that do not use OSOS
as their WIA reporting system. The TA advises LWIAs of their responsibility to ensure that their
proprietary system(s), used to generate State and federal reports for employment and training
programs, comply with USDOL’s Common Measures Policy and EMILE Reporting requirements.
A local area that decides not to convert to OSOS will be required to develop a detailed plan,
addressing how their proprietary reporting system will be brought into compliance with the
requirements of Common Measures/EMILE reporting. The completed compliance plan will be
due to NYSDOL by July 1, 2005.
New York State Plan
91
8. Include a proposed level for each performance measure for each of the two program years
covered by the Plan. While the plan is under review, the State will negotiate with the respective
ETA Regional Administrator to set the appropriate levels for the next two years. States must
identify the performance indicators required under section 136, and, for each indicator, the State
must develop an objective and quantifiable performance goal for two program years. States are
encouraged to address how the performance goals for local workforce investment areas and
training provides will help them attain their Statewide performance goals. (§§112(b)(3) and 136.)
New York’s proposed performance standards for Program Years 2005 and 2006 are listed below:
New York State WIA Core Performance Measures
Proposed Standards for Program Years 2005 & 2006
PY 2005
Proposed
Performance
Standards
PY 2006
Proposed
Performance
Standards
Adult Entered Employment Rate
72%
73%
Adult Retention Rate
81%
82%
$2,650
$2,700
62%
63%
Disloc Wkrs Entered Employment Rate
80%
81%
Disloc Wkrs Retention Rate
88%
89%
-$2,300
-$2,250
54%
55%
Older Youth Entered Employment Rate
64%
65%
Older Youth Retention Rate
77%
78%
$2,900
$2,950
44%
45%
Younger Youth Skill Attainment Rate
71%
72%
Younger Youth Diploma/GED Rate
44%
45%
Younger Youth Retention Rate
48%
49%
Customer Satisfaction - Participants
73%
74%
Customer Satisfaction - Employers
70%
71%
Program / Performance Measure
Adult Program
Adult Earnings Change
Adult Credential & Employment Rate
Dislocated Worker Program
Disloc Wkrs Earnings Replacement
Disloc Wkr Credential & Employ. Rate
Older Youth Program
Older Youth Earnings Change
Older Youth Credential Rate
Younger Youth Program
Customer Satisfaction
New York State Plan
92
E. Administrative Provisions
1. Provide a description of the appeals process referred to in §116(a)(5)(m).
As stated in Section VIII (A) (3) of this Plan, New York has not received any appeals of local area
designations nor are any anticipated, since all such requests were approved. Nonetheless, an
appeals process has been established should it be needed. This process is detailed in the
section noted above.
2. Describe the steps taken by the State to ensure compliance with the non-discrimination
requirements outlined in §188.
The State’s compliance with the equal opportunity and non-discrimination provisions of Section
188 of WIA, and the attendant regulations in 29 CFR Part 37, is documented in its Methods of
Administration (MOA). The MOA is a three-volume set, consisting of an introduction and nine
elements, that describes the actions the State takes to ensure that its WIA Title I financially
assisted programs, activities and recipients are complying with the non-discrimination and equal
opportunity requirements of the Act. The State-level Equal Opportunity Officer (EOO) directs the
statewide development, implementation, evaluation and monitoring of equal employment
opportunity and affirmative action plans, and programs for all NYSDOL operating units, training
programs, and State contractors.
Initial policy guidance concerning the implementation of Section 188 of the Act, provided in 2001,
has been refined and clarified through subsequent Technical Advisories. NYSDOL and the Civil
Rights Center held a joint training opportunity in 2002 for WIB Directors, One-Stop Operators and
others to familiarize them with their obligations under Section 188 and 29 CFR 37, and to inform
them of the uniform discrimination complaint procedure, for Title I recipients under the State’s
MOA. Technical Advisory #02-6 provided the details of the complaint procedure, including the
opportunity for mediated dispute resolution. Technical Advisory #02-5 was issued to provide
LWIAs and, other recipients of WIA funds, with the standards and procedures for corrective
actions and/or sanctions to be applied in instances of violations of Section 188 and 29 CFR 37.
