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This entry was published on 2014-09-22
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Substate plans
§ 839. Substate plans. 1. Substate grantees are required to submit a
substate plan for review and comment to the local elected officials and
the private industry council and to the governor for approval. Upon
approval of the plan, grantees shall implement all procedures described
pursuant to the requirements of this section.

2. The substate plan shall include statements describing:

(a) basic readjustment, retraining and supportive services and the
method for providing such services;

(b) outreach and intake procedures and the method used to verify
program participant eligibility;

(c) means for coordinating services with the unemployment compensation

(d) means for involving labor organizations representing individuals
affected by dislocation within the substate area in the development and
implementation of services;

(e) performance goals;

(f) procedures for selecting service providers consistent with section
one hundred seven of the federal Job Training Partnership Act (P.L.

(g) procedures for responding expeditiously to worker dislocation
where the rapid response assistance required by section eight hundred
forty of this article is inappropriate, of which methods may include but
are not limited to:

(i) development and delivery of widespread outreach mechanisms;

(ii) provision of financial evaluation and counseling (where
appropriate) to assist in determining eligibility for services and the
type of services needed;

(iii) initial assessment and referral for further basic readjustment
and retraining services; and

(iv) establishment of centers within each substate area for the
purpose of providing such outreach, assessment and early readjustment

(h) the involvement of the governor, local elected officials and
private industry council in the activities of the substate grantee;

(i) the training services to be provided including:

(i) assessment of participants' skill levels and occupational

(ii) assessment of participants' needs including educational,
training, employment and supportive services;

(iii) methods for allocating resources to provide the services
recommended by rapid response teams; and

(iv) a description of services and activities to be provided in the
substate area;

(j) the means to achieve coordination with other appropriate programs,
services and systems for the purpose of avoiding duplicating services
available through existing services;

(k) a detailed budget; and

(l) an evaluation design consistent with criteria set forth in
regulations by the commissioner.

3. The governor shall approve the plan submitted by a substate
grantee, or the modification thereof, unless he finds that:

(a) corrective measures for deficiencies found in audits or in meeting
performance standards from previous years have not been taken or are not
acceptably underway;

(b) the entity proposed to administer the program does not have the
capacity to administer the funds;

(c) there are inadequate safeguards for the protection of funds

(d) the plan or modification does not comply with a particular
provision of the federal job training partnership act (P.L. 97-300) or
of regulations of the United States secretary of labor; or

(e) the plan or modification does not comply with the requirements of
this article.

4. The governor shall approve or disapprove a plan submitted by a
substate grantee or modification thereof within thirty days after the
date that the plan or modification is submitted, except that if a
petition is filed under subdivision five of this section, such period
shall be extended to forty-five days. Any disapproval by the governor
may be appealed to the United States secretary of labor.

5. Interested parties may petition the governor within fifteen days of
the date of submission for disapproval of the plan or modification
thereof if:

(a) the party can demonstrate that it represents a substantial client

(b) the party took appropriate steps to present its views and seek
resolution of disputed issues prior to submission of the plan to the
governor; and

(c) the request for disapproval is based on a violation of statutory

6. If a substate grantee fails to submit a plan, or submits a plan
that is not approved by the governor, the governor may direct the
expenditure of funds allocated to the substate area until such time as a
plan is submitted and approved or a new substate grantee is designated
under this article.

7. If a substate grantee fails to expend funds allocated to it in
accordance with its plan, the governor may, subject to appropriate
notice and opportunity for comment in the manner required for approval
of the substate plan, direct the expenditure of funds in accordance with
the substate plan until the substate grantee corrects the failure, the
substate grantee submits an acceptable modification to its plan, or a
new substate grantee is designated in accordance with the provisions of
paragraph (a) of subdivision one of section eight hundred thirty-eight
of this article.