[Federal Register Volume 63, Number 240 (Tuesday, December 15, 1998)]
[Notices]
[Pages 69103-69116]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 98-33169]
[[Page 69103]]
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DEPARTMENT OF LABOR
Employment and Training Administration
Job Training Partnership Act, Title III, Demonstration
Program: Incumbent Worker Demonstration Program
AGENCY: Employment and Training Administration, Labor.
ACTION: Notice of Availability of Funds and Solicitation for Grant
Applications (SGA).
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SUMMARY: All information required to submit a grant application is
contained in this announcement. 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
partner with employers, training providers and others to develop
incumbent worker training programs which promote retention, as
documented by continued employment at the employer-of-record; upgrading
the skills of incumbent workers; increasing the firm's or firms' or
sector's or industry's profitability; and enabling workers to become
more competitive in the marketplace.
The program will be funded with Secretary's National Reserve funds
appropriated for Title III of the Job Training Partnership Act (JTPA)
and administered in accordance with 29 CFR parts 95 and 97 as
applicable.
This notice provides information on the process that eligible
entities must use to apply for these demonstration funds and how
grantees will be selected. It is anticipated that up to $9 million will
be available for funding demonstration projects covered by this
solicitation.
DATES: The closing date for receipt of proposals is March 1, 1999 at 4
p.m. (Eastern Time).
ADDRESSES: Applications shall be mailed to: U.S. Department of Labor;
Employment and Training Administration; Division of Acquistion and
Assistance; Attention: Mamie D. Williams, Reference: SGA/DAA 99-002;
200 Constitution Avenue, N.W., Room S-4203; Washington, DC 20210.
FOR FURTHER INFORMATION CONTACT: Questions should be faxed to Mamie
D.Williams, Division of Acquistion and Assistance. Telephone (202) 219-
8739 (this is not a toll-free number).
SUPPLEMENTARY INFORMATION: This announcement consists of five parts.
Part I describes the authorities and purpose of the demonstration
program and identifies demonstration policy. Part II describes the
application process and provides guidelines for use in applying for
demonstration grants. Part III includes the statement of work for the
demonstration projects. Part IV describes the selection process,
including the criteria that will be used in reviewing and evaluation
applications. Part V discusses the demonstration program's monitoring,
reporting and evaluation.
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). In addition, section 324 of the
Act allows for demonstration projects that provide assistance to new
entrants in the workforce and incumbent workers. Demonstration program
grantees must comply with all applicable federal and state laws and
regulations in setting up and carrying out their programs.
B. Purpose
Employers and employees alike are facing increasing challenges in
their efforts to remain competitive. Increased competition, along with
other factors such as the reductions in the defense industry have
resulted in significant downsizing of workforces. The increasing
adoption of technology has resulted in the realization that the skills
of many workers are redundant and must be upgraded in order for them to
be able to compete in the current economy.
Many organizations have seen the need to train and re-train
existing members of their workforce to enable the companies, as well as
the employees, to remain competitive. These organizations have invested
in employer-based training to upgrade the skills of the current
workforce. Some of this training is conducted in-house by company
employees. Other training is contracted out to local training providers
such as community colleges and private trade schools. Some firms, who
may not have the capacity or resources to develop additional employer-
based training, have foregone training altogether but are finding that
without it employees will be unable to progress to the next level,
resulting in a workforce that is unable to keep up with the demands of
the ever-changing marketplace. In addition, it has been documented by a
number of studies that a small percentage of workers are the recipients
of the majority of the training, leaving a large gap in the number of
workers receiving sufficient training to remain competitive.
While in general the term ``incumbent worker training'' may be used
to denote any existing efforts on the part of employers to provide
training to currently-employed workers in order to help keep these
employees employed, the term will be used in the solicitation to
describe efforts to keep firms and workers competitive by keeping
workers employed, averting layoffs, upgrading workers' skills,
increasing wages earned by employees, and improving employees'
employability.
The purpose of this demonstration is to test the ability of the
nation's workforce development system to partner with employers,
training providers and others to train and re-train incumbent workers
in the nation's workforce. The U.S. Department of Labor has specific
goals for the incumbent worker training demonstration. They are:
1. To support projects that further job retention and career
development for improved economic self-sufficiency for employed workers
including those most vulnerable to job loss;
2. To increase the capacity of the workforce development system to
support incumbent worker training;
3. To support projects that increase the capability of companies to
access and retain skilled workers;
4. To gain an increased understanding on ``return on investment,''
particularly through outcome measures;
5. To increase training capacity and understanding of incumbent
worker training by employers.
