ETA
Federal Register Notice ETA
Federal Register Notice
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DEPARTMENT OF LABOR
Employment and Training Administration
Job Training Partnership Act, Title III, Demonstration Program:
Comprehensive Incumbent/Dislocated Worker Retraining Demonstration
Program
AGENCY: Employment and Training Administration, Labor.
ACTION: Notice of availability of funds and solicitation for grant
applications (SGAs).
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This notice contains all of the necessary information and forms
need to apply for grant funding.
SUMMARY: The U.S. Department of Labor (DOL), Employment and Training
Administration (ETA), announces a demonstration program to test the
ability of the workforce development system to create projects or
industry-led consortia for the purpose of upgrading current workers,
designing or adapting training curricula in skills shortage
occupational areas, or in regionally important business/industry areas
including manufacturing and machining, and specialized industrial areas
such as plastics, telecommunications and the environment, and to
recruit/retrain workers in these occupations. The dislocated and/or
incumbent workers who will be assisted by these efforts include
specific groups such as agricultural workers, low skilled workers, and
those needing assistance in overcoming barriers to employment. These
barriers to employment may be caused by living in rural communities,
having limited options for transportation to work, having inadequate or
obsolete skills or having skills in declining occupations. The focus of
these efforts will be on skills training in skills shortage occupations
including welding and metals, new and growing occupations in
technological fields such as information technology,
telecommunications, and other fields in which technology skills are
critical parts of the jobs emerging in their regional labor markets.
Any consortia established as a result of this competition would also be
expected to enhance the strategic planning efforts and policy efforts
of local boards under the Workforce Investment Act in these areas.
DATES: The closing date for receipt of applications is Thursday, April
27, 2000. Applications must be received by 4 p.m. eastern standard
time. No exceptions to the mailing and hand-delivery conditions set
forth in this notice will be granted. Applications that do not meet the
conditions set forth in this notice will not be considered.
Telefacsimile (FAX) applications will not be honored.
ADDRESSES: Applications must be mailed or hand-delivered to: U.S.
Department of Labor, Employment and Training Administration, Division
of Federal Assistance, Attention: Marian G. Floyd, Reference: SGA/DFA
00-103; 200 Constitution Avenue, N.W., Room S-4203, Washington, DC
20210.
Hand-Delivered Proposals. Proposals should be mailed at least five
(5) days prior to the closing date. However, if proposals are hand
delivered, they must be received at the designated address by 4 p.m.,
Eastern Time on Thursday, April 27, 2000. All overnight mail will be
considered to be hand-delivered and must be received at the designated
place by the specified closing date and time. Telegraphed, electronic,
or faxed proposals will not be honored. Failure to adhere to these
instructions will be a basis for determination of nonresponsiveness.
Late Proposals. A proposal received at the office designated in the
solicitation after the exact time specified for receipt will not be
considered unless it is received before the award is made and was
either:
(1) Sent by U.S. Postal Service Express Mail Next Day Service--Post
Office to Addressee, not later than 5 p.m. at the place of mailing two
working days prior to the date specified for receipt of the proposals.
The term ``working days'' excludes weekends and the U.S. Federal
holidays.
(2) Sent by U.S. Postal Service registered or certified mail not
later than the fifth calendar day before the date specified for receipt
of application (e.g., an offer submitted in response to a solicitation
requiring receipt of applications by the 20th of the month must be
mailed by the 15th). The only acceptable evidence to establish the date
of mailing of a late proposal sent either by U.S. Postal Service
registered or certified mail is the U.S. postmark both on the envelope
or wrapper and on the original receipt from the U.S. Postal Service.
Both postmarks must show a legible date or the proposal shall be
processed as if mailed late. ``Post-mark'' means a printed, stamped, or
otherwise placed impression (exclusive of a postage meter machine
impression) that is readily identifiable without further action as
having been supplied and affixed by an employee of the U.S. Postal
Service on the date of mailing. Therefore, offerors should request the
postal clerk to place a legible hand cancellation ``bull's eye''
postmark on both the receipt and the envelope or wrapper. Both
postmarks must show a legible date, or the application shall be
processed as though it had been mailed late.
Withdrawal of Applications. Applications may be withdrawn by
written notice or telegram (including mailgram) received at any time
before an award is made. Applications may be withdrawn in person by the
applicant or by an authorized representative thereof, if the
representative's identity is made known and the representative signs a
receipt for the proposal.
FOR FURTHER INFORMATION CONTACT: Fax questions to Marian G. Floyd,
Division of Federal Assistance at (202) 219-8739 (this is not a toll-
free number). All inquiries sent via fax should include the SGA /DFA-
00-103 and contact name, fax and phone number. This solicitation will
also be published on the Internet on the Employment and Training
Administration's (ETA) Home Page at http://www.doleta.gov. Award
notifications will also be published on the ETA Home Page.
SUPPLEMENTARY INFORMATION: ETA is soliciting proposals on a competitive
basis for comprehensive incumbent and
[[Page 16639]]
dislocated worker retraining program. It is envisioned that the
upgrading of current workers, designing or adapting training curricula
in skills shortage occupational areas, or in regionally important
business/industry areas including manufacturing and machining, and
specialized industrial areas.
This announcement consist of six (6) parts.
