[Federal Register Volume 62, Number 249 (Tuesday, December 30, 1997)]
[Notices]
[Pages 67902-67918]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 97-33694]
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DEPARTMENT OF LABOR
Employment and Training Administration
Welfare-to-Work Competitive Grants
AGENCY: Employment and Training Administration (ETA), DOL.
ACTION: Notice of availability of funds; solicitation for grant
applications.
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SUMMARY: The U.S. Department of Labor (DOL), Employment and Training
Administration (ETA) announces the first round of competitive grants
under a two year Welfare-to-Work (WtW) grant program enacted under the
Balanced Budget Act of 1997. The WtW program assists States and local
communities to provide the transitional employment assistance needed to
move hard-to-employ recipients of Temporary Assistance to Needy
Families (TANF) into lasting unsubsidized jobs. WtW grants are targeted
to assisting those TANF recipients, and certain noncustodial parents,
who have experienced, or have characteristics associated with, long-
term welfare dependence. This announcement describes the conditions
under which applications will be received under the Welfare-to-Work
(WtW) Competitive Grants Program and how DOL/ETA will determine which
applications it will fund. This announcement includes all of the
information and forms needed to apply for WtW competitive grants.
DATES: The closing date for receipt of applications under this
announcement is March 10, 1998. For the funding cycle covered by this
announcement, complete applications must be received at the address
below no later than 2 p.m. EST (Eastern Standard Time). Except as
provided below, grant applications received after this date and time
will not be considered. Applications which are not accepted for this
announcement must be resubmitted to be considered for future
announcements.
ADDRESSES: U.S. Department of Labor, Employment and Training
Administration, Division of Acquisition Assistance, Attention: Mr.
Willie Harris, SGA/DAA 98-004, 200 Constitution Avenue, NW, Room S4203,
Washington, D.C. 20210.
FOR FURTHER INFORMATION CONTACT: Mr. Willie Harris, Grant Management
Specialist, Division of Acquisition Assistance, Telephone: (202) 219-
8694. This is not a toll-free number. This announcement is also being
published on the Internet on the Employment and Training
Administration's Welfare-to-Work Home Page at http://wtw.doleta.gov.
Copies of the Interim Final Rule governing the Welfare-to-Work program,
including activities conducted under the competitive grants, are also
available on the WtW Home Page. In addition, award notifications will
be published on the WtW Home Page.
SUPPLEMENTARY INFORMATION:
I. Authority
Section 403(a)(5)(B) of Title IV of the Social Security Act.
Regulations governing the WtW program are at 20 CFR Part 645, published
at 62 FR 61588. These Interim Final Regulations were published in the
Federal Register on November 18, 1997.
II. Submission of Applications
A signed original of the application and three copies must be
submitted. An application should be single-spaced and shall not exceed
twenty (20) single-sided pages for the Government Requirements/
Statement of Work section, as described in the ``Required Content for
WtW Competitive Grant Applications--Fiscal Year 1998,'' plus an
additional twenty-five (25) pages for Attachments, including the
Project Synopsis, Evidence of State and Local Coordination, the
Financial Plan and other recommended forms. A font size of at least 12
pitch is required.
Acceptable Methods of Submission
Applications may be hand-delivered or mailed. Hand-delivered
applications must be received at the address identified above by the
date and time specified. Overnight mail deliveries will be treated as
hand-deliveries. Mailed applications that arrive after the closing date
will be accepted if they are post-marked at least five (5) days prior
to the closing date. Applications submitted via overnight mail that
arrive after the closing date will be accepted if they are post-marked
at least two (2) days prior to the closing date. Otherwise, late
applications will not be accepted. Telegraphed and/or faxed
applications will not be accepted.
Applications may be withdrawn by written notice or telegram
(including mailgram), or in person if the representative's identity is
made known, and the representative signs a receipt for the application.
OMB Approval of Paperwork Burden
According to the Paperwork Reduction Act of 1995, no persons are
required to respond to a collection of information unless such
collection displays a valid OMB control number. The valid OMB control
number for this information collection is 1205-1387. The time required
to complete this information collection is estimated to average twenty
(20) hours per response, including the time to review the instructions,
search existing data resources, gather data needed, and complete and
review the information. Comments concerning this burden estimate or any
other aspect of this collection of information, including suggestions
for reducing this burden, to the U.S. Department of Labor, Office of
Job Training Programs, Room N4459, Washington, D.C. 20210 (Paperwork
Reduction Project 1205-1387). Comments may be reflected in the
development of future solicitations.
III. Program Scope and Funding
Competitive grant projects will be expected to achieve the purpose
of all WtW grants:
To provide transitional assistance which moves welfare
recipients into unsubsidized employment providing good career
potential for achieving economic self-sufficiency.
This transitional assistance is to be provided through a ``work
first'' service strategy in which recipients are engaged in employment-
based activities. Grant funds may be used to provide needed basic and/
or vocational skills training as a post-employment service in
conjunction with either subsidized or unsubsidized employment. This
flexibility, established in the Regulations, reflects the basic ``work
first'' philosophy of the WtW legislation, and recognizes the critical
importance of continuous skills acquisition and lifelong learning to
economic self-sufficiency.