Each LWIA has designated a local WIA EOO, according to the guidance provided in Technical
Advisory # 01-12, assuring that local EOOs are senior-level employees who are able to prioritize
and adequately accomplish the responsibilities of the EOO officer. Additionally, each Chief Local
Elected Official and LWIB Chair has, by virtue of an addendum to their Local Plans, agreed to
comply with Section 188 and incorporate applicable assurances into the Memoranda of
Understanding with One-Stop partners (Technical Advisory #02-7).
XI. Assurances
1. The State assures that it will establish, in accordance with section 184 of the Workforce
Investment Act, fiscal control and fund accounting procedures that may be necessary to ensure
the proper disbursement of, and accounting for, funds paid to the State through the allotments
made under sections 127 and 132. (Sec. 112(b)(11).)
2. The State assures that it will comply with section 184(a)(6), which requires the Governor to, every
two years, certify to the Secretary, that-a. The State has implemented the uniform administrative requirements referred to in section
184(a)(3);
b. The State has annually monitored local areas to ensure compliance with the uniform
administrative requirements as required under section 184(a)(4); and
c. The State has taken appropriate action to secure compliance with section 184 (a)(3) pursuant
to section 184(a)(5). (Sec. 184(a)(6).)
3. The State assures that the adult and youth funds received under the Workforce Investment Act
will be distributed equitably throughout the State, and that no local areas will suffer significant
shifts in funding from year to year during the period covered by this Plan. (Sec. 112(b)(12)(B).)
New York State Plan
93
4. The State assures that veterans will be afforded employment and training activities authorized in
section 134 of the Workforce Investment Act, and the activities authorized in chapters 41 and 42
of title 38 U.S. code. The State assures that it will comply with the veterans priority established in
the Jobs for Veterans Act. (38 U.S.C. 4215).)
5. The State assures that the Governor shall, once every two years, certify one local board for each
local area in the State. (Sec. 117(c)(2).)
6. The State assures that it will comply with the confidentiality requirements of section 136(f)(3).
7. The State assures that no funds received under the Workforce Investment Act will be used to
assist, promote, or deter union organizing. (Sec. 181(b)(7).)
8. The State assures that it will comply with the nondiscrimination provisions of section 188,
including an assurance that a Methods of Administration has been developed and implemented
(Sec. 188.)
9. The State assures that it will collect and maintain data necessary to show compliance with the
nondiscrimination provisions of section 188. (Sec. 185.).
10. The State assures that it will comply with the grant procedures prescribed by the Secretary
(pursuant to the authority at section 189(c) of the Act) which are necessary to enter into grant
agreements for the allocation and payment of funds under the Act. The procedures and
agreements will be provided to the State by the ETA Office of Grants and Contract Management
and will specify the required terms and conditions and assurances and certifications, including,
but not limited to, the following:
General Administrative Requirements:
[cir] 29 CFR part 97--Uniform Administrative Requirements for State and Local Governments
(as amended by the Act).
[cir] 29 CFR part 96 (as amended by OMB Circular A-133)--Single Audit Act.
[cir] OMB Circular A-87--Cost Principles (as amended by the Act).
Assurances and Certifications:
[cir] SF 424 B--Assurances for Non-construction Programs.
[cir] 29 CFR part 37--Nondiscrimination and Equal Opportunity Assurance (and regulation) 29
CFR 37.20.
[cir] CFR part 93--Certification Regarding Lobbying (and regulation).
[cir] 29 CFR part 98--Drug Free Workplace and Debarment and Suspension Certifications
(and regulation).
Special Clauses/Provisions:
Other special assurances or provisions as may be required under Federal law or policy,
including specific appropriations legislation, the Workforce Investment Act, or subsequent
Executive or Congressional mandates.
11. The State certifies that the Wagner-Peyser Act Plan, which is part of this document, has been
certified by the State Employment Security Administrator.
12. The State certifies that veterans' services provided with Wagner-Peyser Act funds will be in
compliance with 38 U.S.C. chapter 41and 20 CFR part 1001.
13. The State certifies that Wagner-Peyser Act-funded labor exchange activities will be provided by
merit-based public employees in accordance with DOL regulations.
14. The State assures that it will comply with the MSFW significant office requirements in accordance
with 20 CFR part 653.
15. The State certifies it has developed this Plan in consultation with local elected officials, local
workforce boards, the business community, labor organizations and other partners.
