[Federal Register Volume 61, Number 178 (Thursday, September 12, 1996)]
[Notices]
[Pages 48170-48174]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 96-23386]


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DEPARTMENT OF LABOR

Employment and Training Administration


Job Training Partnership Act: Indian and Native American 
Employment and Training Programs; Solicitation for Grant Application: 
Final Designation Procedures for Grantees for Program Years 1997-98

AGENCY: Employment and Training Administration, Department of Labor.

ACTION: Notice of final designation procedures for grantees.

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SUMMARY: This document contains the procedures by which the Department 
of Labor (DOL) will designate potential grantees to receive two-year 
grants for Indian and Native American Employment and Training Programs 
under the Job Training Partnership Act (JTPA), and to exempt grantees 
participating in the Public Law 102-477 Demonstration Project from 
designation cycle competition. The designations will be for JTPA 
Program Years (PYs) 1997 and 1998 (July 1, 1997 through June 30, 1999). 
This notice provides necessary information to prospective grant 
applicants to enable them to submit appropriate requests for 
designation.

DATES: Optional Advance Notices of Intent must be postmarked no later 
than October 11, 1996. Final Notices of Intent must be postmarked no 
later than January 1, 1997.

ADDRESSES: Send an original and two copies of the Advance and Final 
Notices of Intent to Mr. Thomas Dowd, 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: The procedures are basically the same as the 
previous procedure used for PYs 1995 and 1996, except that the waiver 
of competition provisions of Sec. 401(l) of the Act will not be 
utilized for this designation cycle. JTPA section 401 grantees who are 
presently operating under Pub. L. 102-477, Indian Employment, Training, 
and Related Services Demonstration Act of 1992, must submit a Final 
Notice of Intent for redesignation under this procedure in order to 
maintain their service area designation and eligibility for funds under 
this title. They are, however, exempt from competition for the current 
service areas covered in their ``477 Plan'', assuming all other 
designation requirements continue to be met.

Job Training Partnership Act: Indian and Native American Programs; 
Final Designation Procedures for Program Years 1997-98

Table of Contents

Introduction: Scope and Purpose of Notice
I. General Designation Principles
II. Advance Notice of Intent
III. Final Notice of Intent
IV. Preferential Hierarchy for Determining Designations
V. Use of Panel Review Procedure
VI. Notification of Designation/Nondesignation
VII. Special Designation Situations
VIII. Designation Process Glossary

Introduction: Scope and Purpose of Notice

    Section 401 of the Job Training Partnership Act (JTPA) authorizes 
programs to serve the employment and training needs of Indians and 
Native Americans.
    Requirements for these programs are set forth in the JTPA and in 
the regulations at 20 CFR Part 632. The specific organization 
eligibility and application requirements for designation are set forth 
at 20 CFR 632.10 and 632.11. Pursuant to these requirements, the 
Department of Labor (DOL) selects entities for funding under section 
401. It designates such entities as potential Native American section 
401 grantees which will be awarded grant funds contingent upon all 
other grant award requirements being met. This notice describes how DOL 
will designate potential grantees who may apply for grants for Program 
Years 1997 and 1998. A designated entity may apply for grant funds for 
PY 1997 and PY 1998 without further competition.
    The designation process has two parts. The Advance Notice of Intent 
(see Part II, below) is optional although strongly recommended. The 
Final Notice of Intent (see Part III, below) is mandatory for all 
applicants. Any organization interested in being designated as a Native 
American section 401 grantee should be aware of and comply with the 
procedures in these parts.
    The amount of JTPA section 401 funds to be awarded to designated 
Native American section 401 grantees is determined under procedures 
described at 20 CFR 632.171 and not through this designation process. 
The grant application process is described at 20 CFR 632.18 through 
632.20.

