Billing Code: 4510-30-M
Department of Labor
Employment and Training Administration
Job Training Partnership Act, Title III, Demonstration
Program: Labor Organization Adjustment Assistance
AGENCY: Employment and Training Administration, Labor.
ACTION: Notice of availability of funds and solicitation for
grant application (SGA).
SUMMARY: All information required to submit a proposal is
contained in this announcement. The U.S. Department of
Labor (DOL), Employment and Training Administration (ETA),
announces a demonstration program to test the ability of
labor organizations to develop innovative approaches for
providing accelerated skills development and/or enhancement
of job skills already possessed by affected workers to
increase their prospects of transitioning to new or related
occupational job opportunities. The program is to be funded
with Secretary's National Reserve funds appropriated through
Title III of the Job Training Partnership Act (JTPA). This
notice describes the process that eligible applicants must
use to apply for demonstration funds, the subject area for
which applications will be accepted for funding, how
grantees are to be selected, and the responsibilities of
grantees. It is anticipated that up to $3 million will be
available for funding approximately 6 demonstration projects
covered by this solicitation with no project being awarded
more than $500,000.
DATES: Applications for grant awards will be accepted
commencing (insert date of publication). The closing date
for receipt of applications will be January 7, 1998, at 2:00
p.m. (Eastern Time) at the address below.
ADDRESSES: Applications shall be mailed to: Division of
Acquisition and Assistance, Attention: Denise Roach,
Reference: SGA/DAA 98-001, Employment and Training
Administration, U.S. Department of Labor, Room S-4203, 200
Constitution Avenue, NW., Washington, DC 20210.
FOR FURTHER INFORMATION CONTACT:
Denise Roach, Division of Acquisition and Assistance,
Telephone: (202) 219-8694 (this is not a toll-free number).
SUPPLEMENTAL INFORMATION: This announcement consists of five
parts. Part I describes the authorities and purpose of the
demonstration program and identifies demonstration
evaluation and oversight policy. Part II describes the
application process and provides detailed guidelines for use
in applying for demonstration grants. Part III includes the
statement of work for the demonstration projects. Part IV
identifies and defines the selection criteria which will be
used in reviewing and evaluating applications. Part V
describes the reporting requirements.
Part I. Background
A. Authorities
Section 323(a)(b) of the Job Training Partnership Act
authorizes the use of funds reserved under Part B of Title
III for demonstration programs. The Department requires
that applicants for grants comply with all Federal and State
laws and regulations in setting up their programs.
B. Purpose of the Demonstration
As authorized under Title III of JTPA, the Dislocated
Worker Program provides a wide range of employment and
training services to eligible dislocated workers to help
them find and qualify for new jobs. Many of these jobs
will be in occupations different from workers' pre-layoff
occupations and require affected workers to learn new skills
and knowledge where the "skills gap" is substantial. In
other instances the "skills gap" could be minimal and
require only enhancement of workers' existing skills to
increase their transferability to related occupations.
Strategies which maximize the utilization of workers'
current skills and/or reduce the length of training required
for the acquisition of new skills should not only expand but
also facilitate a more rapid transition to new employment
opportunities.
This demonstration will test whether labor
organizations as institutions knowledgeable about and
focused on the maintenance of their members' skills and/or
knowledgeable about emerging technologies and occupations
can be successful providers of the above strategies either
directly or by playing the principal role in the design and
implementation of innovative approaches and strategies for
meeting the skills needs of this target population.
Projects funded through this solicitation are to provide
reemployment and retraining services -- as described in
Sections 314(c) and 314(d) of JTPA -- to dislocated workers
who may need and benefit from the receipt of these services.
Participants must be eligible under Sections 301(a)(1)(A),
(B), or (C) of JTPA AND be members of the target population
for which the project is designed. For purposes of this
demonstration, appropriate target populations include those
workers who have been represented through collective
bargaining by the demonstration project grantee labor
organization or its partnering labor organizations and who
have been terminated or laid off within 90 days of the
closing date of this solicitation or within 150 days
subsequent to the grant award. Up to 15 percent of the
target population may include represented workers who have
been longer-term unemployed for three (3) months or longer
and whose lay-offs occurred prior to the 90 day period
indicated above.
