DINAP BULLETIN NO. 99-07
March 28, 2000
TO: ALL INDIAN AND NATIVE AMERICAN DESIGNEES
SUBJECT: Planning Instructions for Program Years (PY) 2000-2001 Workforce Investment Act Comprehensive Services Plan (CSP)
1. PURPOSE. Effective July 1, 2000, the Job Training Partnership Act (JTPA) is repealed.
All JTPA participants will transition into the Workforce Investment Act (WIA) program, and any additional services for JTPA participants will be provided under WIA. This Bulletin transmits instructions for completing and submitting the PY 2000-2001 WIA Comprehensive Services Plan.
a. Workforce Investment Act, Public Law 105-220
b. DINAP Bulletin No. 98-23 - Interim Final Rule at 20 CFR Parts 652 et al. and 668
c. DINAP Bulletin No. 99-05, Transmit Bulletin 1999-003; the ONP Bulletin Series, Administrative Cost Limitations
d. DINAP Bulletin No. 99-01, Transmit the WIA of 1998 Grantee Designation Procedures and Forms for PYs 2000-2001
e. DINAP Bulletin No. 94-3, Implementation of Office of Management and Budget (OMB) Circular A-110 (revised)
3. BACKGROUND. The Workforce Investment Act was enacted and signed by President Clinton on August 7, 1998. WIA officially replaces the Job Training Partnership Act and must be implemented by Indian and Native American (INA) designees by July 1, 2000. The purpose of the Act is to provide workforce investment activities that increase the employment, retention and earnings of participants, and increase occupational skill attainment. The goals achieved through the workforce investment system will improve the quality of the workforce, reduce welfare dependency and enhance the productivity and competitiveness of the Nation's economy, through initiation of a new delivery system for providing employment and training services.
Part 668 of the WIA Interim Final Regulations establishes the operation of employment and training programs for INAs under the authority of section 166 of the Act. The intent of separate regulations for INAs is to establish supplemental requirements, policies and procedures unique to Indian communities.
Designation of organizations to provide WIA services to their communities was completed through a Solicitation for Grant Application published in the Federal Register, September 13, 1999 and organizations were notified of selection by letter dated March 1, 2000.
Organizations receiving designation as an INA service provider must submit and have approved by Department of Labor (DOL), a two-year Comprehensive Services Plan in order to become a grantee and receive funding under section 166 of WIA.
a. Comprehensive Services Plan (CSP). PY 2000 is the first year of a new two-year grant cycle. The CSP must cover the two program years (PY 2000 - 2001) within a designation cycle. INA designees who are eligible for supplemental youth services must include their supplemental youth plans as part of the two-year plan.
If in the second year (2001) the designee receives the same funding level as they did in PY 2000, their initially approved CSP will automatically be funded for the 2001 program year.
Designees must amend the two-year CSP to make the following change(s); 1) a grant signatory change, or 2) change in performance measures (in accordance with performance measure procedures), or 3) a reduction in funds as a result of congressional action, or 4) if the total number of participants to be serviced is decreased by a number which exceeds 25% of the participants previously proposed to be served, or by 25 participants, whichever is larger.
Modification(s) must include the revised section(s) of the CSP and a signed Grant Signature Sheet (see sec. 668.750).
b. Supplemental Youth Services. Statutory requirements limit the supplemental youth services program to entities serving Indian, Alaska Native and Native Hawaiian youth residing on or near a reservation, or in Oklahoma, Alaska or Hawaii; or other grantees serving those areas and/or populations specified in 668.400 that received funding under Title II-B of JTPA. Eligible INA designees must include a description of activities planned for the supplemental youth program. INA designees may offer supplemental services to youth throughout the school year, during summer vacation, and/or during other breaks during the school year. Youth requirements are referenced at 668, Subpart D.
The Department at its option may release funds as early as April 1, 2000. Formal obligation of youth funds after departmental release to operate a year-round or summer youth program will be dependent upon approval of the two-year CSP.
c. Administrative Costs Expenditures. The WIA regulations do not specify an administrative cost limit, but in accordance with the policy stated in DINAP Bulletin 99-05, the base-line administrative cost limitation is 15% of total allotment for any given program year. ETA will approve administrative cost limitations in excess of 15%, but no more than 20%, when the grantee submits acceptable justification, which is outlined in the Bulletin.
d. Participant Transfer. All JTPA participants who are enrolled and receiving services should be grandfathered into WIA. These participants should be allowed to complete the JTPA services specified in their employability development plans/individual service strategy plans, even if the service strategy is not allowable under WIA, or if the participants are not otherwise eligible to receive these services under WIA.
Those participants who are enrolled, but have not yet received JTPA services, except for initial assessment, should also be grandfathered into WIA. These participants should be assessed, if necessary, and provided services under a WIA activity.
e. WIA Section 166 Performance Measures System. The performance measurement system has changed significantly from the JTPA system. The performance measures under Section 166 for Indian and Native American programs are key measures of success in achieving the legislative goals of WIA. The measures are used to set agreed upon performance goals for the program year; ensure comparability of grantee results to maintain objectivity in measuring results; provide information for system wide reporting; and evaluation for program improvement. Grantees are encouraged to develop other performance measurement indicators within their own program for ongoing oversight, program management, and continuous improvement purposes.
The new performance measures system under WIA Section 166 will begin July 1, 2000. Grantees are required to begin reporting using this system at the beginning of the program year and keep accurate records for each participant outcome during the program year. Grantees may modify or change performance measures up to the mid-year (December 31). Programs operating under Section 166 must adhere to performance guidelines outlined under CSP- 2000-3.
DINAP will evaluate each program's performance outcomes annually. Therefore, grantees must meet the minimum performance requirements indicated in the CSP each program year. Grantees who fail to meet the performance requirements must submit a justification to DINAP at the end of the program year.
Indian and Native American individuals who are not enrolled in Section 166 programs but are referred to "One-Stop" systems will be measured according to Section 136, WIA Title IB. Thus, "One-Stop" systems, not the grantee, will be responsible for tracking and reporting participant outcomes. Section 166 grantees are required to report performance outcomes for each participant that is enrolled in the Section 166 program. However, if the individual is co-enrolled in Section 166 and "One-Stop," the grantee must track services received through the "One-Stop" systems but are only required to report Section 166 outcomes on the Annual Report. Section 166 grantees are required to adhere to guidelines agreed to in the "Memorandum of Understanding" [MOU] with their One-stop partners.
Grantees who select the Enter Employment Rate (EER) and/or Positive Termination Rate (PTR) from the "menu" of measures option should refer to the Performance Standards Worksheet(s) which will be issued with an Addendum to this Bulletin [attachment 2A & 2B].
f. PY 2000 Planning Allocation. The PY 2000 section 166 Comprehensive Services appropriation level remains at the PY 99 JTPA level of $53.8 million. The PY 2001 Comprehensive Services appropriation level is projected to be $55.0 million. The projected Supplemental Youth appropriation level for PY 2000 and 2001 is $15.0 million annually. An Addendum to this Bulletin will be sent to designees in the next few days with the estimated funding amounts (see Attachments 3A and 3B). (For initial planning purposes, designees can use PY '99 JTPA funding amounts.) A final allotment notice will be issued once the WIA designations have been issued by the Grant Officer. Upon approval of the two-year plan the Grant Officer will issue the obligational authority for the first year of the two-year grant cycle.
g. Carry-in Policy: Carry-in funds from the PY 1999 JTPA Program to the PY 2000 WIA Program are allowable without limitation. PY 1999 carry-in funds should be estimated, but final carry-in figures will be identified at the closeout of JTPA and modified into your grant.
Under WIA, grantees are allowed to carry in 20% from one two-year planning cycle to the next cycle. Funds in excess of 20% may be reallocated. Carry-in amounts greater than 20%, but less than 25% of total funds available, may be allowed under an approved waiver issued by DINAP (see sec. 668.296(d)). It is recommended that grantees utilize the total amount of funds available for the year in which funds were allocated.
The Department may reserve up to one percent of the funds appropriated under WIA for any PY for training and technical assistance purposes.
h. Assurances & Certifications. Requirements specified in the Assurances and Certifications must be included in the designee's CSP (CSP 2000 - 4).
Designees are requested to carefully read the instructions for completing the CSP to ensure full completion and submission of all required pages (see Attachment 1).
