I.Purpose
The purpose of this policy is to outline the requirements for
requesting Rapid Response Emergency Assistance Funds (RREAF) to deliver the
rapid response (RR) program services during an employer closure, mass layoff,
disaster mass job dislocation, and/or filing of a Trade Adjustment Assistance
(TAA) petition event.
II.Effective
Date
Immediately
III.Rescission
ODJFS, Workforce Innovation and Opportunity Policy Letter No.
17-05, Funding for Rapid Response - Employer Closure, Mass Layoff, Disaster
Mass Job Dislocation, and Trade Adjustment Assistance Events (May 28th, 2018)
IV.Background
RR is a State-administered program implemented by the local
workforce development area's (local area) RR team. The purpose of the RR program is to assist
dislocated workers in obtaining reemployment as soon as possible, when one or
more of the following circumstances occur:
1.Announcement or
notification of a permanent closure, regardless of the numbeof workers
affected;
2.Announcement or
notification of a mass layoff;
3.A mass job
dislocation resulting from a natural or other disaster; or
4.The filing of a
TAA petition.
Per section 133(a)(2)
of WIOA, the State shall reserve 25 percent of the total State allotment of
dislocated worker funds for statewide rapid response activities. These reserved funds are available to
local areas to serve potentially affected workers (PAWs) and employers affected
by an RR event within the last six months.
The State must
use these funds within three years of its original allocation.
RR funds, or RREAF, are intended to supplement the local
dislocated worker formula-funded program, not to replace these funds. RREAF must not take the place of dislocated
worker formula funds when providing RR services. RREAF are available on a limited basis when
the current dislocated worker funds are not sufficient to provide the necessary
services during an RR event.
RREAF are to be used to ensure the effective delivery of RR
services and an efficient transition to any additional services needed for reemployment
(e.g., referrals to WIOA Title I formula-funded programs, Wagner-Peyser
Employment Services program, vocational rehabilitation, Aspire (formerly ABLE)
services, etc.). State and local resources shall be used before outsourcing
services that are being paid for through RR funds.
When a layoff event occurs, the area must provide services to
the dislocated workers as appropriate even if the layoff does not meet the RR
event definition and regardless of whether RR funding is issued to the local
area. The local area will fund services for these layoffs through local
dislocated worker formula funds.
Pursuant to section 134(c)(1) of WIOA, funds allocated to the local area
for dislocated workers shall be used to establish a workforce delivery system,
to provide career services to dislocated workers, to provide training services
to dislocated workers, to establish and develop relationships with large and
small employers, and to develop, convene, or implement industry and sector
partnerships. The local workforce
development boards (WDBs) determine the most appropriate mix of these services,
and both career and training services must be available to eligible dislocated
workers. It is expected that the local
area will provide career and/or training services to dislocated workers whose
dislocation does not meet the threshold for RR program services using the local
area's dislocated worker program formula funds.
V.Definitions
Designee: The fiscal agent or other individual who is
designated by the local WDB through local WDB by-laws, local area policies, or
procedures to request RR funding on behalf of the local WDB director for any
applications or requests. This
designation may be temporary or permanent.
Disaster mass job
dislocation: Any reduction in
force, due to a disaster as defined by state or local emergency management
policy, that does not result in a total plant/branch/office closing, but still
results in the filing of a Worker Adjustment and Retraining Notification Act
notice, regardless of the number of workers affected by the layoff announced;
or, if no WARN correspondence is issued, employment loss at a single site of
employment for:
1.At least 25 percent of employees; or
2.At least 50 employees.
Employer: An individual, business,
company, firm, agency, organization, etc. that employs one or more people.
Employer closure: The permanent
shutdown of an Ohio business, facility, or agency.
Event: Any situation in which
workers are at risk of layoff from a downsizing or closure of an employer’s Ohio
business, facility, or agency.
Fiscal agent: The entity designated by the chief elected
official(s) to perform accounting and funds management on behalf of the chief
elected official(s). The fiscal agent
coordinates with the local workforce development board regarding funding for
the planned array of dislocated worker and rapid response services and ensures
fiscal integrity and accountability for expenditure of these funds.