I. General Designation Principles

    Based on JTPA 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 632, Subpart B, regardless of their 
apparent standing in the preferential hierarchy (see Part IV, 
Preferential Hierarchy For Determining Designations, below). The basic 
eligibility, application and designation requirements are found in 20 
CFR Part 632, Subpart B.
    (2) The nature of this program is such that Indians and Native 
Americans are entitled to program services and are best served by a 
responsible organization directly representing them and designated 
pursuant to the applicable regulations. The JTPA and the governing 
regulations give clear preference to Native American-controlled 
organizations. That preference is the basis for the steps which will be 
followed in designating grantees.
    (3) A State or Federally-recognized tribe, band or group on its 
reservation is given absolute preference over any other organization if 
it has the capability to administer the program and meets all 
regulatory requirements. This preference applies only to the area 
within the reservation boundaries. Such ``reservation'' organization 
which may have its service area given to another organization will be 
given a future opportunity to reestablish itself as the ``preference'' 
grantee.
    In the event that such a tribe, band or group (including an Alaskan 
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, as provided 
at 20 CFR 632.10(e). Such consultation may be accomplished in writing, 
in person, or by telephone, as time and circumstances permit. When it

[[Page 48171]]

is necessary to select alternative service deliverers, the Grant 
Officer will continue to utilize input and recommendations from the 
Division of Indian and Native American Programs (DINAP).
    (4) In designating Native American section 401 grantees for off-
reservation areas, DOL will provide preference to Indian and Native 
American-controlled organizations as described in 20 CFR 632.10(f) and 
as further clarified in Part VIII (1) Indian or Native American-
Controlled Organization of this notice. As noted in (3) above, when 
vacancies occur, the Grant Officer will continue to utilize input and 
recommendations from DINAP when designating alternative service 
deliverers.
    (5) Incumbent and non-incumbent applicants seeking additional areas 
must submit evidence of significant support from other Native American-
controlled organizations within the communities (geographic service 
areas) which they are currently serving or requesting to serve. See 
Part III, Final Notice of Intent, below, for more details.
    (6) The Grant Officer will make the designations using a two-part 
process:
    (a) Those applicants described in Part IV(1) of the Preferential 
Hierarchy For Determining Designations will be designated on a 
noncompetitive basis if all preaward clearances, responsibility 
reviews, and regulatory requirements are met.
    (b) All applicants described in Part IV, (2), (3), and (4) of the 
Preferential Hierarchy for Determining Designations will be considered 
on a competitive basis for such areas, and only information submitted 
with the Final Notice of Intent, as well as preaward clearances, 
responsibility reviews, and all regulatory requirements will be 
considered.
    (7) Special employment and training services for Indian and Native 
American people have been provided through an established service 
delivery network for the past 22 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 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 preference for those 
Native American organizations with an existing capability to deliver 
employment and training services within an established geographic 
service area. 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 Special 
Targeted Programs (OSTP), and through the use of the rating system 
described in this Notice. Unless a non-incumbent applicant in the same 
preferential hierarchy as an incumbent applicant grantee can 
demonstrate that it is significantly superior overall to the incumbent, 
the incumbent will be designated, if it otherwise meets all of the 
requirements for redesignation.
    (8) In preparing application for designation, applicants should 
bear in mind that the purpose of JTPA, as amended, is ``to establish 
programs to prepare youth and adults facing serious barriers to 
employment for participation in the labor force by providing job 
training and other services that will result in increased employment 
and earnings, increased education and occupational skills, and 
decreased welfare dependency, thereby improving the quality of the work 
force and enhancing the productivity and competitiveness of the 
Nation.''