The demonstration projects must ensure that the
services and service mix provided will achieve the following
program goals: 1) at least 74 percent of project
participants will find employment within 90 days after
leaving the project, 2) the post-program wage at 90 day
follow-up is at least 96 percent of the wage at dislocation
on average, and 3) at least 70 percent of the project
participants will rate the services received as "extremely"
or "very" valuable.
C. Evaluation
Under a separate announcement, DOL will select and fund
a separate evaluation contractor to: 1) provide technical
assistance to grantees in establishing appropriate data
collection methods and processes; and 2) conduct an
independent process evaluation of the demonstration
projects. Grantees will be expected to make available
participant records and access to personnel, as specified by
the evaluation contractor.
In addition, DOL will establish, for each demonstration
project site, an oversight group made up of federal, State,
and substate staff.
D. Definitions
Unless otherwise indicated in this announcement,
definitions of terms used herein shall be those definitions
found in the Job Training Partnership Act, as amended,
particularly at Section 4 and Section 301.
Part II. Application Process --- All Information Required To
Submit a Proposal Is Contained in This Announcement
A. Eligible applicants
Eligible applicants for demonstration projects funded
under this announcement are labor organizations which:
1) provide exclusive representation to the target population
to be served through collective bargaining agreements in
effect at the time of the effective date of worker layoff or
termination; and 2) that can demonstrate the ability to
deliver the services proposed and to ensure the integrity of
the funds requested. NOTE: With respect to item 1, an
eligible applicant may be a labor organization which
provides exclusive representation to a portion of the target
population and which is willing to administer grant funds in
partnership with other labor organizations that provide
exclusive representation to the other respective portions of
the target population to be served. In these circumstances,
the offeror must demonstrate through letters of support from
the other labor organizations that the latter will
participate in the grant activities to be performed.
B. Contents
An original and three (3) copies of the proposal shall
be submitted. The proposal shall consist of two (2)
separate and distinct parts--Part I, the Financial Proposal,
and Part II, the Technical Proposal.
1. FINANCIAL PROPOSAL - The Financial Proposal, Part
I, shall contain the SF-424, "Application for Federal
Assistance" (Appendix No. 1), and SF 424-A, "Budget"
(Appendix No. 2). The Federal Domestic Assistance
Catalog number is 17.246. An applicant shall indicate
on the SF-424 the type of organization for which it
qualifies under the eligibility criteria in Part II,
section A. of this solicitation. The budget shall
include on separate pages: a cost analysis of the
budget, identifying in detail the amount of each budget
line item attributable to administrative costs and
costs for one or more of the following categories:
basic readjustment services [Section 314(c)(1-14, 16-18) of JTPA], supportive services [Section 314(c)(15)],
and retraining services [Section 314(d)] requested
through this grant [Note: Other Title III cost
categories not mentioned are specifically excluded from
grant expenditures, e.g. rapid response assistance and
needs-related payments]; an identification of the
amount of each budget line item which will be covered
by other funds (if applicable), and the sources of
those funds (including other Title III funds, employer
funds, in-kind resources, secured and unsecured loans,
grants, and other forms of assistance, public and
private); and a justification for the average cost of
service per placement. The latter is to be computed by
dividing the number of proposed participants of the
target population who will be employed within 90 days
after leaving the project into the total Federal funds
requested.
Grant funds may cover only those costs which are
appropriate and reasonable. Federal funds cannot be
used to provide training which an employer is in a
position to, and would otherwise, provide, nor can they
be used to provide salaries for program participants.
Federal funds may not be used for acquisition of
production equipment. The only type of equipment that
may be acquired with Federal funds is equipment
necessary for the operation of the grant. In the
instance of a purchase, the cost of the equipment is to
be prorated over the projected life of the equipment to
determine the cost to the grant. USE OF GRANT FUNDS TO
PURCHASE EQUIPMENT WITH A UNIT COST OF $5,000 OR MORE
REQUIRES SPECIAL REVIEW AND APPROVAL FROM DOL PRIOR TO
PURCHASE.
Applicants may budget limited amounts of grant
funds to work with technical expert(s) to provide
advice and develop more complete project plans.