All competitive grant projects will be expected to be an integral
part of a comprehensive strategy for moving eligible individuals into
unsubsidized employment in a local, community-based context. Projects
should develop and implement innovative approaches that enhance a
community's ability to move eligible individuals into self-sustaining
employment, create upward mobility paths and higher earnings
[[Page 67903]]
potential for WtW participants, and achieve sustainable improvements in
the community's service infrastructure for assisting welfare
recipients. All applications will be reviewed under the criteria set
forth in Part VII of this announcement, including the effectiveness of
the proposal in moving TANF recipients who are least job ready into
unsubsidized employment, in moving such recipients into unsubsidized
employment in labor markets that have a shortage of low-skill jobs, and
in expanding the base of knowledge about programs aimed at moving TANF
recipients into long-term unsubsidized employment.
Areas of Special Interest
In addition to proposing innovative strategies for moving welfare
recipients into lasting unsubsidized employment, applicants are
encouraged to consider the following in designing responsive service
strategies for the eligible population in their local area:
Targeted assistance to specific subgroups of the eligible
populations such as noncustodial parents, individuals with learning
disabilities, individuals who require substance abuse treatment for
employment, and public housing residents;
Development of responsive transportation and child care
service systems;
Use of integrated work and learning strategies to develop
skills;
Creation of job opportunities (including self-employment)
that allow for flexibility to address work and family needs while
providing income levels that are adequate for self-sufficiency;
Proactive strategies to involve employers in design of
service strategies and implementation of the project;
Strategies that focus on family-based assistance and that
are integrated with children systems (e.g., Child Care, Head Start)
that can assist the full family unit;
Activities to help women access nontraditional
occupations; and
Strategies that reflect effective integration with both
the workforce development (e.g., One-Stop) and welfare systems.
The Department is also interested in receiving applications to
implement projects in conjunction with community saturation strategies
(in which comprehensive services are available to assist all of the
eligible residents in a defined community). The Department expects that
these applications would be submitted from communities in which there
are concentrations of eligible hard-to-employ individuals, there is a
reasonable opportunity to provide employment for all such individuals,
and there are established partnerships which can contribute a
significant level of resources to implement the strategy.
Funding Availability
A total of $368.25 million is available for competitive grant
awards in Fiscal Year (FY) 1998 and $343.25 million in FY 99.
Approximately $184 million (or 50 percent of FY 98 competitive grant
funding) is available for Federal grant assistance through this
announcement. The balance of the available funding for FY 98 will be
covered in subsequent announcements. Of the funds available in FY 98,
the Department aims to distribute approximately 70 percent for projects
to serve cities with large concentrations of poverty and 30 percent for
projects to serve rural areas. Definitions for ``cities with large
concentrations of poverty'' and ``rural area'' can be found in Appendix
B of this announcement. Applications to serve rural areas should be
targeted to serve eligible residents from subareas that represent
concentrations of poverty. Further, as indicated under the Criteria
section of this solicitation, applications are strongly encouraged to
present innovative strategies to address the needs of areas with
concentrations of poverty.
It is expected that most grant awards will be between $1 million
and $5 million. Furthermore, it is expected that most grants will serve
a minimum of 100 eligible participants. Applications that are outside
of this range should provide an explanation of how the project will
have substantial community impact (especially for those below $1
million and/or fewer than 100 participants), or how project services
will be provided on a local level and targeted to the specific needs of
the defined target group (especially for those applications over $5
million).
Award Period
It is expected that the planned performance period for most
projects will be between 18 and 30 months. Grant funds are not
available for expenditure for longer than three years. No obligation or
commitment of funds will be allowed beyond the grant period of
performance. Any unspent grant funds must be returned to the Department
of Labor.
IV. Eligible Grant Applicants
Private Industry Councils (PIC), political subdivisions of the
State (as defined in Appendix B), and private entities (as defined in
Appendix B) are eligible to receive grant funds under this
announcement. Eligible private entities include community development
corporations, community action agencies, community-based and faith-
based organizations, disability community organizations, public and
private colleges and universities, and other qualified private
organizations. Private entities include both non-profit and for-profit
organizations but do not include individuals.
Entities other than a PIC or a political subdivision of the State
must submit an application for competitive grant funds in conjunction
with the PIC(s) or political subdivision(s) for the area in which the
project is to operate. The term ``in conjunction with'' shall mean that
the application must include a signed certification by both the
applicant and either the appropriate PIC(s) or political subdivision(s)
indicating that:
1. The applicant has consulted with the appropriate PIC(s)/
political subdivision(s) during the development of the application; and
2. The activities proposed in the application are consistent with,
and will be coordinated with, the WtW efforts of the PIC(s)/political
subdivision(s).