C. Demonstration Policy
1. Grant Awards
DOL anticipates awarding a total of $9,000,000 to ten to twelve
grants in two categories, with individual grant amounts varying
depending upon the type of grant awarded. It is anticipated that awards
will be made by April 30, 1999. Award decisions will be published on
the Internet at ETA's Home Page at http://www.doleta.gov.
2. Allowable Activities
Allowable activities include, but are not limited to, those listed
under sections 314(c) and 314(d) of the Job Training Partnership Act.
They include basic readjustment services such as assessment of
educational attainment and interests and aptitudes. Job development and
placement activities
[[Page 69104]]
are prohibited, as they are the responsibility of the employer in
incumbent worker training situations. Training for workers may include
basic education such as basic math, grammar, and English as a Second
Language training, and skill training to upgrade existing skills, or to
provide new skills.
Funds provided through this demonstration may be used to provide
supportive services, if appropriate based upon the needs of the
workers, e.g., they are necessary to enable the individual who is
eligible for training, but cannot afford to pay for such supportive or
services to participate in the training program. Supportive services
may be provided if appropriate to the needs of the workers. Such
services are defined in section 4(24) of JTPA. (Use ETA's web site
reference above to view.) Needs-related payments may not be provided
with grant funds.
Grant funds may be used to reimburse employers for extraordinary
costs associated with on-the-job training of program participants, if
appropriate and justified. Applicants must justify the use of grant
funds for training that an employer is in a position to pay for and
would have provided in the absence of the requested grant. Grant funds
may not be used to pay salaries for program participants or for
acquisition of production equipment. Applicants may budget funds to
work with technical experts or consultants to provide advice and
develop more complete project plans after a grant award. The level of
detail in the project plan may affect the amount of funding provided.
3. Specific Outcome Goals
For all projects, the specific outcome goals are as follows:
(1) To develop incumbent worker training programs for current
employees;
(2) To develop partnerships with other entities in the development
of the training program including other firms within the same industry;
other firms within the same sectors; local training institutions; and/
or intermediary organizations such as unions, service delivery areas,
states, substate regions, etc.
(3) To develop incumbent worker training programs which result in
one or more of the following:
--To promote retention as documented by continued employment at the
employer-of-record for specified period of time;
--To improve workers' basic and transitional skills;
--To upgrade skills of workers;
--To maintain or increase wage levels;
--To increase the firm's/ or firms'/ or sector's/ or industry's
profitability;
--To update workers' obsolete skills;
--To enable workers to become more competitive in the marketplace.
(4) To develop a training program which continues to be sustainable
within firms and local areas after the period of the federal grant
ends;
(5) To document efforts toward achieving lifelong learning;
(6) To develop and document efforts toward replicating the
incumbent worker training effort elsewhere within the workforce
development system;
(7) To disseminate information on lessons learned throughout the
workforce development system.
In addition to the above, the following specific outcome goals
apply to large firms or industries:
--To develop incumbent worker training programs which result in one
or more of the following:
--To promote retention as documented by continued employment at the
employer-of-record for specified period of time by focusing on non-
managerial workers most vulnerable to layoffs or those who would face
barriers to reemployment at a similar wage if they were laid off;
--To develop interventions for employees most ``at risk'' of job
loss;
2. Types of Projects
Two types of projects will be funded under this Solicitation for
Grant Application (SGA): incumbent worker training for small and
medium-size firms or regional sectors and incumbent worker training for
large firms or industries. Applications for each type of project will
be considered against other applications in the same category.
A. Incumbent Worker Training for Small and Medium-size Firms or
Regional Economic and Industry Sectors or Regional Industries. Many
small and medium-size firms (those with 500 or fewer employees) may be
unable to offer incumbent worker training solely with their own
resources, but in combination with federal dollars may be able to
develop incumbent worker training programs that result in one or more
of the goals enumerated above. Many small firms may not have the
capacity to apply for or administer a grant in isolation, but in
combination with other firms in the same regional sector may be able to
offer a more broad-based training effort that strengthens that regional
sector. This type of project may only assist workers and firms with 500
or fewer employees.
Eligible Applicants: For projects providing incumbent worker
training for small and medium-sized employers or regional economic and
industry sectors or regional industries, the eligible applicant must be
an intermediary organization, which will work with a number of small
and medium-size employers and coordinate their training activities.