(1) Part I--Background
(2) Part II--Eligible Applicants and Application Process
(3) Part III--Proposal Submission
(4) Part IV--Statement of Work/Government's Requirement
(5) Part V--Rating Criteria & Award Selection
(6) Part VI--Monitoring, Reporting & Evaluation Requirements
Part I. Background
A. Authority
Section 323(a)(6) of JTPA (29 U.S.C. 1662b) authorizes the use for
demonstration programs of funds reserved under Section 302 of JTPA (29
U.S.C. 1652) and provided by the Secretary for that purpose under
Section 322 of JTPA (29 U.S.C. 1662a). Demonstration program grantees
must comply with all applicable federal and state laws and regulations
in setting up and carrying out their programs.
B. Purpose
During periods of economic expansion, reports of robust growth
often overshadow news about pockets of persistent worker dislocation.
Each year, there are over 3.3 million people laid off from their jobs,
with many of these individuals served by federal, State and local
career services. At the same time, the demand to create a better
educated, higher skilled labor force for the 21st Century continues to
rise. With 70% of the workforce for the year 2020 already in place,
many observers have recognized that workplace learning is a priority
investment for businesses, as well as incumbent workers. With real
wages and productivity on the decline in some rural and urban areas,
partnerships forged by employers, labor, unions, community colleges,
technology centers and Government provide both the support and the
expertise to train and retrain workers.
Because technology and manufacturing are cornerstones of the
economy, efforts to provide the highest levels of quality in meeting
the training needs of workers are essential both to step-up
productivity and to increase industrial competitiveness worldwide.
Training machinists and engineers to replace workers who have retired
or will be retiring from U.S. manufacturing industries during the next
several years has created severe problems for both the industry and
employed workers unable to move into more complex, skilled professions.
Subsequently, expanding the manufacturing base is a key factor in
moving people from poverty into skilled professions where rising
standards of living will directly impact regional economies.
Building the capacity for workers to continually develop skill sets
and to apply new learning to job specific tasks is a fundamental
strategy in an era of global competition, trade deregulation, and rapid
technological change. Developing critical thinking and problem solving
abilities, while improving fluency in reading, writing, English as a
Second Language and mathematics are requirements of today's high
performance workplace. Bureau of Labor Statistics data report
occupations that require at least an associates degree will account for
40 percent of all job growth out to 2008, compared to a one-quarter
share of all jobs that existed in 1998. In a knowledge-driven economy,
investing in worker skill advancement may be as important to
competitiveness as investments in advanced machinery or technology or
even the rise and fall interest rates. Greater schooling and training
lead to higher wage rates. In fact, of all the factors studied, the
wage premium for knowledge is highest. On average, wages go up about 10
percent to 15 percent as knowledge requirements go up one level and all
other factors of the job are fixed.
In the Report on the American Workforce, 1999, the Secretary of
Labor emphasized that ``Workers must enter the workforce with strong
basic and job-related skills, and they must be prepared to learn new
skills continuously in their places of employment, over the course of
their lives.'' Instruction for adult literacy and numeracy, and the
integration of knowledge from computer-based training are essential
elements of successful business practice that cut across geographic
regions or employment sectors. Moreover, using community-based
expertise to provide agricultural and business training in rural areas
appears to parallel efforts in urban communities to move people from
poverty into the skilled labor market by targeting funds for training
in local skill shortage occupations. Furthermore, by fostering training
consortia, the vast majority of the costs associated with training
incumbent workers by companies involved in the consortium would be
fully paid by the companies themselves.
A $7.2 million dislocated and incumbent worker demonstration
program will support the creation of projects to respond to employer-
identified skill shortages in regional labor markets. This program will
build on the Department's June 1998 $7.7 million dislocated worker
technology demonstration and the new $9.5 million manufacturing
technology demonstration awarded in June 1999. In part, it will support
the creation of industry-led projects which can design or adapt
training curricula in skill shortage occupational areas or in key
regional businesses.
Part II. Eligible Applicants and the Application Process
1. Eligible Applicants
Any organization capable of fulfilling the terms and conditions of
this solicitation may apply. This is a risk free Federal program;
therefore, all for profit organizations that apply will not be able to
receive a fee if awarded a grant. All participants in projects funded
under this demonstration program must be either:
(a) Eligible dislocated workers as defined at JTPA Section
301(a)(1), and 314(h)(1) of the Job Training Partnership Act. These
sections of the law may be viewed at http://doleta.gov/regs/statutes/
jtpalaw.htm. Proposed projects may target subgroups of the eligible
population based on factors such as (but not limited to) occupation,
industry, nature of dislocation, and reason for unemployment. Note:
Individuals whose eligibility is based upon their status as long-term
unemployed (Section 301(a)(1)(C)) must have a demonstrated attachment
to the labor force; or
(b) Incumbent workers. These are currently-employed workers whose
employers have determined that the workers require training in order to
help keep their firms competitive and the subject workers employed,
avert layoffs, upgrade workers' skills, increase wages earned by
employees and/or keep workers skills competitive. Such training would
support further job retention and career development for improved
economic self-sufficiency for employed workers, especially those most
vulnerable to job loss, and increase the capability of the employing
firm(s) to access and retain skilled workers.
2. Allowable Activities
Funds provided through this demonstration may be used only to
provide services of the types described at Section 314(c) and (d) of
JTPA. Supportive services may be provided
[[Page 16640]]
when they are necessary to enable an individual who is eligible for
training but cannot afford to pay for such supportive services, to
participate in the training program. (Use ETA's web site referenced
above to view.)