If the applicant is unable to obtain the certification, it will be
required to include information describing the efforts which were
undertaken to consult with the PIC(s)/political subdivision(s) and
indicating that the PIC(s)/political subdivision(s) were provided a
sufficient opportunity to cooperate in the development of the project
plan and to review and comment on the application prior to its
submission to the Department of Labor. ``Sufficient opportunity for
PIC/political subdivision review and comment'' shall mean at least 30
calendar days.
The certification, or evidence of efforts to consult, must be with
either each PIC or each political subdivision in the service area in
which the proposed project is to operate.
State-level Consultation
All applicants for competitive grants, including PICs and political
subdivisions, must submit their applications to the Governor or, at the
discretion of the Governor, to the designated State administrative
entity for the WtW program, for review and comment prior to submission
of the application to the Department. For private entities, State
review must be subsequent to review by the PIC or political entity.
When submitted to the Department, the application must include any
comments from the Governor or his/her designee or must include
information indicating that the Governor was provided a sufficient
[[Page 67904]]
opportunity for review and comment prior to submission to the
Department. ``Sufficient opportunity for State review and comment''
shall mean at least 15 calendar days.
Applicants for Multiple Community or National Projects
Consideration will be given to applications which propose multi-
community or national strategies to move welfare recipients into long-
term unsubsidized employment leading to economic self-sufficiency. For
example, an applicant may design a nationwide project to create jobs
for welfare recipients in a particular industry. Applications which
propose multi-community or national strategies must meet all of the
application requirements contained in this Announcement. Specifically,
private entities proposing such projects must include the signed
certification from the applicable PIC or political subdivision of each
SDA in which the project will operate or other evidence indicating the
efforts undertaken to obtain the required consultation as described
above. Such applications must also demonstrate the required
consultation with the Governors of the States in which the project will
operate. Applications proposing national projects must comply with all
statutory and regulatory requirements and will be rated under the same
evaluation criteria as other applications. Applicants should be aware
that the extent of local collaboration demonstrated in a national
project will be considered as an important factor in the overall
strength of the proposal.
Lobbying Disclosure Act of 1995
Entities described in Section 501(c)(4) of the Internal Revenue
Code that engage in lobbying activities are not eligible to receive
funds under this announcement. The Lobbying Disclosure Act of 1995,
Public Law 104-65, 109 Stat. 691, prohibits the award of Federal funds
to these entities if they engage in lobbying activities.
V. Program and Administrative Requirements
Participant Eligibility and Funding Expenditures
Each project will be required to meet the targeting provisions
described at 20 CFR 645.211-645.213. [NOTE: The WtW Regulations are
available at the WtW Internet web site at http://wtw.doleta.gov.] These
provisions dictate that a minimum of 70 percent of the funds in each
WtW competitive grant must be used to serve hard-to-employ individuals
as described in Sec. 645.212. Furthermore, no more than 30 percent of
the funds in each grant may be used to serve individuals with
characteristics predictive of long-term welfare dependence, as
described in Sec. 645.213.
Allowable Uses of Funds
Competitive grant funds shall only be spent for those activities
identified in the WtW Regulations, at 20 CFR 645.220, and for
appropriate administrative costs.
Administrative Costs
Allowable costs and the 15 percent limitation on administrative
costs for WtW competitive grants are defined in the WtW Regulations at
20 CFR 645.235. All proposed costs must be reflected as either a direct
charge to specific budget line items, or as an indirect cost. Direct
and indirect administrative costs are allowable, but combined, these
costs cannot exceed 15 percent of the total grant. The administrative
costs negotiated in the final grant document may be below fifteen
percent.
Only costs which result from applying a Federally-approved indirect
cost rate may be entered on the ``indirect cost'' line item of the
budget. If an indirect cost rate is used, the applicant must include
documentation from the cognizant Federal agency which includes the
approved rate, the cost base against which it is applied, and the
approval date.
All applicants will be expected to justify proposed costs (see Item
3 of the Financial Plan in the ``Required Content for WtW Competitive
Grants Applications--Fiscal Year 1998''). Profits are not an allowable
use of grant funds.
Use of Federal Funds
Federal funds cannot be used to support activities which would be
provided in the absence of those funds. Grant funds may cover only
those costs which are appropriate and reasonable. Federal grant funds
may only be used to acquire equipment which is necessary for the
operation of the grant. The grantee must receive prior approval from
the DOL/ETA Grant Officer for the purchase and/or lease of any property
and/or equipment with a per unit acquisition cost of $5,000 or more,
and a useful life of more than one year as defined in the ``Uniform
Administrative Requirements for Grants and Cooperative Agreements to
State and Local Governments'', codified at 29 CFR Part 97, and ``Grants
and Agreements with Institutes of Higher Education, Hospitals and Other
Non-Profit Organizations'', codified at 29 CFR Part 95. This
restriction includes the purchase of Automated Data Processing (ADP)
equipment. A request for such prior approval may be included in the
grant application or submitted after the grant award. Requests
submitted after the grant award must be directed through the Grant
Officer Technical Representative (GOTR) and must include a detailed
description and cost of the items to be acquired.
Grant funds also may not be used to cover any project-related costs
incurred prior to the effective date of the grant award. In making a
grant award, DOL/ETA has no obligation to provide any future additional
funding in connection with the grant award.
