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DINAP Code of Federal Regulations

[Code of Federal Regulations]

[Title 20, Volume 3]

[Revised as of April 1, 2002]

From the U.S. Government Printing Office via GPO Access

[CITE: 20CFR668]


[Page 812-815]








Subpart B--Service Delivery Systems Applicable to Section 166 Programs


Sec. 668.200   What are the requirements for designation as an “Indian or Native American (INA) grantee”?

     (a) To be designated as an INA grantee, an entity must have:

    (1) A legal status as a government or as an agency of a government, private non-profit corporation, or a consortium which contains at least one of these entities;

    (2) The ability to administer INA program funds, as defined at Sec. 668.220; and

    (3) A new (non-incumbent) entity must have a population within the designated geographic service area which would provide funding under the funding formula found at Sec. 668.296(b) in the amount of at least $100,000, including any amounts received for supplemental youth services under the funding formula at Sec. 668.440(a).  Incumbent grantees which do not meet this dollar threshold for Program Year (PY) 2000 and beyond will be grandfathered in.  We will make an exception for grantees wishing to participate in the demonstration program under Public Law 102-477 if all resources to be consolidated under the Public Law 102-477 plan total at least $100,000, with at least $20,000 derived from section 166 funds as determined by the most recent Census data. Exceptions to this $20,000 limit may be made for those entities which are close to the limit and which have demonstrated the capacity to administer Federal funds and operate a successful employment and training program.

    (b) To be designated as a Native American grantee, a consortium or its members must meet the requirements of paragraph (a) of this section and must:

    (1) Be in close proximity to one another, but they may operate in more than one State;

    (2) Have an administrative unit legally authorized to run the program and to commit the other members to contracts, grants, and other legally-binding agreements; and

    (3) Be jointly and individually responsible for the actions and obligations of the consortium, including debts.

    (c) Entities potentially eligible for designation under paragraph (a)(1) or (b)(1) of this section are:

    (1) Federally-recognized Indian tribes;

    (2) Tribal organizations, as defined in 25 U.S.C. 450b;

    (3) Alaska Native-controlled organizations representing regional or village areas, as defined in the Alaska Native Claims Settlement Act;

    (4) Native Hawaiian-controlled entities;

    (5) Native American-controlled organizations serving Indians; and

    (6) Consortia of eligible entities which individually meets the legal requirements for a consortium described in paragraph (c) of this section.

    (d) Under WIA section 166(d)(2)(B), individuals who were eligible to participate under section 401 of JTPA on August 6, 1998, remain eligible to participate under section 166 of WIA. State-recognized tribal organizations serving such individuals are considered to be “Native

American controlled” for WIA section 166 purposes.


Sec. 668.210   What priority for designation is given to eligible organizations?


    (a) Federally-recognized Indian tribes, Alaska Native entities, or consortia that include a tribe or entity will have the highest priority for designation. To be designated, the organizations must meet the requirements in this subpart.  These organizations will be designated for those geographic areas and/or populations over which they have legal jurisdiction. (WIA sec. 166(c)(1).)

    (b) If we decide not to designate Indian tribes or Alaska Native entities to serve their service areas, we will enter into arrangements to provide services with entities which the tribes or Alaska Native entities involved approve.

    (c) In geographic areas not served by Indian tribes or Alaska Native entities, entities with a Native American-controlled governing body and which are representative of the Native American community or communities involved will have priority for designation.


Sec. 668.220   What is meant by the “ability to administer funds” for designation purposes?


    An organization has the “ability to administer funds” if it:

    (a) Is in compliance with Departmental debt management procedures, if applicable;

    (b) Has not been found guilty of fraud or criminal activity which would affect the entity's ability to safeguard Federal funds or deliver program services;

    (c) Can demonstrate that it has or can acquire the necessary program and financial management personnel to safeguard Federal funds and effectively deliver program services; and

    (d) Can demonstrate that it has successfully carried out, or has the capacity to successfully carry out activities that will strengthen the ability of the individuals served to obtain or retain unsubsidized employment.


Sec. 668.230   How will we determine an entity's “ability to administer funds”?


