Chapter 5101:9-31 | Workforce Investment Act (WIA) Allocations

Rule 5101:9-31-01 | General requirements for use and expenditures of workforce investment funds by local areas.

• Effective: December 12, 2019
• Promulgated Under: 111.15

(A) Definitions.

The following definitions are applicable to this rule:

(1) "Local area" means a geographic area of a state designated by the governor in accordance with section 106 of the Workforce Innovation and Opportunity Act (WIOA) that serves as a jurisdiction for the administration of workforce development activities delivered through a local workforce development system.

(2) "Grant recipient" means the Ohio department of job and family services (ODJFS).

(3) "Subgrantee" means local area chief elected officials. For purposes of this agreement, "subgrantee" has the same meaning as "grantee" as defined in division (A)(3) of section 5101.20 of the Revised Code and "grant recipient" as defined in section 107(d)(12)(B) of WIOA.

(4) "Agreement" means contract, subgrant agreement, memorandum of understanding (MOU), and/or interagency agreement.

(5) "Financial assistance" means all cash, reimbursements, allocations of funds, and cash draws provided by ODJFS to a local area. All requirements related to financial assistance shall also apply to public money used by the county to match state or federal funds.

(6) "Chief local elected officials," when used in reference to a local area, means the chief elected executive officer of a unit of general local government in a local area; and in a case in which a local area includes more than one unit of general local government, the individuals designated under the agreement that specifies the respective roles of the individual chief elected officials.

(7) "Fiscal agent" means an entity designated by the chief elected official in accordance with section 107(d)(12)(B)(i)(II) of WIOA to assist in the administration of workforce WIOA grant funds under the direction of the local workforce development board. The WIOA fiscal agent shall receive and manage all formula workforce development funds for the area and other federal, state, or local funds allocated to the local workforce area as detailed in rule 5101:9-7-05 of the Administrative Code.

(8) "Local workforce development board (LWDB)" means the board established by chief elected officials per section 107 of the WIOA to set policy and to be responsible for administration and oversight of the local workforce development system in collaboration with the required and additional partners and local workforce stakeholders.

(9) "Workforce development activity" as defined in section 6301.01 of the Revised Code, means an activity carried out through a workforce development system with the primary goal of achieving one or more of the following:

(a) Help maximize employment opportunities;

(b) Help employers gain access to skilled workers;

(c) Help employers retain skilled workers;

(d) Help develop or enhance the skills of incumbent workers;

(e) Improve the quality of the state's workforce; and

(f) Enhance the productivity and competitiveness of the state's economy.

(B) The subgrantee shall enter into a subgrant agreement with ODJFS before receiving workforce development funds. The subgrantee may only expend workforce development funds on activities and in a manner consistent with the approved WIOA local plan and subgrant agreement. The subgrantee shall ensure all workforce development funds included in the subgrant agreement are used in accordance with the following:

(1) All U.S. department of labor (DOL) WIOA provisions and all federal regulations, including 20 C.F.R. 652 as promulgated by DOL and any amendments thereto;

(2) The administrative requirements and procedures established under 29 C.F.R. 97 and 2 C.F.R. 200, as they relate to the application, acceptance, audit, and use of federal funds, except where such administrative requirements and procedures have been superseded or augmented by WIOA legislation, state law, local regulations and laws, or other federal law;

(3) State and federal laws and regulations, including any applicable executive orders;

(4) The state plan for receipt of federal financial participation;

(5) The terms and conditions of the grant award; and

(6) Applicable grant agreements between ODJFS and federal agencies.

(C) The subgrantee shall make available for examination all records with respect to matters covered by this rule during normal business hours and as often as ODJFS may deem necessary. As the recipient of the federal grant and in accordance with state and federal regulations, ODJFS has the authority to:

(1) Examine all records of the subgrantee. Should records not meet the standards established by the generally accepted accounting practices, ODJFS reserves the right to withhold any or all of its funding to the subgrantee until such time as they do meet these standards;

(2) Examine all forms and documents used, including, but not limited to, purchase orders, supply requisitions, invoices, journal vouchers, travel vouchers, payroll checks, and other checks used by the subgrantee;

(3) Require the subgrantee to use any or all of ODJFS' accounting or administrative procedures used in the planning, controlling, monitoring, procurement, and reporting of all fiscal matters;

(4) Dispatch auditors of its choosing to any site where any phase of the program is being conducted, controlled, or advanced in any way, tangible or intangible. Such sites may include the home office, any branch office or other locations of the subgrantee and its subgrantees, if such sites or the activities performed thereon have any relationship to the WIOA program. The subgrantees' agreements with lower-tier subgrantees must allow for the same level of access by ODJFS and its auditors as described in this paragraph;

(5) Conduct physical inspections and require such physical safeguarding devices as locks, alarms, safes, fire extinguishers, etc., to safeguard property and/or equipment; and

(6) Attend any and all of the subgrantees' staff meetings, board of directors meetings, advisory committee meetings, and advisory board meetings if an item to be discussed relates to the operation of the local area.

(D) In the event that the federal government, directly or through its agencies, requires ODJFS to repay funds because of misfeasance, malfeasance, or nonfeasance by the subgrantee, the subgrantee shall be liable for any such funds that the federal government has ordered repaid. Disputes between ODJFS and the subgrantee shall be resolved according to section 5101.24 of the Revised Code. The subgrantee is the responsible entity or responsible county grantee for purposes of applying section 5101.24 of the Revised Code.

(E) The subgrantee shall be responsible for all workforce development funds received including all associated actions.

(1) The subgrantee shall ensure that every officer, director, agent or employee authorized to act on behalf of the subgrantee in receiving or depositing funds into program accounts, or in issuing financial documents, checks, or other instruments of payment for payment of program costs shall be bonded so as to provide adequate protection against loss.

