DINAP BULLETIN NO. 99-01

DATE: September 9, 1999

DINAP BULLETIN NO. 99-01

TO: ALL INDIAN AND NATIVE AMERICAN GRANTEES

SUBJECT: Workforce Investment Act Section 166 Designation Procedures for Program Years 2000 and 2001

1. Purpose. To transmit the Workforce Investment Act of 1998 (WIA) grantee designation procedures and forms for Program Years (PYs) 2000 and 2001.

2.References. The Workforce Investment Act of 1998, section 166; the Interim Final Regulations at 20 CFR Part 668, Subpart B, dated April 15, 1999.

3.Background. The Workforce Investment Act of 1998, section 166 program is a formula-based employment and training program limited to designated grantees. This program replaces the Job Training Partnership Act (JTPA) section 401 program and is designed to allow the provision and coordination of employment and training services to eligible Indian and Native Americans (INAs) to enhance their social, academic and employment skills and to make them more competitive in the workforce. To receive funding as a section 166 grantee, an entity must be designated by the Department of Labor (DOL) to provide services to the target population in a specified service area. Entities will be designated for a two-year period. Upon designation and submission of a two-year Comprehensive Services Plan, the Department will provide funding for the first Program Year 2000 program. PY 2001 funds will be provided subject to acceptable performance and the availability of Federal funds.

4.Information. On August 7, 1998, the President signed the Workforce Investment Act of 1998 (WIA) into law. It officially replaces JTPA and must be implemented by grantees by July 1, 2000. The process for application and selection of service providers for PYs 2000 and 2001 is stated in the attached Federal Register Notice. As specified in the Interim Final Regulations at 20 CFR 668.200, the basic eligibility requirements are changed for new applicants. New applicants must now qualify for and meet a $100,000 formula funding threshold as expressed by the formula at 20 CFR 668.296(b). Incumbent applicants do not have to meet that requirement. For those Federally-recognized tribes or Alaska Native entities not currently designated under JTPA which do not meet the $100,000 threshold but which wish to participate in the demonstration under Public Law 102-477, the provisions of 20 CFR 668.200(b)(3) will apply, with the further clarification that the amount of WIA funds accruing to the entity should total $20,000 for the entity to receive a WIA section 166 designation.

The Department has determined that $20,000 is the minimum amount of WIA allocation necessary to ensure an entity's ability to administer these funds and allow for the viable provision of WIA services. The attached FR notice contains all of the information and forms necessary for application. A copy of each current grantee's existing service area is attached for reference.

5.Action Required. All entities interested in applying for designation as a WIA section 166 service provider for PYs 2000 and 2001 need to follow the detailed instructions set forth in the attached Federal Register Notice. In general, applying entities must submit an SF-424, properly completed and signed, and clearly indicate the service area(s) being applied for by State(s), counties, and reservation(s), as well as documenting their legal status and submitting the other information required in Part A.

6. Inquiries. Questions should be directed to your Federal representative or Mr. Greg Gross at (202) 219-7509 ext 137 or INTERNET E-Mail [ggross@doleta.gov].

JAMES C. DELUCA ANNA W. GODDARD

Chief Director

Division of Indian and Office of National Programs

Native American Programs

E. FRED TELLO

Grant Officer

Division of Federal

Assistance

Attachments

1. Federal Register Notice: Designation Procedures

2. Standard Form 424 (SF-424) and instructions

3. Current Designated Service Area(s)

cc:Goddard, Barker, Tello, DeLuca, Dabney, Gross, Fed. Reps., Official File

TDNI:GREG GROSS:gjg 09/07/99 Room N-4641 FPB 219-7509 ext 137

Doc. Name:bull 99-01.wpd (s:\ostp\dinap\bulletin)

Billing Code: 4510-30

DEPARTMENT OF LABOR

Employment and Training Administration

Workforce Investment Act: Indian and Native

American Employment and Training Programs;

Solicitation for Grant Applications:

Final Grantee Designation Procedures

for Program Years 2000 and 2001

AGENCY: Employment and Training Administration, Labor.