    (a) Before determining which entity to designate for a particular service area, we will conduct a review of the entity's ability to administer funds.

    (b) The review for an entity that has served as a grantee in either of the two designation periods before the one under consideration, also will consider the extent of compliance with the WIA regulations or the JTPA regulations at 20 CFR part 632.  Evidence of the ability to administer funds may be established by a satisfactory Federal audit record.  It may also be established by a recent record showing substantial compliance with Federal record keeping, reporting, program performance standards, or similar standards imposed on grantees by this or other public sector supported programs.

    (c) For other entities, the review includes the experience of the entity's management in administering funds for services to Native American people. This review also includes an assessment of the relationship between the entity and the Native American community or communities to be served.


Sec. 668.240   What is the process for applying for designation as an INA grantee?


    (a) Every entity seeking designation must submit a Notice of Intent (NOI) which complies with the requirements of the Solicitation for Grant Application (SGA).  An SGA will be issued every two years, covering all areas except for those for which competition is waived for the incumbent grantee under WIA section 166(c)(2).

    (b) NOI's must be submitted to the Chief of DINAP, bearing a U.S. Postal Service postmark indicating its submission no later than October 1st of the year which precedes the first year of a new designation cycle (unless the SGA provides a later date).  For NOI's received after October 1, only a timely official U.S. Postal Service postmark is acceptable as proof of timely submission.  Dates indicating submission by private express delivery services or metered mail are unacceptable as proof of the timely submission of designation documents.

    (c) NOI's must include the following:

    (1) Documentation of the legal status of the entity, as described in Sec. 668.200(a)(1);

    (2) A Standard Form (SF) 424b;

    (3) The assurances required by 29 CFR 37.20;

    (4) A specific description, by State, county, reservation or similar area, or service population, of the geographic area for which the entity requests designation;

    (5) A brief summary 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;

    (6) A description of the planning process used by the entity, including the involvement of the governing body and local employers;

    (7) Evidence to establish an entity's ability to administer funds under Secs. 668.220 through 668.230.


Sec. 668.250   What happens if two or more entities apply for the same area?


    (a) Every two years, unless there has been a waiver of competition for the area, we issue a Solicitation for Grant Application (SGA) seeking applicants for INA program grants.

    (b) If two or more entities apply for grants for the same service area, or for overlapping service areas, and a waiver of competition under WIA section 166(c)(2) is not granted to the incumbent grantee, the following additional procedures apply:

    (1) The Grant Officer will follow the regulations for priority designation at Sec. 668.210.

    (2) If no applicant is entitled to priority designation, DINAP will inform each entity which submitted a NOI, including the incumbent grantee, in writing, of all the competing Notices of Intent no later than November 15 of the year the NOI's are received.

    (3) Each entity will have an opportunity to describe its service plan, and may submit additional information addressing the requirements of Sec. 668.240(c) or such other information as the applicant determines is appropriate.  Revised Notices must be received or contain an official U.S. Postal Service postmark, no later than January 5th (unless a later date is provided in DINAP's information notice).

    (4) The Grant Officer selects the entity that demonstrates the ability to produce the best outcomes for its customers.


Sec. 668.260   How are INA grantees designated?


    (a) On March 1 of each designation year, we designate or conditionally designate Native American grantees for the coming two program years. The Grant Officer informs, in writing, each entity which submitted a Notice of Intent that the entity has been:

    (1) Designated;

    (2) Conditionally designated;

    (3) Designated for only a portion of its requested area or population; or

    (4) Denied designation.

    (b) Designated Native American entities must ensure and provide evidence to DOL that a system is in place to afford all members of the eligible population within their service area an equitable opportunity to receive employment and training activities and services.


Sec. 668.270   What appeal rights are available to entities that are denied designation?


    Any entity that is denied designation in whole or in part for the area or population that it requested may appeal the denial to the Office of the Administrative Law Judges using the procedures at 20 CFR 667.800 or the alternative dispute resolution procedures at 20 CFR 667.840.  The Grant Officer will provide an entity whose request for designation was denied, in whole or in part, with a copy of the appeal procedures.


Sec. 668.280   Are there any other ways in which an entity may be designated as an INA grantee?