(2) The subgrantee shall ensure prompt payment relating to employment including, but not limited to, unemployment compensation contributions or reimbursements, insurance premiums, workers' compensation premiums, all income tax deductions, social security deductions, public employment retirement system contributions, and any and all other employer taxes and payroll deductions required by law or contract for all employees, trainees, work experience participants, and anyone receiving monetary benefits as a result of participation in WIOA programs.

(3) The subgrantee shall establish such management and fiscal controls and reports as are necessary to maintain effective controls and safeguards to prevent abuses or misuse of funds and be in compliance with the subgrantee monitoring rule, rule 5101:9-1-88 of the Administrative Code, and prevent any misuse of funds by any entity with whom it subcontracts. All provider subcontracts entered into by the subgrantee are subject to review and shall be made available upon request by the recipient.

(4) The subgrantee shall appoint a fiscal agent that receives and manages all workforce development funding. On behalf of the subgrantee the fiscal agent shall:

(a) Establish and maintain separate accounting records for the management of the workforce development funds in accordance with the rules of funding for workforce development activities;

(b) Utilize the county finance information system (CFIS) as a unified financial reporting system as set forth in 20 C.F.R. 683.300;

(c) ) Utilize the random moment sample (RMS) system for reporting staff and/or administrative costs as detailed in rule 5101:9-7-20 of the Administrative Code and ODJFS' U.S. department of health and human services (DHHS) cost allocation plan in compliance with 2 C.F.R. part 200. All WIOA stand alone areas shall allocate their costs in accordance with rule 5101:9-31-17 of the Administrative Code; and

(d) Implement fiscal practices in accordance with rules 5101:9-7-04, 5101:9-7-04.1, and 5101:9-7-05 of the Administrative Code.

(F) The subgrantee shall adhere to procurement requirements for all goods and services as outlined in rule 5101:9-4-07 of the Administrative Code, unless the local area requirements are more restrictive.

(G) Subgrantees shall not purchase personal property or equipment for administrative and/or programmatic purposes with federal funds without written approval from ODJFS if the purchase exceeds five thousand dollars. Purchase of real property or new construction is prohibited. The subgrantee shall not loan any workforce development funds.

(H) The subgrantee may be reimbursed for necessary and reasonable indirect costs if:

(1) The local area is included in a county-wide central cost allocation plan developed and maintained by the board of county commissioners (BOCC).

(2) In the case of all other local areas, the subgrantee has obtained prior approval of an indirect cost allocation plan from a federal agency from which the subgrantee is receiving funds and that has been assigned responsibility by the U.S. office of management and budget (OMB) for approving the subgrantees' indirect cost proposal. The subgrantees without a federal cognizant agency must receive approval of an indirect cost allocation plan from ODJFS before charging indirect costs.

(I) The subgrantee in administering its local area, shall comply with the standards of conduct for maintaining the integrity of the project and avoiding any conflict of interest in its administration including, but not limited to, federal WIOA regulations and Ohio ethics law.

(1) Every reasonable course of action will be taken by the subgrantee in order to maintain the integrity of all expenditures of public funds and to avoid any favoritism or questionable or improper conduct.

(2) The local area will be administered in an impartial manner, free from personal, financial, or political gain. The subgrantee, its executive staff and employees, in administering any and all subgrants, will avoid situations that give rise to a suggestion that any decision was influenced by prejudice, bias, special interest, or personal gain.

(3) Members of the subgrantee who are either executive agency lobbyists or who employ one must register and be in compliance with sections 121.61 to 121.69 of the Revised Code.

(J) The subgrantee shall retain all records in accordance with rule 5101:9-9-21 of the Administrative Code pertaining to this program for at least a period of three years or longer as required by local, state, and federal laws.

Supplemental Information

Authorized By: 5101.02 , 6301.03
Amplifies: 5101.02 , 6301.03
Five Year Review Date:
Prior Effective Dates: 7/13/2003

Rule 5101:9-31-07 | Workforce Innovation and Opportunity Act (WIOA) national dislocated worker grant (NDWG) allocation.

• Effective: June 25, 2021
• Promulgated Under: 111.15

(A) The Ohio department of job and family services (ODJFS) issues NDWG allocations to the Workforce Innovation and Opportunity Act (WIOA) local areas to provide assistance in response to large, unexpected economic events which cause significant job losses as described in section 170 of WIOA and the corresponding federal regulations included in 20 C.F.R. 687.

(1) NDWG funds assist WIOA local areas in temporarily expanding the capacity to serve dislocated workers, including military services members, and meeting the increased demand for employment and training services, with the goal of quickly reemploying laid-off workers and enhancing their employability and earnings.

(2) Disaster NDWGs provide funding to create temporary employment opportunities to assist with clean-up and recovery efforts, when a WIOA local area impacted by disaster is declared eligible for public assistance by the federal emergency management agency (FEMA) or otherwise recognized by a federal agency with authority or jurisdiction over the federal response to the emergency or disaster.

(3) NDWG funds are available in response to significant dislocation events that create a sudden need for assistance, which exceeds the on-going operations of the formula-funded dislocated worker program, including resources reserved at the state level.

(B) The assistance listings number is 17.277.

(C) ODJFS communicates the funding and liquidation periods through the county finance information system (CFIS). The WIOA local area can incur obligations through the funding period and disburse and report expenditures no later than the end of the liquidation period. Expenditure of NDWG funds is authorized under the biennial WIOA subgrant agreements executed between ODJFS and each local area.

