[Federal Register Volume 61, Number 243 (Tuesday, December 17, 1996)]
[Notices]
[Pages 66277-66280]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 96-31916]
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FEDERAL MEDIATION AND CONCILIATION SERVICE
Labor-Management Cooperation Program; Application Solicitation
for Labor-Management Committees FY 1997
A. Introduction
The following is the final solicitation for the Fiscal Year (FY)
1997 cycle of the Labor-Management Cooperation Program as it pertains
to the support of labor-management committees. These guidelines
represent the continuing efforts of the Federal Mediation and
Conciliation Service to implement the provisions of the Labor-
Management Cooperation Act of 1978 which was initially implemented in
FY81. The Act generally authorizes FMCS to provide assistance in the
establishment and operation of plant, area, public sector, and
industry-wide labor-management committees which:
(A) Have been organized jointly by employers and labor
organizations representing employees in that plant, area, government
agency, or industry; and
(B) Are established for the purpose of improving labor-management
relationships, job security, and organizational effectiveness;
enhancing economic development; or involving workers in decisions
affecting their jobs, including improving communication with respect to
subjects of mutual interest and concern.
The Program Description and other sections that follow, as well as
a separately published FMCS Financial and Administrative Grants Manual,
make up the basic guidelines, criteria, and program elements a
potential applicant for assistance under this program must know in
order to develop an application for funding consideration for either a
plant, area-wide, industry, or public sector labor-management
committee. Directions for obtaining an application kit and an optional
video tape may be found in Section H. A copy of the Labor-Management
Cooperation Act of 1978, included in the application kit, should be
reviewed in conjunction with this solicitation.
B. Program Description
Objectives
The Labor-Management Cooperation Act of 1978 identifies the
following seven general areas for which financial assistance would be
appropriate:
(1) To improve communication between representatives of labor and
management;
(2) To provide workers and employers with opportunities to study
and explore new and innovative joint approaches to achieving
organizational effectiveness;
(3) To assist workers and employers in solving problems of mutual
concern not susceptible to resolution within the collective bargaining
process;
(4) To study and explore ways of eliminating potential problems
which reduce the competitiveness and inhibit the economic development
of the plant, area, or industry;
(5) To enhance the involvement of workers in making decisions that
affect their working lives;
(6) To expand and improve working relationships between workers and
managers; and
(7) To encourage free collective bargaining by establishing
continuing mechanisms for communication between employers and their
employers through Federal assistance in the formation and operation of
labor-management committees.
The primary objective of this program is to encourage and support
the establishment and operation of joint labor-management committees to
carry out specific objectives that meet the forementioned general
criteria. The term ``labor'' refers to employees represented by a labor
organization and covered by a formal collective bargaining agreement.
These committees may be found at either the plant (worksite), areas,
industry, or public sector levels.
[[Page 66278]]
A plant or worksite committee is generally characterized as restricted
to one or more organizational or productive units operated by a single
employer. An area committee is generally composed of multiple employers
of diverse industries as well as multiple labor unions operating within
and focusing upon city, county, contiguous multicounty, or statewide
jurisdictions. An industry committee generally consists of a collection
of agencies or enterprises and related labor union(s) producing a
common product or service in the private sector on a local, state,
regional, or nationwide level. A public sector committee consists
either of government employees and managers in one or more units of a
local or state government, managers and employees of public
institutions of higher education, or of employees and managers of
public elementary and secondary schools. Those employees must be
covered by a formal collective bargaining agreement or other
enforceable labor-management agreement. In deciding whether an
application is for an area or industry committee, consideration should
be given to the above definitions as well as to the focus of the
committee.
In FY 1997, competition will be open to plant, area, private
industry, and public sector committees. Public Sector committees will
be divided into the sub-categories for scoring purposes. One sub-
category will consist of committees representing state/local units of
government and public institutions of higher education. The second sub-
category will consist of public elementary and secondary schools.
