[Federal Register Volume 62, Number 211 (Friday, October 31, 1997)]
[Notices]
[Pages 58984-58991]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 97-28830]


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DEPARTMENT OF LABOR

Employment and Training Administration


Job Training Partnership Act, Title III, Demonstration Program: 
Labor Organization Adjustment Assistance

AGENCY: Employment and Training Administration, Labor.

ACTION: Notice of availability of funds and solicitation for grant 
application (SGA).

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SUMMARY: All information required to submit a proposal 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 labor organizations to develop innovative 
approaches for providing accelerated skills development and/or 
enhancement of job skills already possessed by affected workers to 
increase their prospects of transitioning to new or related 
occupational job opportunities. The program is to be funded with 
Secretary's National Reserve funds appropriated through Title III of 
the Job Training Partnership Act (JTPA). This notice describes the 
process that eligible applicants must use to apply for demonstration 
funds, the subject area for which applications will be accepted for 
funding, how grantees are to be selected, and the responsibilities of 
grantees. It is anticipated that up to $3 million will be available for 
funding approximately 6 demonstration projects covered by this 
solicitation with no project being awarded more than $500,000.

DATES: Applications for grant awards will be accepted commencing 
October 31, 1997. The closing date for receipt of applications will be 
January 7, 1998, at 2:00 p.m. (Eastern Time) at the address below.

ADDRESSES: Applications shall be mailed to: Division of Acquisition and 
Assistance, Attention: Denise Roach, Reference: SGA/DAA 98-001, 
Employment and Training Administration, U.S. Department of Labor, Room 
S-4203, 200 Constitution Avenue, NW., Washington, DC 20210.

FOR FURTHER INFORMATION CONTACT:
Denise Roach, Division of Acquisition and Assistance, Telephone: (202) 
219-8694 (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 evaluation and oversight policy. 
Part II describes the application process and provides detailed 
guidelines for use in applying for demonstration grants. Part III 
includes the statement of work for the demonstration projects. Part IV 
identifies and defines the selection criteria which will be used in 
reviewing and evaluating applications. Part V describes the reporting 
requirements.

Part I. Background

A. Authorities

    Section 323(a)(b) of the Job Training Partnership Act authorizes 
the use of funds reserved under part B of Title III for demonstration 
programs. The Department requires that applicants for grants comply 
with all Federal and State laws and regulations in setting up their 
programs.

B. Purpose of the Demonstration

    As authorized under Title III of JTPA, the Dislocated Worker 
Program provides a wide range of employment and training services to 
eligible dislocated workers to help them find and qualify for new jobs. 
Many of these jobs will be in occupations different from workers' pre-
layoff occupations and require affected workers to learn new skills and 
knowledge where the ``skills gap'' is substantial. In other instances 
the ``skills gap'' could be minimal and require only enhancement of 
workers' existing skills to increase their transferability to related 
occupations. Strategies which maximize the utilization of workers' 
current skills and/or reduce the length of training required for the 
acquisition of new skills should not only expand but also facilitate a 
more rapid transition to new employment opportunities.
    This demonstration will test whether labor organizations as 
institutions knowledgeable about and focused on the maintenance of 
their members' skills and/or knowledgeable about emerging technologies 
and occupations can be

[[Page 58985]]

successful providers of the above strategies either directly or by 
playing the principal role in the design and implementation of 
innovative approaches and strategies for meeting the skills needs of 
this target population. Projects funded through this solicitation are 
to provide reemployment and retraining services--as described in 
sections 314(c) and 314(d) of JTPA--to dislocated workers who may need 
and benefit from the receipt of these services. Participants must be 
eligible under sections 301(a) (1) (A), (B), or (C) of JTPA AND be 
members of the target population for which the project is designed. For 
purposes of this demonstration, appropriate target populations include 
those workers who have been represented through collective bargaining 
by the demonstration project grantee labor organization or its 
partnering labor organizations and who have been terminated or laid off 
within 90 days of the closing date of this solicitation or within 150 
days subsequent to the grant award. Up to 15 percent of the target 
population may include represented workers who have been longer-term 
unemployed for three (3) months or longer and whose lay-offs occurred 
prior to the 90 day period indicated above.
    The demonstration projects must ensure that the services and 
service mix provided will achieve the following program goals: (1) At 
least 74 percent of project participants will find employment within 90 
days after leaving the project, (2) the post-program wage at 90 day 
follow-up is at least 96 percent of the wage at dislocation on average, 
and (3) at least 70 percent of the project participants will rate the 
services received as ``extremely'' or ``very'' valuable.