(D) ODJFS negotiates the scope of services to be provided with an NDWG with the United States department of labor (DOL). The services are based on the needs of the targeted population covered by the NDWG, information provided by the WIOA local area where the event(s) occurred, and other relevant circumstances. NDWG funds are generally used for the following services:

(1) Career and training services as defined in sections 134(c)(2) and (c)(3) of WIOA;

(2) Supportive and enhanced career pathway services to help workers participate in the activities provided for under the NDWG;

(3) Needs related payments (NRP) provided as financial assistance to support other employment and training assistance needs for dislocated workers to participate in training services; and

(4) Disaster projects and short term relief employment.

(E) WIOA local areas that have identified the need for NDWG assistance shall submit a formal request to ODJFS in accordance with the following procedures:

(1) Requests may be submitted at any time during the program year (PY).

(2) Requests shall be developed by or in conjunction with the WIOA local area and chief elected official(s) of the WIOA local area(s) in which the proposed project is to operate.

(F) WIOA local areas shall apply and receive approval from the office of workforce development (OWD) to receive funding.

(1) Upon approval of the formal request, each WIOA local area will receive a commitment of funding for planning purposes as well as an allocation, which may be less than the commitment.

(2) WIOA local areas shall expend seventy per cent or more of the current allocation before requesting additional funds from their total commitment; and upon expenditure of seventy per cent of the current allocation, a WIOA local area may request additional funding by submitting documentation to ODJFS of the following:

(a) Total expenditures;

(b) An estimate of additional funding needs to the end of the grant period; and

(c) An explanation of how the additional funds will be spent.

(3) ODJFS will review the information in order to determine the increased allocation amount.

(4) As participating areas request additional funding, ODJFS may have a need to revise the commitments of funding for other WIOA local areas in order to maximize utilization of Ohio's NDWG resources. ODJFS submits all NDWG applications to DOL on behalf of the WIOA local areas.

(5) WIOA local areas may contact ODJFS if NDWG funds are not available to serve impacted workers. At that time, ODJFS will assess all available resources, and in coordination with the WIOA local area, determine how best to support the workers with WIOA statewide or rapid response funds.

(G) A WIOA local area that receives an NDWG allocation shall report expenditures as described in rule 5101:9-7-29 of the Administrative Code.

(H) In addition to WIOA and the corresponding federal regulations, WIOA local areas, subcontractors, and subrecipients of NDWG funds shall adhere to all federal, state, and local rules, laws, and regulations, the applicable provisions of the WIOA subgrant agreements, and other limitations or provisions identified by ODJFS, including the office of budget and management (OMB) uniform guidance and cost principles codified at 2 C.F.R. 200.

(I) The WIOA local area shall maintain documentation as described in rule 5101:9-9-21 of the Administrative Code. This documentation may be subject to inspection, monitoring, and audit by the ODJFS office of fiscal and monitoring services (OFMS) and the Ohio auditor of state (AOS).

Last updated June 25, 2021 at 5:05 AM

Supplemental Information

Authorized By: 5101.02, 6301.03
Amplifies: 5101.02, 6301.03
Five Year Review Date:

Rule 5101:9-31-17 | Cost allocation requirements for workforce investment stand alone local areas.

• Effective: December 6, 2019
• Promulgated Under: 111.15

(A) "Local area" means the subrecipient as designated by the governor responsible for administering workforce development activities as defined by department of labor (DOL) federal regulations. For the purposes of this rule, "WIOA stand alone local areas" are defined as local areas that receive only DOL funding from ODJFS to administer workforce development services. This rule provides guidelines to assist WIOA stand alone areas in the tracking of time spent on all direct workforce development services and activities for the purpose of appropriately allocating costs to the benefiting programs.

Combined local areas allocate staff costs in accordance with rule 5101:9-7-20 of the Administrative Code.

(B) Local areas performing solely WIOA administrative functions

If a stand alone local area's operations are limited to the performance or coordination of functions classified as general administrative functions as listed in this paragraph, the stand alone area shall report all costs associated with the stand alone area as direct charges to WIOA administration.

(1) These functions include the following:

(a) Accounting, budgeting, financial and cash management functions.

(b) Procurement and purchasing functions.

(c) Property management functions.

(d) Personnel management functions.

(e) Payroll functions.

(f) Coordinating the resolution of findings arising from audits, reviews, investigations and incident reports.

(g) Audit functions.

(h) General legal services functions.

(i) Developing systems and procedures, including information systems, required for these administrative functions.

(j) Fiscal agent responsibilities.

(k) Performing oversight and monitoring responsibilities related to WIOA administrative functions.

(2) Staff shall complete a certification documenting that they work solely on WIOA administration functions.

(a) Certifications shall be completed every six months, in January and July.

(b) Certifications shall be signed by the employee or a supervisor having firsthand knowledge of the work performed by the employee.

(c) The stand alone area shall maintain the certifications at the local level.

(C) Local areas performing both WIOA administrative and program functions

A stand alone local area that performs any functions not covered in paragraph (B) of this rule may develop a cost allocation plan, such as the ones outlined in paragraphs (D) and (E) of this rule, and in accordance with 2 C.F.R. 200, or may track time spent on all activities (including administration) using random moment sampling (RMS). If a stand alone local area chooses to use RMS, the executive director and all staff in that local area shall participate in RMS. This requirement is an exception to rule 5101:9-7-20 of the Administrative Code, which states administrative positions are generally excluded from the time study.

(1) Stand alone local areas allocating costs by RMS shall track time spent on all activities using the workforce random moment sample (WFRMS). The WFRMS is designed to identify activities directly related to program functions benefiting one or more WIOA programs (e.g., adult, youth, dislocated worker) or the administration of those programs. This information will not be reported to ODJFS but will be used to allocate costs for the stand alone area and documentation will be maintained to support those costs.

(2) Stand alone local areas shall follow the established WFRMS process for completing the time study. The stand alone local area shall use the results of the RMS to allocate their costs by completing the following steps:

(a) Enter the names of the RMS participants in the RMS roster. The system will generate the appropriate sample.