Special consideration will be given to committee applications
involving innovative or unique efforts. All application budget requests
should focus directly on supporting the committee. Applicants should
avoid seeking funds for activities that are clearly available under
other Federal programs (e.g., job training, mediation of contract
disputes, etc.).
Required Program Elements
1. Problem Statement
The application, which should have numbered pages, must discuss in
detail what specific problem(s) face the plant, area, government, or
industry and its workforce that will be addressed by the committee.
Applicants must document the problem(s) using as much relevant data as
possible and discuss the full range of impacts these problem(s) could
have or are having on the plant, government, area, or industry. An
industrial or economic profile of the area and workforce might prove
useful in explaining the problem(s). This section basically discusses
WHY the effort is needed.
2. Results or Benefits Expected
By using specific goals and objectives, the application must
discuss in detail WHAT the labor-management committee as a
demonstration effort will accomplish during the life of the grant.
Applications that offer to provide objectives after a grant is awarded
will receive little or no credit in this area. While a goal of
``improving communication between employers and employees'' may suffice
as one over-all goal of a project, the objectives must, whenever
possible, be expressed in specific and measurable terms. Applicants
should focus on the impacts or changes that the committee's efforts
will have. Existing committees should focus on expansion efforts/
results expected from FMCS funding. The goals, objectives, and
projected impacts will become the foundation for future monitoring and
evaluation efforts.
3. Approach
This section of the application specifies HOW the goals and
objectives will be accomplished. At a minimum, the following elements
must be included in all grant applications:
(a) A discussion of the strategy the committee will employ to
accomplish its goals and objectives;
(b) A listing, by name and title, of all existing or proposed
members of the labor-management committee. The application should also
offer a rationale for the selection of the committee members (e.g.,
members represent 70% of the area or plant workforce).
(c) A discussion of the number, type, and role of all committee
staff persons. Include proposed position descriptions for all staff
that will have to be hired as well as resumes for staff already on
board;
(d) In addressing the proposed approach, applicants must also
present their justification as to why Federal funds are needed to
implement the proposed approach;
(e) A statement of how often the committee will meet (we require
meetings at least every other month) as well as any plans to form
subordinate committees for particular purposes; and
(f) For applications from existing committees (i.e., in existence
at least 12 months prior to the submission deadline), a discussion of
past efforts and accomplishments and how they would integrate with the
proposed expanded effort.
4. Major Milestones
This section must include an implementation plan that indicates
what major steps, operating activities, and objectives will be
accomplished as well as a timetable for WHEN they will be finished. A
milestone chart must be included that indicates what specific
accomplishments (process and impact) will be completed by month over
the life of the grant using September 15, 1997, as the start date. The
accomplishment of these tasks and objectives, as well as problems and
delays therein, will serve as the basis for quarterly progress reports
to FMCS.
5. Evaluation
Applicants must provide for either an external evaluation or an
internal assessment of the project's success in meeting its goals and
objectives. An evaluation plan must be developed which briefly
discusses what basic questions or issues the assessment will examine
and what baseline data the committee staff already has or will gather
for the assessment. This section should be written with the
application's own goals and objectives clearly in mind and the impacts
or changes that the effort is expected to cause.
6. Letters of Commitment
Applications must include current letters of commitment from all
proposed or existing committee participants and chairpersons. These
letters should indicate that the participants support the application
and will attend scheduled committee meetings. A blanket letter signed
by a committee chairperson or other official on behalf of all members
is not acceptable. We encourage the use of individual letters submitted
on company or union letterhead represented by the individual. The
letters should match the names provided under Section 3(b).
7. Other Requirements
Applicants are also responsible for the following:
(a) The submission of data indicating approximately how many
employees will be covered or represented through the labor-management
committee;
(b) From existing committees, a copy of the existing staffing
levels, a copy of the by-laws, a breakout of annual operating costs and
identification of all sources and levels of current financial support;
(c) A detailed budget narrative based on policies and procedures
contained in the FMCS Financial and Administrative Grants Manual;
(d) An assurance that the labor-management committee will not
[[Page 66279]]
interfere with any collective bargaining agreements; and
(e) An assurance that committee meetings will be held at least
every other month and that written minutes of all committee meetings
will be prepared and made available to FMCS.