2. TECHNICAL PROPOSAL - The technical proposal shall
demonstrate the offeror's capabilities in accordance
with the Statement of Work/Project Summary in Part III
of this solicitation. NO COST DATA OR REFERENCE TO
PRICE SHALL BE INCLUDED IN THE TECHNICAL PROPOSAL.
C. Submission
Grant applications will be evaluated carefully by a
panel convened by the Department after the closing date of
this solicitation. Incomplete or non-responsive proposals
may be returned without evaluation. An application will be
reviewed based upon the overall responsiveness of the
application's content to the submission requirements and to
the selection criteria found in Part IV, taking into
consideration the extent to which funds are available.
D. Hand-Delivered Proposals
Proposals should be mailed at least five (5) days prior
to the closing date for the receipt of applications.
However, if proposals are hand-delivered, they shall be
received at the designated place by 2 p.m., Eastern Time on
the closing date for receipt of applications. All overnight
mail will be considered to be hand-delivered and must be
received at the designated place by the specified time and
closing date. Telegraphed and/or faxed proposals will not
be honored. Failure to adhere to the above instructions
will be a basis for a determination of nonresponsiveness.
E. Late Proposals
Any proposal received at the office designated in the
solicitation after the exact time specified for receipt will
not be considered unless it --
(1) was sent by the U.S. Postal Service registered or
certified mail not later than the fifth calendar day before
the date specified for receipt of the application (e.g., an
offer submitted in response to a solicitation requiring
receipt of applications by the 30th of January must have
been mailed by the 25th); or
(2) was sent by U.S. Postal Service Express Mail Next
Day Service -- Post Office to Addressee, not later than 5:00
p.m. at the place of mailing two working days prior to the
date specified for receipt of proposals. The term "working
days" excludes weekends and U.S. Federal holidays.
The only acceptable evidence to establish the date of
mailing of a late proposal sent either by the U.S. Postal
Service registered or certified mail is the U.S. postmark
both on the envelope or wrapper and on the original receipt
from the U.S. Postal Service. Both postmarks must show a
legible date or the proposal shall be processed as if mailed
late. "Postmark" means a printed, stamped, or otherwise
placed impression (exclusive of a postage meter machine
impression) that is readily identifiable without further
action as having been supplied and affixed by employees of
the U.S. Postal Service on the date of mailing. Therefore,
applicants should request the postal clerk to place a
legible hand cancellation "bull's eye" postmark on both the
receipt and the envelope or wrapper.
The only acceptable evidence to establish the date of
mailing of a late proposal sent by "Express Mail Next Day
Service -- Post Office to Addressee" is the date entered by
the post office receiving clerk on the "Express Mail Next
Day Service -- Post Office to Addressee" label and the
postmark on both the envelope and wrapper and on the
original receipt from the U.S. Postal Service. "Postmark"
has the same meaning as defined above. Therefore,
applicants should request the postal clerk to place a
legible hand cancellation "bull's eye" postmark on both the
receipt and the envelope or wrapper.
F. Withdrawal of Proposals
Proposals may be withdrawn by written notice or
telegram (including mailgram) received at any time before
award. Proposals may be withdrawn in person or by an
applicant or an authorized representative thereof, if the
representative's identity is made known and the
representative signs a receipt for the proposal before an
award.
G. Period of Performance
Grant awards will be made for a 17 month period.
Project operators must be prepared to deliver services
within 60 days following award. The delivery of services
will be for a period of 12 months. Grantees will be allowed
up to 90 days subsequent to the termination of service
delivery for collecting follow-up information on individual
completers and the preparation of final project reports.
H. Funding
DOL has set aside up to $3 million to be disbursed for
6 projects, contingent upon resources being available for
this purpose. It is expected that no project will be
awarded more than $500,000. DOL may elect to modify and add
funds to a grant for an additional one (1) or two (2) years
of operation based on the availability of funds, successful
program operation, and the needs of the Department.
I. Page Count Limit
Applications are to be limited to thirty-five (35)
double-spaced, single side, 8.5 inch x 11 inch pages with
one inch margins. Attachments shall not exceed ten (10)
pages. Text type shall be 11 point or larger. Applications
that do not meet these requirements will not be considered.