(b) Staff participating in the RMS will complete observation forms in accordance with rule 5101:9-7-20 of the Administrative Code.

(c) The stand alone local areas will enter results in the RMS system.

(d) Stand alone local areas are not required to report this information to ODJFS.

(3) Stand alone local areas shall use the RMS statistics produced by the RMS system to allocate the costs incurred by the stand alone area.

(D) Exception for special grants

A stand alone local area that receives a grant for a specific program activity may exercise the option to direct charge the costs associated with that grant, including costs of a staff member who works solely on that activity. The exception shall be reserved for when a stand alone local area's usual chosen method of allocation would not appropriately allocate costs (or distribute expenditures) in accordance with relative benefits received.

(1) Cost associated with that staff member shall be removed from the other costs of the local area.

(2) Staff shall complete a certification documenting that they work solely on a specific program or special grant or WIOA administration functions associated only with a specific program or special grant.

(a) Certifications shall be completed every six months, in January and July, unless the certification can be completed through normal payroll coding and time and attendance certifications associated with normal payroll activities.

(b) Certifications shall be signed by the employee or a supervisor having firsthand knowledge of the work performed by the employee.

(c) Certifications shall be maintained for auditing purposes.

(3) Stand alone local areas may allocate the costs associated with the employee working on a special grant directly to the special grant.

(E) Activity report exception

A stand alone local area that performs more than one activity and performs those activities for long periods of time may choose to identify effort spent on multiple activities or programs by the completion of personnel activity reports.

(1) Activity reports are an actual accounting of work performed and not an estimate of work that is expected to be performed.

(a) Staff shall complete activity reports after the fact and must reflect actual activities performed.

(b) Staff shall complete the report for the total time for which they are compensated.

(c) Staff shall prepare the activity reports at least monthly, to coincide with a pay period.

(d) Staff completing the activity report shall sign the completed activity report.

(2) Stand alone local areas shall use the results of the completed activity reports to allocate the costs incurred by the stand alone local area.

(F) Documentation supporting the allocation of costs in a stand alone local area shall not be submitted to ODJFS but shall be maintained by the stand alone local areas for auditing purposes.

(G) Allocated expenditures shall be submitted to the county finance information system (CFIS) and shall continue to be reported as described in rule 5101:9-7-29 of the Administrative Code.

(H) Financial, programmatic, statistical, recipient records, and supporting documents shall be retained by the local area in accordance with rule 5101:9-9-21 of the Administrative Code.

Supplemental Information

Authorized By: 5101.02 , 6301.03
Amplifies: 5101.02 , 6301.03
Five Year Review Date:
Prior Effective Dates: 12/22/2014

Rule 5101:9-31-19 | OhioMeansJobs (OMJ) center resource sharing allocation.

• Effective: April 22, 2023
• Promulgated Under: 111.15

(A) The Ohio department of job and family services issues the OhioMeansJobs (OMJ) center resource sharing allocation to local workforce development areas designated and funded under the Workforce Innovation and Opportunity Act (WIOA), to support the coordination of services provided through the OMJ service delivery system. Services provided through the OMJ center delivery system are coordinated and made available through a memorandum of understanding (MOU) between the local area workforce development board, the chief elected official and the OMJ center partners including the Ohio department of job and family services (ODJFS).

(B) ODJFS communicates the funding and liquidation periods through the county finance information system (CFIS). The local areacan incur obligations through the funding period and disburse and report expenditures no later than the end of the liquidation period.

(C) The OMJ center resource sharing allocation is comprised of various department of labor (DOL) funding sources. ODJFS will communicate the assistance listing number to the local area in order to meet federal reporting requirements.

(D) ODJFS issues an allocation to the local area for the negotiated cost sharing amount as agreed upon in the MOU.

(1) The local area shall submit draw requests in accordance with rule 5101:9-7-04 of the Administrative Code for costs associated with the OMJ MOU.

(2) The local area distributes the funds to the individual delivery systems.

(E) Local areas report OMJ MOU costs as detailed in rule 5101:9-7-29 of the Administrative Code.

(F) The definitions, requirements and responsibilities contained in rule 5101:9-6-50 of the Administrative Code are applicable to this rule.

Last updated April 24, 2023 at 8:25 AM

Supplemental Information

Authorized By: 6301.03
Amplifies: 6301.03
Five Year Review Date:
Prior Effective Dates: 7/21/2014

Rule 5101:9-31-89 | Ohio retaining employment and talent after injury/illness network (RETAIN) demonstration project allocation.

• Effective: June 8, 2024
• Promulgated Under: 111.15

(A) The Ohio department of job and family services (ODJFS) issues the department of labor (DOL) office of disability employment policy (ODEP) allocations to fund a multi-agency demonstration project, designed to improve health care results by implementing a patient-centered return-to-work/stay-at-work (RTW/SAW) model. This pilot project utilizes early intervention by a health services coordinator (HSC) to facilitate treatment and to shorten the duration of work separation by workers primarily with non-occupational illnesses or injuries.

(B) This allocation consists of one hundred per cent federal funds. The assistance listing number (ALN) for this allocation is 17.720.

(C) ODJFS will communicate the funding and liquidation periods through the county finance information system (CFIS). The local workforce development area (local area) can incur obligations through the funding period and disburse and report expenditures no later than the end of the liquidation period.

(D) The Ohio retaining employment and talent after injury/illness network (RETAIN) demonstration project focuses on serving individuals aged eighteen to sixty-five, who are employed and experience a non-occupational injury or illness that impacts their ability to return to work, stay at work, or perform their job at the same capacity as prior to the illness or injury. Individuals seeking care through an HSC, shall be assisted with communication with their employer, health care provider/insurer, and referral to "OhioMeans Jobs" (OMJ) center if needed.