Selection Criteria
The following criteria will be used in the scoring and selection of
applications for award:
(1) The extent to which the application has clearly identified the
problems and justified the needs that the proposed project will
address.
(2) The degree to which appropriate and measurable goals and
objectives have been developed to address the problems/needs of the
area. For existing committees, the extent to which the committee will
focus on expanded efforts.
(3) The feasibility of the approach proposed to attain the goals
and objectives of the project and the perceived likelihood of
accomplishing the intended project results. This section will also
address the degree of the innovativeness or uniqueness of the proposed
effort.
(4) The appropriateness of committee membership and the degree of
commitment of these individuals to the goals of the application as
indicated in the letters of support.
(5) The feasibility and thoroughness of the implementation plan in
specifying major milestones and target dates.
(6) The cost effectiveness and fiscal soundness of the
application's budget request, as well as the application's feasibility
vis-a-vis its goals and approach.
(7) The overall feasibility of the proposed project in light of all
of the information presented for consideration; and
(8) The value to the government of the application in light of the
overall objectives of the Labor-Management Cooperation Act of 1978.
This includes such factors as innovativeness, site location, cost, and
other qualities that impact upon an applicant's value in encouraging
the labor-management committee concept.
C. Eligibility
Eligible grantees include state and local units of government,
labor-management committees (or a labor union, management association,
or company on behalf of a committee that will be created through the
grant), and certain third party private non-profit entities on behalf
of one or more committees to be created through the grant. Federal
government agencies and their employees are not eligible.
Third-party private, non-profit entities which can document that a
major purpose or function of their organization has been the
improvement of labor relations are eligible to apply. However, all
funding must be directed to the functioning of the labor-management
committee, and all requirements under Part B must be followed.
Applications from third-party entities must document particularly
strong support and participation from all labor and management parties
with whom the applicant will be working. Applications from third-
parties which do not directly support the operation of a new or
expanded committee will not be deemed eligible, nor will applications
signed by entities such as law firms or other third parties failing to
meet the above criteria.
Applicants who received funding under this program in the past for
committee operations are generally not eligible to apply. The only
exceptions apply to third-party grantees who seek funds on behalf of an
entirely different committee.
D. Allocations
The total FY 1997 appropriation for this program is $1.5 million,
of which at least $725,000 will be available competively for new
applicants. Specific funding levels will not be established for each
type of committee. Instead, the review process will be conducted in
such a manner that at least two awards will be made in each category
(plant, industry, public sector, and area), providing that FMCS
determines that at least two outstanding applications exist in each
category. After these applications are selected for award, the
remaining applications will be considered according to merit without
regard to category. A maximum of $400,000 of the $1.5 million
appropriation has been reserved for the limited continuation of FY95-
funded grantees.
In addition to the competitive process identified in the preceding
paragraph, FMCS will set aside a sum not to exceed thirty percent of
its non-reserved appropriation to be awarded on a non-competitive
basis. These funds will be used only to support industry-specific
national-scope initiatives and/or regional industry models with high
potential for widespread replication that have been solicited by the
Director of the Service.
FMCS reserves the right to retain up to an additional five percent
of the FY97 appropriation to contract for program support purposes
(such as evaluation) other than administration. In addition, $25,000
has been reserved to support the Ninth National Labor-Management
Conference which will be held in Chicago on April 7-9, 1998.
E. Dollar Range and Length of Grants and Continuation Policy
Awards to continue and expand existing labor-management committees
(i.e., in existence 12 months prior to the submission deadline) will be
for a period of 12 months. If successful progress is made during this
initial budget period and if sufficient appropriations for expansion
and continuation projects are available, these grants may be continued
for a limited time at a 40 percent cash match ratio. Initial awards to
establish new labor-management committees (i.e., not yet established or
in existence less than 12 months prior to the submission deadline),
will be for a period of 18 months. If successful progress is made
during this initial budget period and if sufficient appropriations for
expansion and continuation projects are available, these grants may be
continued for a limited time at a 40 percent cash match ratio. The
dollar range of awards is as follows:
Up to $35,000 in FMCS funds per annum for existing in-
plant or single department public sector applicants;
Up to $50,000 over 18 months for new in-plant committee or
single department public sector applicants;
Up to $75,000 in FMCS funds per annum for existing area,
industry and multi-department public sector committees applicants;
Up to $100,000 per 18-month period for new area, industry,
and multi-department public sector committee applicants.