II. Advance Notice of Intent

    The purpose of the Advance Notice of Intent process is to provide 
section 401 applicants, prior to the submission of a Final Notice of 
Intent, with information relative to potential competition. While DOL 
encourages the resolution of competitive request at the local level 
prior to final submission, the Advance Notice of Intent process also 
serves to alert those whose differences cannot be resolved of the need 
to submit a complete Final Notice of Intent.
    Although the Advance Notice of Intent process is not mandated by 
the regulations, participation in the advance notice process by 
prospective section 401 applicants is strongly recommended. The Advance 
Notice of Intent process allows the applicant to identify potential 
incumbent and non-incumbent competitors, to resolve conflicts if 
possible and to prepare a Final Notice of Intent with advance knowledge 
of potential competing requests.
    It should be emphasized, however, that the Advance Notice of Intent 
process does not ensure that all potential competitors have been 
identified. Some applicants may opt not to submit an Advance Notice of 
Intent; others may change geographic service area requests in the Final 
Notice of Intent. Therefore, as noted above, submissions should be 
prepared with these possibilities in mind. Although the regulations 
permit incumbents to submit no Advance Notice of Intent and to submit 
as a Final Notice of Intent no more than a Standard Form 424 
``Application for Federal Assistance'' (SF 424) for their existing 
geographic service areas, this choice may not be in the incumbent's 
best interests in the event of unanticipated competition.
    The SF 424 is not to be used for the advance notification process. 
As in the PY 1995-1996 designation process, DOL will utilize the 
Advance Notice of Intent to expedite the identification of potentially 
competitive applicants.
    All organizations interested in being designated as section 401 
grantees should submit an Advance Notice of Intent. The Advance Notice 
is to be postmarked no later than October 11, 1996, or 15 calendar days 
after the date of publication of this Federal Register Notice, 
whichever occurs later. An organization may submit only one Advance 
Notice of Intent for any and all areas for which it wants to be 
considered. The Advance Notice of Intent is to be sent to the Chief, 
Division of Indian and Native American Programs, at the address cited 
above. Incumbents will receive a description of their present 
geographic service area as cited above.
    DOL's first step in the designation process is to determine which 
areas have more than one potential applicant for designation. For those 
areas for which more than one organization submits an Advance Notice of 
Intent, each such organization will be notified of the situation, and 
will be apprised of the identity of the other organization(s) applying 
for that area. Such notification will consist of providing affected 
applicants (including incumbents who have not submitted Advance Notices 
of Intent) with copies of all Advance Notices submitted for their 
requested areas. The notification will state that organizations are 
encouraged to work out any conflicting requests among themselves, and 
that a final Notice of Intent should be submitted by the required 
postmark deadline of January 1, 1997 (see Part III, Final Notice of 
Intent, below).
    Under the Advance Notice of Intent process, it is DOL policy that, 
to the extent possible within the regulations, a geographic service 
area and the applicant which will operate a section 401 program in that 
area are to be determined by the Native American community to be served 
by the program. In the event the Native American community cannot 
resolve differences, applicants should take special care with their 
final Notices of Intent to ensure that they are complete and fully 
responsive to all matters covered by the preferential hierarchy and 
rating systems discussed in this notice.

[[Page 48172]]

    Information provided in the Advance Notice of Intent process shall 
not be considered as a final submission as referenced at 20 CFR 632.11. 
The Advance Notice of Intent is a procedural mechanism to facilitate 
the designation process. The regulations do not provide for formal 
application for designation through the Advance Notice of Intent. 
Although tribes and organizations participating in the employment and 
training demonstration project under Pub. L. 102-477 qualify for 
exemption from designation competition under Sec. 401(l) of JTPA, they 
still must submit a Final Notice of Intent to continue to receive funds 
under the JTPA.

III. Final Notice of Intent

    Even though an ANOI has been submitted, all applicants must submit 
an original and two copies of a Final Notice of Intent, postmarked not 
later than January 1, 1997, consistent with the regulations at 20 CFR 
632.11. Final Notices of Intent may also be delivered in person not 
later than the close of business on the first business day of the 
designation year. Exclusive of charts or graphs and letters of support, 
the Notice of Intent should not exceed 75 pages of double-space 
unreduced type.
    Final Notices of Intent are to be sent to the Chief, Division of 
Indian and Native American Programs (DINAP), at the address cited 
above.
    Final Notice of Intent Contents: (as outlined at 20 CFR 632.11)
     A completed and signed SF-424, ``Application for Federal 
Assistance'';
     An indication of the applicant's legal status, including 
articles of incorporation or consortium agreement as appropriate;
     A clear indication of the territory being applied for, in 
the same format as the ANOI;
     Evidence of community support from Native American-
controlled organizations; and
     Other relevant information relating to capability, such as 
service plans and previous experience which the applicant feels will 
strengthen its case, including information on any unresolved or 
outstanding administrative problems.
    Final Notices of Intent must contain evidence of community support. 
Incumbent and non-incumbent State and Federally-recognized tribes need 
not submit such evidence regarding their own reservations. However, 
such entities are required to provide such evidence for any area which 
they wish to serve beyond their reservation boundaries.
    The regulations permit current grantees requesting their existing 
geographic service areas to submit an SF 424 in lieu of a complete 
application, including those grantees currently participating in the 
demonstration under Public Law 102-477 who are exempt from designation 
cycle competition. As noted earlier in this notice, current grantees, 
other than tribes, bands or groups (including Alaskan Native entities) 
requesting their existing areas, are encouraged to consider submitting 
a full Final Notice of Intent (even if their geographic service area 
request has not changed) in the event that competition occurs. Tribes, 
bands or groups (including Alaskan Native entities) should consider 
submitting a full Final Notice of Intent if they currently serve areas 
beyond their reservation boundaries.
    Applicants are encouraged to modify the geographic service area 
requests identified in their Advance Notice of Intent to avoid 
competition with other applicants. Applicants are discouraged from 
adding territory to the geographic service area requested and 
identified in the Advance Notice of Intent. Any organization applying 
by January 1, 1997, for non-contiguous geographic service areas shall 
prepare a separate, complete Final Notice of Intent for each such area 
unless currently designated for such area(s).
    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 (see Part V, Use of Panel Review Procedure, 
below). All information provided before the deadline must be in 
writing.
    This policy does not preclude the Grant Officer from requesting 
additional information independent of the panel review process.