(E) Program components

Additional program components include:

(1) Initiation of a RETAIN roundtable comprised of stakeholders in government agencies and business and medical sectors to identify and share RTW/SAW best practices;

(2) Communications and outreach strategies for different stakeholders;

(3) Development of HSC and health services provider training plans;

(4) Outreach and technical assistance for employers to assist them in adopting RTW/SAW policies and practices;

(5) Data sharing agreements among partners to facilitate evidence-based research; and

(6) Third party evaluation using rigorous methodology to determine program outcomes.

(F) Methodology

RETAIN funding shall be allocated using the following methodology:

(1) ODJFS will issue participating local areas an allocation of RETAIN funding based on the local area's plan and budget for employer outreach and technical assistance activities.

(2) Local areas shall not exceed the twelve per cent limitation on administrative costs of funds that are awarded under the RETAIN grant as described in 20 C.F.R. part 683.215 of the Workforce Innovation and Opportunity Act (WIOA).

(3) Sub-recipients and contractors performing program functions that are funded with RETAIN funds do not report the costs associated with performing program functions as administrative costs against the area's twelve per cent administration expense limit.

(4) ODJFS may monitor grant recipients for compliance with administrative cost limitations during the grant's period of performance.

(G) Allowable activities

Allowable activities using RETAIN funds include:

(1) Outreach to employers informing them about the RETAIN program and the benefits of adopting RTW/SAW policies and practices;

(2) Technical assistance to employers (i.e., best practices, sample policies, recommended workplace accommodations) to assist them in implementing RTW/SAW strategies;

(3) Reasonable and necessary expenses to plan for and establish infrastructure necessary for effective program implementation of the RETAIN demonstration project; and

(4) Support of the related independent evaluation.

(H) Unallowable activities

Local areas using RETAIN funds shall not:

(1) Provide cash incentives;

(2) Pay for existing, billable direct health care services;

(3) Use these funds for other evaluative purposes; and

(4) Use these funds for construction costs.

(I) The WIOA local area shall maintain documentation as described in rule 5101:9-9-21 of the Administrative Code. This documentation may be subject to inspection, monitoring, and audit by the ODJFS office of fiscal and monitoring services (OFMS) and the Ohio auditor of state (AOS).

(J) The WIOA local area shall report expenditures as described in rule 5101:9-7-29 of the Administrative Code.

(K) The definitions, requirements, and responsibilities contained in rule 5101:9-6-50 of the Administrative Code are applicable to this rule.

Last updated June 10, 2024 at 8:26 AM

Supplemental Information

Authorized By: 5101.02
Amplifies: 5101.02
Five Year Review Date:
Prior Effective Dates: 4/1/2019

Rule 5101:9-31-92 | Workforce Innovation and Opportunity Act (WIOA) adult methodology.

• Effective: October 2, 2022
• Promulgated Under: 111.15

(A) The Ohio department of job and family services (ODJFS) issues the department of labor (DOL) Workforce Innovation and Opportunity Act (WIOA) allocations to the local area WIOA fiscal agent on behalf of the WIOA local workforce development boards (LWDBs) to provide adults with barriers to employment the services they need to succeed in the labor market. These services include increased access to opportunities for employment, education, training and support services.

(B) This allocation is composed of one hundred per cent federal funds. The assistance listings number is 17.258.

(C) ODJFS communicates the funding and liquidation periods for this allocation through the county finance and information system (CFIS). The WIOA local area can incur accruals through the end of the funding period disburse and report expenditures no later than the end of the liquidation period.

(D) ODJFS authorizes the WIOA adult funds on a program year (PY) and/or a federal fiscal year (FFY) basis.

(E) Methodology.

ODJFS uses the following formulas to allocate formulary funding for WIOA local areas. Statistics used to calculate funding are provided by the office of workforce development (OWD) as described in the state plan approved by the DOL.

(1) ODJFS allocates one-third of the funds based on the relative number of unemployed individuals in areas of substantial unemployment in each WIOA local area, compared to the total number of unemployed individuals in areas of substantial unemployment in the state.

(2) ODJFS allocates one-third of the funds based on the relative excess number of unemployed individuals in each WIOA local area compared to the total excess number of unemployed individuals in the state.

(3) ODJFS allocates one-third of the funds based on the relative number of disadvantaged adults in each WIOA local area compared to the total number of disadvantaged adults in the state.

(4) Hold harmless provision

(a) ODJFS applies the "hold harmless" provision which states that the WIOA local area will not receive an allocation amount for a PY that is less than ninety per cent of the average allocation percentage of the local area for the two preceding PYs.

(b) ODJFS calculates the amounts necessary for increasing allocations to WIOA local areas in accordance with the hold harmless provision by proportionately reducing the allocations made to other WIOA local areas.

(c) If the amount of the WIOA funds appropriated in a fiscal year are not sufficient to provide the amount specified in paragraph (E)(4)(b) of this rule to all WIOA local areas, ODJFS proportionally reduces the amounts allocated to each WIOA local area.

(5) Should the DOL issue a rescission of funds, ODJFS determines the level of adjustments needed to comply with the rescission.

(F) Allowable expenditures.

WIOA local areas shall comply with all office of workforce development (OWD) program policy regarding expenditure rates and recapture of unused funds. ODJFS will determine the level of adjustment needed if DOL should issue a rescission of funds.

(1) Career pathways

Career pathways provide participants education and training services that align with the skill needs of industries in the involved economy. The focus on career pathways enables individuals to participate in activities that support industry or sector partnerships and provide increased focus on the attainment of industry-recognized certificates and credentials linked to in-demand occupations. Career pathways include:

(a) Counseling that supports education and career goals;

(b) Education and training for workforce preparation and specific occupation or occupation cluster;

(c) Services that accelerate the educational and career advancement of the participant; and

(d) Training that assists the participant's attainment of a secondary diploma or its recognized equivalent.