Grant funds may be used to reimburse employers for extraordinary
costs associated with on-the-job training of program participants, in
accordance with the provisions of 20 CFR 627.240. In addition to the
limitations and requirements provided in JTPA, particularly at Part C
of Title I, prospective applicants should be aware that grant funds may
not be used for the following purposes:
(a) for training that an employer is in a position to provide and
would have provided in the absence of the requested grant;
(b) to pay salaries for program participants; and
(c) for acquisition of production equipment. Applicants may budget
limited amounts of grant funds to work with technical experts or
consultants to provide advice and develop more complete project plans
after a grant award, however, the level of detail in the project plan
may affect the amount of funding provided.
Grant activities may include:
(a) development, testing and initial application of curricula
focused on intensive, short-term training to get participants into
productive, high demand employment as quickly as possible;
(b) working with employers to develop and apply worksite-based
learning strategies that utilize cutting-edge technology and equipment;
(c) development of employer-based training programs that will take
advantage of opportunities created by employers' needs for workers with
new skills;
(d) development and initial application of contextual learning
opportunities for participants to learn occupational theory in a
classroom setting while applying that learning in an on-the-job
setting;
(e) use of curriculum and skills training programs that are
designed to impart learning to meet employer-specified or industry
specific skill standards or certification requirements;
(f) convening of an Employer Advisory Board to identify skills gaps
of job applicants and present workers affecting the ability of the
employer to offer a competitive product and develop a strategy for
retraining;
(g) innovative linkage and collaboration between employers and the
local JTPA Substate Grantee and/or One-Stop/Career Center system to
ensure a steady supply of targeted workers.
The above are illustrative examples and are not intended to be an
exhaustive listing of possible demonstration project designs or
approaches which may achieve the purpose of this solicitation. However,
successful applicants must demonstrate the direct involvement by
employers experiencing skill shortages in the design and operation of
the project as well as provide substantive documentation about the
existence of skill shortages for the industry or occupations to be
targeted by the proposed project. Documentation should include a
description of the employer involvement anticipated in the project. An
employer advisory committee may be one means of accomplishing employer
involvement.
3. Coordination
In order to maximize the use of public resources and avoid
duplication of effort, applicants will coordinate the delivery of
services under this demonstration with the delivery of services under
other programs (public or private), available to all or part of the
target group. Projects linking or collaborating with an existing USDOL
funded One-Stop/Career Center initiative and/or local JTPA Substate
Grantee located within a project area fulfill this requirement. The use
of Pell Grants for eligible workers or the use of State training or
education funds provided for dislocated workers or certain types of
employers should also be addressed in the application. Where
appropriate, partnerships should also include trade unions,
manufacturing extension programs, economic development organizations,
training institutions, and other local stakeholders. Any efforts
proposed in isolation will not have the maximum impact on building
capacity within that region or industry and are not likely to be
funded.
4. Grant Awards
It is anticipated that $7.2 million will be available to fund these
projects. Approximately six to ten grants will be awarded, with an
estimated range of $200,000 to $3 million per grant, with no individual
grant exceeding $3 million.
5. Period of Performance
The period of performance shall be 24 months from the date of
execution by the Government.
6. Option To Extend
DOL may elect to exercise its option to extend these grants for an
additional one (1) or two (2) years of operation, based on the
availability of demonstration funding under the Workforce Investment
Act, successful program operation, and the determination that a
grantee's initial program findings could further inform the workforce
development system through refinement of the present demonstration.
Part III. Proposal Submission
A. Contents
Applicants must submit four (4) copies of their proposal, with
original signatures. The proposal must consist of two (2) distinct
parts, Part I and Part II.
1. Financial Application
Part I of the proposal shall contain the Standard Form SF424,
``Application for Federal Assistance'' (Appendix # A) and Budget
Information Form (Appendix # B). The Catalog of Federal Domestic
Assistance number is 17.246. Applicants shall indicate on the SF424 the
organization's IRS status, if applicable. According to the Lobbying
Disclosure Act of 1995, section 18, an organization described in
section 501(c)(4) of the Internal Revenue Code of 1986 which engages in
lobbying activities shall not be eligible for the receipt of federal
funds constituting an award, grant, or loan. The individual signing the
SF424 on behalf of the applicant must represent the responsible
financial and administrative entity for a grant should that application
result in an award.
The budget must include on separate pages detailed breakouts of
each proposed budget line item found in the budget information sheet
including detailed administrative costs and costs for one or more of
the following categories as applicable: basic readjustment services,
supportive services, and retraining services. The Salaries line item
shall be used to document the project staffing plan by providing a
detailed listing of each staff position providing more than .05 FTE
support to the project, by annual salary, number of months assigned to
demonstration responsibilities, and FTE percentage to be charged to the
grant. In addition, for the Contractual line item, list each of the
planned contracts and the amount of the contract. For each budget line
item that includes funds or in-kind contributions from a source other
than the requested grant funds, identify the source, the amount, and
in-kind contributions, including any restrictions that may apply to
these funds.
[[Page 16641]]
Costs associated with the development of curriculum and other one-
time costs should be noted separately in order for reviewers to
identify costs associated with development and start-up as well as on-
going participant costs.
In addition, the budget shall provide sufficient funds for
approximately four persons' trips to meetings in Washington, DC and
other locations.