Layoff: A separation due to the
lack of work or other factor(s) not related to the behavior or performance of
the employee.
Local plan: A comprehensive four-year plan developed by
the local WDB, in partnership with the chief elected official, and submitted to
the State which provides descriptions of the strategic planning elements and
services provided in the local area.
Mass layoff: Any reduction in force that does not result
in a total plant/branch/office closing, but still results in the filing of a
Worker Adjustment and Retraining Notification Act notice, regardless of the number
of workers affected by the layoff announced; or, if no WARN correspondence is
issued, employment loss at a single site of employment for:
1.At least 25
percent of employees; or
2.At least 50
employees.
Notification: The process by which
an individual on the RR team is made aware of a possible or actual RR
event. A notification can come from a
variety of sources, including, but not limited to: a WARN letter, word of
mouth, the media, local Chamber of Commerce, ODJFS Trade Unit, American Job Center
(which in Ohio is called OhioMeansJobs center), union officials, local
government, affected workers, etc.
Ohio Rapid Response Workforce Survey
(RRWS): The standardized survey (JFS 08124) and related software used in
Ohio to identify demographics of the affected workforce and serve as a
preliminary needs assessment.
Ohio’s designated case management system:
An information tracking system as
defined in Ohio Administrative Code (OAC) 5101:9-30-04 which is used by
workforce professionals to gather and report program data and employer event
information on the delivery of services for the following programs: Rapid Response, WIOA, Wagner-Peyser, Veteran,
Apprenticeship, Migrant and Seasonal Farmworker, Foreign Labor Certification,
and Trade.
Planning region: Two or more local workforce development areas
assigned by the State to align workforce development activities and resources
with larger regional economic development areas and available resources to
provide coordinated and efficient services to both job seekers and employers.
Potentially affected workers (PAW): Employees at risk of becoming unemployed due
to an event.
Rapid response emergency assistance funds
(RREAF): State rapid response
funding allocated to local areas for the provision of reemployment services
outlined in the service plan to workers and employers who have been affected by
an RR event.
Rapid response (RR) event: When one or more of the following
circumstances occur:
1.Announcement or
notification of a permanent closure, regardless of the number of workers
affected;
2.Announcement or
notification of a mass layoff;
3.A mass job
dislocation resulting from a natural or other disaster; or
4.The filing of a
TAA petition.
Rapid response team: Individuals
from state and local workforce entities that respond collectively to layoffs
and closures that occur within their local area or planning region and assist
in providing RR services to employers and affected workers.
Service plan: A plan, entered into Ohio’s designated case
management system, which details all RR services that will be provided to an
affected workforce and a timeline of when services will be delivered.
Trade Adjustment Assistance (TAA): A program which provides assistance,
including reemployment and training services, to workers whose jobs have been
threatened or lost due to foreign imports, or shifts in production and/or
services to a country outside the United States.
Worker Adjustment and Retraining
Notification (WARN) Act: The Act that protects workers, their families,
and communities by requiring most employers with 100 or more employees to
provide notification 60 calendar days in advance of plant closings and mass
layoffs. The general provisions of the WARN
Act cover employers with 100 or more employees, not counting those who have
worked less than 6 months in the last 12 months and those who work an average
of less than 20 hours a week; or at least 50 employees at a single site of
employment. Additional materials to
assist with compliance can be found at http://www.doleta.gov/layoff/warn.cfm.
Workforce development board (WDB)
director: The individual hired or
designated by the local WDB to assist in completion of duties for the local
WDB, including oversight of workforce development employment and training
programs and development of the budget for the local area.
VI.Local
Workforce Development Area Requirements
The process for requesting RREAF allows for a quicker release of
funds. However, the local area should be
continuously assessing and creating a strategic plan for the use of dislocated
worker formula funds. This is especially
important as the request for RREAF may be made on behalf of a county or
counties within a local area using the review of not only the local area's
expenditures, but also the individual county's expenditures, to assist in the
approval process of the RREAF.