16. As a condition to the award of financial assistance from the Department of Labor under title I of
WIA, the grant applicant assures that it will comply fully with the nondiscrimination and equal
opportunity provisions of the following laws:
--
Section 188 of the Workforce Investment Act of 1998 (WIA), which prohibits discrimination
against all individuals in the United States on the basis of race, color, religion, sex, national
origin, age, disability, political affiliation or belief, and against beneficiaries on the basis of
New York State Plan
94
-----
either citizenship/status as a lawfully admitted immigrant authorized to work in the United
States or participation in any WIA title I--financially assisted program or activity;
Title VI of the Civil Rights Act of 1964, as amended, which prohibits discrimination on the
bases of race, color and national origin;
Section 504 of the Rehabilitation Act of 1973, as amended, which prohibits discrimination
against qualified individuals with disabilities;
The Age Discrimination Act of 1975, as amended, which prohibits discrimination on the basis
of age; and
Title IX of the Education Amendments of 1972, as amended, which prohibits discrimination
on the basis of sex in educational programs.
The grant applicant also assures that it will comply with 29 CFR part 37 and all other regulations
implementing the laws listed above. This assurance applies to the grant applicant's operation of
the WIA title I--financially assisted program or activity, and to all agreements the grant applicant
makes to carry out the WIA title I--financially assisted program or activity. The grant applicant
understands that the United States has the right to seek judicial enforcement of this assurance.
17.
The State assures that funds will be spent in accordance with the [[Page 19219]] Workforce
Investment Act and the Wagner-Peyser Act and their regulations, written Department of Labor
Guidance implementing these laws, and all other applicable Federal and State laws and
regulations.
New York State Plan
95
Program Administration Designees and Plan Signatures
Name of WIA Title I Grant Recipient Agency:
New York State Department of Labor
Address: New York State Department of Labor, Governor W. Averell Harriman State Office
Building Campus, Building 12, Room 500, Albany, New York 12240
Telephone Number: (518) 457-2746
Facsimile Number: (518) 457-6908
E-mail Address: Leslie.McDonald@labor.state.ny.us
Name of State WIA Title I Administrative Agency (if different from the Grant Recipient): Same as above.
Address:
Telephone Number:
Facsimile Number:
E-mail Address:
Name of WIA Title I Signatory Official:
Linda Angello, Commissioner
Address: New York State Department of Labor, Governor W. Averell Harriman State Office
Building Campus, Building 12, Room 500, Albany, New York 12240
Telephone Number: (518) 457-2746
Facsimile Number: (518) 457-6908
E-mail Address: Leslie.McDonald@labor.state.ny.us
Name of WIA Title I Liaison:
Margaret M. Moree, Director, Workforce Development and Training Division
Address: New York State Department of Labor, Governor W. Averell Harriman State Office
Building Campus, Building 12, Room 450, Albany, New York 12240
Telephone Number: (518) 457-0380
Facsimile Number: (518) 457-9526
E-mail Address: Margaret.Moree@labor.state.ny.us
Name of Wagner-Peyser Act Grant Recipient/State Employment Security:
New York State Department of Labor
Address: New York State Department of Labor, Governor W. Averell Harriman State Office
Building Campus, Building 12, Room 500, Albany, New York 12240
Telephone Number: (518) 457-2746
Facsimile Number: (518) 457-6908
E-mail Address: Leslie.McDonald@labor.state.ny.us
Name and title of State Employment Security Administrator (Signatory Official):
Karen Papandrea, Director, Division of Employment Services
Address: New York State Department of Labor, Governor W. Averell Harriman State Office
Building Campus, Building 12, Room 576, Albany, New York 12240
Telephone Number: (518) 457-3584
Facsimile Number: (518) 485-1727
E-mail Address: Karen.Papandrea@labor.state.ny.us
As the Governor, I certify that for the State/Commonwealth of New York, the agencies and officials
designated above have been duly designated to represent the State/Commonwealth in the capacities
indicated for the Workforce Investment Act, title I, and Wagner-Peyser Act grant programs. Subsequent
changes in the designation of officials will be provided to the U.S. Department of Labor as such changes
occur.
New York State Plan
96
I further certify that we will operate our Workforce Investment Act and Wagner-Peyser Act programs in
accordance with this Plan and the assurances herein.