Such intermediary organizations may include a state, another public
entity, a training institution, such as a community college, a
manufacturing extension center funded through the Department of
Commerce's Manufacturing Extension Partnership Program, a substate
grantee (SSG), or a local workforce board or private industry council.
Federal funds may not be used to duplicate or supplant other funding
available. Any intermediary organization capable of fulfilling the
terms and conditions of this solicitation may apply.
Under 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.
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.
Eligible Participants: Eligible participants for proposed projects
include employed workers who are vulnerable to layoffs, who have low
skills, those who are new entrants to the workforce, those in need of
basic skills, those with obsolete skills, those who would face
significant barriers to re-employment if laid off, and/or those who
lack skills necessary to advance in the organization.
Maximum Amounts Available: A maximum of $1,000,000 per project
proposal, with no more than $100,000 in participant-related costs per
individual firm. A total of $6,000,000 will be allocated for this
activity.
B. Incumbent Worker Training for Large Firms or Industries or
Regional Sectors. Large firms or industries may have greater resources
to develop and administer incumbent worker training programs, but may
also have greater needs. In this case the federal funds may supplement
the training efforts developed by large firms or industries to
accomplish one or more of the goals enumerated above.
Eligible Applicants: Eligible applicants for projects providing
incumbent worker training for large employers or industries or regional
sectors include employers with greater than 500 employees, or groups of
large employers, or an intermediary organization such as a state,
another public entity, a training institution, such
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as a community college, a substate grantee (SSG), a manufacturing
extension center funded through the Department of Commerce's
Manufacturing Extension Partnership Program, or a local workforce board
or private industry council, who would work with a number of large
employers or industries or sectors and coordinate their training
activities. Employers are encouraged to partner with other employers or
organizations to make maximum use of available funding. Federal funds
may not be used to duplicate or supplant other funding available. Any
organization capable of fulfilling the terms and conditions of this
solicitation may apply.
Under 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. 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.
Eligible Participants: Eligible participants for proposed projects
include non-managerial workers most vulnerable to layoffs and/or those
who are low-waged, low-skilled, or those who would face significant
barriers to reemployment at a similar wage if they were laid off, e.g.,
new entrants to the workforce, those in need of basic skills, and those
with obsolete skills. Applicants must demonstrate that the incumbent
workers are non-managerial employees.
Maximum Amount Available: A maximum of $1,000,000 per grant with no
more than $250,000 in participant-related costs per individual firm. A
total of $3,000,000 will be allocated for this activity.
3. Coordination
All applicants are required to demonstrate partnership
relationships with publicly-funded local workforce organizations such
as workforce investment boards, one-stop career centers, and private
industry councils. Where appropriate, partnerships should also included
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.
In order to maximize the use of public resources and avoid
duplication of effort, applicants must 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.
4. Cost Sharing/Match
Incumbent worker training should be a collaborative effort between
private and public resources. The Department of Labor will not bear the
entire cost of incumbent worker training through demonstration funding.
It will be a shared expense, with DOL contributing a portion of the
costs and the employer and/or other partners contributing the rest.
Activities conducted should be eligible both for the match (or cost
sharing) and the federal funds. Participating employers are expected to
pick up the costs of some of these activities.
There has been considerable discussion about the contributions to
be made by the employer to publicly-financed incumbent worker training.
The impact of cost sharing or match or the ability to cost share or
match differs, depending upon such factors as the size of the
workforce, the type of industry or sector being impacted, whether
workers belong to a union or not, and the current financial state of
the industry or firm. What may be seen as a sacrifice on the part of
one employer may seem superfluous to another employer.
Those items eligible to be considered part of the cost-sharing or
match are described in section III.C., ``Collaboration and Cost
Sharing/Match.''
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 funds, successful program operation, and the needs of
the Department.
Part II. Application Process and Guidelines
A. Contents
An original and 3 copies of the application shall be submitted. The
application shall consist of two (2) separate and distinct parts: Part
I, the Financial Proposal, and Part II, the Technical Proposal.
1. Financial Application
Part I, the Financial Proposal, shall contain the SF-424,
``Application for Federal Assistance'' (Appendix A) and the ``Budget
Information'' (Appendix B). The Federal Domestic Assistance Catalog
number is 17.246.
The budget shall include on separate pages detailed breakouts of
each proposed budget line item, including detailed administrative costs
and costs for one or more of the following categories as applicable:
basic readjustment services, supportive services, and retraining
services. For each budget line item that includes funds or in-kind
contributions from a source other than the grant funds, identify the
source, the amount, and in-kind contributions, including any
restrictions that may apply to these funds.