(2) Incumbent worker training services up to twenty per cent, as described in WIOA section 134(d)(4) unless a waiver from the US department of labor allows for a deviation from this standard.

(3) Supportive services, including needs related payments as described in WIOA sections 134(d)(2) and 134(d)(3).

(4) Under WIOA section 133(b)(4), a local area may utilize the WIOA adult funding for allowable services under dislocated worker employment and training activities.

(5) WIOA local areas electing to use a percentage of the WIOA adult grant for dislocated worker activities shall use the coding established in CFIS.

(G) Administration.

(1) The costs of administration are the costs associated with performing the following:

(a) Accounting, budgeting, financial and cash management;

(b) Procurement and purchasing;

(c) Property and personnel management;

(d) Payroll;

(e) Audits and coordinating the resolution of findings arising from audits, reviews, investigations and incident reports;

(f) General legal services;

(g) Developing systems and procedures, including information systems, required for these administrative functions; and

(h) Fiscal agent responsibilities.

(2) In accordance with 20 C.F.R. part 683.215, the definition of WIOA administration specifies that all costs incurred for functions and activities of sub-recipients and contractors are program costs, unless the sub-recipient or contractor is performing only administrative functions.

(3) A WIOA local area may use up to ten per cent of the allocation amounts for the administrative cost of carrying out WIOA activities.

(4) Sub-recipients and contractors performing program functions that are funded with WIOA adult funds do not report the costs associated with performing these program functions as administrative costs against the WIOA local area's ten per cent administration expense limit.

(H) Statewide activities.

(1) The governor may set aside a portion of the funds for this allocation as defined in federal legislation for statewide activities, including five per cent for administrative activities.

(2) The governor or WIOA local workforce development board (LWDB) may increase the on-the-job training reimbursement rate to seventy-five per cent under certain conditions as defined in WIOA section 134(c).

(3) ODJFS may periodically allocate statewide funding for special projects.

(I) Allocated funds may not be used on construction or purchase of facilities, buildings, or foreign travel.

(J) The WIOA local area shall maintain documentation in accordance with the records retention requirements in rule 5101:9-9-21 of the Administrative Code. This documentation may be subject to inspection, monitoring, and audit by the ODJFS office of fiscal and monitoring services (OFMS) and the Ohio auditor of state (AOS).

Last updated October 3, 2022 at 8:59 AM

Supplemental Information

Authorized By: 5101.02, 6301.03
Amplifies: 5101.02, 6301.03
Five Year Review Date:
Prior Effective Dates: 6/25/2017

Rule 5101:9-31-93 | Workforce Innovation and Opportunity Act (WIOA) dislocated worker methodology.

• Effective: October 2, 2022
• Promulgated Under: 111.15

(A) The Ohio department of job and family services (ODJFS) issues the department of labor (DOL) Workforce Innovation and Opportunity Act (WIOA) dislocated worker allocations to the WIOA local area fiscal agent on behalf of the WIOA local workforce development boards (LWDBs) to help job seekers access employment, education, training and support services to succeed in the labor market and to match employers with the skilled workers they need to compete in the global economy.

(B) These allocations are composed of one hundred per cent federal funds. The assistance listings number is 17.278.

(C) ODJFS communicates the funding and liquidation periods through the county finance and information system (CFIS). The WIOA local area can incur accruals through the funding period disburse andreport expenditures no later than the end of the liquidation period. The LWDBs shall report expenditures as described in rule 5101:9-7-29 of the Administrative Code.

(D) ODJFS authorizes the WIOA dislocated worker funds to WIOA local areas on program year (PY) and/or a federal fiscal year (FFY) basis.

(E) Methodology.

Dislocated worker funding stream

(1) ODJFS distributes dislocated worker funds in accordance with Ohio's federally approved plan for workforce programs.

(a) ODJFS may reserve up to twenty-five per cent of the funds available in the state's dislocated worker funding stream for rapid response activities as described in the WIOA section 133(a)(2).

(b) ODJFS allocates the remaining funds based on a formula prescribed by the governor as designated in the state plan.

(2) Hold harmless provision

(a) ODJFS applies the "hold harmless" provision which states that the WIOA local area will not receive an allocation amount for a PY that is less than ninety per cent of the average allocation of the WIOA local area for the two preceding PYs.

(b) ODJFS calculates the amounts necessary for increasing allocations to WIOA local areas in accordance with the hold harmless provision by proportionately reducing the allocations made to other WIOA local areas.

(c) If the amount of the WIOA funds appropriated in a fiscal year are not sufficient to provide the amount specified in paragraph (E)(2)(b) of this rule to all WIOA local areas, ODJFS proportionately reduces the amounts allocated to each WIOA local area.

(3) Should the DOL issue a rescission of funds, ODJFS determines the level of adjustments needed to comply with the rescission.

(F) Allowable expenditures.

WIOA local areas shall comply with all office of workforce development (OWD) program policy regarding expenditure rates and recapture of unused funds. ODJFS will determine the level of adjustment needed if DOL should issue a rescission of funds.

(1) Career pathways

Career pathways provide participants education and training services that align with the skill needs of industries in the involved economy. The focus on career pathways enables individuals to participate in activities that support industry or sector partnerships and provide an increased focus on the attainment of industry-recognized certificates and credentials linked to in-demand occupations. Career pathways include:

(a) Counseling that supports education and career goals;

(b) Education and training for workforce preparation and specific occupation or occupation cluster;

(c) Services that accelerate the educational and career advancement of the participant; and

(d) Training that assists the participant's attainment of a secondary diploma or its recognized equivalent.