ACTION: Notice of final designation procedures for grantees.

SUMMARY: This document contains the procedures by which the Department of Labor (DOL) will select and designate service providers for Program Years 2000 and 2001 for Indian and Native American Employment and Training Programs under the Workforce Investment Act. Grantees or potential eligible providers participating in Public Law 102-477 Demonstration Projects must apply for designation if they wish to receive WIA funds. This law allows Federally-recognized tribes to consolidate their formula-funded employment and training and related dollars under a single service plan administered by the Bureau of Indian Affairs. This notice provides the information that applicants need to submit appropriate requests for designation.

DATE: Notices of Intent must be received in the Department by October 1, 1999, or no later than 30 days from date of publication of this solicitation in the Federal Register, whichever is later. If not received by that Federal Register publication date, Notices of Intent must be postmarked by the U.S. Postal Service no later than that publication date. Failure to meet this requirement will disqualify the applicant from further consideration.

ADDRESS: Send a signed original and two copies of the Notice of Intent to Mr. James C. DeLuca, Chief, Division of Indian and Native American Programs, Room N-4641 FPB ATTN: MIS Desk, U.S. Department of Labor, 200 Constitution Avenue, N.W., Washington, D.C. 20210.

SUPPLEMENTARY INFORMATION:

WORKFORCE INVESTMENT ACT

INDIAN AND NATIVE AMERICAN PROGRAMS;

FINAL DESIGNATION PROCEDURES FOR PROGRAM YEARS 2000 and 2001

Table of Contents:

Introduction: Scope and Purpose of Notice

I. General Designation Principles

II. Notice of Intent

III. Use of Panel Review Procedure

IV. Notification of Designation/Nondesignation

V. Special Designation Situations

VI. Designation Process Glossary

INTRODUCTION: SCOPE AND PURPOSE OF NOTICE:

Section 166 of the Workforce Investment Act (WIA) authorizes programs to serve the employment and training needs of Indians and Native Americans.

Requirements for these programs are set forth in the Act, and in the WIA section 166 regulations at 20 CFR Part 668, published at 64 Fed. Reg. 18622, 18736 (April 15, 1999). The specific eligibility and application requirements for designation are set forth at 20 CFR Part 668, Subpart B. Pursuant to these requirements, the Department of Labor (DOL) selects entities for funding under WIA, section 166 for a two-year designation period. Designated Native American section 166 service providers will be funded annually during the designation period, contingent upon all other grant award requirements being met and the continuing availability of Federal funds.

The Notice of Intent (see Part II, below) is mandatory for all applicants. Any organization interested in being designated as a Native American section 166 grantee should be aware of and comply with the procedures in these parts.

The amount of WIA section 166 funds to be awarded to designated Native American organizations is determined under procedures described at 20 CFR 668.296(b) and not through this designation process.

I. GENERAL DESIGNATION PRINCIPLES

Based on WIA and applicable regulations, the following general principles are intrinsic to the designation process:

(1) All applicants for designation shall comply with the requirements found at 20 CFR Part 668, Subpart B, which contains the basic eligibility, application, and designation requirements. Potential applicants should be aware that a non-incumbent entity must have a population within the designated geographic service area which would provide formula funding under 20 CFR 668.296(b) in the amount of at least $100,000 per program year. Federally-recognized tribes wishing to participate in the demonstration under Public Law 102-477 must have a service area and population which generates at least $20,000 per year in section 166 formula funds.

(2) High unemployment, lack of training, lack of employment opportunity, societal and other barriers exist within predominantly INA communities and among INA groups residing in other communities. The nature of this program is such that Indians and Native Americans are best served by a responsible Indian and Native American organization directly representing them, with the demonstrated knowledge and ability to coordinate resources within the respective communities. The WIA and the governing regulations establish a priority for Indian and Native American organizations. That priority is the basis for the steps which will be followed in designating grantees.