C. Evaluation

    Under a separate announcement, DOL will select and fund a separate 
evaluation contractor to: (1) Provide technical assistance to grantees 
in establishing appropriate data collection methods and processes; and 
(2) conduct an independent process evaluation of the demonstration 
projects. Grantees will be expected to make available participant 
records and access to personnel, as specified by the evaluation 
contractor.
    In addition, DOL will establish, for each demonstration project 
site, an oversight group made up of federal, State, and substate staff.

D. Definitions

    Unless otherwise indicated in this announcement, definitions of 
terms used herein shall be those definitions found in the Job Training 
Partnership Act, as amended, particularly at section 4 and section 301.

Part II. Application Process--All Information Required To Submit a 
Proposal is Contained in This Announcement

A. Eligible Applicants

    Eligible applicants for demonstration projects funded under this 
announcement are labor organizations which: (1) Provide exclusive 
representation to the target population to be served through collective 
bargaining agreements in effect at the time of the effective date of 
worker layoff or termination; and (2) that can demonstrate the ability 
to deliver the services proposed and to ensure the integrity of the 
funds requested.

    Note: With respect to item 1, an eligible applicant may be a 
labor organization which provides exclusive representation to a 
portion of the target population and which is willing to administer 
grant funds in partnership with other labor organizations that 
provide exclusive representation to the other respective portions of 
the target population to be served. In these circumstances, the 
offeror must demonstrate through letters of support from the other 
labor organization that the latter will participate in the grant 
activities to be performed.

B. Contents

    An original and three (3) copies of the proposal shall be 
submitted. The proposal shall consist of two (2) separate and distinct 
parts--Part I, the Financial Proposal, and Part II, the Technical 
Proposal.
1. Financial Proposal
    The Financial Proposal, Part I, shall contain the SF-424, 
``Application for Federal Assistance'' (Appendix No. 1), and SF 424-A, 
``Budget'' (Appendix No. 2). The Federal Domestic Assistance Catalog 
number is 17.246. An applicant shall indicate on the SF-424 the type of 
organization for which it qualifies under the eligibility criteria in 
Part II, section A. of this solicitation. The budget shall include on 
separate pages: a cost analysis of the budget, identifying in detail 
the amount of each budget line item attributable to administrative 
costs and costs for one or more of the following categories: basic 
readjustment services (Section 314(c) (1-14, 16-18) of JTPA), 
supportive services (Section 314(c)(15)), and retraining services 
(Section 314(d)) requested through this grant Note: Other Title III 
cost categories not mentioned are specifically excluded from grant 
expenditures, e.g. rapid response assistance and needs-related 
payments); an identification of the amount of each budget line item 
which will be covered by other funds (if applicable), and the sources 
of those funds (including other Title III funds, employer funds, in-
kind resources, secured and unsecured loans, grants, and other forms of 
assistance, public and private); and a justification for the average 
cost of service per placement. The latter is to be computed by dividing 
the number of proposed participants of the target population who will 
be employed within 90 days after leaving the project into the total 
Federal funds requested.
    Grant funds may cover only those costs which are appropriate and 
reasonable. Federal funds cannot be used to provide training which an 
employer is in a position to, and would otherwise, provide, nor can 
they be used to provide salaries for program participants.
    Federal funds may not be used for acquisition of production 
equipment. The only type of equipment that may be acquired with Federal 
funds is equipment necessary for the operation of the grant. In the 
instance of a purchase, the cost of the equipment is to be prorated 
over the projected life of the equipment to determine the cost to the 
grant. Use of grant funds to purchase equipment with a unit cost of 
$5,000 or more requires special review and approval from DOL prior to 
purchase.
    Applicants may budget limited amounts of grant funds to work with 
technical expert(s) to provide advice and develop more complete project 
plans.
2. Technical Proposal
    The technical proposal shall demonstrate the offeror's capabilities 
in accordance with the Statement of Work/Project Summary in Part III of 
this solicitation. No Cost Data or Reference to price shall be included 
in the technical proposal.