Typed Name of Governor: George E. Pataki
Signature of Governor:________________________________________________________________
Date:______________________________________________________________________________
New York State Plan
97
Appendix A – Public Comment
Public Comment on
“Two Years of the Strategic Five Year State Plan for Title 1 of the Workforce Investment Act and the
Wagner-Peyser Act”
Submitted by Chancellor Robert L. King
May, 2005
Having read this NYSDOL report, The State University strongly believes that the entire effort by NYS
could be greatly enhanced by broader and more effective use of SUNY. We believe that fundamental
restructuring of New York’s activities in this regard should result in actively incorporating SUNY’s
resources in both planning and delivering high quality training and education. At the core of this view is a
belief that current practices are short sighted, yielding short term results falling far short of the state’s
needs for a skilled, versatile workforce, and individual needs for positive career opportunities and
reasonable income potential. Our specific concerns and recommendations follow.
SUNY has many programs that provide a critical link in New York’s workforce development system. This
is particularly true of SUNY’s community colleges, colleges of technology and its Educational Opportunity
Centers. For workers and employers to prosper, when skill needs are constantly changing, a strong
foundation of knowledge is crucial, and SUNY plays a key role in educating and training thousands of
New York’s residents for success in our rapidly changing economy. The draft State Plan, while a
response to federally determined questions, does not make use of SUNY. In general, there is not enough
emphasis on education and training that provides a basis for a lifetime of work and the need to expand
the number of citizens that are served by the workforce system.
The State University of New York desires to better leverage the expertise and resources of its thirty
community colleges, colleges of technology and Educational Opportunity Centers for maximum impact in
the New York State strategy to transform its economy and develop the State’s workforce of the 21 st
Century. In light of Federal calls for workforce investment reform and a desire for greater emphasis on
the value of community college-based workforce development delivery, SUNY can demonstrate that its
institutions of higher education can and should play a critical role in the State’s economic and workforce
development policy. Furthermore, utilization of the significant resources of the State University of New
York in trainers and facilities will help to ensure that New York State leads reform and attracts its full
share of workforce investment dollars.
The following specific references are made to strengthen the response from NYSDOL.
Page 2: point I. A. Three of these Centers for Excellence are part of SUNY.
Page 3: point I. C. This answer does not clearly state the Governor’s vision. Specific examples should
be included to make the long term success happen, such as having more people enter the workforce with
appropriate skills. The system of creative incentives needs to be defined.
Page 4: point I. E. Since many SUNY institutions already have systems in place to grant prior learning
credit for previous learning, the LWIB should partner with SUNY so there will not be duplication of effort.
Individual colleges with this expertise, should be brought in as partners.
Page 5: point II. 4. We agree there should be continued support for career and technical education and
this should be through SUNY. There needs to be more investment of funds in this area. The Strategic
Training Alliance Program (STRAP) should be reinstated.
New York State Plan
98
Page 6: point II. 4. Post-secondary education opportunities do need to be aggressively supported. One
of the things that community colleges do is to reach out and help businesses to participate in the DOL
programs. Yet the colleges themselves are ineligible to apply for funding. This should be changed to
allow colleges to take the appropriate lead to assist businesses.
Page 8: point III A. 2. In the discussion of how the agencies involved in the public workforce investment
system interrelate, there should be mention of SUNY’s role. SUNY has a long, established, and proven
track record of effectiveness in the design and delivery of workforce education and training. Its
institutions and faculty offer unparalleled experience and expertise in the instruction of diverse
populations, including the State’s emerging and incumbent workers. Its constantly evolving programs are
designed to meet the current and projected needs of business and industry in the State.
Page 24: point IV. I. Needs to have a bullet point citing the need for more focus on accessibility for
training to increase the skills of the workforce in high demand areas.
Page 25: point V.A. Even more duplication could be eliminated by utilizing the SUNY system and its
community colleges to provide services.
Page 26: point V. C. Again, these are SUNY Centers of Excellence.