Pursuant to 20 CFR 645.235(c)(3), the costs of information
technology--computer hardware and software--needed for tracking or
monitoring under a WtW grant are not subject to the fifteen percent
limitation on administrative costs.
Year 2000 Compliance
Any information technology purchased in whole or in part with WtW
funds, which is used for a period of time that goes beyond December 31,
1999, must be ``year 2000 compliant.'' This means that such information
technology shall accurately process date/time data (including, but not
limited to, calculating, comparing and sequencing) from, into and
between the twentieth and twenty-first centuries, the years 1999 and
2000, and leap year calculations. Furthermore, ``year 2000 compliant''
information technology, when used in combination with other information
technology, shall accurately process date/time data if the other
information technology properly exchanges date/time with it.
Assurances and Certifications
The following assurances and certifications will apply to each
executed grant agreement:
Assurances/Non-Construction Programs;
Debarment & Suspension Certification;
Certification Regarding Lobbying;
Drug Free Workplace Certification;
Certification of Non-delinquency; and
Non-discrimination and Equal Opportunity Requirements.
These Assurances and Certifications will appear as part of the
final grant award document.
Departmental Oversight
The Department reserves the right to conduct oversight and both
[[Page 67905]]
programmatic and financial monitoring activities for all competitive
grants awarded under the WtW grants program.
Department of Health and Human Services Evaluation of the Welfare-to-
Work Program
Competitive grant projects will participate in the evaluation of
the WtW grant program by the U.S. Department of Health and Human
Services (DHHS), as described in Title IV, section 413(j)(1) of the
Social Security Act. The goal of the DHHS evaluation is to expand the
base of knowledge about programs aimed at moving the least job ready
welfare recipients into unsubsidized employment. The evaluation will
collect program and administrative data to determine the range of WtW
project designs and the employment outcomes for all WtW grantees,
consistent with sec. 413(j)(1)(C) of the Social Security Act. In
addition, DHHS will select certain sites at which to qualitatively
study the implementation of the WtW program and other sites where net
impact and cost effectiveness of the program will be examined
quantitatively.
VI. Monitoring & Reporting
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, at approximately the midpoint of the project performance
period. 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 recipients who are served,
expenditure of grant funds on allowable activities, integration with
other resources and service providers in the local area, and methods
for assessment of the responsiveness and effectiveness of the services
being provided. Grants may be subject to other additional reviews at
the discretion of the Department.
Reporting
Applicants selected as grantees will be required to provide the
following reports:
1. Financial Reporting: The Department of Labor (DOL) will issue
financial reporting instructions for competitive grantees. Specific
reporting instructions are awaiting clearance from the Office of
Management and Budget. Financial reports will be submitted directly to
DOL.
2. Participant Reporting: The Department of Health and Human
Services (DHHS) will issue participant reporting instructions covering
the entire WtW program--both formula and competitive grants.
Participant reports for each competitive grant will be submitted in
accordance with reporting instructions to be issued by DHHS at a later
date.
3. Other Reporting: The Department of Labor may negotiate
additional reporting requirements with individual grantees, where
necessary, for grants management and/or knowledge development purposes.
In addition to required quarterly financial and participant
reporting, some grantees may be asked to provide information to the
appropriate ETA Regional Office during the early implementation phase
of the project for the purpose of project oversight. This information
may include project enrollment levels, participant characteristics, and
emerging implementation issues.
VII. Review and Selection of Applications for Grant Award
Review Process
The Department will screen all applications to determine whether
all required elements are present and clearly identifiable. These
elements are described below in the ``Required Content for WtW
Competitive Grant Applications--Fiscal Year 1998.'' Failure to include
and clearly identify all required elements will result in rejection of
the application.
Each complete application will be objectively rated by a panel
against the criteria described in this announcement. Applicants are
advised that the panel recommendations to the Grant Officer are
advisory in nature. The Grant Officer may elect to award grants either
with or without discussion with the applicant. In situations where no
discussions occur, an award will be based on the applicant's signature
on the SF424 form (See Appendix C), which constitutes a binding offer.
The Grant Officer will make final award decisions based on what is most
advantageous to the Government, considering factors such as:
panel findings;
the geographic distribution of the competitive
applications;
the extent to which the competitive applications reflect a
reasonable distribution of funds across the areas of special interest
identified in this announcement; and
the availability of funds.
Criteria
The criteria, and the weights assigned to each, which will apply to
the review of applications submitted in response to this announcement
are:
1. ``Relative Need for Assistance'' [20 points] which shall
consider the concentration of poverty and long-term welfare dependence
and the lack of employment opportunities in the project service area
(up to 9 points); the extent of gaps in the capacity of the local
infrastructure to effectively address the employment barriers which
characterize the targeted population (up to 6 points); and the
responsiveness of the project design to the areas of special interest
identified in Part III of this announcement (up to 5 points).