4. PLAN REQUIREMENTS.
a.Required CSP Items/Checklist: Designees should reference the CSP checklist (Attachment No. 5) to ensure that all required documents are properly completed and included in the appropriate plan package. All required documents are labeled sequentially in the upper right hand as CSP 2000-1 thru CSP 2000-4 (Pages 1-15). Any page labeled with these identifiers in the upper right-hand corner must be submitted with the plan. Designees requiring technical assistance with the CSP are encouraged to call their DINAP Federal Representative:
Dawn Anderson - East Team (202) 219-8502 x141
Athena Brown/Duane Hall - Midwest Team (214) 767-4961
Guy Suetopka/Si Seciwa -West Team (206) 553-6195
b. Due date(s). All section 166 designees must submit a PY 2000-2001 CSP postmarked no later than May 5, 2000. CSPs postmarked after the due date may experience a delay in plan approval and subsequent availability of PY 2000 obligation authority. Designees who receive Supplemental Youth funds and wish to start their Youth program prior to July 1, 2000 must submit their CSP for receipt by DINAP two weeks prior to the proposed start date of the Youth program but no later than May 5, 2000. This early submission will assist DINAP in conducting priority reviews in order that designees can start their programs by the proposed date.
c. Number of Copies to Submit: One original and two copies of the CSP must be submitted to DINAP. Designees are advised to keep a copy of all submitted plans.
NOTE: At a minimum one original and two signed copies of the Grant Signature Sheets (CSP 2000-1) must be submitted with the CSP to DINAP. Grantees who want an original signed copy of the award must submit two original signed Grant Signature Sheets with the CSP.
a.Regulations: All section 166 designees must use and comply with the Interim Final Regulations at 20 CFR Part 652, et. al., and 668, and the mandatory provisions in the Workforce Investment Act.
b.General Waiver Provision: WIA section 166(h)(3) permits waivers of any statutory or regulatory requirement except for those areas cited in sec.668.920. DINAP Bulletin 95-29 provides specific instructions on how to request waivers to the regulations and other program requirements. Note: Grantees may submit a waiver request and CSP documents at the same time; however, the request must be separate from the CSP documents and not included in the CSP narrative. This is to ensure that any delay in approving a waiver request does not delay approval of the CSP. Although it is preferable to have an approved waiver at the beginning of a program year, grantees may submit a request for a waiver at any time during the program year.
c.Requests for Acquisition of Real Property and Equipment: Grant Officer approval is required prior to the acquisition of all real property, including equipment, which has a useful life of more than one year and an acquisition cost of $5,000 or more per unit pursuant to OMB Circulars A-102 [29 CFR 97.32] and A-110 [20 CFR 95.2(n)].
The request for prior approval to purchase equipment must be submitted separately from the CSP. This is to ensure that any delay in approving real property or equipment purchase requests does not delay the approval of the CSP. An approved CSP, which indicates the intent to purchase equipment is not considered as receiving prior approval.
d. Public Law 102-477 Grantees: Separate planning instructions will be sent out to the 37 section 166 grantees with approved P. L. 102-477 plans. PY 2000 funds will be transferred to the Bureau of Indian Affairs for all P. L. 102-477 grantees.
All designees must submit their CSPs, postmarked no later than May 5, 2000. All plans must be submitted to the following address:
U.S. Department of Labor
Division of Indian and Native
200 Constitution Ave., N.W.
Washington, D.C. 20210
ATTN: MIS-CSP DESK
Note: Plans must be sent to the above address only.
Only a United States postmark or Express Mail service tracking label with pertinent delivery information are acceptable (i.e., Federal Express, Airborne Express, etc.) Privately owned or leased metered mail postmarks are NOT acceptable (i.e., Pitney Bowes meter machine, etc.).
Questions should be directed to your Federal Representative Team. (East Team 202/219-8502 x141, Midwest Team 214/767-4961 and West Team 206/553-6195).
Attachments (DO NOT RETURN With CSP Package)
No. 1 Instructions for Completing Comprehensive Services Plan (CSP)
No. 2A Comprehensive Services Minimum Performance Levels for EER
No. 2B Comprehensive Services Minimum Performance Levels for PTR
No. 3A PY 2000 Comprehensive Services Allotment Notice
No. 3B PY 2000 Supplemental Youth Allotment Notice
No. 4 Common Terms and Definitions
No. 5 CSP 2000 Checklist
CSP-2000 Documents (MUST RETURN All Pages Marked CSP 2000-1 thru CSP 2000-4 with Narrative)
CSP 2000 1 - Grant Signature Sheet
CSP 2000 2 - Optional Participant and Cost Projection Worksheet
CSP 2000 3 - Comprehensive Services Performance Measures Calculation Worksheet
CSP 2000 3A - Supplemental Performance Measures Calculation Worksheet
CSP 2000 4 - Assurances and Certifications Cover Sheet and Documents
Attachment No. 1
I. Comprehensive Services Planning Guidance Narrative
A. Provide a general discussion of the program design and goals including a brief description of the consultation process used with:
1. Customers or prospective customers;
2. Prospective employers or their representatives;
3. Potential service providers;
4. Tribal or other community leaders.
5. Describe the status of Memorandum Of Understanding (MOU) negotiations and status of partnerships with local or statewide Workforce Investment Boards.
[Reference: 20 CFR 668.700(b)(1-4)]
B. Briefly describe the planned or anticipated service population, including:
1. The method(s) used to target services to specific elements of the service population;
2. A brief description of the system(s) in place to ensure equitable access to all eligible applicants or potential applicants.
[Reference: 20 CFR 668.360, 668.700(a)]
C. Provide a description (as applicable) of the services that will be available, including:
1. Activities for participants [Reference 20 CFR 668.340 a-i]
2. Services to employers [Reference 20 CFR 668.500 a&b]
3. Services to the community at large [Reference 668.510 a&b]
4. The way(s) the grantee will seek to integrate or coordinate available community employment and training resources to ensure non-duplication of effort.
[Reference: 20 CFR 668.720(a)(5)]
D. Provide a description of the specific goals and objectives of the program, including:
1. Annual projections of services to participants, by activity;
2. Annual budget/expenditure projections, by activity;
a. Training costs;
b. Employment costs;
c. Other program costs;
d. Administrative costs; and
e. Total annual projected costs (grantees may use the worksheet provided).
E. Provide a discussion of the performance measures, including:
1. Performance measures selected and anticipated results (grantees may use the Performance Measures Worksheet provided).
2. A description of the system the grantee will use to be accountable for the results of the program.
II. Supplemental Youth Services Planning Guidance Narrative
Grantees receiving Supplemental Youth Services funding must submit a separate description of planned services to youth, including a narrative description of the above items (if different from those described in the Comprehensive Services section). This description must include a separate projection of planned participants and expenditures. (Grantees may utilize the two worksheets provided for this planning).
III. Required Grantee Systems Narrative
With the exception of B. below, grantees are not required to submit descriptions of current management systems, but must (on request) be able to provide them to the Department.
A. Grantees are required to maintain written systems for:
1. The hiring and management of personnel hired with grant funds;
2. The acquisition and management of property purchased with grant funds;
3. The financial management practices used to account for grant funds;
4. A participant grievance system which meets the requirements of WIA section 181(c) and the regulations at 20 CFR 667.500;
5. A participant records system which must include;
a. A written or computerized record of all the information used to determine participant eligibility.
b. The participant's signature certifying the correctness of the eligibility information.
c. The information necessary to comply with all program requirements.
[Reference 20 CFR 668.800]
B. If the grantee is planning to pay classroom training allowances or bonuses to participants, a written description of those systems must be included with the Comprehensive Services Plan.
[Reference: 20 CFR 668.370]
CSP 2000-1: Grant Signature Sheet
The Grant Signature Sheet is the required transmittal used for submitting grant documents. At a minimum one original and two signed copies of the Grant Signature Sheets (CSP 2000-1) must be submitted with the CSP to DINAP. Grantees who want an original signed copy of the award must submit two original and one copy of the signed Grant Signature Sheets with the CSP.
CSP 2000-2: Participant and Cost Projection Worksheets, Optional
This is a worksheet only, to help calculate the number of participants to be served, terminated and carried over, and to project program/administrative costs annually for the two-year period. Designees can submit the completed optional Two-Year Participant and Cost Projection Worksheet(s). The narrative must support and supplement the figures indicated on the worksheets.
CSP 2000-3: Performance Measures and Calculation Worksheets
The performance measures system under WIA Section 166, will be used to measure grantee performance for Program Year 2000. The new system was piloted in Program Year 99. It provides grantees two options of how their program's performance will be measured: 1) Grantees may choose from a "menu" of thirteen measures or 2) create their own "grantee-determined" measure(s). This allows grantees the flexibility in choosing measure(s) that reflect the type of employment and training activities it plans to implement for the program year. Grantees must meetthe minimum performance requirements for at least two of the three measures selected from the "menu" of measures option or any negotiated performancelevel(s) for grantee-determined measure(s). At a minimum, a "grantee determined" system must be employment and training-related, quantifiable, and measurable. CSPs that do not meet the minimum performance level requirements will not be approved. All grantee-determined measures must be negotiated with DINAP before approval can be granted.