J. Cost Limitations
Demonstration grants are not subject to the cost
limitations for Title III grants at Section 315 of the JTPA.
However, any offeror proposing administrative costs that
exceed 15 percent of the budget and/or supportive services
that exceed 25 percent of the funds requested in the
application shall provide a narrative justification.
Part III. Statement of Work
Each application should follow the format outlined
here. For every section, A through F, the application
should include: (1) information that responds to the
requirements in this part; (2) information that indicates
adherence to the provisions described in Parts I and II of
this solicitation; and (3) other information the offeror
believes will address the selection criteria identified in
Part IV.
A. Target Population
Describe the dislocated worker target population,
including the size, location, and needs of this population
relative to the services being provided.
Indicate the beginning and end dates of the collective
bargaining agreement(s) under which the target population
was covered at the time of the workers' layoff or
termination and the labor organization(s) and company(ies)
who were the parties to the agreement(s).
B. Components of the Labor Organization Adjustment
Assistance Demonstration
Describe the major elements of the demonstration
project, including how the project works in terms of the
individual worker getting access to the reemployment and
retraining services which the individual needs.
Specifically:
How will new job openings and opportunities in
demand occupations for the project participants be
identified and developed?
What services will be covered by the reemployment
and retraining program? Describe the mechanisms
to be used to ensure appropriate outreach and
recruitment. Explain how these services are
relevant to the target population to be served.
Explain how these services will focus on utilizing
a participant's current (pre-layoff) skills for
placement and/or retraining purposes. [Note: Such
services must be authorized under Sections 314(c)
and 314(d) of JTPA and comply with applicable
federal regulations at 20 CFR 627 and 631.]
How will the reemployment and retraining service
needs of the individual worker be determined?
What will be the sequence of services provided and
the criteria/decision points used to determine the
appropriateness of specific services for
individual participants? By way of illustration,
include a flowchart indicating the sequence of
services provided, the decision points which
determine the services to be provided to a
participant, and the expected duration of each
service component.
How will qualified providers of reemployment and
retraining services be determined if they are
used?
How will a participant's continuing participation
in the program be monitored? At what point(s)
will termination occur?
What information will be available to the worker
to identify and evaluate alternative employment
opportunities? How will this information be
developed? How will the worker be able to access
this information?
How will the components described in this subpart
relate to the demonstration purpose of testing
innovative approaches for maximizing the
utilization of workers' current skills for entry
into new or related demand occupations?
C. Administration and Management
Identify the management structure for the project and
describe the means to ensure accountability for funds as
well as performance.
Provide a description of the process and procedures to
be used to obtain feedback from participants and other
appropriate parties on the responsiveness and effectiveness
of the services provided. The description should include an
identification of the types of information to be obtained,
the method(s) and frequency of data collection, and how the
information will be used in implementing and managing the
project. Specific references should be made to collecting
information needed to determine: 1) the achievement of
project outcomes as indicated in section E (including 90 day
follow-ups of participants to determine demonstration
program goal achievement) and 2) the reporting of
participants, outcomes, and expenditures. Indicate what
methods, e.g. surveys, focus groups, will be used to collect
feedback information.
Describe the applicant's past experience in the
management of projects similar to that being proposed.
D. Use of existing services and resources
Identify specific sources and amounts of other funds,
if any, which will be used in addition to funds provided
through this grant to implement the project. Include:
1) information on any non-JTPA resources committed to this
project, including employer funds, secured and unsecured
loans, grants, and other forms of assistance, public and
private; and 2) a description of the relationship of the
proposed project to the ongoing assistance to dislocated
workers through the formula-funded JTPA Title III-A program
in the service area and those procedures to be used to
ensure non-duplication of services between the formula-funded Title III-A program and the project. Describe any
other coordination of resources and agencies that may be
undertaken.
E. Outcomes
Identify project outcomes and the specific measures,
and planned achievement levels, that will be used to
determine the success of the project.