2. ``Innovation'' [20 points] which shall consider the extent to
which the project incorporates new and better strategies for moving
welfare recipients into lasting unsubsidized employment leading to
economic self-sufficiency. These strategies can include, but are not
limited to, new and better ways that services can be accessed by
participants in the local community, new and better ways for local
organizations to work together, or the replication of effective
strategies in a new setting.
3. ``Outcomes'' [25 points] which shall consider the quality of the
proposed employment and earnings outcomes (up to 10 points); the extent
to which the proposed plan of services responds to identified needs,
the barriers faced by proposed participants, and the conditions in the
local area as well as the likelihood that the proposed service plan
will result in the proposed outcomes (up to 12 points); and the
reasonableness of the level of investment in relation to the proposed
outcomes (up to 3 points).
4. ``Local Collaboration and Sustainability'' [25 points] which
shall consider the extent and quality of local partnerships that are
involved in and making substantial contributions to the project (up to
4 points); the extent to which the project is coordinated with the WtW
formula grant and TANF grant activities and supported by the PIC/
political subdivision and local TANF agency (up to 4 points); the
commitment and integration of other community resources (up to 7
points); involvement of and participation by local employers (up 5
points); and the extent to which the community and/or the local area
has developed plans and commitments to maintain and expand the capacity
to serve the target population with local
[[Page 67906]]
resources over a sustained period of time (up to 5 points).
5. ``Demonstrated Capability'' [10 points] which shall consider the
extent to which the applicant and its partner organizations demonstrate
a history of success in serving a comparable target group, the extent
of use of current or former welfare recipients in the provision of
services, and the extent to which the applicant demonstrates the
ability to effectively execute grant management responsibilities.
For those proposals that are deemed by the Grant Officer to be most
competitive, applicants for projects to operate in designated
Empowerment Zones and Enterprise Communities (EZ/EC) will be eligible
for 5 bonus points.
In addition, proposals that are deemed by the Grant Officer to be
most competitive, that plan to serve at least 450 WtW participants, and
that are willing to participate in a random assignment evaluation may
be awarded from zero to five bonus points (based on an HHS assessment
of the suitability of the project for evaluation against the criteria
outlined in Appendix A). Selected projects may also be able to access
additional technical assistance resources, as well as a small amount of
funding to offset the additional administrative costs of random
assignment. These applicants should submit the additional information
identified in Appendix A of this announcement. This information will be
submitted as an Addendum to the grant application and will not be
counted against the application page limit or count as an Attachment.
Signed at Washington, D.C., this 19th day of December, 1997.
Janice E. Perry,
Grant Officer.
Required Content for WtW Competitive Grant Applications
Fiscal Year 1998
Each application must contain the information and follow the format
outlined in this Part. The application should include: (1) Information
that responds to these requirements; (2) information that indicates
adherence to the provisions described in preceding sections of this
announcement; and (3) any other information the applicant believes will
address the review and selection criteria.
I. Project Synopsis/Summary
Each application shall provide a project synopsis which identifies
the applicant, the type of organization, the project service area,
whether the service area is a city with a large concentration of
poverty or a rural area, the specific areas of interest identified in
the announcement which are addressed by the project, the amount of
grant funds requested, the planned period of performance, the planned
number of WtW-eligible TANF recipients to be served, the number of
noncustodial parents to be served (if applicable), the significant
employment barriers which characterize the target group, the planned
employment and earnings outcomes, a summary description of the proposed
service strategy, and other significant service organizations involved
in the delivery of services. This section must be limited to no more
than two single-spaced, single-sided pages. A recommended format for
this synopsis can be found in Appendix D.
II. Evidence of Required Local and State Consultation
It is the expectation of the Department that, to the extent
possible, all applications will be developed in consultation with the
appropriate PIC/political subdivision and the Governor. Competitive
grant projects should complement the WtW formula program activity,
rather than exist independent of, or in conflict with, that program.
Each application must include the signed certification or other
evidence of the required consultation with the Governor as described in
this announcement. Applications from private entities must also include
the signed certification from the appropriate PIC(s) or political
subdivision(s) or other evidence indicating the efforts undertaken to
obtain the required consultation as described in this announcement. In
areas where an entity other than the PIC has been designated by the
Governor and approved by the Secretary to administer the WtW formula
grant, the applicant should also include evidence of consultation and/
or support from that entity. General letters of support (e.g., from
community organizations, elected officials, employers) should not be
included in this part of the application.
III. Government Requirements/Statement of Work
This section of the application should not exceed 20 single spaced
pages. The application should include information of the type described
below, as appropriate.
Description of Service Area
--Identify the specific political and geographic jurisdictions (e.g.,
cities, counties, subsections of cities/counties) which are included in
the service area for the project.
--Identify the percent of the population in the service area that has
income below the poverty level.
--Identify the percent of the population in the service area that is
receiving TANF assistance.
--Identify the percent of the TANF population that has received
assistance for 30 months or more, or is within 12 months of losing
eligibility for assistance under State or Federal law.
--Identify the unemployment rate in the service area.
