67902 Federal Register / Vol. 62, No. 249 / Tuesday, December 30, 1997 / Notices

5. An estimate of the total public

burden (in hours) associated with the

collection: 531 annual burden hours.

Public comment on this proposed

information collection is strongly

encouraged.

Dated: December 22, 1997.

Robert B. Briggs,

Department Clearance Officer, United States

Department of Justice.

[FR Doc. 97–33841 Filed 12–29–97; 8:45 am]

BILLING CODE 4410–09–M

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.

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-toemploy 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-toWork Home Page at http://

wtw.doleta.gov. Copies of the Interim

Final Rule governing the Welfare-toWork 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) singlesided 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 postmarked 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, communitybased context. Projects should develop

and implement innovative approaches

that enhance a community’s ability to

move eligible individuals into selfsustaining employment, create upward

mobility paths and higher earnings
Federal Register / Vol. 62, No. 249 / Tuesday, December 30, 1997 / Notices 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 selfsufficiency;

• Proactive strategies to involve

employers in design of service strategies

and implementation of the project;

• Strategies that focus on familybased 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 hardto-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 faithbased 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
67904 Federal Register / Vol. 62, No. 249 / Tuesday, December 30, 1997 / Notices

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 multicommunity 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 multicommunity 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-toemploy individuals as described in

§ 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

§ 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
Federal Register / Vol. 62, No. 249 / Tuesday, December 30, 1997 / Notices 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-toWork 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
67906 Federal Register / Vol. 62, No. 249 / Tuesday, December 30, 1997 / Notices

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 lowskill 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.]
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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 postplacement earnings potential to

achieve self-sufficiency.

Service Strategy

—Identify the specific job readiness,

placement (in both subsidized and

unsubsidized employment), postemployment, 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

§ 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 selfsufficiency 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
67908 Federal Register / Vol. 62, No. 249 / Tuesday, December 30, 1997 / Notices

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 selfsufficiency. 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 NonProfit 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 costeffectiveness 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
Federal Register / Vol. 62, No. 249 / Tuesday, December 30, 1997 / Notices 67909

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

§ 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]

BILLING CODE 4510–30–C

NATIONAL AERONAUTICS AND

SPACE ADMINISTRATION

[Notice (98–167)]

NASA Advisory Council (NAC), Task

Force on the Shuttle-Mir Rendezvous

and Docking Missions; Meeting

AGENCY: National Aeronautics and

Space Administration.

ACTION: Notice of meeting.

SUMMARY: In accordance with the

Federal Advisory Committee Act, Public

Law 92–463, as amended, the National

Aeronautics and Space Administration

announces a meeting of the NAC Task

Force on the Shuttle-Mir Rendezvous

and Docking Missions.

DATES: Wednesday, January 14, 1998,

1:00 p.m. to 4:00 p.m.

ADDRESSES: Lyndon B. Johnson Space

Center, National Aeronautics and Space

Administration, Building 1, Room 920L,

Houston, TX 77058–3696.

FOR FURTHER INFORMATION CONTACT:

Mr. Dennis McSweeney, Code IH,

National Aeronautics and Space

Administration, Washington, DC 20546–

0001, 202/358–4556.

SUPPLEMENTARY INFORMATION: This

meeting will be open to the public up

to the seating capacity of the room. The

agenda for the meeting is as follows:

—Review the readiness of the STS–89

Shuttle-Mir Rendezvous and Docking

Mission;

—Review the Task Force fact-finding

meeting held at NASA Headquarters

in Washington, DC, on December 15,

1997.

It is imperative that the meeting be

held on these dates to accommodate the

scheduling priorities of the key

participants. Visitors will be requested

to sign a visitors register.

Dated: December 19, 1997.

Alan M. Ladwig,

Associate Administrator for Policy and Plans.