2. Technical Proposal
Part II, the technical proposal shall demonstrate the offeror's
capabilities in accordance with the Statement of Work in Part IV of
this solicitation, and following the outline of the Rating Criteria in
Part V, a grant application shall be limited to twenty (20) double-
spaced, single-side, 8.5-inch x 11-inch pages with 1-inch margins.
Attachments shall not exceed ten (10) pages. Text type shall be 11
point or larger. Each application must include the Checklist provided
as Appendix C, a Time line outlining project activities provided as
Appendix D, and an Executive Summary not to exceed two (2) pages. No
cost data or reference to price shall be included in the technical
proposal.
Part IV. Statement of Work
A. Background
Each grant application is required to fully address items A thru H
of this Part as they relate to the rating criteria in Part V.
Information required under A and B below shall be provided
separately for each labor market area where dislocated workers will be
served. To the extent that the project design differs for different
geographic areas, information required under section C below shall be
provided for each geographic area.
A. Target Population
Describe the characteristics of the proposed target population for
the project, e.g., educational level, previous occupation, age range,
likely transferrable skills, length of unemployment, and language
limitations. Describe the size and needs of the target population in
the local area as they relate to the services available to the grant.
Provide documentation showing there is a significant number of
dislocated workers with the target population's characteristics in the
project area(s).
If the project seeks to serve under-represented subgroups such as
minority groups, women, older workers (50 years of age and older),
disabled individuals, within a particular occupation and the selected
subgroup has unique characteristics or needs, such characteristics or
needs should be identified. Substantive and timely documentation of the
subgroup's under-representation must be included.
Indicate how the number of workers to be enrolled was determined.
Sufficient documentation should be provided to show that workers with
appropriate characteristics to meet the purposes of this grant are
available in sufficient numbers to meet the recruitment goals of the
grant recognizing that not all workers with appropriate characteristics
will choose to participate.
B. Available Jobs
Describe the jobs that will be available and targeted for placement
to project participants upon completion of training and placement
services including the strategy(ies) for identifying job openings that
appear appropriate to the training planned and meet the target wage-at-
placement goals established in the proposal. Include information about
the number and type of jobs, wage information and the specific set of
skills, knowledge or duties (industry-sponsored standards of
certifications). Provide documentation (footnote sources) that a
shortage of qualified workers exists in the local area to fill
positions in the targeted occupations in the absence of the proposed
project. Anecdotal data should not be used. Information from the Bureau
of Labor Statistics (BLS) available through a variety of web sites
including BLS, O*NET and America's Labor Market Information System
(ALMIS), should be considered as a key source of documentation. In
addition, State Occupational Information Coordinating Committee (SOICC)
and JTPA Substate Grantee local job training plans may also be
considered. Other sources from the private sector such as Chamber of
Commerce, local Technology Council surveys, as well as university
studies, are also acceptable. Data must relate to local employment
shortages. Substantive linkages with specific employers who are
experiencing skill shortages among their present workforce and/or the
demand for additional employees with skills in documented occupational
shortages must be provided. Letters from employers who have made a
commitment to the demonstration project are the most appropriate form
of documentation.
If some placements will be made with employers who have not been
identified at the time of application, describe the job development and
placement strategy to be used to assure placement of demonstration
participants.
C. Project Design
(1) Purpose. Describe the specific purpose or purposes of the
proposed project.
(2) Service Plan. Describe the services to be provided from the
time of selection of participants through placement of those
participants in jobs. Describe any services to be provided subsequent
to job placement. The descriptions shall provide a clear understanding
of the services and support that will be necessary for participants to
be placed successfully in jobs and to retain those jobs, including
services not funded under the grant, and ways to address participants'
financial needs during periods of training. Grant-funded activities
should, at a minimum, include recruitment, eligibility determination,
assessment, retraining, job placement, and supportive services.
(a) Outreach and recruitment. Describe how eligible dislocated
workers will be identified and recruited for participation in the
project. Recruitment efforts may address public service communications
and announcements, use of media, coordination with the JTPA Service
Delivery Area or Substate Grantee, use of community-based organizations
and other service groups. Describe the applicant's experience in
reaching dislocated workers, especially the targeted population. It is
highly recommended that non-JTPA applicants partner with the
appropriate JTPA Title III Substate Grantee(s) or local One-Stop Career
Center System to plan and implement effective outreach and recruitment
strategies.
(b) Eligibility determination. Describe the process to be used in
determining the JTPA Title III eligibility of potential participants in
the project. It is highly recommended that non-JTPA applicants partner
with the appropriate JTPA Title III substate grantee(s)or local One-
Stop Career Center System to carry out eligibility determination.
(c) Selection criteria. Describe the criteria and process to be
used in selecting those individuals to be served by the project from
among the total number of eligible persons recruited for the project.
Explain how the selection criteria relate to the specific purpose of
the proposed project. Identify any assessment tools that will be used
as part of the selection process.
(d) Training Services. Describe the training to be provided-
classroom, experiential, on-the-job, internships, etc. Include the
length (days and hours) and schedule, any prerequisite courses, and
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customization to account for transferable skills, previous education
(note whether the training requires new and higher educational levels
than previous skill training in the same industry), and particular
circumstances of the target population and the skill needs of the
hiring employer(s). Include information to demonstrate that any
proposed training provider is qualified to deliver training that meets
appropriate employment standards, and any applicable certification or
licensing requirement. Past performance, qualifications of instructors,
accreditation of curricula, and similar matters should be addressed, if
appropriate. Address the costs of proposed training and other services
relative to the costs of similar training and services including
courses provided by both public and private providers in the local
area. If the training is be customized to account for individual
differences in skills levels of participants or employer hiring needs,
describe how these considerations will be taken into account in the
delivery of the training. The planned training must be supported by the
information provided regarding skill shortages and demand for jobs
using such skills.