Applicants are reminded that these figures represent maximum
Federal funds only. If total costs to accomplish the objectives of the
application exceed the maximum allowable Federal funding level and its
required grantee match, applicants may supplement these funds through
voluntary contributions from other sources. Applicants are also
strongly encouraged to consult with their local or regional FMCS field
offices to determine what kinds of training may be available at no cost
before budgeting for such training in their applications. A list of our
field leadership team and their phone numbers is included in the
application kit.
F. Match Requirements and Cost Allowability
Applicants for new labor-management committees must provide at
least 10
[[Page 66280]]
percent of the total allowable project costs. Applicants for existing
committees must provide at least 25 percent of the total allowable
project costs. All matching funds may come from state or local
government sources or private sector contributions, but may generally
not include other Federal funds. Funds generated by grant-supported
efforts are considered ``project income,'' and may not be used for
matching purposes.
It will be the policy of this program to reject all requests for
indirect or overhead costs as well as ``in-kind'' match contributions.
In addition, grant funds must not be used to supplant private or local/
state government funds currently spent for these purposes. Funding
requests from existing committees should focus entirely on the costs
associated with the expansion efforts. Also, under no circumstances may
business or labor officials participating on a labor-management
committee be compensated out of grant funds for their time spent at
committee meetings or time spent in training sessions. Applicants
generally will not be allowed to claim all or a portion of existing
full-time staff time as an expense or match contribution.
For a more complete discussion of cost allowability, applicants are
encouraged to consult the FY97 FMCS Financial and Administrative Grants
Manual which will be included in the application kit.
G. Application Submission and Review Process
Applications should be signed by both a labor and management
representative and be postmarked no later than April 19, 1997. No
application or supplementary materials can be accepted after the
deadline. It is the responsibility of the applicant to ensure that the
application is correctly postmarked by the U.S. Postal Service or other
carrier. An original application containing numbered pages, plus three
copies, should be addressed to the Federal Mediation and Conciliation
Service, Labor-Management Program Services, 2100 K Street, NW,
Washington, D.C. 20427. FMCS will not consider videotaped submissions
or video attachments to submissions.
After the deadline has passed, all eligible applications will be
reviewed and scored initially by one or more Customer Review Boards.
The Board(s) will recommend selected applications for further funding
consideration. The Director, Labor-Management Program Services, will
finalize the scoring and selection process. The individual listed as
contact person in Item 6 on the application form will generally be the
only person with whom FMCS will communicate during the application
review process.
All FY97 grant applicants will be notified of results and all grant
awards will be made before September 15, 1997. Applications submitted
after the April 19 deadline date or that fail to adhere to eligibility
or other major requirements will be administratively rejected by the
Director, Labor-Management Program Services.
H. Contact
Individuals wishing to apply for funding under this program should
contact the Federal Mediation and Conciliation Service as soon as
possible to obtain an application kit. These kits and additional
information or clarification can be obtained free of charge by
contacting Karen Pierce or Linda Stubbs, Federal Mediation and
Conciliation Service, Labor-Management Program Services, 2100 K Street,
NW, Washington, DC 20427; or by calling 202-606-8181.
An optional video tape, entitled ``How to Apply for a Grant From
FMCS'', is also available. The tape, however, will only be sent out
after we receive a specific written request for the video.
John Calhoun Wells,
Director, Federal Mediation and Conciliation Service.
[FR Doc. 96-31916 Filed 12-16-96; 8:45 am]
BILLING CODE 6732-01-M