(2) Incumbent worker training services up to twenty per cent, as described in WIOA section 134(d)(4).

(3) Supportive services, including needs related payments as described in WIOA sections 133(b)(2)(B), 134(d)(2) and 134(d)(3).

(4) Under WIOA section 133(b)(4), a WIOA local area may utilize the WIOA dislocated worker funding for allowable services under adult employment and training activities. WIOA local areas electing to use a percentage of the WIOA dislocated worker grant for adult activities shall use the coding established in the CFIS.

(5) All funding is subject to the OWD program policy regarding expenditure rates and recapture of unused funds.

(G) Administration.

(1) The costs of administration are the costs associated with performing the following:

(a) Accounting, budgeting, financial and cash management;

(b) Procurement and purchasing;

(c) Property and personnel management;

(d) Payroll;

(e) Audits and coordinating the resolution of findings arising from audits, reviews, investigations and incident reports;

(f) General legal services;

(g) Developing systems and procedures, including information systems, required for these administrative functions; and

(h) Fiscal agent responsibilities.

(2) In accordance with 20 C.F.R. part 683.215, the definition of WIOA administration specifies that all costs incurred for functions and activities of sub-recipients and contractors are program costs, unless the sub-recipient or contractor is performing only administrative functions.

(3) A WIOA local area may use up to ten per cent of the allocation amounts for the administrative cost of carrying out WIOA activities.

(4) Sub-recipients and contractors performing program functions that are funded with WIOA dislocated worker funds do not report the costs associated with performing these program functions as administrative costs against the area's ten per cent administration expense limit.

(H) Statewide activities

(1) The governor may set aside a portion of the funds for this allocation as defined in federal legislation for statewide activities, including five per cent for administrative activities.

(2) The governor may reserve fifteen per cent of funds for statewide workforce investment activities.

(3) The governor may use unobligated rapid response funds after one year, for statewide employment and training activities as described in WIOA section 134(a)(2)(A)(ii).

(4) The governor or the LWDBs may increase the on-the-job training reimbursement rate to seventy-five per cent under certain conditions as defined in WIOA section 134(c).

(5) ODJFS may provide career services through the one-stop system, either directly or via contracts with other providers.

(6) ODJFS may periodically allocate statewide funding for special projects.

(I) Allocated funds may not be used on construction or purchase of facilities, buildings, or foreign travel.

(J) The WIOA local area shall maintain documentation in accordance with the records retention requirements in rule 5101:9-9-21 of the Administrative Code. This documentation may be subject to inspection, monitoring, and audit by the ODJFS office of fiscal and monitoring services (OFMS) and the Ohio auditor of state (AOS).

Last updated October 3, 2022 at 8:59 AM

Supplemental Information

Authorized By: 5101.02, 6301.03
Amplifies: 5101.02, 6301.03
Five Year Review Date:
Prior Effective Dates: 6/22/2015

Rule 5101:9-31-94 | Workforce Innovation and Opportunity Act (WIOA) youth allocation methodology.

• Effective: October 2, 2022
• Promulgated Under: 111.15

(A) The Ohio department of job and family services (ODJFS) issues the department of labor (DOL) WIOA youth formulary allocations to the local WIOA fiscal agent on behalf of the WIOA local workforce development boards (LWDBs) to help disadvantaged and unemployed youth earn while learning through support services and effective employment-based activities.

(B) This allocation is composed of one hundred per cent federal funds. The assistance listings number is 17.259. ODJFS authorizes the WIOA youth funds on a program year (PY) basis.

(C) ODJFS communicates the funding and liquidation periods through the county finance information system (CFIS). The WIOA local area can incur accruals through the funding period disburse andreport expenditures no later than the end of the liquidation period.

(D) Methodology

ODJFS uses the following formulas, as described in WIOA section 127(b)(1)(C)(ii) to allocate youth formulary funding to WIOA local areas. Statistics used to calculate funding are provided by the office of workforce development (OWD) as described in the state plan approved by DOL.

(1) Youth funding stream

(a) ODJFS allocates one-third of the funds based on the relative number of unemployed individuals in areas of substantial unemployment in each WIOA local area compared to the total number of unemployed individuals in areas of substantial unemployment in the state.

(b) ODJFS allocates one-third of the funds based on the relative excess number of unemployed individuals in each WIOA local area compared to the total excess number of unemployed individuals in the state.

(c) ODJFS allocates one-third of the funds based on the relative number of disadvantaged youth living in each WIOA local area compared to the total number of disadvantaged population (where disadvantaged youth are individuals aged fourteen to twenty-one, with income or in a family with income that does not exceed the poverty line or seventy per cent of the lower living standard income level for the family size, whichever is less).

(2) Hold harmless provision

(a) ODJFS applies the "hold harmless" provision which states that no WIOA local area receive an allocation that is less than ninety per cent of the average allocation for the preceding two fiscal years.

(b) ODJFS will calculate the amounts necessary for increasing allocations to WIOA local areas in accordance with the hold harmless provision by proportionately reducing the allocations made to other WIOA local areas, unless a waiver from the DOL allows for a deviation from this standard.

(c) If the amount of WIOA funds appropriated in a fiscal year are not sufficient to provide the amount specified in paragraph (D)(2)(b) of this rule to all WIOA local areas, ODJFS will proportionally reduce the amounts allocated to each WIOA local area.

(E) Allowable expenditures

WIOA local areas shall comply with all office of workforce development (OWD) program policy regarding expenditure rates and recapture of unused funds. ODJFS will determine the level of adjustment needed if DOL should issue a rescission of funds.