(e) Job Placement. Describe the role of the employer linkages
previously addressed in assuring the availability of jobs for
participants completing training. If an Employer Advisory Committee is
the primary employer linkage, the members of the committee should be
listed and the type of expertise they bring to the committee noted.
Provide a discussion of the role(s) of the advisory committee and its
projected meeting frequency. A neutral chair (someone other than the
grantee) should direct the advisory committee. Describe any additional
job seeking skills training or assistance provided to participants
completing training.
(f) Post placement services. Describe any post placement services
to be provided and explain their value to the achievement of the
project's purpose and planned outcomes.
(g) Supportive services. Describe those supportive services
determined to be appropriate to the target population's needs. Describe
policies and procedures to ensure that supportive services are provided
only when they are necessary to enable an individual who is eligible
for training but cannot afford to pay for such supportive services, to
participate in the training program. Indicate how the participants'
financial needs during the period of training will be addressed.
(h) Relocation. Describe the limitations and eligibility criteria
for relocation assistance, if such assistance is included in the
proposal.
(3) Participant flow. Provide a flowchart noting length of time for
various activities (such as one day for assessment, etc.) to illustrate
how the project will ensure access to necessary and appropriate
reemployment and retraining services. Show the sequence of services and
the criteria to be used to determine the appropriateness of specific
services for particular participants. Note where service choice options
will be available to participants. Indicate the average length of
participation from eligibility determination and enrollment in the
demonstration project to placement in an unsubsidized job.
(4) Relationship to prior experience. Discuss how the applicant's
prior experience in working with dislocated individuals affects or
influences the design of the proposed project. Note especially lessons
learned or positive experiences that will be replicated.
D. Planned Outcomes
A description of the project outcomes and of the specific measures,
and planned achievement levels, that will be used to determine the
success of the project. These outcomes and measures must include, but
are not limited to:
(1) The number of participants projected: to be enrolled in
services, to successfully complete services through the project, and to
be placed into new jobs (a minimum of 80 percent entered-employment
rate is required); to retain their jobs after specified periods of
time; to learn new skills which will assist them in retaining or
upgrading their current positions or in moving to a new job; to be
``placed'' into new, enhanced jobs with their current employers, or
jobs in another occupational class with their current employers, or
another occupation.
(2) Measurable effects of the services provided to project
participants as indicated by gains in individuals' skills,
competencies, or other outcomes;
(3) Wages of participants prior to, at placement, and 90 days after
placement: (a) for dislocated worker participants: a minimum of 90
percent wage replacement rate is required for at least 75 percent of
the participants and an average 90 percent wage replacement for the
overall demonstration project is required; (b) for incumbent worker
participants: a minimum of 100 percent wage retention is required for
all participants successfully completing training and meeting the
competencies/skills levels specified by the employer prior to the
training.
(4) As part of the targeted outcome for wage after training, each
project should benchmark the average weekly wage in the relevant sector
or industry in the labor market in which each project will operate. For
projects serving dislocated workers, as part of the targeted outcome
for wage at placement, each project should benchmark at least two key
wage averages for the labor market in which each project will operate.
Suggested benchmarks might include:
(a) The average weekly wage in the relevant sector; or the average
weekly wage for technical and skilled trade jobs; and (b) the average
wage at placement for the JTPA Title III, dislocated worker program
operated by the local Substate Grantee. Provide an explanation of the
particular benchmarks chosen for the project. For incumbent workers,
indicate the present wage level of the workers to be trained, their
projected wage after training, and discuss how these wage levels
compare with the appropriate benchmark wage for the local labor market
area.
(5) For each project serving dislocated workers, at least 80
percent of the individuals placed shall be placed at a wage that meets
or exceeds (a) the average benchmarked wage in the labor market area,
or (b) the average wage at placement for the last program year
completed (currently 1998) for the JTPA Title III dislocated worker
program operated by the local Substate Grantee in the targeted labor
market, whichever is greater. Wages for labor markets may be obtained
from the Covered Wages and Employment Program administered by each
State's Employment Service.
(6) Customer satisfaction of participants with the project services
at critical points in the service delivery process as well as upon
placement, and employer satisfaction with the skills and preparation of
the participants placed with their organization; participant and
employer satisfaction with project services and with the participants'
skill level and work, should be measured not only at the end of the
project but also at critical points identified by the applicant during
the progress of the demonstration's implementation in order to allow
for service strategy correction as required.
(7) Planned average cost per placement (amount of the grant request
divided by the number of program-related placements or continued
placements); and
(8) Other additional measurable, performance-based outcomes that
are relevant to the project and which may be readily assessed during
the period of performance of the project, such as cost effectiveness of
services and comparison
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with other available service strategies. Where possible, it would also
be useful to look at production improvement and other measures the
employer uses regarding efficiency, product quality and output. [Note:
An explanation of how such additional measures are relevant to the
purpose of the demonstration program shall be included in the
application.]
E. Collaboration
Describe the nature and extent of collaboration and working
relationships between the applicant and other workforce development
partners in the design and implementation of the proposed project.