2. Technical Proposal
Part II, the technical proposal shall demonstrate the applicant's
capabilities in accordance with the Statement of Work in Part III of
this solicitation. 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. Applications that do not meet these requirements
will not be considered. Each application shall include the Checklist
provided as Appendix C, a Time line outlining project activities, and
an Executive Summary not to exceed two pages. NO COST DATA OR REFERENCE
TO PRICE SHALL BE INCLUDED IN THE TECHNICAL PROPOSAL.
B. Hand-Delivered Applications
Applications should be mailed no later than five (5) days prior to
the closing date for the receipt of applications. However, if
applications are hand-delivered, they must be received at the
designated place by 4 p.m., Eastern Time on the closing date for
receipt of applications. All overnight mail will be considered to be
hand-delivered and must be received at the designated place by the
specified time and closing date. Telegraphed and/or faxed proposals
will not be honored. Applications that fail to adhere to the above
instructions will not be honored.
C. Late Applications
Any application received at the office designated in the
solicitation after the exact time specified for receipt will not be
considered unless it:
(1) Was sent by U.S. Postal Service registered or certified mail
not later than the fifth calendar day before the closing
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date specified for receipt of applications (e.g., an offer submitted in
response to a solicitation requiring receipt of application by the 30th
of January must have been mailed by the 25th); or
(2) Was 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
application. The term ``working days'' excludes weekends and U.S.
Federal holidays.
The only acceptable evidence to establish the date of mailing of a
late application sent by U.S. Postal Service registered or certified
mail is the U.S. postmark 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 it had been
mailed late. ``Postmark'' 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, applicants should request the postal clerk to place
a legible hand cancellation ``bull's eye'' postmark on both the receipt
and the envelope or wrapper.
The only acceptable evidence to establish the date of mailing of a
late application sent by ``Express Mail Next-Day Service--Post Office
to Addressee'' is the date entered by the post office receiving clerk
on the ``Express Mail Next Day Service--Post Office to Addressee''
label and the postmarks on both the envelope and wrapper and the
original receipt from the U.S. Postal Service. ``Postmark'' has the
same meaning as defined above. Therefore, an applicant should request
the postal clerk to place a legible hand cancellation ``bull's eye''
postmark on both the receipt and the envelope or wrapper.
D. Withdrawal of Applications
Applications may be withdrawn by written notice or telegram
(including mailgram) received at any time before award. 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.
Part III. Statement of Work
Each grant application must follow the format outlined in this
Part. For sections A through G below, each application should include:
(1) Information that indicates adherence to the provisions
described in Part I, Background and Part II, Application Process and
Guidelines, of this announcement; and
(2) Other information that the applicant believes will address the
evaluation criteria identified in Part IV of this solicitation.
Information required under A and B below shall be provided
separately for each labor market area where incumbent 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. Project Design
This section should explain how firms and individuals within the
target population will be identified for the project. Describe the
assessment that will be conducted for participating firms and
individuals. Describe how the type(s) of training planned for project
participants will be determined, the types of training anticipated for
participants, and the opportunities available upon completion of
assessment and training services. Provide the documentation on which
such descriptions are based. Include information about the number and
type of jobs available which require updated skills not yet possessed
by planned participants, wage information, and the information on
specific sets of skills, knowledge or duties (including any industry-
sponsored standards or certifications) necessary to perform the jobs.
Identify sources of the occupational information or data used. Identify
the types of training necessary and how they are appropriate to the
company(ies) or firm(s) or sector(s). Anecdotal data should not be
used.
Company, industry, or sector or other local labor market
information can be used to document needs. Information from the Bureau
of Labor Statistics (BLS) available through a variety of web sites can
be used as a source of documentation. In addition, State Occupational
Information Coordinating Committee (SOICC) and JTPA Substate Grantee
local job training plans may also be considered. If training is needed
for retention of workers, provide documentation that this is the case.
If opportunities are not available for at-risk workers within the firm,
but are available outside of the firm with additional training, please
provide this documentation.
(1) Purpose. Describe the specific purpose or purposes of the
proposed project.
(2) Target population. Describe the proposed target population for
the project and how this population was identified. If that population
is limited to one or more subgroups of the incumbent worker population,
explain the basis for such limitation. Describe the size, location, and
needs of the target population relative to the services to be provided.
Provide documentation showing there is a significant number of
incumbent workers with the target population's characteristics in the
project area(s).
(3) Outreach and recruitment. Describe how eligible incumbent
workers and firms 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 the target population.