The categories for the Menu of Measures option are as follows: [Note: At least one of the three measures selected must be from either the Employment or Training Category].
Menu of Measures
Grantees that choose from the menu of measures option must have at least one measure that represents at least 25% of the grantee's total terminations in the "base"for that program year. In addition, each of the other measures selected must represent at least 10% of the grantee's total terminations for that program year. These restrictions will ensure that each grantee is accountable for a significant portion of the total number of those served under its program.
Please see the Performance Measures Guidelines included in this bulletin to complete the Menu of Measures Calculation Worksheets. At the end of the program year, actual performance outcomes will be reviewed by DINAP to determine whether a grantee successfully attained their performance goals for the program year.
Performance Measures Guidelines & Calculation Worksheet Instructions
The New Performance Measures System will begin July 1, 2000. Grantees may choose Measures from (a) a "menu" of options or (b) create their own measure(s). Grantees may change performance measures by submitting a plan modification to DINAP. However, a grantee cannot change its measures after it submits its semi-annual report for that program year. Note: All modifications must be approved by DINAP.
(Please read carefully the following steps)
Step 1 - Grantee selects the Performance Measures planned for the program year.
a.) Menu of Measures or b.) Grantee-determined
Step 2 - If grantee chooses the "Menu" of Measures system, then select three measures which characterize your service emphasis for that program year. Remember at least one measure must be either from the employment or training category. [Please mark your selections in the appropriate Performance Measures Checklist boxes. Leave all other boxes blank.]
- If grantee chooses the "Grantee-determined" system, then mark the Grantee-determined section on the Checklist and proceed to Step 5.
-If grantee chooses the Entered Employment Rate and/or the Positive Termination Rate, then see [Attachments 2A and 2B] worksheets for the minimum performance level requirement. Grantees must indicate their planned performance levels on the Performance Measures Calculation Worksheet - Section I. [Do Not Return Attachment 2 worksheets to DINAP]
Step 3 - Grantee should check to make sure they have entered the correct planned performance level (ratio or percentage) for each measure selected in Section I or Section II of the calculation worksheets. [Section I or II must be completed and returned to DINAP with the CSP]
Step 4 - Grantee must then submit: (1) the completed Checklist and (2) the Performance Measures Calculation Worksheet to DINAP along with the CSP.
Step 5 - If grantee chooses, the "Grantee-determined" system, then grantee must explain in detail in Section II of the Performance Measures Calculation Worksheet the following: (Please include additional pages if necessary)
How the grantee proposes to track participant outcomes and report semi-annually and at the end of the program year
All Grantee-determined measures and performance requirements must be negotiated with DINAP before approval will be granted. Note: Grantee-determined measure(s) must not include any measures from the "menu" of measures option. For example, a grantee may not select one measure from the menu of thirteen measures as their Grantee-determined measure for the program year. Grantees must create a unique measure(s) and describe why the measure(s) is appropriate for your program's circumstances. Note: A Grantee-determined system is required to have at a minimum one Employment or Training related measure. Grantees may establish goals or benchmarks for however many measures it develops for the program year.
Step 6 - DINAP, along with the Grant Office, will review all performance plans to determine whether WIA guidelines have been met. Grantees will be notified by DINAP whether the performance-measures system selected has been approved.
Step 7 - After the performance plan is approved, DINAP will send all Performance Measures Calculation Worksheets to Social Policy Research Associates (SPRA). SPRA will send to each grantee a customized worksheet that will indicate the measures selected, planned number of participants enrolled for the measure, and the minimum number of terminee successes required to meet performance for the program year. SPRA will also send updated worksheets to grantees that change measures prior to the mid-year reporting period.
Note: This Check list is to be filled out and returned to DINAP as part of your CSP.
Performance Measures Checklist
Menu of Measures
check three measures
TRAINING EMPLOYMENT COMMUNITY
1.Employability Enhancement 5.Entered Employment 10.Positive Termination
2.Basic Skills/GED Attainment 6.Wage Growth for Job at 11.Terminee Satisfaction
3.Youth Progress 7.Welfare-to-Work12.Leverage Non-166
4.Occupational Skills Training 8.Job Placement for Long-term 13. Job Creation
& Post-Secondary Education Jobless
9. Job Retention
- OR -
Check box if you select this system
Note: Calculation Worksheet is to be filled out and returned to DINAP as part of your CSP.
PERFORMANCE MEASURES CALCULATION WORKSHEETS
Complete columns 1, 3 & 4 for the three measures chosen. Leave all other boxes blank.
Note: Calculation Worksheet is to be filled out and returned to DINAP as part of your CSP.
GRANTEE DETERMINED Performance MEASURES WORKSHEET
Grantees who choose to create their own measure(s) must adhere to the following guidelines. Grantees must be creative when developing their own performance based system and meet the criteria listed below. Each grantee must give a detailed description of the following:
1. The proposed measure(s) and rationale for choosing the measure(s)
3. The number of participants enrolled for the program year
Terminee Satisfaction Survey/Questionnaire
Section 166 grantees may select Terminee Satisfaction as one of the three measures from the menu of options, it plans to meet for the program year. If a grantee chooses this measure, then the grantee must develop and submit to DINAP (in the CSP) a copy of the survey questionnaire the program will use for that program year. The survey/questionnaire must determine overall satisfaction with program services provided by the grantee to those who terminated from the program during or at the end of the program year. Grantees will be allowed to customize the questionnaire to best identify types of services provided by the program for their clients needs. Therefore, a grantee may ask as many question as necessary to find the overall result. However, it is the responsibility of the grantee to solicit a 75% response rate from all terminees that are enrolled in the program year. To meet the minimum requirement for the measure, at least 66% of those who respond to the survey (75%) must indicate that they were satisfied with the program services they received.
For accountability purposes, ETA and the Advisory Council recommend, at a minimum, that terminees be asked the following question:
Overall, considering all of the expectations you may have had about the services, how satisfied are you with the services you received?
The following are some additional questions that may be useful for this purpose:
[Please indicate how much you agree or disagree with the following:]
1. As a result of the program, I am more aware of other types of training and education services available to me.
2. The program staff was sensitive to my tribal culture.
3. The program staff treated me with respect and encouraged me to achieve my goal.
4. How likely is it that you would recommend the program to a friend?
Not at all likely
The grantee may develop other survey questions that are specific to its program and that will reflect its contribution to the community. However, the Work Group recommends that the grantee's survey be brief, in a postcard format, and user-friendly. One option is to place the survey in the last envelope that the client/terminee receives.
Note: Remember at least 75% of the program's terminees must respond to the survey and from that 75% response at least 66% must rate their satisfaction with services as "satisfactory" or "very satisfactory".
Performance Measures Calculation Worksheet
This tribal grantee provides services on its reservation, which is characterized by a very weak economy and the general absence of employment opportunities for its program participants. It emphasizes providing work experiences and community service employment to participants because this strategy meets the participants' needs for immediate income and provides them with an exposure to the labor market that might not otherwise be possible, and because it enables the tribe to take advantage of subsidized labor in providing services to the community. Among the tribal agencies in which work experience participants are placed are the tribal government and Health Services. The grantee also is working with one of the few private sector employers on the reservation. This business consists of conducting data entry (keypunching), which is carried out under contract to businesses in an adjacent city. The business, which is owned by a Native American, currently employs 5 workers, but the employer is interested in doubling production to take advantage of several new contracts that it has recently won. The grantee is working with this employer by developing customized training on keypunching and data entry operations for the planned 5 new employees; the employer in turn has agreed to hire the participants at the completion of their training at $7.00 per hour.
Step A: Choosing Measures from the Menu. Given its service emphasis, this grantee has selected the following three measures from the menu.
Wage Growth for Job at Placement
These three measures, which include one from each of the Training, Employment, and Community categories, make a lot of sense for this grantee, because these three outcomes cover several facets of the grantee's service emphasis. First, the employability enhancement outcome provides a mechanism for the grantee to take credit for participants who successfully complete their work experience or community service employment assignments. Second, its endeavors with the Native-owned business constitute clear evidence of Job Creation. Third, participants who complete the customized training are guaranteed wages that will substantially exceed what they were earning previously, so the Wage Growth measure seems very attainable.