(3) A Federally-recognized tribe, band or group on its reservation, and Alaska Native entities defined in the Alaska Native Claims Settlement Act (ANCSA) or consortia that include a tribe or an entity are given highest priority over any other organization if they have the capability to administer the program and meet all eligibility and regulatory requirements. This priority applies only to the areas over which the organizations have legal jurisdiction.

In the event that such a tribe, band or group (including an Alaska Native entity) is not designated to serve its reservation or geographic service area, the DOL will consult with the governing body of such entities when designating alternative service deliverers. Such consultation may be accomplished in writing, in person, or by telephone, as time and circumstances permit. When it is necessary to select alternative service deliverers, the Grant Officer will, in accordance with 20 CFR 668.280, whenever possible, accommodate the views and recommendations of the INA community leaders and the Division of Indian and Native American Programs (DINAP).

(4) In designating Native American section 166 grantees for areas not covered by the highest priority in accordance with (3) above, DOL will designate Indian and Native American-controlled organizations as service providers. This would include the group referred to in (3) applying for off-reservation areas. As noted in (3) above, when vacancies occur, the Grant Officer will select alternates in accordance with 20 CFR 668.280.

(5) Incumbent and non-incumbent applicants seeking additional areas are expected to clearly demonstrate a working knowledge of the community that they plan to serve, including available resources, resource utilization and acceptance by the service population.

(6) Special employment and training services for Indian and Native American people have been provided through an established service delivery network for the past 24 years under the authority of JTPA section 401 and its predecessor, section 302 of the repealed Comprehensive Employment and Training Act (CETA). The DOL intends to exercise its designation authority to both preserve the continuity of such services and to prevent the undue fragmentation of existing geographic service areas. Consistent with the present regulations and other provisions of this notice, this will include priority for those Native American organizations with an existing demonstrated capability to deliver employment and training services within an established geographic service area, and for organizations which directly represent the recipients of WIA services. Such preference will be determined through input and recommendations from the Chief of DOL's Division of Indian and Native American Programs (DINAP) and the Director of DOL's Office of National Programs (ONP),

(7) In preparing applications for designation, applicants should bear in mind that the purpose of section 166 of WIA is "to support employment and training activities for Indian, Alaska Native, and Native Hawaiian individuals in order-

(A) to develop more fully the academic, occupational, and literacy skills of such individuals;

(B) to make such individuals more competitive in the workforce; and

(C) to promote the economic and social development of Indian, Alaska Native, and Native Hawaiian communities in accordance with the goals and values of such communities."

II. NOTICE OF INTENT

1. DATES AND ADDRESS FOR SUBMITTAL

Send a signed original and two copies of the completed Notice of Intent (NOI) to Mr. James C. DeLuca, Chief, Division of Indian and Native American Programs, Room N-4641 FPB, ATTN: MIS Desk, U. S. Department of Labor, 200 Constitution Ave., N.W., Washington, D.C. 20210.

Notices of Intent which comply with the requirements of this solicitation must be received by or postmarked by October 1, 1999, or 30 days from date of publication of this solicitation in the Federal Register, whichever is later. NOIs not received by the publication deadline will be accepted only with an official, U.S. Postal Service postmark indicating timely submission. Dates indicating submission by private express delivery service or by metered mail are unacceptable as proof of submission.

When more than one eligible organization applies to provide services in the same area, a review of the applicants will be conducted and when necessary, a competitive selection will be made. Competing applicants will be notified of such competition no later than November 15, 1999, and may submit revised Notices of Intent to be received by the department or postmarked no later than January 5, 2000. At a minimum, revised Notices of Intent should include the information required in Part A as applicable and Part B. All Notices of Intent must be submitted to the Chief of DINAP at the above address.

2. NOTICE OF INTENT CONTENT AND PROCEDURE

The information required in Part A must be provided by all applicants. Additionally, competing organizations will be required, if notified by the Grant Officer, to provide the information in Part B.

Part A.