When applying for a National Dislocated Worker Grant (NDWG), the
state’s financial need for additional funds is determined on whether the state
spent at least 70 percent of its prior program year dislocated worker and rapid
response funding. Therefore, the local
area must be aware that there is a potential adverse impact if the local area's
expenditure rate is significantly lower than the individual county's
expenditure rate and not on track to achieve the 70 percent expenditure level
by the end of the program year.
Prior to any request for RREAF, the RR team must have
conversations with the affected business and survey employees using the JFS 08124, Ohio Rapid Response Event Data, to
determine which services must be provided. When providing RR services, all
local area and/or state policies pertaining to the delivery of career services,
training services, individual training accounts (ITA), supportive services, and
on-the-job trainings (OJT) must be followed.
Furthermore, all training provided as an RR service and funded by RREAF
should be short-term training not to exceed 12 months, with an emphasis on a
six-to-eight-month duration. For
training lasting more than 12 months, RR will only fund the initial 12 months;
local dislocated worker funds, National Dislocated Worker Grant funds, or other
funds for which the participant is eligible must be used for the remaining
duration. Maximum financing amounts for
ITAs using RR funds must be in compliance with the local area's ITA policy.
If determined necessary, requests for RREAF must come from the
local WDB director based on the local RR team's service plan. The local WDB, through WDB by-laws, policies,
or procedures, may designate, either permanently or temporarily (e.g., during a
temporary absence of the WDB director), a designee to request RR funding and/or
sign the RREAF application. If the local
WDB director does have a designee, the WDB director must communicate this
designation to the ODJFS Office of Workforce Development (OWD), RR Unit at RAPDRESP@jfs.ohio.gov using "RR
Funding Designee" in the subject line.
The RR Unit will not approve any funding if the request is signed by
someone other than the WDB director unless there is notification of a designee.
Application for and approval of funds is for the federal fiscal
year (October-September). If the
delivery of RR services goes beyond the federal fiscal year, the WDB director
must submit a new RREAF application to the OWD RR unit requesting additional
funding for the next federal fiscal year (FFY).
Moreover, the local area or county must meet the spending criteria for
adult and dislocated worker formula funds.
A.Request for Transition Services Funding
The local area may request no more than $10,000 to commence
transition services. The request for
funds must be necessary and reasonable based upon the transition services to be
provided. These funds should provide the
RR team with emergency resources to immediately respond and begin generalized services
and information gathering.
The transition services include only the following:
1.Establishing a
transition center;
2.Conducting
initial meetings;
3.Holding worker
reemployment sessions;
4.Convening labor
management committees; and,
5.Surveying PAWs
using the JFS 08124.
To request funding for transition services, the WDB director, or
designee, on behalf of the local area and/or the county or counties within
their local area, will email the following information to RAPDRESP@jfs.ohio.gov:
1.Name of
business experiencing the RR event;
2.Verification
that the business is closing, experiencing a mass layoff or a disaster mass job
dislocation, or filing a TAA petition;
3.Date of
anticipated or actual RR event;
4.Estimated
number of PAWs;
5.Description of
what and how transition services will be provided;
6.Identification
of any other local area, planning region, or other state which is impacted by
this RR event;
7.Begin date of
transition services (begin date cannot be later than six months from the date
of submission or more than six months prior to the anticipated or actual RR
event); and
8.Amount of funds
being requested, including detailed information on how money will be spent on
the transition services listed above.
This request should only be completed when there is the intent
to submit an RREAF application in the future.
B.Initial Application for RREAF
The results of the RRWS (JFS 08124) must be used to determine
appropriate RR services to be provided to PAWs and the employer. The service plan is developed to outline
necessary RR services to assist PAWs to become quickly re-employed. The local area must first assess whether the
local area has adequate dislocated worker formula funds available to fund RR
services. RREAF are based on the need
for additional financial resources to serve PAWs and employers during an RR
event, when there is a shortage of a local workforce development area's
dislocated worker formula funds.
If the local RR team determines that RREAF are needed for an RR
event, the local WDBs must apply using the most current JFS 18126, Application for Rapid Response Emergency Assistance Funds
that is available on the ODJFS Forms Central webpage.