Page 27: point V.C. SUNY has many examples of innovative projects. Here are three:
o
Onondaga Community College – Lean Manufacturing
The Onondaga Community College Lean Manufacturing Institute (LMI) was formed as a collaborative
effort between County government, the manufacturing/business community and higher education to
ensure that the skills of the local workforce in Central New York can meet or exceed the demands of
today’s competitive global marketplace. The LMI offers the manufacturing core of Onondaga County the
opportunity and ability to remain on the cutting edge of innovation in manufacturing processes through
training and educating students and incumbent workers on state-of-the-art equipment and in state-of-theart lean methods. The LMI also provides manufacturing enterprises a venue for testing new equipment,
demonstrating new techniques, and studying technology transfer options. It is a showplace for
conducting industry training seminars and conferences.
o
Monroe Community College – Automotive
Monroe Community College’s Automotive Technology associate’s degree program combines on-the-job
training with classroom instruction to prepare students for careers as automotive technicians. All students
enrolled in MCC’s automotive technologies program complete hands-on training in the field. Working with
its industry partners, the college incorporates satellite uplinks and web-based diagnostic tools from
manufacturers, thereby ensuring that students learn the most relevant and up-to-date information
available. MCC’s Lexus/Toyota Automotive Technician Training has twice been named one of the top
five training programs in the country by Toyota Motor Sales, USA Inc. MCC is NATEF (National
Automotive Technicians Education Foundation Inc.) certified and its automotive technology instructors are
fluent in defining the career ladders and corresponding competency models. MCC’s Office of Workforce
Development has also been successful in delivering training in a variety of specialized topics customized
to the needs of the automotive service community.
o
Cayuga Community College – Geospatial
The NASA-sponsored Institute for the Application of Geospatial Technology at Cayuga Community
College (IAGT) is a non-profit organization dedicated to accelerating the application of geospatial
technology including remote sensing, the Global Positioning System (GPS), and computerized
Geographic Information Systems (GIS) – across government, education, and commercial sectors.
Working together, IAGT and the associate degree program in GIS at Cayuga Community College provide
career ladder training and practical intern experience to those pursuing the knowledge necessary to enter
New York State Plan
99
the workforce, to those seeking to upgrade skill levels, and to those who desire the education required to
assume new jobs. In tandem with the county’s Cayuga Works Career Center (local WIB/One Stop), the
IAGT and the College have submitted a grant proposal to fund the creation of a GIS credential program
featuring on-the-job training, classroom experience, and service learning.
Page 27: point V. D. This item specifically asks for partnerships with community colleges. We should be
mentioned in the response.
Page 29: point V. E. Policies need to be developed that encourage participation of providers. However,
we do not see SUNY as just another provider. We should be a partner in the development of policies and
implementation. Some of the requirements for data collection for the various training programs place
barriers in the way of providing services. More funds should be made available in the Governor’s set
aside and community colleges and businesses should be able to access these funds.
Page 47: point VIII. G. 1. Data collection requirements inherent in the provider eligibility system are
prohibitive for many community colleges. Statewide guidelines which are more flexible and promote
inclusion would streamline data collection.
Page 49: point VIII.H.1. In many LWIB areas, the community college is an active participant as a onestop partner. However, there are areas that are attempting to charge colleges for system participation.
This is a barrier that should be removed since the colleges do not see this as an investment but an
obstacle to providing training opportunities.
Page 60: points IX. 2 and 3 and all of page 61. The system needs to have a greater emphasis in
education and training services because it is a human investment opportunity. Education and training
should be available to all persons served by the system not just the hardest to serve. Training should be
a core service. There is no mention of SUNY or the community colleges here. We need to be partners
with more funding directed toward education and training. SUNY can be a valuable partner in planning
and implementation.
Page 63: point IX. C.3. and d ii. Community colleges have had great success with customized training.
The SUNY community colleges are allocated $1 million annually in the state budget for the Workforce
Development Training Grants Program (also known as Contract Courses). These funds are competitively
awarded to the colleges for customized training programs for specific businesses or consortia of
businesses. This is a highly popular and successful program, which provides training ranging from
computer and management skills to advanced technological skills in fields such as manufacturing.
Over the past seven years, $8.5 million was allocated and has provided training to over 300 projects and
over 36,000 workers. The participating employers also invested over $9 million, including $1.5 million in
cash. The employers have reported that, as a result of the training, they were enabled to create 2,500
jobs and retain 31,000 others. Participating employers also report other outcomes or benefits from the
program, including increased employee skills and knowledge, increased productivity, increased sales and
market opportunities, increased quality and ISO certification efforts, improved process efficiency,
improved safety and reduced accidents and worker’s compensation claims, adoption of new products and
technologies, employee promotions and pay raises, and cost savings.