Step B: Specifying the Numbers in the Bases of the Measures. For PY 2000, the grantee expects to terminate about 20 terminees in total. As part of its CSP, the grantee must specify how many of these 20 terminees it expects to serve in the "bases" for each of the three measures it selected from the menu. Looking at the Calculation Worksheet, the grantee identifies the base factors for its three measures, and develops a plan for how many it will serve in each category. Here is the grantee's planned enrollments:
Thus, the bases for the first two measures represent all terminees. The base for the third measure represents the five participants who will be undergoing customized training (and who the business owner has agreed to hire at the conclusion of the training), plus 3 others who are expected to get permanent jobs with the tribal government once they complete their work experience assignments; these are the only eight participants that the grantee anticipates will enter unsubsidized employment at termination.
Step C: Calculating the Planned Minimum Number of Successes. The numbers in the table above represent the "bases" for the three measures that the grantee selected from the menu. Given these bases, the grantee can calculate the number of successes it needs to plan on in order to meet its minimum performance expectations for each measure. The grantee multiplies the planned number of terminees in the base by the minimum required success rate. These rates are also shown in the third column in the table below. The required minimum number of success is then shown in the final column.
To get the required minimum number of successes (column 4), the grantee multiplies its planned enrollments (column 2) by the required success rate (column 3). For example, for the employability enhancement rate, we have:
20 x .28 = 5.6 (which rounds up to 6).
Thus, the numbers shown in the fourth column in the table above represent the required minimum number of successes the grantee must achieve to meet its required minimum standards for the measures the grantee selected from the menu. However, all grantees are encouraged to plan on attaining higher success rates than these minimums (though you are not required to do so).
Step D: Filling Out the Performance Measures Calculation Worksheet. Based on these calculations, the grantee would fill out its Performance Measures Calculation Worksheet as follows:
Step E: Checking to be Sure that Minimum Base Requirements are Met. As a final check on its measures, the grantee must ensure that it meets the "25-10-10" rule: that is, of the measures chosen, at least 25% of all its terminees must be represented by the base of at least one of the measures, and the base of the remaining two measures must represent at least 10% of all its terminees. To calculate the percentage represented by the bases of its measures, the grantee divides its planned numbers in the bases for its three measures by its planned number of total terminees. In this case, the planned number of total terminees is 20, and the planned numbers in the bases were specified above. The calculations are shown in the table below. Because the grantee has selected the Employability Enhancement and Job Creation measures, both of which count all terminees in the base, the percentage of all terminees covered by the bases of these two measures is 94%. (These are among the few measures on the menu for which this will be the case). For the final measure, Wage Growth, 40% of all terminees are covered by the base of the measure (i.e., 8 terminees planned for the base, divided by 20 planned total terminees = 40%).
Thus, the grantee has met the 25-10-10 rule: two if its measures include all terminees in the base and the final measure includes more than the 10% minimum requirement. If the minimum base requirements were not met, the grantee would either: a) need to plan on serving a greater percentage of its total terminees in the bases of these measures, or b) choose different measures (i.e., ones that meet the requirement).
Step F: Carrying Out its Performance Measures Plan. At this point, the grantee has developed an acceptable performance measures plan. It has: 1) selected three measures from the menu, 2) specified planned numbers for the base and success factors for each measure it selected, 3) ensured that all minimum requirements have been met. Specifically, it ensured that it has planned to: a) attain enough success on each measure to meet the minimum performance requirements specified, and b) serve enough terminees in the base of each measure to meet the 25-10-10 requirement. Plans will not be accepted by DINAP if they fail to meet these minimum requirements.
Throughout the course of the program year, the grantee must track its performance relative to these three measures. For example, it must keep track of how many it is serving in the bases of the measures. It must also track its success on the three measures for those enrolled in the base, as a way of ensuring that it is on target for meeting its minimum performance requirements. Thus, it must track: a) how many terminated with an employability enhancement, b) how many new jobs were created with the Native owned business as a result of the grantee's efforts, and c) how many who entered employment at termination and had a preprogram wage realized a wage growth of at least 10%. The final of these three may prove particularly challenging, in that the grantee must calculate the wage growth separately for each participant in the base who entered employment at termination and had a preprogram wage (wage growth is computed as the wage at termination minus the preprogram wage, divided by the preprogram wage, and multiplied by 100, to express in percentage form), and it must count for how many of them the wage growth exceeded 10%. The number who achieve this measure of success must constitute at least 25% of all those in the base. You must have a way of keeping track of the number of terminees in the base and the number who achieve success on each of the three measures you selected, so that you can report the numbers to DOL at the end of the program year.
Step G: Reporting the Results. Grantees are required to report semi-annual outcomes as well as outcomes at the end of the program year on the Annual Report form that will be sent this spring.
CSP 2000-3A. Supplemental Youth Services Performance Measures and Calculation Worksheets.
The supplemental youth services performance measures system will be used to measure grantee performance for Program Year 2000. Grantees are required to use this system beginning July 1, 2000 and must keep accurate records for each participant outcome or goal attained during the program year. There is only one performance measure required for this program. The performance measure contains (13) thirteen goals or outcomes. The minimum performance requirement is that at least 60% of Native American (INA) youth enrolled in the Supplemental Youth Services program for the program year must attain at least (2) two of the (13) thirteen goals listed on the Supplemental Youth Services Calculation Worksheet. Note: CSPs that do not meet the minimum performance level requirement will not be approved.
Grantees who are not designated to receive Supplemental Youth Services funding but still plan to serve a significant number of youth in their program may use the Section 166 Youth Progress measure. Note: The Youth Progress measure must be reported on the Section 166 Annual Report only.
DINAP will evaluate each program's performance outcomes annually. Therefore, grantees must meet the minimum performance requirements for each program year. Performance outcomes may be attained by participants still enrolled in the program at the end of the reporting period and those who terminated at anytime during the program year.
Grantees are required to report performance outcomes "semi-annually" and again at the end of the program year using the Supplement Youth Services Annual Report. Grantees may modify or change their youth performance goals up to the mid-year report period. Grantees who fail to meet the performance requirements must submit a justification to DINAP at the end of the program year.
Indian and Native American youth who are not enrolled in Supplemental Youth Services program but are referred to "One-Stop" centers will be measured according to Section 136, WIA Title IB. Thus, "One-Stop" centers, not the grantee, will be responsible for tracking and reporting participant outcomes. Designated grantees are required to report performance outcomes for each participant that is enrolled in the Supplemental Youth Services program. However, if the youth is co-enrolled, the grantee must track services received through the "One-Stop" center but are only required to report Supplemental Youth outcomes on the Annual Report. Designated grantees are required to adhere to guidelines agreed to in the "Memorandum of Understanding" [MOU] with their One-stop partners.
Listed below are the performance goals or outcomes for the Supplemental Youth Services Program.
Menu of Goals
At the end of the program year, DINAP will determine whether a grantee successfully attained their performance goals for the program year.
Performance Measures Guidelines
The Supplemental Youth Services Performance Measures System will begin July 1, 2000. The minimum performance requirement is at least 60% of Indian and Native American (INA) youth enrolled in the Supplemental Youth Services program for the program year must attain at least (2) two of the (13) thirteen goals listed.
(Please read Carefully the following steps)
Step 1 - Grantee must indicate on the Supplemental Youth Services Calculation Worksheet the planned numbers of participants who will successfully attain the Performance goal selected..
Step 2 - Grantee must enter the total number of participants who will meet at two goals.
Step 3 - Grantee must enter the total number of participants to be served (including terminees and youth carried-over to the next program year.
Step 4 - Grantee must then submit the completed Supplemental Youth Calculation Worksheet along with the required Narrative to DINAP.
Step 5 - DINAP, along with the Grant Office, will review all performance plans to ensure all guidelines have been met.
Supplemental Youth Services Calculation Worksheet
Note: Calculation Worksheet is to be filled out and returned to DINAP as part of your CSP.
CSP 2000-4: Assurances & Certifications (Pages 1-15)
CSP 2000-4 (Pages 1-15) must be returned with the CSP. Complete the information for the Assurance and Certification pages listed below:
Page 1 - Assurance and Certification Cover - enter the Grantee Name and Name of Signatory Official. Grantees authorized Signatory Official must sign and date;
Page 6 - List Drug-free work places of performance, check whether there are other sites that are covered by the Drug Free policy not listed. This list should be maintained by the grantee;
Page 11/12 - IDC/CAP - complete option 1 or 2 by checking the appropriate statement;
Page 12 - List all Key officials for the grantee;
Page 13 - Disclosure of Lobbying Activities - completed and signed as appropriate;
Page 14 - Disclosure of Lobbying Activities Continuation sheet completed as appropriate;
Page 15 - Certification Regarding Lobbying - enter grantee name, check applicable IRS Status under item 1. If Section 501(c)(4) entity is checked, check the applicable statement under item 2.