(4) Eligibility determination. Describe the criteria and process to
be used in determining the appropriateness and eligibility of
participating firms and the eligibility of potential participants in
the project.
(5) 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 in participating firms.
Explain how the selection criteria relate to the specific purpose of
the proposed project.
(6) Services to be provided. Describe the services to be provided
from the time of selection of participants through the completion of
training. Define the end of the service strategy. Describe any services
to be provided after training or re-training. The descriptions shall
provide a clear understanding of the services that will be necessary
for participants to receive training, to retain or upgrade their jobs
or job skills, including services not funded under the grant. Define
whether the services to be provided are part of a retention strategy or
other strategy for the worker and/or the company(ies). Grant-funded
activities should, at a minimum, include assessment and training
services. Identify policies to demonstrate when supportive services are
appropriate for individual participants.
Identify any assessment tools proposed to be used before or after
services are provided to identify the needs of both the companies and
the workers. Describe how training will be customized to account for
transferable skills, previous education, and
[[Page 69107]]
particular circumstances of the target population and the skill needs
of the 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 through other
providers.
(7) Firm selection and participant flow. Provide flowcharts with
time indications to illustrate how the project will work with firms and
participating individuals to ensure access to necessary and appropriate
services. Describe the sequence of services and the criteria to be used
to determine the appropriateness of specific services for particular
firms and individual participants. Define the end of the service
strategy.
(8) Relationship to prior experience. Show how the applicant's
prior experience in working with incumbent workers affects or
influences the design of the proposed project.
B. 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 may include, but
are not limited to:
(1) The number of participants projected: to be enrolled in
services, to successfully complete services through the project, 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, or jobs in another occupational class or another
occupation, if appropriate, either with the same company or another
company;
(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 training and after 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;
(5) Customer satisfaction with the project services, and of
critical points in the service delivery process for both employers and
participating individuals;
(6) Planned average cost per participant (amount of the grant
request divided by the number of program-related training recipients);
and
(7) Employer-specific outcome measures that are relevant to the
purpose of these grants, including measures related to participants'
use of knowledge and skills learned during project-related training;
(8) Other additional measurable, performance-based outcomes which
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 with other available service strategies, an
increase in the firms' profitability, or the improved ability of
workers to become more competitive in the marketplace.
Note: An explanation of how such additional measures are
relevant to the purpose of the demonstration program shall be
included in the application.
DOL may conduct additional studies during and after the completion
of the projects examining such factors as long-term wage gains,
retention, and labor market needs. Participating companies must agree
to make such information available to DOL for at least a two-year
period following the completion of the grant. Other information may be
gathered by using Bureau of Labor Statistics data. DOL may contract
with a qualified organization to conduct these follow-up studies.
C. Collaboration and Cost Sharing/Match
Describe the nature and extent of collaboration and working
relationships between the applicant and publicly-funded local workforce
organizations such as workforce investment boards, one-stop career
centers, and private industry councils, training institutions, and
other local stakeholders in the design and implementation of the
proposed project. In addition, describe partnerships with trade unions,
manufacturing extension programs, economic development organizations,
if applicable. Include services to be provided through resources other
than grant funds under this demonstration. 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;
provision of staff time at no cost to the project; release time in
order for employees to obtain training during their regularly-assigned
work hours; replacement costs for workers to cover times when employees
are in training; training space; the cost of paying the training
providers to develop and/or provide training; the cost of staff time to
coordinate training; actual cash contributed to sustain the training
efforts; the purchase of training equipment and supplies; and any other
justified and approved training-related expenses such as the cost of
training managers, keeping in mind maintenance of effort.
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.
Match is encouraged on a 50/50 basis--50 percent of the cost of the
grant to be provided by the applicant or other entity and 50 percent by
the grant. These percentages are guidelines that may be waived for
extenuating circumstances described in the application by the
applicant.
Provide evidence which ensures the collaboration described can
reasonably be expected to occur, such as letters of agreement or
formally established advisory councils. Because a core purpose of this
demonstration program involves the publicly funded workforce system,
the applicant shall describe working relationships with local Substate
Grantee(s) and One-Stop Career Center entities where present. Describe
activities that may be undertaken to link activities to program
interventions under this grant to employer, 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.
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 when a labor
organization represents a substantial number of workers engaged in
similar work.
[[Page 69108]]
D. Innovation
Describe any innovation in the proposed project, including (but not
limited to) innovations in concepts to be tested, services, delivery of
services, training methods, job development, or job retention
strategies. Explain how the proposed project is similar to and differs
from the applicant's prior and current activities. Describe how
successful activities and processes will be institutionalized within
participating firms, partners, and local areas.