--Describe the significant deficiencies in the local area
infrastructure that represent significant barriers to moving eligible
recipients into permanent employment in an efficient manner (e.g., lack
of transportation, labor market with a shortage of low-skill jobs,
shortage of employers with appropriate employment opportunities,
remoteness from health facilities, limited number of social and support
service agencies).
Summary of Strategy for Use of WtW Formula Funds in the Local Area
--Identify the substate service area covered by the WtW formula grant.
--Describe the allocation of formula grant funds among the allowable
activities.
--Identify the significant local and community organizations involved
and their roles in providing assistance through the formula grant.
--Describe how the proposed competitive grant project will supplement
and enhance the capacity of the WtW formula grant activities to
effectively serve eligible recipients in the local area who have
significant employment barriers.
--In cases where the applicant cannot obtain this information because
the State has not yet submitted a complete WtW Formula Grant Plan, the
application should so indicate. Absence of this information, in and of
itself, will not penalize the applicant.
Analysis of Target Group
--Describe the individuals targeted for assistance through this
project, including any noncustodial parents.
--Describe the significant employment barriers which characterize this
target group, including the process for identifying those participants
who are least job ready.
[Note: An adequate analysis of employment barriers of the target
group will be a critical factor in evaluating the need for grant
assistance and the appropriateness of the proposed plan of
services.]
[[Page 67907]]
Analysis of Employment Opportunities
--Identify the types of occupations in the local area which are being
targeted as appropriate employment opportunities for the target group
of this project.
--Describe the justification for the selection of the occupations in
terms of their availability and the adequacy of expected placement wage
and post-placement earnings potential to achieve self-sufficiency.
Service Strategy
--Identify the specific job readiness, placement (in both subsidized
and unsubsidized employment), post-employment, job retention and/or
support services to be provided with competitive grant funds as well as
services to be leveraged from other sources.
--Describe the rationale for planned enrollments in activities in terms
of the employment barriers, infrastructure deficiencies and employment
opportunities previously identified above (enrollments in each activity
will be reflected in the Quarterly Implementation Plan).
--Where vouchers for services are to be used, describe the process by
which vouchers will be distributed and redeemed (in compliance with 20
CFR Sec. 645.230(a)(3)), including who will be eligible, how amounts of
vouchers will be determined, and how the grantee will ensure that
quality services are being provided.
Service Process
--Describe the comprehensive service process that will be available to
participants, and identify the organizations which will be involved in
providing specific services/activities. [A process flowchart and/or
service matrix may be used to provide this description.] The
description should specify what elements of the service strategy are
already available in the community, whether through the WtW formula
program, the TANF program or from other sources, as well as the
elements or services that will be funded through the WtW competitive
grant award. Also describe what individual support services, such as
mentoring and case management, will be used to maintain participants in
the program.
--Describe the specific methods which will be used by the grantee and
the local TANF agency to coordinate and work jointly in providing the
following services:
--outreach, recruitment, and referral of appropriate recipients for
assistance through the project;
--assessment of skills and identification of specific employment
barriers;
--counseling and case management; and
--support services.
Integration of Resources
--Identify specific financial resources and organizational/service
provider capabilities which are being contributed to provide the full
range of assistance to the identified target group for the project. At
a minimum, describe the coordination and contributions of local JTPA
service providers, local TANF providers, and local housing and
transportation authorities. In developing their plans, applicants are
encouraged to be mindful of their obligations not to interefere with
collective bargaining rights or agreements or to displace employees.
--Describe the process that will be used to maintain and expand the
service structure in the local area and engage new partners after
receipt of WtW competitive grant funds.
--Describe how the project will develop a sustainable capacity in the
local community to effectively move welfare recipients into permanent
jobs and to foster the long-term self-sufficiency of the target
population. It is expected that project services will provide
assistance oriented towards long-term solutions. It is also expected
that the need for grant funds to provide this assistance will diminish
over time, specifically in the latter stages of the grant performance
period.
Employer Support
--Describe the specific responsibilities and approaches for developing
relationships with and support of area employers to generate a
sufficient number of unsubsidized employment opportunities for the
target group. Specifically describe how employers will be encouraged to
customize employment opportunities to meet work-related needs (e.g.,
child care, flexible work schedules) of recipients.
--Identify the employers in the local area who have made commitments to
the project and describe the types of commitments made (e.g., number
and types of jobs, contribution of employer resources for post-hire
support services and/or training).
Planned Outcomes
--Identify and justify planned performance for the comprehensive
service strategy on the following measures:
--number of participants to be placed into unsubsidized employment;
--average earnings at placement in unsubsidized employment;
--expected average earnings one year after placement in
unsubsidized employment; and
--cost per placement in unsubsidized employment.
In addition, where applicable, for those services supported
specifically by WtW competitive grant funds, describe specific process
or outcome objectives for those services.
The application may include other measures and planned performance
levels as deemed appropriate by the applicant. If these are included,
the applicant should briefly describe their relevance to the project.
Implementation Plan
--Identify the critical activities, time frames and responsibilities
for effectively implementing the project within the first 60 days after
the award of the grant.