Attachment No. 2A
COMPREHENSIVE SERVICES MINIMUM PERFORMANCE MEASURE LEVEL
ENTERED EMPLOYMENT RATE
(PERFORMANCE MEASURE LEVEL WILL BE ISSUED WITH THE ADDENDUM TO THIS BULLETIN)
Attachment No. 2B
COMPREHENSIVE SERVICES MINIMUM PERFORMANCE MEASURE LEVEL
POSITIVE TERMINATION RATE
(PERFORMANCE MEASURE LEVEL WILL BE ISSUED WITH THE ADDENDUM TO THIS BULLETIN)
Attachment No. 3A
PY 2000 COMPREHENSIVE SERVICES ALLOTMENTS
(PY 2000 CS ALLOTMENTS WILL BE ISSUED WITH THE ADDENDUM TO THIS BULLETIN)
Attachment No. 3B
PY 2000 YOUTH ALLOTMENTS
(PY 2000 YOUTH ALLOTMENTS WILL BE ISSUED WITH THE ADDENDUM TO THIS BULLETIN)
Attachment No. 4
COMMON TERMS AND DEFINITIONS
Adult - An individual who is age 18 and older.
Carry-In Funds - is the difference between the Total Funds Available and Total Funds Expended from the preceding PY. Grantees estimate the amount of carry-in at the time of CSP development, since actual costs cannot be determined until after the end of the PY.
Code of Federal Regulations (CFR) - is the body of Federal administrative law developed to implement and administer various Acts, Executive Orders, Court Orders, or other official direction. The CFRs are numbered according to the agency proposing the regulations. Most Department of Labor regulations are found at 20 CFR and 29 CFR. Current WIA regulations start at 20 CFR Part 652 with specific section 166 program regulations encoded at 20 CFR Part 668 and certain administrative requirements found at 20 CFR Part 667.
Comprehensive Services Plan (CSP) - is a two-year planning document which describes the program activities/services to be provided over the two-year period of the grant in order to receive funds for the appropriate program year. It includes a signature sheet, narrative, program and financial planning documents, and various other certifications/information required of Federal/DOL funds recipients.
Designated Service Area - means that area of States, counties, and/or reservations which a section 166 grantee is funded to serve under WIA. This area is determined once every two years as part of the designation process. With the exception of Oklahoma and Hawaii, section 166 grantees are designated to serve (or provide equal access to service to) all eligible Indians and Native Americans residing in their designated service area (also referred to as "service area" or "geographic service area").
Division of Cost Determination (DCD) - is the unit within the Department's Office of the Assistant Secretary for Administration and Management (OASAM) which negotiates indirect cost rates.
Division of Federal Assistance (DFA) - is the administrative entity within the DOL's Employment and Training Administration which approves grants and/or contracts with WIA section 166 grantees and other recipients. The Grant Officer is located in DFA.
Division of Indian and Native American Programs (DINAP) - is the administrative entity within DOL's Employment and Training Administration (ETA) which has as its primary responsibility the operation of section 166 programs under WIA. DINAP is also referred to as the "program office" to distinguish it from the functions of the Grant Officer.
Eligible youth - The term "eligible youth" means an individual who is not less than age 14 and not more than age 21; is a low-income individual; and is an individual who is one or more of the following: deficient in basic literacy skills; a school dropout; homeless, a runaway, or a foster child; pregnant or a parent; an offender; an individual who requires additional assistance to complete an educational program, or to secure and hold employment, except as provided in subtitles C & D.
Employment and Training Administration (ETA) - is the agency under the Department of Labor which is responsible for various employment and training activities and their related endeavors, including DINAP.
Financial Status Report (FSR) SF-269 - is a cumulative report of financial activity submitted on a quarterly basis within 45 days after the end of the reporting period.
Geographic Service Area - see "Designated Service Area" definition above.
Federal Representative - is the primary DOL contact assigned to provide technical assistance to the grantee.
Job Training Partnership Act (JTPA) - refers to the Act (Pub. L. 97-300) which previously authorized Indian and Native American employment and training programs under section 401 of JTPA, as amended.
Local Area - Local workforce investment areas designated in each state under section 116.
Local Board - A Local Workforce Investment Board (LWIB) is established in each local area of a State and certified by the Governor to set policy for the portion of the statewide workforce investment system within the local area and is comprised of representatives of business in the local area; local educational entities; labor organizations; community-based organizations, economic development agencies including private sector economic development entities; representatives of each of the one-stop partners; and may include such other individual or representatives determined appropriate by the chief elected official in the local area (see section 117).
Memorandum of Understanding (MOU) - An agreement between the local board and one-stop partners containing provisions which describe the services to be provided through the one-stop delivery system; how the costs of such services and the operating costs of the system will be funded; methods for referral of individuals between the one-stop operator and one-stop partners for appropriate services and activities, and the duration of the MOU and procedures for amending the MOU during the duration of the agreement.
Obligational Authority (OA) - refers to the means by which the Grant Officer obligates the Department to make the funds available to the grantee under the terms of the grant agreement.
Office of Management and Budget (OMB) - is the agency in the Administrative Office of the President which sets standards of operation for all Federal agencies. OMB issues "circulars" containing mandatory guidance on subjects such as cost classification, audits, and administrative requirements.
One-Stop Delivery System - System under which entities responsible for administering separate workforce investment, educational, and other human resource program and funding streams (referred to as one-stop partners) collaborate to create a seamless system of service delivery.
One-Stop Operator - One or more entities designated or certified under provisions cited at section 121(d) and can include post-secondary institutions, employment service agency; private, nonprofit organization including a community based organization, private for-profit entity; a government agency, other interested organization or entity or may be a single entity or a consortium of entities and may operate one or more one-stop centers.
One-Stop Partner - A grant recipient, administrative entity or organization responsible for carrying out a program or activities and administering funds of the specified program in the local area. Under WIA, the national programs, including Job Corps, the Indian and Native American program, the Migrant and Seasonal Farmworkers program and the Veterans' Workforce Investment program are required One-Stop partners. One-Stop Partners are also referred to as mandated/non-mandated partners.
Out-of-School Youth -
(A) An eligible youth who is a school dropout; or
(B) An eligible youth who has received a high school diploma or GED but is basic skills deficient, unemployed or underemployed.
Participant - An individual who has been determined to be eligible to participate in, and who is receiving services (except follow-up services authorized under this title), under a program authorized by this title. Participation shall be deemed to commence on the first day, following determination of eligibility, on which the individual began receiving subsidized employment, training, or other services provided under this title.
Program Year (PY) - is the twelve-month period from July 1 to June 30. The section 166 program is funded on a Program Year basis.
School Dropout- An individual who is no longer attending any school and who has not received a high school diploma or GED.
Section 401 Program - refers to that section of the Job Training Partnership Act (JTPA) which previously authorized Indian and Native American employment and training programs.
State Board - A State Workforce Investment Board (WIB) is established by the Governor to assist in the development of the State Plan and to carry out other functions described at section 111 (C)(d); and includes the Governor, two members of each chamber of the State legislature, representatives appointed by the Governor representing businesses, chief elected officials representing both cities and counties, representatives of labor organizations, representatives of individuals and organizations that have experience with youth activities, and representatives of individuals and organizations that have experience in the delivery of workforce investment activities including CEOs of community colleges and community-based organizations, lead State agency officials with responsibilities for programs and activities carried out by one-stop partners, or other representative in the state, and other representatives designated by the Governor (see section 111).
Workforce Investment Act (WIA) - refers to the Act (Pub. L. 105-220) enacted on August 7, 1998 and in effect on July 1, 2000. Indian and Native American employment and training programs are authorized under section 166 of WIA.
Youth Activity - Activities described in section 129 that is carried out for eligible youth or as described in section 129(c)(5)) of the Act.
Youth Council - a Youth Council is a subgroup established and appointed within a local board; comprised of local board members with special interest or expertise in youth policy, representatives of youth service agencies, including juvenile justice and local law enforcement agencies, local public housing authorities; parents of eligible youth seeking assistance under this subtitle; individuals including former participants and representatives of organizations that have experience relating to youth; representatives of Job Corps; and other individuals deemed to be appropriate by the local board. Duties include developing portions of the local plan relating to eligible youth; recommending eligible providers, conducting oversight, coordinating youth activities and other duties determined to be appropriate by the chairperson of the local board.
Attachment No. 5
PY 2000 CSP CHECKLIST
Three copies of each page numbered with a CSP 2000 in the upper right-hand corner and the Narrative must be returned to DINAP, post-marked no later than May 5, 2000. See Attachment 1, page 1 for instructions regarding early submission of plans for the Supplemental Youth program.
