[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]
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