The application submitted by the local WDB director or designee
for RREAF must only be completed once a survey of affected workers using the
RRWS is completed, a strategy meeting has been conducted, and a service plan
has been developed. The service plan
must be discussed with and supported by the employer and labor union (as
appropriate) and aligned with the local plan.
1.Funding RR
Services
The local WDB director, or designee, on behalf of the local area
or counties within an area, may apply for up to $4,200 per RR participant. The
number of RR participants is 75 percent of the total PAWs who completed the
RRWS (JFS 08124) and are registered in Ohio’s designated case management
system, as defined in OAC 5101:9-30-04. RREAF applications shall budget no more than
25 percent of the total requested budget for career services. For example, company ABC issues a WARN
impacting 100 PAWs; 40 PAWs complete surveys and are entered into Ohio’s
designated case management system. The
number of RR participants is 30 (75 percent of 40 PAWs). The local area may request a maximum of
$126,000.00 (30 X $4,200) to implement the plan of services as described in the
application, with no more than 25 percent (or $31,500) budgeted for career
services.
In addition to funds for implementing the plan of services to
the PAWs, the application may also include the creation and maintenance of a
transition center, including hiring temporary WIOA staff for the center or
paying additional staff expenses, if established in the initial request for
RREAF. If the application includes
maintenance of a transition center, the application must include a description
of how OhioMeansJobs center partners (e.g.,
Wagner-Peyser Employment Services program staff) were considered and utilized
within the plan for staffing and maintaining the transition center prior to
submission of the request for RREAF.
RR funds are for RR services only and do not include
administrative costs.
The JFS 18126 must be e-mailed to the OWD RR Unit: RAPDRESP@jfs.ohio.gov.
2.Coordinating
Funding for RR Services
If an RR event involves a planning region or multiple local
areas, one application for RREAF will be submitted on behalf of the planning
region and/or all affected local areas.
Funds will be available to all local affected areas to assist in the
delivery of RR services. The RREAF
application should include all PAWs, a designation of what services will be
provided by each local area, and the specific funding that should be associated
with each affected local area. The RREAF
application will be submitted by the WDB director of the local area in which
the employer experiencing the RR event is headquartered. ODJFS will award RR grant funds to each participating
local area individually based on planned services and the current expenditure
rate of that local area’s formula funding.
3.Use of Other
Funding Sources
The policy on Training Services for Adults and Dislocated
Workers applies to training funded with RREAF dollars, including the
requirement to obtain grant assistance from other sources to pay the costs of
training before utilizing WIOA funds. If
the local area has requested RREAF for training services, including OJTs, and
the employer's TAA petition is later approved, the local area must co-enroll
and transition all eligible PAWs to the TAA program for continued training
services as described in the On-the-Job Training Policy. TAA will become the funding source for
training services.
VII. State
Requirements
A.Review and Approval for Funding Transition Services
The OWD RR Unit will review and approve funding requests for
transition services based upon the following:
1.Whether the
event triggering the funding request is an RR event;
2.Which of the
five transition services will be provided;
3.How much
funding is being requested; and
4.Whether the
request is necessary and reasonable based upon the transition services being
provided.
The OWD RR Unit will not approve a request for funding over $10,000. Also, requests for transition services not
listed within this policy, or for services in response to events that are not
an employer closure, mass layoff, disaster mass job dislocation, or TAA
petition filing will not be approved.
B.Review and Approval
of Initial RREAF
Since RREAF is based on need and should not replace dislocated
worker formula funds, the OWD RR Unit will review the following, in addition to
the RREAF application, to assist in making a funding determination:
1.The local
area's frequency of transferring dislocated worker formula and adult formula
funds, including how the local area has strategized to respond to unforeseen
events when they transferred funds.
2.The local
area’s demonstrated success through the RREAF application, in achieving a
streamlined service delivery model, by reducing duplicative efforts and
leveraging available resources, including Wagner-Peyser Employment Services and
other workforce development system partner staff.