1. A completed SF-424, "Application for Federal Assistance", signed by the authorized signatory official;

2. An identification of the applicant's legal status, including articles of incorporation or consortium agreement as appropriate;

3. A specific description of the territory being applied for, by State(s), counties, reservation(s) or similar area, or service population;

4. A very brief summary, including the funding source, contact person and phone number of the employment and training or human resource development programs serving Native Americans that the entity currently operates or has operated within the previous two-year period;

5. A brief description of the planning process used by the entity, including involvement of the governing body and local employers.

6. Evidence to establish an entity's ability to administer funds under 20 CFR 668.220 and 668.230 which should at a minimum include:

(a) A statement that fraud or criminal activity has not been found in the organization, OR a brief description of the circumstance where it has been found and a description of resolution, corrective action and current status, AND

(b) A narrative demonstrating that an entity has or can acquire the necessary program and management personnel to safeguard federal funds and effectively deliver program services that support the purposes of the Workforce Investment Act, AND

(c) If not otherwise provided, a narrative demonstrating that an entity has successfully carried out or has the ability to successfully carry out activities that will strengthen the ability of the individuals served to obtain or retain unsubsidized employment, including the past two-year history of publically funded grants/contracts administered including identification of the fund source and a contact person.

The Grant Officer may require additional, clarifying, or other information including a site visit, prior to designating applicants.

Part B

If the Grant Officer determines that there is competition for all or part of a given service area, the following information will be required of competing entities:

(1) Evidence that the entity represents the community proposed for services such as: Demonstration of support from Native American-controlled organizations, State agencies, or individuals in a position to speak to the employment and training competence of the entity in the specific area applied for; and

(2) Submission of a service plan and other information expanding on the information required at Part A which the applicant feels can strengthen its case, including information on any unresolved or outstanding administrative problems.

Exclusive of charts or graphs and letters of support, the additional information submitted to augment the Notice of Intent in a situation involving competition should not exceed 75 pages of double-space unreduced type.

Incumbent and non-incumbent Federally-recognized tribes and Alaska entities need not submit evidence of support regarding their own reservations or areas of legal jurisdiction. However, such entities are required to provide such evidence for any area which they wish to serve beyond their reservation boundaries, or their Congressionally-mandated or Federally-established service areas.

All applicants for non-contiguous geographic service areas must prepare a separate, complete Notice of Intent (including the above-referenced supplementary information if applicable) for each such area.

III. USE OF PANEL REVIEW PROCEDURE:

An initial review of all applicants, conducted by DINAP and with the concurrence of the Grant Officer, will identify priority applicants and recommend those areas requiring further competition. A formal panel review process may be utilized under the following circumstances:

(1) When one or more new applicants, none qualifying for the highest priority for the requested area, can demonstrate the potential for superiority over the incumbent organization, OR

(2) When two or more applicants, none qualifying for the highest priority, request an area and the incumbent organization fails to apply for designation.

When further competition occurs, the Grant Officer will convene a review panel to score the information submitted with the Notice of Intent (Part A and B). This panel will include individuals with knowledge of or expertise in programs dealing with Indians and Native Americans. The purpose of the panel is to review and evaluate an organization's potential, based on its application (including the required supplemental information), to provide services to a specific Native American community, to rate the proposals in accordance with the rating criteria and to make recommendations to the Grant Officer. The panel will be provided the information described in the Notice of Intent and supplemental information provided through the Grant Officer.

It is DOL's policy that no information affecting the panel review process will be solicited or accepted past the regulatory postmarked or hand-delivered deadlines. All information provided before these deadlines must be in writing.

This policy does not preclude the Grant Officer from requesting additional information independent of the panel review process.

During the review, the panel will not give weight to undocumented assertions. Any information must be supported by adequate and verifiable documentation, e.g., supporting references must contain the name of the contact person, an address, and telephone number. Panel recommendations are advisory to the Grant Officer.

The factors listed below will be considered in evaluating the applicants approach to providing services.