Include services to be provided through resources other than grant
funds under this demonstration. Provide documentation that the
collaboration described can reasonably be expected to occur. Signed
letters of agreement and/or the charter of a formally established
advisory council are considered the strongest evidence, while letters
of support are considered weaker evidence.
Describe the number and types of employers to be directly involved
in implementation of the demonstration through activities as
participation on an advisory council, provision of input to curriculum
development and design, training provider, internship supervision,
participation in establishment of local skill standards, etc. Describe
activities, presently in place or to be undertaken to link activities
to program interventions under this grant to employers, industry, or
curriculum/learning centers currently designing and developing
occupational/job skill standards and certifications. Collaboration
should focus on linking employers involved in grant activities with any
employer, industry, or trade and worker association that has already
developed or is developing skill standards certifications. Employer
linkages must be specifically addressed in the application and
documentation provided of the specific role(s) the employer(s) will
play in implementation of the grant provided.
Skill standards play an important role in ensuring participants are
meeting the accepted standards of industries. Grant applicants may show
how skills standards and O*NET are used to help dislocated/incumbent
workers acquire training and new jobs. Skill standards can mean
National Skill Standards (NSS) developed under the auspices of the NSS
Board or other skill standards recognized by employers as valid
requirements for jobs. O*NET refers to the Occupational Information
Network that replaces the Dictionary of Occupational Titles and defines
all jobs in terms of worker requirements, occupational requirements,
experience requirements, worker characteristics, occupational
characteristics and occupation-specific requirements. The applicant may
request a brochure explaining O*NET at the following e-mail address:
rrann@doleta.gov. Skill standards and O*NET are useful for structuring
training curriculum, assessing dislocated/incumbent workers' skills and
interests, and defining career paths from one occupation to another.
Their application in the proposed project's training design would
indicate close links to employers and an understanding of the demands
faced by workers in high performance workplaces.
Applicants are encouraged to commit matching funds to the
implementation and management of their proposed programs. Matches may
be in the form of cash or in-kind contributions. These may include but
are not limited to such contributions as the development of training
modules; payment of tuition costs for training; support for child care
or transportation; and provision of staff time at no cost to the
project. Sources of matching funds may include but are not limited to
employers, employer associations, labor organizations, and training
institutions. With reference to the sources and amounts of project
funds and in-kind contributions identified in the financial proposal as
being other than those requested under the grant applied for, describe
the basis for valuation of those funds and contributions.
Note: National Reserve Account grants for specific plant
closures and layoffs may not be used to match demonstration grant
funds, these grants provide sufficient funds to meet the needs of
any worker in the targeted area. However, NRA grant funds may be
used to purchase 50 percent or less of the total training slots in
training developed with demonstration grant funds.
Documentation of consultation on the project concept from
applicable labor organizations must be submitted when 20 percent or
more of the targeted population is represented by one or more labor
organizations, or where the training is for jobs where a labor
organization represents a substantial number of workers engaged in
similar work. Where the union has been involved in bargaining relative
to the introduction of either technology or the addition of new skilled
workers at the workplace, provide information as to any role the union
played in the design and delivery of the training as well as any impact
on the workers with respect to the growth or shrinkage in the number of
jobs, the selection of workers for retraining.
F. Innovation
Describe key innovations in the proposed project, including (but
not limited to) innovations in concept to be tested, type of
participant to be served, services provided, delivery of services,
training methods, job development, or job retention strategies. These
innovations should be unique to the ongoing knowledge base of service
delivery and training presently available to the workforce system.
Explain the impact of such innovation on project costs to substantiate
the budget items designated as development and start-up costs.
G. Previous Experience
If the applicant has had a demonstration grant with the Department
of Labor, Education or HHS within the last three years, list the title
of the grant, the amount of the grant, the funding agency, a Federal
contact phone number and a brief summary of purpose of the grant. For
those grants funded by the Department of Labor, explain how this grant
application differs from the previous grant's activity. Explain how the
proposed project is similar to and differs from the applicant's prior
and current operations.
H. Project Management
(1) Structure. Describe the management structure for the project,
including a staffing plan that describes each position and the
percentage of its time to be assigned to this project and assures that
sufficient staff are available to implement the project in a timely and
effective manner. Provide an organizational chart showing the
relationship among project management and operational components,
including those at multiple sites of the project, in the overall
structure of the applicant's organization. Note: It is highly
recommended for applicants requesting $500,000 or more that a full-time
project director be available to ensure timely and effective
implementation of the project.
(2) Program Integrity. Describe the mechanisms to ensure financial
accountability for grant funds and performance accountability relative
to job placements, in accordance with standards for financial
management and participant data systems in 29 CFR part 95 or 97, as
appropriate, and 20 CFR 627.425. Explain the basis for the applicant's
administrative authority over the management and operational
components. Describe how information will be collected to determine the
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achievement of project outcomes as indicated in section D of this part;
and report on participants, outcomes, and expenditures.