GRANT SIGNATURE SHEET
WORKFORCE INVESTMENT ACT SECTION 166
INDIAN AND NATIVE AMERICAN PROGRAMS
This document: (check only one appropriate action)
A. Submits a new Two Year Plan for the period to
Briefly describe the purpose of the action and attach supporting documents and/or narrative as needed.
WIA PARTICIPANT AND COST PROJECTIONS WORKSHEET
Indian and Native American Program
a. Grantee Name, Address, Phone Number: b. Date Submitted (Mo/Day/Yr) c. Grant Number
d. Grant Period e. Program Type
Year 1 Year 1 Year 2 Year 2
1. New Participants
2. Participants Carried Over from Previous Year
1. Entered Employment
2. Attained Employability Enhancement
3. All Other Terminations
C. Total Current Participants
Semi-annual Year 1 Year 1 Semi-annual Year 2 Year 2
E. Total Projected Costs
COMPREHENSIVE SERVICES PERFORMANCE MEASURES CALCULATION WORKSHEET
YOUTH PERFORMANCE MEASURES CALCULATION WORKSHEET
INDIAN AND NATIVE AMERICAN PROGRAM
WORKFORCE INVESTMENT ACT
ASSURANCES AND CERTIFICATIONS
PROGRAM YEAR 2000
By signing the Agreement and on the line below, the Grantee's signatory official is providing the certifications and assurances referenced therein as detailed in the attached documents.
(NOTE: Please complete and check document boxes as appropriate)
(GRANTEE) (NAME OF SIGNATORY OFFICIAL)
ASSURANCES AND CERTIFICATIONS
The Department of Labor will not award a grant or agreement where the grantee has failed to accept the ASSURANCES AND CERTIFICATIONS contained in this section. In performing its responsibilities under the Grant, the Grantee hereby certifies and assures that it will fully comply with the following:
Assurances - Non-Construction Programs (SF-424B)
Debarment and Suspension Certification (20 CFR Part 98)
Certification Regarding Lobbying (29 CFR Part 93)
Drug Free Workplace Certification (29 CFR Part 98)
Nondiscrimination & Equal Opportunity Assurance (29 CFR Part 37)
Certification of Non-Delinquency
By signing the face sheet of this Grant Agreement, the Grantee is providing the above assurances and certifications as detailed below:
A. ASSURANCES - NON-CONSTRUCTION PROGRAMS. Certain of these assurances may not be applicable to your project or program. If you have questions, please contact the awarding agency.
As the duly authorized representative of the applicant, I certify that the applicant:
1. Has the legal authority to apply for Federal Assistance, and the institutional managerial and financial capability (including funds sufficient to pay the non-Federal share of project costs) to ensure proper planning, management and completion of the project described in this application.
2. Will give the awarding agency, the Comptroller General of the United States, and if appropriate, the State, through any authorized representative, access to and the right to examine all records, books, papers, or documents related to the award; and will establish a proper accounting system in accordance with generally accepted accounting standards or agency directives.
3. Will establish safeguards to prohibit employees from using their positions for a purpose that constitutes or presents the appearance of personal or organizational conflict of interest, or personal gain.
4. Will initiate and complete the work within the applicable time frame after receipt of approval of the awarding agency.
5. Will comply with the Intergovernmental Personnel Act of 1970 (42 U.S.C.4728-4763) relating to prescribed standards for merit systems for programs funded under one of the nineteen statutes or regulations specified in Appendix A of OPM's Standards for a Merit System of Personnel Administration (5 CFR 900, Subpart F).
6. Will comply with all Federal statutes relating to nondiscrimination. These include but are not limited to: (a) Title VI of the Civil Rights Act of 1964 (P.L. 88-352) which prohibits discrimination on the basis of race, color or national origin; (b) Title IX of the Education Amendments of 1972, as amended (20 U.S.C. 1681-1683, and 1685-1686), which prohibits
discrimination on the basis of handicaps; (c) Section 504 of the Rehabilitation Act of 1973 (29 U.S.C. §794), which prohibits discrimination on the basis of handicaps; (d) the Age Discrimination Act of 1975, as amended (42 U.S.C. 6101-6107), which prohibits discrimination on the basis of age;
(e) the Drug Abuse Office and Treatment Act of 1972 (P.L. 92-255) as amended, relating to
nondiscrimination on the basis of drug abuse; (f) the Comprehensive Alcohol Abuse and Alcoholism Prevention, Treatment and Rehabilitation Act of 1970 (P.L. 91-616) as amended, relating to nondiscrimination on the basis of alcohol abuse or alcoholism; (g) 523 and 527 of the Public Health Service Act of 1912 (42 U.S.C. 290 dd.3 and 290 ee-3), as amended, relating to confidentiality of alcohol and drug abuse patient records; (h) Title VIII of the Civil Rights Act of 1968 (42 U.S.C. 360l et seq.) as amended, relating to nondiscrimination in the sale, rental or financing of housing; (i) any other nondiscrimination provisions in the specific statute(s) under which application for Federal assistance is being made; and (j) the requirements of any other nondiscrimination statute(s) which may apply to the application.
7. Will comply, or has already complied, with the requirements of Titles II and III of the Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970 (P.L. 91-646) which provides for fair and equitable treatment of persons displaced or whose property is acquired as a result of Federal or federally assisted programs. These requirements apply to all interests in real property acquired for project purposes regardless of Federal participation in purchases.
8. Will comply with the provisions of the Hatch Act (U.S.C. 1501-1508 and 7324-7328) which limit the political activities of employees whose principal employment activities are funded in whole or in part with Federal funds.
9. Will comply, as applicable, with the provisions of the Davis-Bacon Act (40 U.S.C. 276a to 276a 7), the Copeland Act (40 U.S.C. 276c and 18 U.S.C. 874, and the Contract Work Hours and Safety Standards Act (40.327-333), regarding labor standards for federally assisted construction subagreements.
10. Will comply, if applicable, with Flood Insurance Purchase Requirements of Section 102(A) of the Flood Disaster Protection Act of 1973 (P.L. 93-234) which requires recipients in a special flood hazard area to participate in the program and to purchase flood insurance if the total cost of insurable construction and acquisition is $10,000 or more.
11. Will comply with environmental standards which may be prescribed pursuant to the following: (a) institution of environmental quality control measures under the National Environmental Policy Act of 1969 (P.L. 91-190) and Executive Order (EO) 11514; (b) notification of violating facilities pursuant to EO 11738; (c) protection of wetlands pursuant to EO 11990; (d) evaluation of flood hazards in flood plains in accordance with EO 11988; (e) assurance of project consistency with the approved State management program developed under the Coastal Zone Management Act of 1972 (16 U.S.C. 1451 et seq.); (f) conformity of Federal actions to State (Clear Air) Implementation Plans under Section 176(c) of the Clear Air Act of 1955, as amended (42 U.S.C. 7401 et seq.); (g) protection of underground sources of drinking water under the Safe Drinking Water Act of 1974, as amended, (P.L. 93.523); and (h) protection of endangered species under the Endangered Species Act of 1973, as amended, (P.L. 93-205).
12. Will comply with the Wild and Scenic Rivers Act of 1968 (16 U.S.C. 1271 et seq.) related to protecting components or potential components of the national wide and scenic rivers system.
13. Will assist the awarding agency in assuring compliance with Section 106 of the National Historic Preservation Act of 1966, as amended (16 U.S.C. 470), EO 11593 (identification and protection of
historic properties), and the Archaeological and Historic Preservation Act of 1974 (16 U.S.C. 469a.1 et seq.).
14. Will comply with P.L. 93.348 regarding the protection of human subjects involved in research, development, and related activities supported by this award of assistance.
15. Will comply with the Laboratory Animal Welfare Act of 1966 (P.L. 89-544, as amended, 7 U.S.C. 2131 et seq.) pertaining to the care, handling, and treatment of warm blooded animals held for research, teaching, or other activities supported by this award of assistance.
16. Will comply with the Lead-Based Paint Poisoning Prevention Act (42 U.S.C. 4801 et seq.) which prohibits the use of lead based paint in construction or rehabilitation of residence structures.
17. Will cause to be performed the required financial and compliance audits in accordance with the Single Audit Act Amendments of 1996 and OMB Circular No. A-133, "Audits of States, Local Governments and Non-Profit Organizations."
18. Will comply with all applicable requirements of all other Federal laws, executive orders, regulations and policies governing this program.