3.The local area's
level of spending of adult and dislocated worker formula funds. Spending rates will be reviewed to determine
a financial need for RREAF. ODJFS
requires the local area to spend carry-in funds and to be on track to spend at
least 70 percent of first year funds by the end of the current fiscal
year. The target spending total is based
upon the quarter in which the RREAF is requested and is computed using the
following formulas:
Quarter 1 Target Spending Total for
August – October applications using expenditure data as of June 30:
70% Cumulative
(Spent 70% of 2nd year PY/FY)
Quarter 2 Target Spending Total for
November – January applications using expenditure data as of September 30:
80% Cumulative (Spent 100% of the 2nd year PY/FY and 0% of 1st
year PY, counties have not received new FY funding)
Quarter 3 Target Spending Total for
February – April applications using expenditure data as of December 31:
62.5% Cumulative (Spent 100% of the 2nd year PY/FY, 100% of 1st
year PY, 0% of 1st year FY)
Quarter 4 Target Spending Total for
May – July applications using expenditure data as of March 31:
75% Cumulative (Spent 100% of the 2nd year PY/FY, 100% of 1st
year PY, 35% of 1st year FY)
If the spending thresholds are not met, information on the local
area's commitments through the end of the current program year will be reviewed
to demonstrate the local area being "on track" to spend at least 70
percent of first year funds and to demonstrate a financial need for RREAF. For direct services to participants, the local
area's commitments shall be reported in the County Finance Information System
(CFIS) Client Tracking System.
4.If the local
area does not meet the spending thresholds outlined in the previous paragraph,
the spending levels of adult and dislocated worker formula funds in the county
where the RR event occurred will be reviewed.
Like the local area, ODJFS requires the county to spend the carry-in
funds and to be on track to spend at least 70 percent of first year funds by
the end of the current fiscal year using the formulas stated in the previous
paragraph. The target spending total is
based upon the quarter in which the RREAF application is submitted.
If the spending thresholds are not met, information on the
county's commitments through the end of the current fiscal year will be
reviewed to demonstrate the county being "on track" to spend at least
70 percent of first year funds and to demonstrate a financial need for
RREAF. For direct services to
participants, the county's commitments shall be reported by the participant in the
CFIS Client Tracking System.
5.If the RR event
involves a planning region or multiple local areas, the spending threshold will
be evaluated for each local area to determine the need for RREAF.
C.Distribution of RR Funding
The OWD RR Unit will fund RR requests incrementally. Up to four increments per application may be
requested depending on when the initial application was submitted. In most cases, the dollar amount of the
increments will be equal unless varying increments are justified based upon the
services to be provided.
Local areas may request subsequent increments by e-mail to RAPDRESP@jfs.ohio.gov. The requests must include the employer’s name
and the increment being requested.
Requests will be reviewed against the plan for services and
outcomes, participant service data into Ohio’s designated case management
system, and spending and obligation of the prior increment(s). The outcomes will need to be on track
according to the plan for services for incremental approval. To receive another increment, the local area
must have spent at least 70 percent of all previous increments.
If the service plan changes while providing rapid response
activities, the local area must submit a modification to the "proposed
services" portion of the RREAF application.
Also, if the local area expends at least 70 percent of the total
requested funds according to the plan of services, the local area may submit a
new application for additional funding to serve additional PAWs from the RR
event.
If the number of PAWs to be served is significantly reduced
after application and allocation of funds, the local area must return unused
RREAF to the State. Additionally, all
unused RR funds that were allocated to the local area for training services
prior to TAA petition approval must be returned to the State unless the local
area modifies the application to include other services or additional PAWs not
initially included in the RREAF application.
VIII. Reporting
Ohio’s designated case management system as defined in OAC 5101:9-30-04 records all significant information and
data from each event beginning with notification and initial contact with the
employer, through the transition of PAWs to the OhioMeansJobs centers and the
local workforce development system.
Specific RR events to be funded by RREAF must be entered into
Ohio’s designated case management system with expected layoff dates and the
number of PAWs. The service plan, which
outlines the details of all RR services, must also be entered into Ohio’s
designated case management system prior to application for RREAF.