--Include a completed quarterly implementation schedule showing the
number of participants, enrollments in allowable activities, placements
in unsubsidized employment and terminations. (See Appendix D for a
recommended format.)
Project Management Plan
Applicants must be able to document that they have systems capable
of satisfying the administrative and grant management requirements for
WtW grants as defined in 20 CFR Part 645.
--Include a project organizational chart which identifies the
organizations, and staff, with key management responsibilities and the
specific responsibilities of each organization;
--Describe the specific experience of the applicant and other key
organizations involved in the project in serving individuals with
significant barriers to employment. The information should include
specific projects or grants, a comparison of the characteristics of
individuals served to the target group for this project, and the
employment outcomes which were achieved.
--As appropriate, describe how current or former welfare recipients
will be used to provide services.
--Describe the procedures which will be used to obtain feedback from
participants and other appropriate
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parties on the responsiveness and effectiveness of the services
provided.
Innovation
Recipients of WtW competitive grants are expected to use creativity
and innovation to help eligible individuals obtain long-term
unsubsidized employment and economic self-sufficiency. The application
should describe how the proposed approach represents an innovative
method for achieving the employment objectives of the project. Proposed
strategies should represent an improvement over, or a variation on,
approaches that have traditionally been used in the project service
area to assist welfare recipients and other low income unemployed
individuals.
Grant recipients are also expected to share knowledge which they
develop through the use of innovative approaches. Applicants should
describe how they will report lessons learned in the course of the
grant implementation, and further, describe their plans for
disseminating the knowledge they have gained.
Additional Requirements for Community Saturation Projects
--Describe why a project employing a saturation strategy is appropriate
for the project service area and target group.
--Describe the feasibility of a saturation strategy for the project
service area and target group (i.e., based on available employment
opportunities and other factors).
--Identify the local partners who will be involved in implementing the
saturation strategy, the services to be provided and the dollar value
of the contribution from each.
IV. Financial Plan
The financial plan shall describe all costs associated with
implementing the project that are to be covered with grant funds. All
costs should be necessary and reasonable according to the Federal
guidelines set forth in the ``Uniform Administrative Requirements for
Grants and Cooperative Agreements to State and Local Governments'',
codified at 29 CFR Part 97, and ``Grants and Agreements with Institutes
of Higher Education, Hospitals and Other Non-Profit Organizations'',
codified at 29 CFR Part 95.
The financial plan must contain the following four parts:
1. ``Application for Federal Assistance'' and ``Budget Information
Sheet'' by line item for all costs required to implement the project
design effectively. Submission of these two completed forms is
required. (See Appendix C for these forms.) [NOTE: Although there is no
matching requirement for these grants, the Department strongly
encourages the leveraging of resources in the implementation of WtW
competitive grant projects. On the Budget Information form, the
``Matching/Cost Sharing'' section of the form provides an opportunity
for applicants to reflect such leveraged resources.]
2. Detailed line item break-out budget identifying items by cost
category (``administration'' and ``activities''). A recommended format
is included in Appendix D. At a minimum, the line item budget included
in the application must provide the level of information indicated in
the recommended format.
3. Budget narrative/justification which provides sufficient
information to support the reasonableness of the costs included in the
budget in relation to the service strategy and planned outcomes.
4. Quarterly expenditure plan which identifies the planned
cumulative expenditure of grant funds by Fiscal Year quarter for the
planned period of performance of the project. Expenditures must be
identified by grant activity. A recommended format is included in
Appendix D.
Appendix A: Instructions for Random Assignment Plan Addendum
Background
The Department of Health and Human Services is charged with the
responsibility to conduct a national evaluation of the welfare-to-work
(WtW) grants program. The goal of the evaluation is to expand the base
of knowledge about effective strategies for moving the least job-ready
welfare recipients into unsubsidized employment. Ten to fourteen WtW
competitive grant project sites will be selected for an in-depth study
of the net impact and cost-effectiveness in moving hard-to-employ
recipients into employment. This analysis will rely on both
administrative data and, potentially, in-person interviews with program
participants. In addition, these sites will participate in a
qualitative study of the issues, challenges, and successes associated
with implementing and operating WtW programs. This qualitative analysis
will rely on on-site interviews with program administrators and staff,
administrative data, and potentially, focus groups with WtW
participants.
To qualify as a site for the in-depth study, the site must plan to
serve at least 450 WtW eligible individuals. Up to five (5) bonus
points are available to competitive grant applicants which meet this
participant threshold and which are willing to participate in the net
impact and cost-effectiveness components of the evaluation. Sites
selected to participate in the evaluation will receive additional
resources to cover the extra administrative costs associated with
participating in the evaluation. Additionally, selected sites will have
access to enhanced technical assistance from the evaluation contractor.
Finally, the sites will benefit from a high-quality evaluation of their
program, as well as the opportunity to have their program showcased
nationally to demonstrate innovative techniques for serving hard-to-
employ welfare recipients.