B. CERTIFICATION REGARDING DEBARMENT, SUSPENSION, AND OTHER RESPONSIBILITY MATTERS - PRIMARY COVERED TRANSACTIONS.
The prospective primary participant certifies to the best of its knowledge and belief, that it and its principals:
1. Are not presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded from covered transactions by any Federal department or agency;
2. Have not within a three-year period preceding this proposal been convicted or had a civil judgment rendered against them for commission of fraud or a criminal offense in connection with obtaining, attempting to obtain, or performing a public (Federal, State, or local) transaction or contract under a public transaction; violation of Federal or State antitrust statutes or commission of embezzlement, theft, forgery, bribery, falsification or destruction of records, making false statements, or receiving stolen property;
3. Are not presently indicted or otherwise criminally or civilly charged by a government entity (Federal, State or local) with commission of any of the offenses enumerated in paragraph (1)(b) of this certification; and
4. Have not within a three-year period preceding this application/proposal had one or more public transactions (Federal, State, or local) terminated for cause or default.
Where the prospective primary participant is unable to certify to any of the statements in this certification, such prospective participant shall attach an explanation to this proposal.
C. CERTIFICATION REGARDING LOBBYING - Certification for Contracts, Grants, Loans, and Cooperative Agreements
By accepting this grant, the signee hereby certifies, to the best of his or her knowledge and belief, that:
1. No Federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to any person for influencing or attempting to influence an officer or employee of Congress, or an employee of a Member of Congress in connection with the awarding of any Federal contract, the making of any Federal grant, the making of any Federal loan, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment or modification of any Federal contract, grant, loan or cooperative agreement.
2. If any funds other than Federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with this Federal contract, grant, loan or cooperative agreement, the undersigned shall complete and submit Standard Form - LLL, "Disclosure Form to Report Lobbying," in accordance with its instructions.
3. The signer shall require that the language of this certification be included in the award documents for all subawards at all tiers (including subcontracts, subgrants, and contracts under grants, loans, and cooperative agreements) and that all subrecipients shall certify and disclose accordingly. This certification is a material representation of fact upon which reliance was placed when this transaction was made or entered into. Submission of this certification is a prerequisite for making or entering into this transaction imposed by Section 1352, Title 31, U.S.C. Any person who fails to file the required certification shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure.
C. CERTIFICATION REGARDING DRUG FREE WORKPLACE REQUIREMENTS.
The grantee certifies that it will or will continue to provide a drug-free workplace by:
1. Publishing a statement notifying employees that the unlawful manufacture, distribution, dispensing, possession, or use of a controlled substance is prohibited in the grantee's workplace and specifying the actions that will be taken against employees for violation of such prohibition;
2. Establishing an ongoing drug-free awareness program to inform employees about -
A. The dangers of drug abuse in the workplace;
B. The grantee's policy of maintaining a drug-free workplace;
C. Any available drug counseling, rehabilitation, and employee assistance programs; and
D. The penalties that may be imposed upon employees for drug abuse violations occurring in the workplace;
3. Making it a requirement that each employee to be engaged in the performance of the grant be given a copy of the statement required by paragraph (1);
4. Notifying the employee in the statement required in paragraph (1) that, as a condition of employment under the grant, the employee will-
A. Abide by the terms of the statement; and
B. Notify the employer in writing of his or her conviction for a violation of a criminal drug statute occurring in the workplace no later than five calendar days after such conviction;
5. Notifying the agency in writing, within ten calendar days after receiving notice under subparagraph (4) (B) from an employer or otherwise receiving actual notice of such conviction. Employers of convicted employees must provide notice, including position title, to every grant officer or other designee on whose grant activity the convicted employee was working, unless the Federal agency has designated a central point for the receipt of such notices. Notice shall include the identification number(s) of each affected grant.
6. Taking one of the following actions, within 30 calendar days of receiving notice under subparagraph (4) (B) with respect to any employee who is so convicted;
A. Taking appropriate personnel action against such an employee, up to and including termination, consistent with the requirements of the Rehabilitation Act of 1973, as amended, or;
B. Requiring such employee to participate satisfactorily in a drug abuse assistance or rehabilitation program approved for such purposes by a Federal, State or local health, law enforcement, or other appropriate agency;
7. Making a good faith effort to continue to maintain a drug-free workplace through implementation of paragraphs (1, (2), (3), (4), (5), (6).
The grantee may insert in the space provided below the site(s) for the performance of work done in connection with this specific grant.
Place of Performance (Street address, city, county, state, zip code)
Check ( ) if there are additional workplaces on file that are not identified above.
E. NONDISCRIMINATION & EQUAL OPPORTUNITY ASSURANCE:
As a condition of the award of financial assistance from the Department of Labor under Title I or WIA, the grant applicant assures that it will comply with the nondiscrimination and equal opportunity provisions of the following laws:
(1) Section 188 of the Workforce Investment Act of 1998 (WIA) which prohibits discrimination against all individuals in the United States on the basis of race, color, religion, sex, national origin, age, disability, political affiliation, or belief, and against beneficiaries on the basis of either citizenship/status as a lawfully admitted immigrant authorized to work in the United States or participation in an WIA Title I - financially assisted program or activity;
(2) Title VI of the Civil Rights of 1964, as amended, which prohibits discrimination on the basis of race, color and national origin;
(3) Section 504 of the Rehabilitation Act of 1973, as amended, which prohibits discrimination on the basis of age; and individuals with disabilities.
(4) The Age Discrimination Act of 1975, as amended, which prohibits discrimination on the basis of age; and
(5) Title IX of the Education Amendments of 1972, as amended, which prohibits the discrimination on the basis of sex in educational programs.
The grant applicant also assures that it will comply with 29 CFR Part 37 and all other regulations implementing the laws listed above. This assurance applies to the grant applicant's operation of the WIA Title I - financially assisted program or activity, and to all agreements the grant applicant makes to carry out the WIA Title I - financially assisted program or activity. The grant applicant understands that the United States has the right to seek judicial enforcement of this assurance.
FY 2000 Statutory Requirements
(Imposed by Public Law 106-113; November 17, 1999)
Title V - GENERAL PROVISIONS
Sec. 503. (a) No part of any appropriation contained in this Act shall be used, other than for normal and recognized executive-legislative relationships, for publicity propaganda purposes, for the preparation, distribution, or use of any kit, pamphlet, booklet, publication, radio, television, or video presentation designed to support or defeat legislation pending before the Congress or any State legislature, except in presentation to the Congress or any State legislature itself.
(b) No part of any appropriation contained in this Act shall be used to pay the salary or expenses of any grant or contract recipient, or agent acting for such recipient, related to any activity designed to influence legislation or appropriations pending before the Congress or any State legislature.
Sec. 505. Notwithstanding any other provision of this Act, no funds appropriated under this Act shall be used to carry out any program of distributing sterile needles or syringes for the hypodermic injection of any illegal drug.
Sec. 506. (a) Purchase of American-Made Equipment and Products. - It is the sense of the Congress that, to the greatest extent practicable, all equipment and products purchased with funds made available in this Act should be American-made.
(b) Notice Requirement, -In providing financial assistance to, or entering into any contract with, any entity using funds made available in the Act, the head of each Federal agency, to the greatest extent practicable, shall provide to such entity a notice describing the statement made in subsection (a) by the Congress.
(c) Prohibition of Contracts with Person Falsely Labeling Products Made in America.-If it has been finally determined by a court or Federal agency that any person intentionally affixed a label bearing a "Made in America" inscription, or any inscription with the same meaning, to any product sold in or shipped in the United States that is not made in the United States, the person shall be ineligible to receive any contract or subcontract made with funds made available in this Act, pursuant to the debarment, suspension, and ineligibility procedures described in section 9.400 through 9/409 or title 48, Code of Federal Regulations.
Sec. 507. When issuing statements, press releases, requests for proposals, bid solicitations and other documents describing projects or programs funded in whole or in part with Federal money, all grantees receiving Federal funds included in this Act, including but not limited to State and local governments and recipients of Federal research grants, shall clearly state: (1) the percentage of the total costs of the program or project which will be financed with Federal money; (2) the dollar amount of Federal funds for the project or program; and (3) percentage and dollar amount of the total costs of the project or program that will be financed by non-governmental sources.
Sec. 508. (a) None of the funds appropriated under this Act, and none of the funds in any trust fund to which funds are appropriated under this Act, shall be expended for any abortion.
(b) None of the funds appropriated under this Act, and none of the funds in any trust fund to which funds are appropriated under this Act, shall be expended for health benefits coverage that includes coverage of abortion.
(c) The term "health benefits coverage": means the package of services covered by a managed care provider or organization pursuant to a contract or other arrangement.