C. Submission

    Grant applications will be evaluated carefully by a panel convened 
by the Department after the closing date of this solicitation. 
Incomplete or non-responsive proposals may be returned without 
evaluation. An application will be reviewed based upon the overall 
responsiveness of the application's content to the submission 
requirements and to the selection criteria found in Part IV, taking 
into consideration the extent to which funds are available.

[[Page 58986]]

D. Hand-Delivered Proposals

    Proposals should be mailed at least five (5) days prior to the 
closing date for the receipt of applications. However, if proposals are 
hand-delivered, they shall be received at the designated place by 2 
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. Failure 
to adhere to the above instructions will be a basis for a determination 
of nonresponsiveness.

E. Late Proposals

    Any proposal received at the office designated in the solicitation 
after the exact time specified for rreciept will not be considered 
unless it--
    (1) Was sent by the U.S. Postal Service registered or certified 
mail not later than the fifth calendar day before the date specified 
for receipt of the application (e.g., an offer submitted in response to 
a solicitation requiring receipt of applications 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 5:00 p.m. at the place of 
mailing two working days prior to the date specified for receipt of 
proposals. The term ``working days'' excludes weekends and U.S. Federal 
holidays.
    The only acceptable evidence to establish the date of mailing of a 
late proposal sent either by the U.S. Postal Service registered or 
certified mail is the U.S. postmark both on the envelope or wrapper and 
on the original receipt from the U.S. Postal Service. Both postmarks 
must show a legible date or the proposal shall be processed as if 
mailed late. ``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 employees 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 proposal 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 postmark on both the envelope and wrapper and on the original 
receipt from the U.S. Postal Service. ``Postmark'' has the same meaning 
as defined above. 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.

F. Withdrawal of Proposals

    Proposals may be withdrawn by written notice or telegram (including 
mailgram) received at any time before award. Proposals may be withdrawn 
in person or by an applicant or an authorized representative thereof, 
if the representative's identity is made known and the representative 
signs a receipt for the proposal before an award.

G. Period of Performance

    Grant awards will be made for a 17 month period. Project operators 
must be prepared to deliver services within 60 days following award. 
The delivery of services will be for a period of 12 months. Grantees 
will be allowed up to 90 days subsequent to the termination of service 
delivery for collecting follow-up information on individual completers 
and the preparation of final project reports.

H. Funding

    DOL has set aside up to $3 million to be disbursed for 6 projects, 
contingent upon resources being available for this purpose. It is 
expected that no project will be awarded more than $500,000. DOL may 
elect to modify and add funds to a grant 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.

I. Page Count Limit

    Applications are to be limited to thirty-five (35) double-spaced, 
single side, 8.5 inch x 11 inch pages with one 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.

J. Cost Limitations

    Demonstration grants are not subject to the cost limitations for 
Title III grants at section 315 of the JTPA. However, any offeror 
proposing administrative costs that exceed 15 percent of the budget 
and/or supportive services that exceed 25 percent of the funds 
requested in the application shall provide a narrative justification.

Part III. Statement of Work

    Each application should follow the format outlined here. For every 
section, A through F, the application should include: (1) Information 
that responds to the requirements in this part; (2) information that 
indicates adherence to the provisions described in Parts I and II of 
this solicitation; and (3) other information the offeror believes will 
address the selection criteria identified in Part IV.

A. Target Population

    Described the dislocated worker target population, including the 
size, location, and needs of this population relative to the services 
being provided.
    Indicate the beginning and end dates of the collective bargaining 
agreement(s) under which the target population was covered at the time 
of the workers' layoff or termination and the labor organization(s) and 
company(ies) who were the parties to the agreement(s).