E. 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. Provide an
organizational chart showing the relationship among project management
and operational components, including those at multiple sites 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
achievement of project outcomes as indicated in section D of this part;
and report on participants, outcomes, and expenditures.
(3) Monitoring and Reporting.
(a) Describe how the project will keep records of its activities,
as required in 20 CFR 631.63 and 29 CFR parts 95 and 97 as appropriate,
which will include information such as the following:
(b) Benchmarks. Provide a timeline of benchmarks covering the
period of performance of the project. Include a monthly schedule of
planned start-up events; a quarterly schedule of planned participant
activity, showing cumulative numbers of participating firms,
enrollments, participation in training and other services, terminations
and quarterly cumulative expenditure projections.
(c) Participant progress. Describe how a participant's and a firm's
continuing participation in the project will be monitored.
(d) 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.
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 available through DOL-supported initiatives.
(e) Impact of Coordination and Innovation. Describe the process for
assessing and reporting on the impact of coordination 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.
F. Grievance Procedure
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).
G. 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.
Part IV. Evaluation Criteria
Selection of grantees for awards will be made after careful
evaluation of grant applications by a panel selected for that purpose
by DOL. Panel results will be advisory in nature and not binding on the
ETA Grant Officer. Panelists shall evaluate proposals for acceptability
based upon overall responsiveness in accordance with the factors below.
A. Target Population (15 points)
The description of the characteristics of the target group of firms
and individuals to be served is clear and meaningful, and sufficiently
detailed to determine the potential participants' service needs.
Employer commitment and readiness are demonstrated either through
direct evidence or a rigorous assessment process. Sufficient
information is provided to explain how the number of firms served and
incumbent workers to be enrolled in the project was determined. The
service plan supports the number of planned enrollments. The target
population is appropriate for the specific purpose of the proposed
project.
B. Service Plan and Cost (30 points)
(a) The scope of services to be provided is consistent with the
demonstration program and project purposes and goals.
(b) The scope of services to be provided is adequate to meet the
needs of the target population given:
(1) Their characteristics and circumstances;
(2) The opportunities available after training relative to targeted
wages and job openings;
(3) The match between documented demand skills and the training
planned;
(4) The documentation provided specifying that training meets or is
developed based on industry driven skill standards or certifications;
(5) The length of program participation planned.
(c) Documentation and reliability of skills needs within
participating firms and/or labor markets is based upon recognized,
reliable and timely sources of information.
(d) The project service plan for incumbent worker training is a
complementary component to the provision of other forms of assistance
to participating firms.
(e) 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 the One-Stop Career Center
System. The impact of innovation on costs is explained clearly in the
proposal and is reasonable.
(f) 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
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achieve program goals will be taken into consideration in the rating
process.
C. Management (20 points)
The applicant (as a part of a collaborative approach) has
experience working with or has partnered with organizations skilled in
assessing training needs and developing 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 performance and 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.
D. Collaboration (20 points)
The proposal includes evidence of direct participation by JTPA
Substate Grantees and the One-Stop Career Center System (where present)
in the planning and management of this grant. Evidence of involvement
by actual or prospective participating 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
may also be provided. Evidence is presented that ensures cooperation of
coordinating entities, as applicable, for the life of the proposed
project. Relationship to a regional and/or State plan for economic and
workforce development is clearly articulated. 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.
E. Innovation (10 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 incumbent 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. The proposal identifies potential
benefits for other workforce development programs resulting from this
grant.
F. Sustainability (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 other public or private resources.
The proposal identifies active planning or other developmental
activities for incumbent worker training that will build on and benefit
from this project. These may be within participating firms or in
external activities.
Grant applications will be evaluated for the reasonableness of
proposed costs, considering the proposed target group, 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 (Standard Form) SF-424 constitutes a binding offer.
Part V. 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 and Quarterly Progress Reports.
2. Standard Form 269, Financial Status Report Form, on a quarterly
basis.
3. Participant and firm-based reporting (to be developed).
4. 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.
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 and
to provide access to personnel, as specified by the evaluator(s) under
the direction of the Department.
Signed at Washington, DC this 10th day of December, 1998.
Janice E. Perry,
Grant Officer.
Appendices
1. Appendix A--Application for Federal Assistance (Standard Form 424)
2. Appendix B--Budget Information
3. Appendix C--Application Checklist
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