1. (a) Previous experience in successfully operating an employment

and training program serving Indians and Native Americans, OR

(b) Previous experience in operating other human resources

development programs serving Indians or Native Americans or

coordinating employment and training services. 20 points

2. Approach to providing services including:

Identification of the training and employment problems and needs

in the requested area and approach to addressing such needs and

demonstration of the ability to maintain continuity of services to

Indian or Native American participants consistent with those

previously provided in the community. 40 points

3. Description of Planning Process including involvement of

community leaders, involvement with local Workforce Investment

Boards and Youth Councils, etc. 15 points

4. Coordination, linkages and the ability to utilize existing

resources within the community, including one-stop systems

(as applicable), to eliminate duplication of effort. 15 points

5. Demonstration of support and recognition of the Native American

community and service population. 10 points

Total = 100 points

IV. NOTIFICATION OF DESIGNATION/NONDESIGNATION:

The Grant Officer will make the final designation decision giving consideration to the following factors: the review panel's recommendation, in those instances where a panel is convened; input from DINAP, the Office of National Programs, other offices within the Employment and Training Administration, and the DOL Office of the Inspector General; and any other available information regarding the organization's financial and operational capability, and responsibility. The Grant Officer will select the entity that demonstrates the ability to produce the best outcomes for its customers. Decisions will be made by March 1, 2000, and will be provided to applicants as follows:

(1) Designation Letter. The designation letter signed by the Grant Officer will serve as official notice of an organization's designation. The letter will include the geographic service area for which the designation is made. It should be noted that the Grant Officer is not required to adhere to the geographical service area requested in the Notice of Intent. The Grant Officer may make the designation applicable to all of the area requested, a portion of the area requested, or if acceptable to the designee, more than the area requested.

(2) Conditional Designation Letter. Conditional designations will include the nature of the conditions, the actions required to be finally designated and the time frame for such actions to be accomplished. Failure to satisfy such conditions may result in a withdrawal of designation.

(3) NON-DESIGNATION Letter. Any organization not designated, in whole or in part, for a geographic service area requested will be notified formally of the NON-DESIGNATION and given the basic reasons for the determination. An applicant for designation which is refused such designation, in whole or in part, will be afforded the opportunity to appeal its NON-DESIGNATION as provided at 20 CFR 668.270.

V. SPECIAL DESIGNATION SITUATIONS:

(1) Alaska Native Entities. DOL has established geographic service areas for Alaska Native employment and training grantees based on the following: (a) the boundaries of the regions defined in the Alaska Native Claims Settlement Act (ANCSA); (b) the boundaries of major sub-regional areas where the primary provider of human resource development related services is an Indian Reorganization Act (IRA)-recognized tribal council; and (c) the boundaries of the one Federal reservation in the State. Within these established geographic service areas, DOL will designate the primary Alaska Native-controlled human resource development services provider or an entity formally selected by such provider. In the past, these entities have been regional nonprofit corporations, IRA-recognized tribal councils, and the tribal government of the Metlakatla Indian Community. DOL intends to follow these principles in designating Native American grantees in Alaska for Program Years 2000 and 2001.

(2) Oklahoma Indians. DOL has established a service delivery system for Indian employment and training programs in Oklahoma based on a preference for Oklahoma Indian tribes and organizations to serve portions of the State. Generally, service areas have been designated geographically as countywide areas. In cases in which a significant portion of the land area of an individual county lies within the traditional jurisdiction(s) of more than one tribal government, the service area has been subdivided to a certain extent on the basis of tribal identification information contained in the most recent Federal Decennial Census of Population. Wherever possible, arrangements mutually satisfactory to grantees in adjoining or overlapping geographic service areas will be honored by DOL. Where mutually satisfactory arrangements cannot be made, DOL will designate and assign service area to Native American grantees in a manner which is consistent with WIA and that will preserve the continuity of services and prevent unnecessary fragmentation of the programs.