Sec. 509. (a) The limitation established in the preceding section shall not apply to an abortion-
(1) if the pregnancy is the result of an act of rape or incest; or
(2) in the case where a woman suffers from a physical disorder, physical injury, or physical illness, including a life-endangering physical condition caused by or arising from the pregnancy itself, that would, as certified by a physician, place the woman in danger of death unless an abortion is performed.
(b) Nothing in the preceding section shall be construed as prohibiting the expenditure by a State, locality, entity, or private person of State , local or private funds (other than a State's or locality's contribution or Medicaid matching funds).
(c) Nothing in the preceding section shall be construed as restricting the ability of any managed care provider from offering abortion coverage or the ability of a State or locality to contract separately with such a provider for such cover with State funds (other than a State's or locality's contribution of Medicaid matching funds).
Sec. 510. (a) None of the funds made available in this Act may be used for-
(1) the creation of a human embryo or embryos are for research purposes; or
(2) research in which a human embryo or embryos destroyed, discarded, or knowingly subjected to risk or injury or death greater than that allowed for research on fetuses in utero under 45 CFR 46.208(a)(2) and section 498(b) of the Public Health Service Act (42 U.S.C. 289g(b)).
(b) For purposes of this section, the term "human embryo or embryos" includes any organism, not protected as a human subject under 45 CFR 46 as of the date of the enactment of this Act, that is derived by fertilization, parthenogenisis, cloning, or any other means from one or more human gametes or human diploid cells.
Sec. 511. (a) Limitation on Use of Funds for Promotion of Legalization of Controlled Substances. -None of the funds made available in this Act may be used for any activity that promotes the legalization of any drug or other substance included in schedule I of the schedules of controlled substances established by section 202 of the Controlled Substances Act (21 U.S.C. 812).
(b) Exceptions.-The limitation in subsection (a) shall no apply when there is significant medical evidence of a therapeutic advantage to the use of such drug or other substance or that federally sponsored clinical trials are being conducted to determine therapeutic advantage.
Sec. 512. None of the funds made available in this Act may be obligated or expended to enter into or renew a contract with an entity if -
(1) such an entity is otherwise a contractor with the United States and is subject to the requirement in section 4212(d) of title 38, United States Code, regarding submission of an annual report to the Secretary of Labor concerning employment of certain veterans; and
(2) such entity has not submitted a report as required by that section for the most recent year for which such requirement was applicable to such entity.
Sec. 514. None of the funds made available in this Act may be used to promulgate or adopt any final standard under section 1173(b) of the Social Security Act (42 U.S.C. 1320d-2(b)) providing for, or providing for the assignment of, a unique health identifier for an individual (except in an individual's capacity as an employer or a health care provider), until legislation is enacted specifically approving the standard.
1. This grant, when executed, establishes a legal relationship between the U. S. Department of Labor and the grantee. Payments under this grant shall be made through the Advance Payment/Payment Management System unless otherwise indicated in accordance with 29 CFR Part 97.21.
2. The grantee hereby agrees that any allowable WIA costs incurred by the awardee pursuant to this grant prior to the obligation of WIA funds by the Department are incurred at the grantee's own risk. The Department has no responsibility to reimburse such costs in the absence of an obligation.
3. The grantee agrees to comply with the reporting instructions issued by the Division of Indian and Native American Programs (DINAP).
4. Matching Funds:
Will be required for programs under this grant.
X Will not be required for programs under this grant.
5. The Grant Officer's Technical Representative is not authorized to change any of the terms or conditions of the grant. Such changes, if any, will be accomplished only by the Grant Officer by the use of a properly executed grant modification.
6. Grantee must receive prior approval from the Department of Labor/Employment and Training Administration's Property Officer for the purchase and/or lease of any property and/or equipment. The request must be directed through your Grant Officer's Technical Representative and must include a detailed description and cost of the items to be acquired.
7. In compliance with Executive Orders 12876, 12900, 12928, and 13021, the grantee is strongly encourage to provide sub-granting opportunities to Historically Black Colleges and Universities, Hispanics serving Institutions, and Tribal Colleges and Universities.
SPECIAL CLAUSE NO. 1 - INDIRECT COST
SPECIAL NOTE: This clause is to be utilized only for those grantees seeking indirect costs. It is to be utilized for all affected grants and modifications.
In order to avoid major audit problems, disallowed costs and to receive timely reimbursement of indirect costs, grantees should take those necessary steps to comply with this clause as well as the critical time frames for submission of indirect cost proposals.
You are governed by, and must comply with one of the following cost principle categories: (1) Federal Acquisition Regulation (FAR) Subparts 31 and 42 apply to private-for-profit contractors; (2) OMB Circular A-87 applies to state and local governments and Federally-recognized Indian Tribes. States receiving WIA formula-allocated funds can elect to waive A-87 coverage; (3) OMB Circulars A-21, A-88 and FAR 42.705-3 apply to educational institutions; (4) OMB Circular A-122 applies to nonprofit institutions excluding those addressed in the preceding as well as hospitals.
The total amount of grant funds will not be increased to reimburse grantee organizations for costs which exceed the total award due to indirect cost rates higher than anticipated. In addition, the application of approved indirect cost rates does not relieve the grantee of any other cost limitations regarding the grant.
INDIRECT COST RATES AND COST ALLOCATION PLANS
Review the following Options and check the applicable statement:
OPTION 1: DOL IS THE ONLY FUNDING SOURCE FOR THIS GRANTEE
DOL is the only funding source for this grantee, therefore no Indirect Cost Rate Agreement or Cost Allocation Plan is needed.
OPTION 2: GRANTEES WITH MULTIPLE FUNDING SOURCES
Grantees should have either an approved Indirect Cost Rate Agreement or an approved Cost Allocation Plan. If a grantee does not have an Indirect Cost Rate Agreement or approved Cost Allocation Plan, a proposal/plan must be sent to the appropriate cognizant Federal agency for approval. If the Department of Labor (DOL) is your cognizant agency, proposals for indirect cost rates and supporting data and documentation should be sent to the DCD Negotiator in the appropriate DOL Regional Office or if applicable, to the DCD National Office whose address and phone number listed below. In addition, if you do not know your cognizant Federal agency, please call the phone number listed below:
Director, Division of Cost Determination (DCD)
U. S. Department of Labor, OASAM
200 Constitution Avenue, N.W., Room S-5520
Washington, D. C. 20210
Phone Number: (202) 219-8391
An approved Indirect Cost Rate is in place.
An approved Cost Allocation Plan is in place.
An Indirect Cost Proposal has been submitted to its' cognizant agency. A copy of the letter transmitting the proposal is attached.
SPECIAL CLAUSE NO. 2 - KEY OFFICIALS
A. Department of Labor Representatives. The grantee organizations primary contact with the Department of Labor (DOL) is the DINAP Grant Officer's Technical Representative (GOTR) (Federal Representative). Although the GOTR is the primary contact, under no circumstances is the GOTR authorized to sign grant documents or approve any alterations to the grant involving a change in the period, scope, price or other terms and conditions of the grant or order requiring the Grant Officer's approval. Grantees will be notified by DINAP of the assigned GOTR and of changes in the assignment as they occur.
B. Grantee Representatives. Please list below the names and telephone numbers of those individuals (WIA Director, organization's comptroller, contract officer, etc.) who are authorized and responsible for the operation and the administration of the grant program. A modification to your grant is not necessary to record changes of listed individuals, except for signatory officials. However, the DINAP GOTR should be advised in writing of changes as they occur.
NAME & TITLE:
NAME & TITLE:
NAME & TITLE:
NAME & TITLE:
NAME & TITLE:
NAME & TITLE:
DISCLOSURE OF LOBBYING ACTIVITIES
Complete this form to disclose lobbying activities pursuant to 31 U.S.C. 1352
(see reverse for public burden disclosure)
Authorized for Local Reproduction Standard Form - LLL-A
DISCLOSURE OF LOBBYING ACTIVITIES CONTINUATION SHEET
Approved by OMB 0348-0046 Authorized for Local Reproduction Standard - LLL-A
CERTIFICATION REGARDING LOBBYING ACTIVITIES
Section 18 of the "Lobbying Disclosure Act of 1995," signed by the President on December 19, 1995, requires that any organizations described in section 501(c)(4) of the Internal Revenue Code of 1986 which engages in lobbying activities shall not be eligible for the receipt of Federal funds constituting an award, grant, loan, or any other form.
As an officer of
1. This is to certify that our IRS Status is:
an IRS 501 (c) (3) entity
an IRS 501 (c) (4) entity
Other (specify) entity
2. If your organization is a 501(c)(4) entity, as checked under No. 1 above, select one of the statements below:
we have or plan to engage in lobbying activities.
we have not or will not engage in lobbying activities.