Ohio’s designated case management system is the system of record
for all RR service delivery to PAWs.
Information about all PAWs who attend a reemployment session or other
provided RR service must be entered into Ohio’s designated case management
system within 30 days or prior to RREAF application. This information is used to determine
potential RR funding as well as to report participant data and outcomes to the
local area.
IX.Monitoring
A.OWD RR Unit
The OWD RR Unit will conduct desk reviews on all RREAF, which
includes reviews of the services being provided under RREAF and the expenditure
of RR funds allocated to the local area.
Periodic discussions will be conducted with local areas in receipt of RREAF
to share the outcome of these reviews. The purpose of these reviews is to
ensure that funds are being utilized for what they were requested and to
monitor how much of the RREAF is being spent.
If, during these reviews, it becomes apparent the local area will not
spend the allocated RREAF, the OWD RR Unit reserves the right to pull back a
portion of these funds from the local area.
B.Local WDB Monitoring
The local WDB's oversight and monitoring must include a review
of the effectiveness of the local area's rapid response program. This may include:
1.An assessment
of collaboration among RR teams and members;
2.The efficiency
of service delivery to employers and PAWs;
3.Timeliness and
completeness of data entry into Ohio’s designated case management system; and
4.Use of funds in
a manner that is consistent with the funding application and federal and state
laws and local procedures.
C.State Monitoring
Through the state's monitoring system, program and fiscal
monitors will review the following during the annual onsite monitoring review:
1.The local
area's implementation of RR activities, including results from local monitoring
efforts;
2.The funding
application, and
3.Compliance with
federal laws and regulations and state and local policies.
Any compliance issues will be handled through the state's
findings resolution process.
X.Technical
Assistance
The OWD RR Unit will oversee Ohio's RR program to identify
notable practices and document RR activity throughout the state. The Unit will also provide oversight of the
activities of the local RR teams.
The OWD RR Unit provides the following activities:
1.Technical
assistance for the development of an RR team protocol;
2.Ongoing
support, guidance, training, and technical assistance to local teams, local
WDBs, and OhioMeansJobs centers;
3.Reviewing,
managing, and reporting out on data derived from local activity; and
4.Providing
financial resources to the local RR teams and stakeholders.
For additional information, questions may be sent to the OWD RR
Unit: RAPDRESP@jfs.ohio.gov.
XI.References
Workforce Innovation and Opportunity Act § 134, Pub. L. 113-128.
20 C.F.R. §§ 682.300 - 682.370.
Worker Adjustment and Retraining Notification Act (WARN), Pub.
L. 100-379, 29 U.S.C. 2101 et seq., and 20 C.F.R. Part 639.
USDOL, Training and Employment Guidance Letter No. 19-16,
Operating Guidance for the Workforce Innovation and Opportunity Act, Guidance
on Services provided through the Adult and Dislocated Worker Programs under the
Workforce Innovation and Opportunity Act (WIOA) and the Wagner-Peyser Act
Employment Service (ES), as amended by title III of WIOA, and for
Implementation of the WIOA Final Rules, (March 1, 2017).
ODJFS, Workforce Innovation and Opportunity Act Policy Letter
No. 15-15.3, Rapid Response Program Requirements – Employer Closure, Mass
Layoff, Disaster Mass Job Dislocation, and Trade Adjustment Assistance Events,
(October 26,2023).
ODJFS, Workforce Innovation and Opportunity Act Policy Letter
No. 15-08.1, Career Services for Adults and Dislocated Workers (June 6, 2017).
ODJFS, Workforce Innovation and Opportunity Act Policy Letter
No. 15-09.1, Training Services for Adults and Dislocated Workers (January 8,
2018).
ODJFS, Workforce Innovation and Opportunity Act Policy Letter
No. 15-11.3, Use of Individual Training Accounts (September 27,2021)
ODJFS, Workforce Innovation and Opportunity Act Policy Letter
No. 15-22.1, On-the-Job Training Policy, (January 22, 2018).
O.A.C. §§ 5101:9-30-04