VI. DESIGNATION PROCESS GLOSSARY:

In order to ensure that all interested parties have the same understanding of the process, the following definitions are provided:

(1) Indian or Native American-Controlled Organization. This is defined as any organization with a governing board, more than 50 percent of whose members are Indians or Native Americans. Such an organization can be a tribal government, Native Alaska or Native Hawaiian entity, consortium, or public or private nonprofit agency. For the purpose of designation determinations, the governing board must have decision-making authority for the WIA section 166 program. It should be noted that, pursuant to WIA section 166(d)(2)(B), individuals who were eligible to participate under section 401 of JTPA on August 6, 1998, shall be eligible to participate under WIA. Organizations serving such individuals shall be considered "Indian controlled" for WIA section 166 purposes.

(2) Service Area. This is defined as the geographic area described as States, counties, and/or reservations for which a designation is made. In some cases, it will also show the specific population to be served. The service area is identified by the Grant Officer in the formal designation letter. Grantees must ensure that all eligible population members have equitable access to employment and training services within the service area.

(3) Incumbent Organizations. Organizations which are current grantees under JTPA section 401, during PY 1999, are considered incumbent grantees for the existing service area, for the purposes of WIA.

Signed at Washington, D.C., this (3rd) day of (September) , 1999

Previous Editions Not Usable Standard Form 424 (REV 4-88)

Prescribed by OMB Circular A-102

Authorized for Local Reproduction

INSTRUCTIONS FOR THE SF 424

This is a standard form used by applicants as a required face sheet for preapplications and applications submitted for Federal assistance. It will be used by Federal agencies to obtain applicant certification that States which have established a review and comment procedure in response to Executive Order 12372 and have selected the program to be included in their process, have been given an opportunity to review the applicant's submission.

Item: Entry: :

1. Self-explanatory.

2. Date application submitted to Federal agency (or State if applicable) & applicant's control number (if applicable).

3. State use only (if applicable).

4. If this application is to continue or revise an existing award, enter present Federal identifier number. If for a new project, leave blank.

5. Legal name of applicant, name of primary organizational unit which will undertake the assistance activity, complete address of the applicant, and name and telephone number of the person to contact on matters related to this application.

6. Enter Employer Identification Number (EIN) as assigned by the Internal Revenue Service.

7. Enter the appropriate letter in the space provided.

8. Check appropriate box and enter appropriate letter(s) in the space(s) provided:

-- "New" means a new assistance award.

-- "Continuation" means an extension for an additional funding/budget period for a project with a projected completion date.

-- "Revision" means any change in the Federal Government's financial obligation or contingent liability from an existing obligation.

9. Name of Federal agency from which assistance is being requested with this application.

10. Use the Catalog of Federal Domestic Assistance number and title of the program under which assistance is requested.

11. Enter a brief descriptive title of the project. If more than one program is involved, you should append an explanation on a separate sheet. If appropriate (e.g., construction or real property projects), attach a map showing project location. For preapplications, use a separate sheet to provide a summary description of this project.

Item: Entry:

12. List only the largest political entities affected (e.g., State, counties, cities).

13. Self-explanatory.

14. List the applicant's Congressional District and any District(s) affected by the program or project.

15. Amount requested or to be contributed during the first funding/budget period by each contributor. Value of in-kind contributions should be included on appropriate lines as applicable. If the action will result in a dollar change to an existing award, indicate only the amount of the change. For decreases, enclose the amounts in parentheses. If both basic and supplemental amounts are included, show breakdown on an attached sheet. For multiple program funding, use totals and show breakdown using same categories as item 15.

16. Applicants should contact the State Single Point of Contact (SPOC) for Federal Executive Order 12372 to determine whether the application is subject to the State intergovernmental review process.

17. This question applies to the applicant organization, not the person who signs as the authorized representative. Categories of debt include delinquent audit disallowances, loans, and taxes.

18. To be signed by the authorized representative of the applicant. A copy of the governing body's authorization for you to sign this application as official representative must be on file in the applicant's office. (Certain Federal agencies may require that this authorization be submitted as part of the application.)

SF 424 (REV 4-88) Back