[FR Doc. 97–33779 Filed 12–29–97; 8:45 am]

BILLING CODE 7510–01–M

NATIONAL AERONAUTICS AND

SPACE ADMINISTRATION

[Notice No. 98168]

NASA Advisory Council, Aeronautics

and Space Transportation Technology

Advisory Committee, Aviation

Operations Systems (AOS)

Subcommittee; Meeting

AGENCY: National Aeronautics and

Space Administration.

ACTION: Notice of meeting.

SUMMARY: In accordance with the

Federal Advisory Committee Act, Public

Law 92–463, as amended, the National

Aeronautics and Space Administration

announces a NASA Advisory Council,

Aeronautics and Space Transportation

Technology Advisory Committeee,

Aviation Operations Systems

Subcommittee meeting.

DATES: January 14 and 15, 1998, 8:00

a.m. to 5:30 p.m.

ADDRESSES: National Aeronautics and

Space Administration, Ames Research

Center, Building 262, Room 100, Moffett

Field, CA 94035.

FOR FURTHER INFORMATION CONTACT:

Dr. J. Victor Lebacqz, National

Aeronautics and Space Administration,

Ames Research Center, Moffett Field,

CA 94035, 650/604-5792.

SUPPLEMENTARY INFORMATION: The

meeting will be open to the public up

to the seating capacity of the room.

Agenda topics for the meeting are as

follows:

—Summary of AOS Program

—Review of Safety-Focused and

Capacity-Focused Efforts of AOS

—Review ‘‘Human/Automation

Integration Research’’ Element of AOS

—Review ‘‘Methods for Analysis of

System Stability and Safety’’ Element

of AOS.

It is imperative that the meeting be

held on these dates to accommodate the

scheduling priorities of the key

participants. Visitors will be requested

to sign a visitor’s register.

Dated: December 19, 1997.

Alan M. Ladwig,

Associate Administrator for Policy and Plans.

[FR Doc. 97–33780 Filed 12-29–97; 8:45 am]

BILLING CODE 7510–01–M

NATIONAL AERONAUTICS AND

SPACE ADMINISTRATION

[Notice (98–169)]

NASA Advisory Council (NAC), Space

Science Advisory Committee (SScAC),

Structure and Evolution of the

Universe Advisory Subcommittee;

Meeting

AGENCY: National Aeronautics and

Space Administration.

ACTION: Notice of meeting.

SUMMARY: In accordance with the

Federal Advisory Committee Act, Public

Law 92–463, as amended, the National

Aeronautics and Space Administration

announces a forthcoming meeting of the

NASA Advisory Council, Space Science

Advisory Committee, Structure and

Evolution of the Universe

Subcommittee.

DATES: Thursday, February 5, 1998, 8:30

a.m. to 5:00 p.m., and Friday, February

6, 1998, 8:30 a.m. to 5:00 p.m.

ADDRESSES: NASA Headquarters,

Conference Room MIC 7 A/B West, 300

E Street, SW, Washington, DC 20546.

FOR FURTHER INFORMATION CONTACT:

Dr. Alan N. Bunner, Code SA, National

Aeronautics and Space Administration,

Washington, DC 20546, 202/358–0364.

SUPPLEMENTARY INFORMATION: The

meeting will be open to the public up

to the capacity of the room. The agenda

for the meeting includes the following

topics:

—Overview of Meeting Goals

—News from NASA Headquarters

—Report from Other Committees

—Science Updates

—Update on SEU Missions and

Overview of New Missions

—Public Relations

—Long Duration Balloon Program

Update

It is imperative that the meeting be

held on these dates to accommodate the

scheduling priorities of the key

participants.

Dated: December 19, 1997.

Alan M. Ladwig,

Associate Administrator for Policy and Plans.

[FR Doc. 97–33781 Filed 12–29–97; 8:45 am]

BILLING CODE 7510–01–M

NATIONAL FOUNDATION ON THE

ARTS AND THE HUMANITIES

National Endowment for the Arts;

Notice of Submission for OMB Review;

Comment Request

SUMMARY: The National Endowment for

the Arts (‘‘Endowment’’) has requested