The list of youth program design and elements under WIOA section 129(c)(2) consists of:

(1) Tutoring, study skills training, instruction and evidence based dropout prevention and recovery strategies that lead to completion of the requirements for a secondary school diploma or its equivalent;

(2) Work experiences which may include summer employment opportunities and other employment opportunities available throughout the school year, pre-apprenticeship programs, on-the-job training, and internships and job shadowing;

(3) Alternative secondary school services, or dropout recovery services;

(4) Occupational skills training;

(5) Education offered concurrently with and in the same context as workforce preparation activities and training for a specific occupation;

(6) Leadership development opportunities, including community service and peer-centered activities;

(7) Supportive services;

(8) Adult mentoring for at least twelve months during and after program participation;

(9) Follow-up services for at least twelve months after completion of participation;

(10) Comprehensive guidance and counseling, as appropriate to the individual youth;

(11) Financial literacy education;

(12) Entrepreneurial skills training;

(13) Services that provide labor market information about in-demand industry sectors or occupations available in the WIOA local areas; and

(14) Activities that help youth prepare for and transition to postsecondary education and training.

(F) Expenditure requirements

(1) Out-of-school youth

(a) The WIOA's primary focus for youth formula programs is to support the educational and career success of out-of-school youth (OSY) as described in the WIOA section 129(a)(1)(B).

(b) WIOA section 129(a)(4) requires WIOA local areas to spend a minimum of seventy-five per cent youth formula funds excluding administration funds, on OSY.

(2) Youth work experience

(a) WIOA section 129(c)(4) prioritizes paid and unpaid work experiences as a critical youth program element that includes an academic and occupational education component.

(b) WIOA local areas must spend at least twenty per cent of youth formula funds on unpaid and paid work experiences as described in paragraph (E)(2) of this rule, exclusive of funds provided for administrative costs.

(c) Program expenditures for the work experiences program element include wages and staffing costs for the development and management of work experiences.

(3) Allocated funds may not be used on construction or purchase of facilities, buildings, or foreign travel.

(G) Administration

(1) The costs of administration are the costs associated with performing the following:

(a) Accounting, budgeting, financial and cash management;

(b) Procurement and purchasing;

(c) Property and personnel management;

(d) Payroll;

(e) Audits and coordinating the resolution of findings arising from audits, reviews, investigations and incident reports;

(f) General legal services;

(g) Developing systems and procedures, including information systems, required for these administrative functions; and

(h) Fiscal agent responsibilities.

(2) In accordance with 20 C.F.R. part 683.215, the definition of WIOA administration specifies that all costs incurred for functions and activities of sub-recipients and contractors are program costs, unless the sub-recipient or contractor is performing only administrative functions.

(3) A WIOA local area may use up to ten per cent of the allocation amounts for the administrative cost of carrying out WIOA activities.

(4) Sub-recipients and contractors performing program functions that are funded with WIOA youth funds do not report the costs associated with performing these program functions as administrative costs against the area's ten per cent administration expense limit.

(H) Statewide activities

(1) The governor may set aside a certain percentage of youth formula funds as described in WIOA section 128 for statewide activities, including five per cent for administrative activities. These funds may be combined and spent on statewide youth activities as described in WIOA section 129(b).

(2) ODJFS may periodically allocate statewide funding for special projects.

(3) Statewide funds are available for expenditure during the current PY and the two succeeding PYs.

(I) The WIOA local area shall maintain documentation as described in rule 5101:9-9-21 of the Administrative Code. This documentation may be subject to inspection, monitoring, and audit by the ODJFS office of fiscal and monitoring services (OFMS) and the Ohio auditor of state (AOS).

Last updated October 3, 2022 at 8:59 AM

Supplemental Information

Authorized By: 5101.02, 6301.03
Amplifies: 5101.02, 6301.03
Five Year Review Date:
Prior Effective Dates: 6/22/2015

Rule 5101:9-31-99 | Workforce Innovation and Opportunity Act (WIOA) general rapid response allocation funding.

• Effective: April 1, 2021
• Promulgated Under: 111.15

(A) The Ohio department of job and family services (ODJFS) issues Workforce Innovation and Opportunity Act (WIOA) rapid response funding to assist local workforce development boards (LWDBs) that experience disasters, mass layoffs, plant closings, or other dislocation events that substantially increase the number of unemployed individuals.

(B) This allocation is one hundred per cent federal funds. The catalog of federal domestic assistance (CFDA) number is 17.278.

(C) Up to twenty-five per cent of dislocated worker formula funds may be reserved for rapid response activities as described in WIOA section 134(a)(2)(A) and 20 C.F.R. 682.300 to 682.370.

(D) The LWDB shall provide rapid response activities as described in 20 C.F.R. 682.300.

(1) LWDBs may apply for rapid response funds when they have experienced increased numbers of unemployed individuals due to:

(a) Plant closings;

(b) Mass layoffs;

(c) A mass job dislocation resulting from a natural or other disaster;

(d) Trade adjustment assistance (TAA) petition; or

(e) The provision of direct services as layoff aversion activities as described in 20 C.F.R. 682.320.

(2) Funds reserved for rapid response activities that remain unobligated after the first program year of fund availability may be used to carry out statewide activities as described in WIOA section 134(a)(2)(A)(ii) and 20 C.F.R. 682.370.

(E) The LWDB shall report expenditures as described in rule 5101:9-7-29 of the Administrative Code.

(F) The LWDB shall maintain documentation in accordance with the records retention requirements in rule 5101:9-9-21 of the Administrative Code. This documentation may be subject to inspection, monitoring, and audit by the ODJFS office of fiscal and monitoring services (OFMS) and the Ohio auditor of state (AOS).

Last updated April 8, 2021 at 3:06 PM

Supplemental Information

Authorized By: 5101.02, 6301.03
Amplifies: 5101.02, 6301.03
Five Year Review Date:
Prior Effective Dates: 12/1/2010