These outcomes and measures should include, but are not
limited to:
The number of participants to be enrolled in
services, those successfully completing services
through the project, and those to be placed into
new jobs including (to be separately identified)
those obtaining new jobs utilizing a high degree
of their previous job skills;
Measurable effects of the services provided to
project participants as indicated by gains in
individuals' skills, competencies, or other
outcomes;
Average wages of participants prior to and at
completion of project;
Customer satisfaction with the project, and at
critical points in the service delivery; and
Other additional measurable, performance-based
outcomes that are relevant to the proposed
intervention and which may be readily assessed
during the period of performance of the project.
[NOTE: An explanation of how such additional
measures are relevant to the purpose of the
demonstration program shall be included in the
application.]
The proposal must also describe how outcomes achieved
by individuals served by the project are to be related to
the numerical demonstration program goals identified in Part
I, section B.
F. Replicability
Describe the information to be provided on project
activities that will allow other parties to replicate the
proposed project. Discuss the applicability of the project
to other dislocated worker programs.
Part IV. Evaluation criteria
Prospective offerors are advised that the selection of
grantee(s) for award is to be made after careful evaluation
of proposals by a panel selected by DOL. Panelists will
evaluate the proposals for acceptability based on the
various factors enumerated below. The panel results are
advisory in nature and not binding on the Grant Officer.
Evaluations will be made on the basis of both what the
proposed offeror intends to do during the grant period, and
on the usefulness of the demonstration after the end of the
grant period.
A. Technical Evaluation (80 points)
Services and Target Group. (35 points) The
responsiveness of the services to be provided,
including the degree to which the services appear to
meet the needs of the target population. The extent to
which the services to be provided focus on and are
innovative in utilizing participants' current (pre-layoff) skills. The demonstrated relationship between
the services to be provided and the jobs into which
participants are to be placed. The scope of the
project in terms of the number of participants to be
served. (Relates to information requested in Part III,
sections A, B, and E.)
Management Structure. (15 points)
The extent to which the management structure ensures
accountability for performance, monitors customer
satisfaction, and includes procedures for continuous
quality improvement. The ability of the management
structure to determine the extent to which the planned
project outcomes and demonstration program goals have
been met by the project. (Relates to information
requested in Part III, section C.)
Coordination and Linkages; Utilization of Resources.
(10 points)
The extent to which the project will use other existing
public and private resources including employer and
union-funded assistance, avoid duplication of services
with the formula-funded Title III-A program, and
coordinate its services with other appropriate State
and local organizations. (Relates to information
requested in Part III, section D.)
Demonstrated Experience. (10 points)
Experience in the oversight and operation of projects
requiring management capabilities and experience
similar to the proposed project. (Relates to
information requested in Part III, section C.)
Replicability. (10 points)
The completeness of the information to be provided on
project activities that will allow others to replicate
the project. The likelihood that the approach may be
applicable to a broad range of dislocated worker
programs across the country. (Relates to information
requested in Part III, section F.)
B. Cost Evaluation (20 points)
The cost effectiveness of the project as indicated by
the relationship of proposed costs to number of
participants to be served, the range of services to be
provided and the planned outcomes, as compared to other
service strategies available for Title III grantees.
The extent to which the budget is justified and
supports the planned outcomes.
Applicants are advised that discussions may be necessary in order to clarify any inconsistencies in
their applications. Applications may be rejected where
the information required is not provided in sufficient
detail to permit adequate assessment of the proposal.
The final decision on the award will be based on what
is most advantageous to the Federal Government as
determined by the ETA Grant Officer.
Part V. Reporting requirements
Applicants selected as grantees will be required to
provide the following reports:
A. Monthly and Quarterly Progress Reports
B. Standard Form 269, Financial Status Report Form, on a
quarterly basis.
C. Final Project Report including an assessment of project
performance.
Signed at Washington, D.C., this 24th day of October,
1997.
Janice E. Perry
Grant Officer, Employment and Training Administration
APPENDICES
No. 1 - Application for Federal Assistance (Standard Form
424)
No. 2 - Budget Form - Non Construction Programs (Standard
Form 424-A)
Attachment No. 1
Application for Federal Assistance (Standard Form 424)
Attachment No. 2
Budget Form - Non Construction Programs (Standard Form 424A)
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