IV. Preferential Hierarchy for Determining Designation

    In cases in which only one organization is applying for a clearly 
identified geographic service area and the organization meets the 
requirements at 20 CFR 632.10(b) and 632.11(d), DOL shall designate the 
applying organization as the grantee for the area. In cases in which 
two or more organizations apply for the same area (in whole or in 
part), DOL will utilize the order of designation preference described 
in the hierarchy below. The organization will be designated, assuming 
all other requirements are met. The preferential hierarchy is:
    (1) Indian tribes, bands or groups on Federal or State reservations 
for their reservation; Oklahoma Indians only as specified in Part VII, 
Special Designation Situations, below; and Alaskan Native entities only 
specified in Part VII, Special Designation Situations, below.
    (2) Native American-controlled, community-based organizations as 
defined in Part VIII (1) of the glossary in this notice, with 
significant support from other Native American-controlled organizations 
within the service community. This includes tribes applying for 
geographic service areas other than their own reservations.
    When a non-incumbent can demonstrate in its application, by 
verifiable information, that it is potentially significantly superior 
overall to the incumbent, a formal competitive process will be utilized 
which may include a panel review. Such potential will be determined by 
the consideration of such factors as the following: completeness of the 
application and quality of the contents; documentation of relevant 
experience; Native American-controlled organizational support; 
understanding of area training and employment needs and approach to 
addressing such needs; and the capability of the incumbent. If there is 
no incumbent, new applicants qualified for this category would compete 
against each other.
    (3) Organizations (private nonprofit or units of State or local 
governments) having significant Native American control, such as a 
governing body or administration chaired or headed by a Native American 
and having a majority membership of Native Americans.
    (4) Non-Native American-controlled organizations. In the event such 
an organization is designated, it must develop a Native American 
advisory process as a condition for the award of a grant.
    The Chief, DINAP, will make determinations regarding hierarchy, 
geographic service areas, eligibility of new applicants and the 
timeliness of submissions. He may convene a task force to assist in 
making such determinations. The role of the task force is that of a 
technical advisory body.
    The Chief, DINAP, will ultimately advise the Grant Officer in 
reference to which position an organization holds in the designation 
hierarchy. Within the regulatory time constraints of the designated 
process, the Chief, DINAP, will utilize whatever information is 
available.
    The applying organization must supply sufficient information to 
permit the determination to be made. Organizations must indicate the 
category which they assume is

[[Page 48173]]

appropriate and must adequately support that assertion.