(3) Monitoring and Reporting. Describe how the project will keep
records of its activities, as required in 29 CFR parts 95 and 97 and 20
CFR 631.63 as appropriate, which will include information such as the
following:
(a) Benchmarks. Provide a Timeline of implementation and projected
performance benchmarks covering the period of performance of the
project (Appendix E). Include a monthly schedule of planned
implementation activities and start-up events (such as curriculum
development, selection of advisory council, advisory council meetings,
hiring of staff, and completion of lease arrangement for space,
development of an internal program progress reporting system, design of
customer satisfaction measures, initiation of customer satisfaction
activities for participants/for employers); quarterly projections of
planned participant activity, showing cumulative numbers of
enrollments, participation in training and other services, placements,
and terminations; and quarterly cumulative expenditure projections. The
quarterly performance projection data may be shown in the same
implementation benchmark timeline or separately.
(b) Participant progress. Describe how a participant's continuing
participation in the project will be monitored, including determination
of successful progress in training activities.
(c) Project performance. Identify the information on project
performance that will be collected on a short-term basis (e.g., weekly
or monthly) by program managers for internal project management to
determine whether the project is accomplishing its objectives as
planned and whether project adjustments are necessary. Describe the
process and procedures to be used to obtain feedback from participants,
employers, and any other appropriate parties on the responsiveness and
effectiveness of the services provided. The description shall identify
the types of information to be obtained, the methods and frequency of
data collection, and ways in which the information will be used in
implementing and managing the project. Describe the process for
effecting needed corrective action that may be identified through this
feedback. Grantees may employ focus groups and surveys, in addition to
other methods, to collect feedback information. Technical assistance in
the design and implementation of customer satisfaction data collection
and analysis may be provided by DOL.
(d) Impact of Collaboration and Innovation. Describe the process
for assessing and reporting on the impact of collaboration and
innovation in the project with respect to the purpose and goals of the
demonstration program and the specific purpose and goals of the
project.
(4) Grievance Procedure. If the applicant is a JTPA administrative
entity or service provider, assure that a grievance procedure is
presently in place. Otherwise, describe the grievance procedure to be
used for grievances and complaints from participants, contractors, and
other interested parties, consistent with the requirements at Section
144 of JTPA and 20 CFR 631.64(b) and (c).
(5) Previous Project Management Experience. Provide an objective
demonstration of the grant applicant's ability to manage the project,
ensure the integrity of the grant funds, and deliver the proposed
performance. Indicate the grant applicant's past experience in the
management of grant-funded projects similar to that being proposed,
particularly regarding oversight and operating functions including
financial management.
(6) Sustainability and Replicability. Provide assurances that if
the project is successful, the demonstration grantee and partners will
continue to improve and develop the demonstrated approach. Describe the
aspects of the demonstration approach that will allow other workforce
development entities to replicate the proposed project. Note: The cost
per participant will be a consideration in any replication
consideration by other entities. Discuss the potential applicability of
the project, or aspects of the project (such as new assessment tools,
etc.), to other dislocated worker programs.
V. Rating Criteria & Award Selection Process
A careful evaluation of applications will be made by a technical
review panel who will evaluate the applications against the criteria
listed in the SGA. The panel results are advisory in nature and not
binding on the Grant Officer. The Government may elect to award grants
with or without discussions with the offerors. In situations without
discussions, an award will be based on the offeror's signature on the
Standard Form SF 424, which constitutes a binding offer. The Government
reserves the right to make awards under this section of the
solicitation to ensure geographical balance. The Grant Officer will
make final award decisions based upon what is most advantageous to the
Federal Government in terms of technical quality, responsiveness to
this Solicitation (including goals of the Department to be accomplished
by this solicitation) and other factors.
Panelists shall evaluate proposals for acceptability based upon
overall responsiveness in accordance with the factors below.
A. Target Population (10 Points)
The description of the characteristics of the target group to be
served is clear and meaningful, and sufficiently detailed to determine
the potential participants' service need. Documentation is provided
showing that a significant number of eligible dislocated workers who
possess these characteristics are available for participation within
the project area. Sufficient information is provided to explain how the
number of dislocated workers to be enrolled in the project was
determined. The recruitment plan supports the number of planned
enrollments. The target population is appropriate for the specific
purpose of the proposed project. The project identifies under
represented groups to be trained in the targeted occupation(s).
B. Targeted Jobs (15 Points)
The jobs are clearly available to workers who have received
appropriate training and preparation given:
(1) The match between the documented skill shortage and the
training planned;
(2) The documentation provided specifying that training meets or is
developed based on industry driven skill standards or certifications;
(3) The substantial level of involvement of employers in making
known their needs regarding requisite worker skills necessary for
hiring program completers;
(4) The documentation and reliability of job availability is based
upon recognized, reliable and timely sources of information;
(5) Where appropriate, the role of workers or representatives of a
labor organization representing the workers in the design and/or
delivery of training in enhancing worker skills during workplace change
C. Service Plan (20 Points)
The scope of services to be provided is consistent with the
demonstration program and project purposes and goals. The scope of
services to be provided is adequate to meet the needs of the target
population given:
[[Page 16645]]
(1) Their characteristics and circumstances;
(2) The complexity of the training and the skills to be developed
relative to their characteristics and previous job experience;
(3) The jobs in which they are to be placed relative to targeted
wage at placement goals;
(4) The length of program participation planned prior to placement.
D. Costs (20 Points)
Proposed costs are reasonable in relation to the characteristics
and circumstances of the target group, the services to be provided,
planned outcomes, the management plan, and coordination/collaboration
with other entities, including One-Stop/Career Center organizations.
The cost information provided regarding similar training available
through other training providers is within an acceptable range or
sufficient rationale is provided for the cost differences. The impact
of development/start-up and innovation on costs is explained clearly in
the proposal and is reasonable.