    Yes, for an area which would otherwise go unserved.  The Grant Officer may designate an entity, which has not submitted an NOI, but which meets the qualifications for designation, to serve the particular geographic area.  Under such circumstances, DINAP will seek the views of Native American leaders in the area involved about the decision to designate the entity to serve that community. DINAP will inform the Grant Officer of their views.  The Grant Officer will accommodate their views to the extent possible.


Sec. 668.290   Can an INA grantee's designation be terminated?


    (a) Yes, the Grant Officer can terminate a grantee's designation for cause, or the Secretary or another DOL official confirmed by the Senate can terminate a grantee's designation in emergency circumstances where termination is necessary to protect the integrity of Federal funds or ensure the proper operation of the program. (WIA sec. 184(e).)

    (b) The Grant Officer may terminate a grantee's designation for cause only if there is a substantial or persistent violation of the requirements in the Act or the WIA regulations. The grantee must be provided with written notice 60 days before termination, stating the specific reasons why termination is proposed.  The appeal procedures at 20 CFR 667.800 apply.

    (c) The Secretary must give a grantee terminated in emergency circumstances prompt notice of the termination and an opportunity for a hearing within 30 days of the termination.


Sec. 668.292   How does a designated entity become an INA grantee?


    A designated entity becomes a grantee on the effective date of an executed grant agreement, signed by the authorized official of the grantee organization and the Grant Officer.  The grant agreement includes a set of certifications and assurances that the grantee will comply with the terms of the Act, the WIA regulations, and other appropriate requirements.  Funds are released to the grantee upon approval of the required planning documents, as described in Secs. 668.710 through 668.740.


Sec. 668.294   Do we have to designate an INA grantee for every part of the country?


    No, beginning with the PY 2000 grant awards, if there are no entities meeting the requirements for designation in a particular area, or willing to serve that area, we will not allocate funds for that service area. The funds allocated to that area will be distributed to the remaining INA grantees, or used for other program purposes such as technical assistance and training (TAT).  Unawarded funds used for technical assistance and training are in addition to, and not subject to the limitations on, amounts reserved under Sec. 668.296(e).  Areas which are unserved by the INA program may be restored during a subsequent designation cycle, when and if a current grantee or other eligible entity applies for and is designated to serve that area.


Sec. 668.296   How are WIA funds allocated to INA grantees?


    (a) Except for reserved funds described in paragraph (e) of this section and funds used for program purposes under Sec. 668.294, all funds available for WIA section 166(d)(2)(A)(i) comprehensive workforce investment services program at the beginning of a Program Year will be allocated to Native American grantees for their designated geographic service areas.

    (b) Each INA grantee will receive the sum of the funds calculated under the following formula:

    (1) One-quarter of the funds available will be allocated on the basis of the number of unemployed Native American persons in the grantee's designated INA service area(s) compared to all such persons in all such areas in the United States.

    (2) Three-quarters of the funds available will be allocated on the basis of the number of Native American persons in poverty in the grantee's designated INA service area(s) as compared to all such persons in all such areas in the United States.

    (3) The data and definitions used to implement these formulas is provided by the U.S. Bureau of the Census.

    (c) In years immediately following the use of new data in the formula described in paragraph (b) of this section, based upon criteria to be described in the SGA, we may utilize a hold harmless factor to reduce the disruption in grantee services which would otherwise result from changes in funding levels.  This factor will be determined in consultation with the grantee community and the Native American Employment and Training Council.

    (d) We may reallocate funds from one INA grantee to another if a grantee is unable to serve its area for any reason, such as audit or debt problems, criminal activity, internal (political) strife, or lack of ability or interest.  Funds may also be reallocated if a grantee has carry-in excess of 20 percent of the total funds available to it.  Carry-in amounts greater than 20 percent but less than 25 percent of total funds available may be allowed under an approved waiver issued by DINAP.

    (e) We may reserve up to one percent (1 percent) of the funds appropriated under WIA section 166(d)(2)(A)(i) for any Program Year for TAT purposes.  Technical assistance will be provided in consultation with the Native American Employment and Training Council.


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