B. Components of the Labor Organization Adjustment Assistance 
Demonstration

    Describe the major elements of the demonstration project, including 
how the project works in terms of the individual worker getting access 
to the reemployment and retraining services which the individual needs. 
Specifically:
    <bullet> How will new job openings and opportunities in demand 
occupations for the project participants be identified and developed?
    <bullet> What services will be covered by the reemployment and 
retraining program? Describe the mechanisms to be used to ensure 
appropriate outreach and recruitment. Explain how these services are 
relevant to the target population to be served. Explain how these 
services will focus on utilizing a participant's current (pre-layoff) 
skills for placement and/or retraining purposes.

    Note: Such services must be authorized under sections 314(c) and 
314(d) of JTPA and comply with applicable federal regulations at 20 
CFR parts 627 and 631.

    <bullet> How will reemployment and retraining service needs of the 
individual worker be determined? What will be the sequence of services 
provided and the criteria/decision points used to determine the 
appropriateness of specific services for individual participants? By 
way of illustration, include a flowchart indicating the sequence of 
services provided, the decision points which determine the services to 
be provided to

[[Page 58987]]

a participant, and the expected duration of each service component.
    <bullet> How will qualified providers of reemployment and 
retraining services be determined if they are used?
    <bullet> How will a participant's continuing participation in the 
program be monitored? At what point(s) will termination occur?
    <bullet> What information will be available to the worker to 
identify and evaluate alternative employment opportunities? How will 
this information be developed? How will the worker be able to access 
this information?
    <bullet> How will the components described in this subpart relate 
to the demonstration purpose of testing innovative approaches for 
maximizing the utilization of workers' current skills for entry into 
new or related demand occupations?

C. Administration and Management

    Identify the management structure for the project and describe the 
means to ensure accountability for funds as well as performance.
    Provide a description of the process and procedures to be used to 
obtain feedback from participants and other appropriate parties on the 
responsiveness and effectiveness of the services provided. The 
description should include an identification of the types of 
information to be obtained, the method(s) and frequency of data 
collection, and how the information will be used in implementing and 
managing the project. Specific references should be made to collecting 
information needed to determine: (1) The achievement of project 
outcomes as indicated in section E (including 90 day follow-ups of 
participants to determine demonstration program goal achievement) and 
(2) the reporting of participants, outcomes, and expenditures. Indicate 
what methods, e.g., surveys, focus groups, will be used to collect 
feedback information.
    Describe the applicant's past experience in the management of 
projects similar to that being proposed.

D. Use of Existing Services and Resources

    Identify specific sources and amounts of other funds, if any, which 
will be used in addition to funds provided through this grant to 
implement the project. Include: (1) Information on any non-JTPA 
resources committed to this project, including employer funds, secured 
and unsecured loans, grants, and other forms of assistance, public and 
private; and (2) a description of the relationship of the proposed 
project to the ongoing assistance to dislocated workers through the 
formula-funded JTPA Title III-A program in the service area and those 
procedures to be used to ensure non-duplication of services between the 
formula-funded Title III-A program and the project. Describe any other 
coordination of resources and agencies that may be undertaken.

E. Outcomes

    Identify project outcomes and the specific measures, and planned 
achievement levels, that will be used to determine the success of the 
project.
    These outcomes and measures should include, but are not limited to:
    <bullet> The number of participants to be enrolled in services, 
those successfully completing services through the project, and those 
to be placed into new jobs including (to be separately identified) 
those obtaining new jobs utilizing a high degree of their previous job 
skills;
    <bullet> Measurable effects of the services provided to project 
participants as indicated by gains in individuals' skills, 
competencies, or other outcomes;
    <bullet> Average wages of participants prior to and at completion 
of project;
    <bullet> Customer satisfaction with the project, and at critical 
points in the service delivery; and
    <bullet> Other additional measurable, performance-based outcomes 
that are relevant to the proposed intervention and which may be readily 
assessed during the period of performance of the project.

    Note: An explanation of how such additional measures are 
relevant to the purpose of the demonstration program shall be 
included in the application.