Identification is provided of the specific sources and amounts of
other funds which will be used, in addition to funds provided through
this grant, to implement the project. The application must include
information on any non-JTPA resources committed to this project,
including employer funds, grants, and other forms of assistance, public
and private. Value and level of external resources being contributed,
including employer contributions, to achieve program goals will be
taken into consideration in the rating process.
The degree to which other interested partners in the workforce
development system invest resources to test the concepts put forth in
the application.
E. Management (13 Points)
The project management plan is designed to track project
performance in such a way as to assure that benchmarks are achieved in
a timely manner, issues affecting performance such as employer
involvement, collaboration partners commitments, etc. are quickly
identified and addressed, and planned outcomes will be achieved in a
cost effective manner.
The applicant (as a part of a collaborative approach) has
experience working with the relevant training. The management structure
and management plan for the proposed project will ensure the integrity
of the funds requested. The project work plan demonstrates the
applicant's ability to effectively track project progress with respect
to planned expenditures. Sufficient procedures are in place to use the
information obtained by the project operator(s) to take corrective
action if indicated. In addition, review by appropriate labor
organizations, where applicable, is documented.
The proposal includes a method of assessing customer feedback for
both participants and employers involved, and establishes a mechanism
to take into account the results of such feedback as part of a
continuous system of management and operation of the project.
F. Collaboration (12 Points)
The proposal includes evidence of direct participation by JTPA
SubState Grantees and One-Stop/Career Center entities (where present)
in the planning and management of this grant. Evidence of participation
of employers whose positions are targeted under the grant is present.
Evidence of coordination with other programs and entities for project
design or provision of services is also provided. Evidence is presented
that ensures cooperation of coordinating entities, as applicable, for
the life of the proposed project. The project includes a reasonable
method of assessing and reporting on the impact of such coordination,
relative to the demonstration purpose and goals and the specific
purpose and goals of the proposed project.
G. Innovation (5 Points)
The proposal demonstrates innovation in the concept(s) to be
tested, the project's design, and/or the services to be provided.
``Innovation'' refers to the degree to which such concept(s), design
and/or services are not currently found in dislocated worker programs.
The project includes a reasonable method of assessing and reporting on
the impact of such innovation, relative to the demonstration program
and project purposes and goals.
H. Sustainability and Replicability (5 Points)
The proposal provides evidence that, if successful, activities
supported by the demonstration grant will be continued after the
expiration date of the grant, using JTPA Title III formula-allotted
funds or other public or private resources. The likelihood that the
approach may be applicable to a broad range of dislocated worker
programs across the country. The proposal provides evidence that the
approach and training strategy(ies) used can be replicated by other
workforce development partners to address skill shortages in their
local area.
Grant applications will be evaluated for the reasonableness of
proposed costs, considering the proposed target group, targeted jobs,
services, outcomes, management plan, and coordination with other
entities.
Applicants are advised that discussions may be necessary in order
to clarify any inconsistency or ambiguity in their applications. The
final decision on awards will be based on what is most advantageous to
the Federal Government as determined by the ETA Grant Officer. The
Government may elect to award grant(s) without discussion with the
applicant(s). The applicant's signature on the Application for Federal
Assistance SF424 constitutes a binding offer.
Part VI. Monitoring, Reporting and Evaluation
A. Monitoring
The Department shall be responsible for ensuring effective
implementation of each competitive grant project in accordance with the
Act, the Regulations, the provisions of this announcement and the
negotiated grant agreement. Applicants should assume that at least one
on-site project review will be conducted by Department staff, or their
designees. This review will focus on the project's performance in
meeting the grant's programmatic goals and participant outcomes,
complying with the targeting requirements regarding participants who
are served, expenditure of grant funds on allowable activities,
collaboration with other organizations as required, and methods for
assessment of the responsiveness and effectiveness of the services
being provided. Grants may be subject to their additional reviews at
the discretion of the Department.
B. Reporting
DOL will arrange for or provide technical assistance to grantees in
establishing appropriate reporting and data collection methods and
processes taking into account the applicant's project management plan.
An effort will be made to accommodate and provide assistance to
grantees to be able to complete all reporting electronically.
Applicants selected as grantees will be required to provide the
following reports:
1. Monthly progress reports, during initial start-up and
implementation of the project, and Quarterly Progress Reports.
2. Standard Form 269, Financial Status Report Form, on a quarterly
basis.
[[Page 16646]]
3. Final Project Report including an assessment of project
performance. This report will be submitted in hard copy and on
electronic disk utilizing a format and instructions to be provided by
the Department. A draft of the final report is due to the Department 45
days prior to the termination of the grant.
C. Evaluation
DOL will arrange for or conduct an independent evaluation of the
outcomes, impacts, and benefits of the demonstration projects. Grantees
must agree to make available records on participants and employers as
well as project financial and management data and to provide access to
personnel, as specified by the evaluator(s) under the direction of the
Department.
Signed at Washington, DC, this 24th day of March, 2000.
Laura A. Cesario,
Grant Officer, Division of Federal Assistance.
Appendices
1. Appendix A--Application for Federal Assistance SF 424
2. Appendix B--Budget Information
3. Appendix C--Checklist
4. Appendix D--Implementation Benchmarks and Time Line
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[FR Doc. 00-7746 Filed 3-28-00; 8:45 am]
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