What Will Participation in the Net Impact and Cost-Effectiveness
Components of the Evaluation Mean for the Selected Sites
To effectively measure the net impact and cost-effectiveness of
specific service strategies, an experimental design involving the
random assignment of individuals to either treatment status (receipt of
WtW services) or control status (receipt of regular TANF services) will
be used to estimate program net impacts. The random assignment approach
will also be applied to test impacts among a variety of WtW services.
Since the level of funding available to a particular WtW site will
not be sufficient to serve the entire population eligible in that site,
the applicant must demonstrate the capacity to design a random
assignment study so that no fewer participants will be served by the
WtW program than would have been served in the absence of the study.
Random assignment will only change the mechanism by which program
administrators would otherwise respond to the funding shortfall (e.g.,
waiting lists, first-come first-serve, priority groups). Nor will
random assignment require excluding the control group from services--
the control group will be eligible to receive the regular TANF services
available to participants in the TANF program.
Application Process
WtW applicants who would like to be considered as net impact and
cost-effectiveness evaluation site should submit an ``Evaluation
Addendum'' in addition to their programmatic application. The addendum
should address the following items:
Appropriateness of site for evaluation purposes. Because
of the statistical requirements associated with random assignment,
programs selected
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for the evaluation will need to serve at least 450 participants in this
grant cycle (with funding available over three years). Preference may
be given to programs that address the areas of interest identified in
the SGA and that will be able to be implemented quickly. The
application should explain the importance of the program model for
learning about effective strategies for hard-to-employ recipients. It
also should include evidence of the applicant's understanding of what
is required to carry out a net impact evaluation program under the
coordination of a contractor, and evidence of the site's commitment to
provide the necessary supports and resources to ensure the success of
the project.
Evidence of capacity to participate. Evaluation sites must
be willing and able to collect administrative data on participants'
experiences and outcomes. The following are specific examples of
evaluation site requirements: utilizing staff time to oversee the
administration of special data collection forms and reviewing them for
completeness; having on staff personnel with knowledge about or
experience in data systems management and extraction; utilizing staff
time to contact program participants to set up meetings or elicit their
cooperation in focus groups; helping to identify current address or
additional contact information for participants who cannot be located
after program termination; and utilizing management and staff time to
meet with evaluation staff for individual and/or group interviews and
information exchange. The application should list the ability of the
site to participate in these tasks. It also should identify the key
individuals who will work on the evaluation along with a short
description of the nature of their contribution and the percentage of
their time available for the project. There also should be evidence of
support from management of the organization for the purposes of
research and evaluation. Applicants are encouraged to discuss relevant
staff experience with research and evaluation.
Budget for reimbursement of evaluation costs. Additional
grant funds are available to help defray the incremental administrative
costs associated with the site's participation in the national
evaluation. This may include the costs associated with special data
collection and reporting (above that required of all WtW grant
recipients), monitoring case status and ensuring that cases receive the
services appropriate under the arrangements agreed upon for the
evaluation, supporting the evaluation by notifying participants and
arranging for meetings between evaluators and WtW participants, and
providing liaison between the program and the evaluator as a part of
the national evaluation team. Based on past experience, it is estimated
that the costs to carry out these special tasks equate to between 1 and
1.5 full time employees (FTE) per year for a mid-range support staff
person. WtW applicants applying to be considered as participants in
this component of the evaluation should include a budget attachment
that includes the costs of evaluation (use a budget format similar to
the suggested format in Appendix D).
Sites that are interested in participating in a random assignment
experiment but are unsure whether they meet the criteria are encouraged
to submit an application for the bonus points. Efforts will be made to
work closely with the selected sites to facilitate participation in the
study and to minimize the administrative burden of random assignment.
Appendix B: Definitions of Key Terms
City with Large Concentration of Poverty--Any county that contains an
urban center of more than 50,000 people with a poverty rate of greater
than 7.5 percent.
Noncustodial Parent--A parent of a child whose custodial parent is an
eligible TANF recipient.
Private Entity--Any organization, public or private, which is neither a
PIC nor a political subdivision of a State.
Private Industry Council (PIC)--from Sec. 645.120 of the WtW
Regulations--A Private Industry Council established under Section 102
of the Job Training Partnership Act, which performs the functions
authorized at Section 103 of the JTPA.
Political Subdivision--A unit of general purpose local government, as
provided for in State laws and/or Constitution, which has the power to
levy taxes and spend funds and which also has general corporate and
police powers.
Rural Area--(1) Any county that does not contain an urban center of
more than 50,000 people, and where at least 50 percent of the
geographical area of the county has a population density of less than
100 persons per square mile; or (2) in counties where there is an urban
center, a rural area within the county that constitutes, or is part of,
a distinct rural labor market.
Appendix C: Application for Federal Assistance (Standard Form 424)
Budget Information Sheet
Note: In completing the Standard Form 424, the applicant should
indicate in Item 11 of the form whether the project is to operate in
a city with a large concentration of poverty or in a rural area;
identify the EC/EZ included in the project service area, if
applicable; and identify any of the areas of interest identified in
the announcement which are addressed by the project.
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[FR Doc. 97-33694 Filed 12-29-97; 8:45 am]
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