    The proposal must also describe how outcomes achieved by 
individuals served by the project are to be related to the numerical 
demonstration program goals identified in Part I, section B.

F. Replicability

    Describe the information to be provided on project activities that 
will allow other parties to replicate the proposed project. Discuss the 
applicability of the project to other dislocated worker programs.

Part IV. Evaluation Criteria

    Prospective offerors are advised that the selection of grantee(s) 
for award is to be made after careful evaluation of proposals by a 
panel selected by DOL. Panelists will evaluate the proposals for 
acceptability based on the various factors enumerated below. The panel 
results are advisory in nature and not binding on the Grant Officer.
    Evaluations will be made on the basis of both what the proposed 
offeror intends to do during the grant period, and on the usefulness of 
the demonstration after the end of the grant period.

A. Technical Evaluation (80 Points)

Services and Target Group (35 Points)
    The responsiveness of the services to be provided, including the 
degree to which the services appear to meet the needs of the target 
population. The extent to which the services to be provided focus on 
and are innovative in utilizing participants' current (pre-layoff) 
skills. The demonstrated relationship between the services to be 
provided and the jobs into which participants are to be placed. The 
scope of the project in terms of the number of participants to be 
served. (Relates to information requested in Part III, sections A, B, 
and E.)
Management Structure (15 Points)
    The extent to which the management structure ensures accountability 
for performance, monitors customer satisfaction, and includes 
procedures for continuous quality improvement. The ability of the 
management structure to determine the extent to which the planned 
project outcomes and demonstration program goals have been met by the 
project. (Relates to information requested in Part III, section C.)
Coordination and Linkages; Utilization of Resources (10 points)
    The extent to which the project will use other existing public and 
private resources including employer and union-funded assistance, avoid 
duplication of services with the formula-funded Title III-A program, 
and coordinate its services with other appropriate State and local 
organizations. (Relates to information requested in Part III, section 
D.)
Demonstrated Experience (10 points)
    Experience in the oversight and operation of projects requiring 
management capabilities and experience similar to the proposed project. 
(Relates to information requested in Part III, section C.)
Replicability (10 points)
    The completeness of the information to be provided on project 
activities that will allow others to replicate the project. The 
likelihood that the approach may be applicable to a broad range of 
dislocated worker programs across the country. (Relates to information 
requested in Part III, section F.)

[[Page 58988]]

B. Cost Evaluation (20 points)

    The cost effectiveness of the project as indicated by the 
relationship of proposed costs to number of participants to be served, 
the range of services to be provided and the planned outcomes, as 
compared to other service strategies available for Title III grantees. 
The extent to which the budget is justified and supports the planned 
outcomes.
    Applicants are advised that discussions may be necessary in order 
to clarify any inconsistencies in their applications. Applications may 
be rejected where the information required is not provided in 
sufficient detail to permit adequate assessment of the proposal. The 
final decision on the award will be based on what is most advantageous 
to the Federal Government as determined by the ETA Grant Officer.

Part V. Reporting Requirements

    Applicants selected as grantees will be required to provide the 
following reports:
    A. Monthly and Quarterly Progress Reports
    B. Standard Form 269, Financial Status Report Form, on a quarterly 
basis.
    C. Final Project Report including an assessment of project 
performance.

    Signed at Washington, DC, this 24th day of October, 1997.
Janice E. Perry,
Grant Officer, Employment and Training Administration.

Appendices

No. 1--Application for Federal Assistance (Standard Form 424)
No. 2--Budget Form--Non Construction Programs (Standard Form 424-A

BILLING CODE 4510-30-M

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Attachment No. 1--Application for Federal Assistance (Standard Form 
424)
[GRAPHIC] [TIFF OMITTED] TN31OC97.000


[[Page 58990]]

[GRAPHIC] [TIFF OMITTED] TN31OC97.001



[[Page 58991]]

Attachment No. 2--Budget Form--Non Construction Programs (Standard 
Form 424A)
[GRAPHIC] [TIFF OMITTED] TN31OC97.002


[FR Doc. 97-28830 Filed 10-30-97; 8:45 am]
BILLING CODE 4510-30-C