V. Use of Panel Review Procedure

    A formal competitive process may be utilized under the following 
circumstances:
    (1) The Chief, DINAP, advises that a new applicant qualified for 
the second category of the hierarchy appears to be potentially 
significantly superior overall to an incumbent Native American-
controlled, community-based organization with significant local Native 
American community support.
    (2) The Chief, DINAP, advises that more than one new applicant is 
qualified for the second category of the hierarchy, and the incumbent 
grantee has not reapplied for designation.
    (3) The Chief, DINAP, advises that two or more organizations have 
equal status in the third or fourth categories of the hierarchy, when 
there are no applicants qualified for the first and second categories.
    When competition occurs, the Grant Officer may convene a review 
panel of Federal Officials to score the information submitted with the 
Final Notice of Intent. The purpose of the panel is to evaluate an 
organization's capability, based on its application, to serve the area 
in question. The panel will be provided only the information described 
at 20 CFR 632.11 and submitted with the Final Notice of Intent. 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.
    The factors listed below will be considered in evaluating the 
capability of the applicant. In developing the Final Notice of Intent, 
the applicant should organize his documentation of capability to 
correspond with these factors.
    (1) Operational Capability--40 points. (20 CFR 632.10 and 632.11)
    (a) previous experience in successfully operating an employment and 
training program serving Indians and Native Americans of a scope 
comparable to that which the organization would operate if designated--
20 points.
    (b) Previous experience in operating other human resources 
development programs serving Indians or Native Americans or 
coordinating employment and training services with such programs--10 
points.
    (c) Ability to maintain continuity of services to Indian or Native 
American participants with those previously provided under JTPA--10 
points.
    (2) Identification of the training and employment problems and 
needs in the requested area and approach to addressing such problems 
and needs--20 points. (20 CFR 632.2)
    (3) Planning Process--20 points. (20 CFR 632.11)
    (a) Private sector involvement--10 points.
    (b) Community support as defined in Part VIII (1), Designation 
Process Glossary, and documentation as provided in Part I (5), General 
Designation Principles--10 points. (4) Administrative Capability--20 
points. (20 CFR 632.11)
    (a) Previous experience in administering public funds under DOL or 
similar administrative requirements--15 points.
    (b) Experience of senior management staff to be responsible for a 
DOL grant--5 points.

VI. 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 Special Targeted Programs, the DOL Employment 
and Training Administration's Office of Grant and Contracts Management 
and Office of Management Services, 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 make decisions by March 1, 1997, 
and will provide them to all 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 
Final 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.
    (3) NONDESIGNATION Letter. Any organization not designated, in 
whole or in part, for a geographic service area requested will be 
notified formally of the NONDESIGNATION and given the basic reasons for 
the determination. An applicant for designation which is refused such 
designation, in whole or in part, may file a Petition for 
Reconsideration in accordance with 20 CFR 632.13, and subsequently, may 
appeal the NONDESIGNATION to an administrative law judge under the 
provisions of 20 CFR Part 636.
    If an area is not designated for service through the foregoing 
process, alternative arrangements for service will be made in 
accordance with 20 CFR 632.12.

VII. Special Designation Situations

    (1) Alaskan Native Entities. DOL has established geographic service 
areas for Alaskan Native employment and training based on the 
following: (a) The boundaries of the regions defined in the Alaskan 
Native Claims Settlement Act (ANCSA); (b) the boundaries of major 
subregional 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 Alaskan Native-controlled human 
resource development services provider or an entity formally designated 
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 1997 and 1998.
    (2) Oklahoma Indians. DOL has established a service delivery system 
for Indian employment and training programs in Oklahoma based on a 
preference for Oklahoma Indians to serve portions of the State. 
Generally, geographic 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 have been

[[Page 48174]]

honored by DOL. DOL intends to follow these principles in designating 
Native American grantees in Oklahoma for Program Years 1997 and 1998, 
to preserve continuity and prevent unnecessary fragmentation.

VIII. 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 Alaskan or Native 
Hawaiian entity, consortium, or public or private nonprofit agency. For 
the purpose of hierarchy determinations, the governing board must have 
decision-making authority for the section 401 program.
    (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 defined 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) Community Support. This is evidence of active participation 
and/or endorsement from Indian or Native American-controlled 
organizations within the geographic service area for which designation 
is requested.
    While applicants are not precluded from submitting attestations of 
support from individuals, the business community, State and local 
government offices, and community organizations that are not Indian or 
Native American-controlled, they should be aware that such endorsements 
do not meet DOL's definitional criteria for community support.

    Signed at Washington, DC, this 29th day of August, 1996.
Thomas M. Dowd,
Chief, Division of Indian and Native American Programs.
Paul A. Mayrand,
Director, Office of Special Targeted Programs.
James C. DeLuca,
Grant Officer, Office of Grants and Contracts Management, Division of 
Acquisition and Assistance.
[FR Doc. 96-23386 Filed 9-11-96; 8:45 am]
BILLING CODE 4510-30-P