Outcomes of the 2003-2004 program include the following:
 66 projects were funded
 Over 6,500 employees were trained
 $1,000,000 in funding was received
 Employers contributed $1,660,000 in matching support
 $273,000 was in cash contributions to the projects
 $1,387,000 was in in-kind contributions
 380 jobs were reported to be helped to be created as a result of training
 6,600 jobs were reported to be retained as a result of training
New York State Plan
100
Clearly the impact of this $1,000,000 program is highly significant to New York State’s small, medium and
large businesses. However, the need is far greater than the funding is able to meet. Increased funding
levels would increase the impact of this effective program.
Page 64: point IX. C.3. and d.ii continued. There is a need to utilize the existing apprenticeship
programs and to invest funds to establish more of these successful programs and include community
colleges are training providers.
Page 68: point IX. C. 4.d. There is no mention of community colleges here when clearly higher
education can assist workers with new skills.
Page 69: point IX. C.4. e. No mention of the education community even though it is emphasized in the
question. Examples using community colleges would strengthen this.
Page 71: point IX. C. 4. i. A great deal of English as a Second Language (ESL) instruction is completed
through SUNY, at its community colleges and Educational Opportunity Centers.
Page 75: point IX. D. 3 SUNY should be part of the Rapid Response team. One key element that
makes this process successful is the ability to identify who needs what type of training and this is SUNY’s
primary responsibility.
Page 78: point IX. E.1. Through its GED, Bridge and other programs, SUNY serves both in school and
out of school youth. This is an important population for us and we need to be part of the policy planning
for these individuals.
Page 80: point IX. E. 3.c. Community colleges have many successful models, including examples at Erie,
Finger Lakes and Corning.
Page 86: point X. B. State Activities money should be used to promote education and training. The $10
million dollars to fund training for incumbent workers should be strategically used through SUNY so there
would not be duplication of an already existing successful education program.
New York State Plan
101
Charles E. Callahan, III
Chief Operating Officer
Plaza Business Institute
Member of State Workforce Investment Board
I have reviewed the WIA state plan information this past weekend and offer the following comments:
1 - If we look at the skills needed for work contained on pages 20-22, one can see that the requirements
of work are increasing. If this is, in fact, correct, then why would we want to get behind an entry level
credential that does not measure at least some of those skills.
2 - The plan DoES (Division of Employment Services) does not clearly address the role in the One-stop
except on page 50. If current legislation requires co-location, wouldn't it be easier for the local boards if
we made integration of services a requirement.
3 - Why is there no focus on web-based interaction to move available workers fast to new employers.
4 - A defined ITA policy should be developed that prioritizes local LMI that demonstrates an attraction of
funds outside the WIA system.
5 - While the need English and improved communication skills does appear throughout document, there
needs to be an effort of the board to make English language and communication competencies a statewide priority must be a priority for local boards
6 - Tax Credits - while companies will certainly accept the money through tax credits, the whole concept
of tax credits needs to be revisited. If there truly are employee shortages, tax credits are inconsequential
to the hiring process. Additionally, since the job growth is projected to come from small companies the
attractiveness of this benefit is substantially reduced.
7 - If the goal of the One-Stop system is truly universal access, that is to have all skill level and all level
income earners utilize the system then there needs to be a methodology for providing services to all New
Yorkers and not require upper wage earners to simply pick from the a la carte menu. Simply, we must
eliminate the silos.
8 - The document does not address moving employees quicker to the next employer. Reducing the
unemployment insurance duration. While there is some mention of warn, warn activities need to be more
clearly defined and how they are interwoven to local one -stop activities. Warn activities must go far
beyond simply assisting terminees in applying for unemployment insurance benefits and specifically need
to be part of job matching activities so that skilled employees can transition rapidly to employers who
have positions waiting for them. In my opinion, this could be the key employer service/benefit, which has
two specific facets:
a) if my neighboring business ceases to operate and those individuals are on unemployment, moving
those workers rapidly to a new position saves the UI system and my company tax dollars
b) rapid job creation demands rapid response to move employees to a new position, thus satisfying
the employment needs of a new or existing employer, and will hopefully assist that employer in remaining
in New York.
New York State Plan
102