[Federal Register Volume 61, Number 187 (Wednesday, September 25, 1996)]
[Notices]
[Pages 50388-50401]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 96-24535]
[[Page 50387]]
_______________________________________________________________________
Part III
Department of Labor
_______________________________________________________________________
Employment and Training Administration
_______________________________________________________________________
Job Training Partnership Act: Title III National Reserve Grants--
Application Procedures; Notice
Federal Register / Vol. 61, No. 187 / Wednesday, September 25, 1996 /
Notices
[[Page 50388]]
DEPARTMENT OF LABOR
Employment and Training Administration
Job Training Partnership Act: Title III National Reserve Grants--
Application Procedures
AGENCY: Employment and Training Administration, Labor.
ACTION: Notice of procedures for grant applications.
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SUMMARY: The Employment and Training Administration of the U.S.
Department of Labor (Department or DOL) is announcing policies and
procedures for accessing funds to implement programs, pursuant to
sections 323(a), 323(b), 325, 325A and 326 of the Job Training
Partnership Act (the Act or JTPA). Applications prepared and submitted
pursuant to these guidelines and received at the address below will be
considered. These guidelines supersede guidelines for National Reserve
Account grants previously published in the Federal Register on February
7, 1992, July 9, 1992, and July 19, 1993. Grant awards will be made
only to the extent that funds remain available.
DATES: The grant policies and procedures described in these guidelines
shall be effective immediately, and shall remain in effect until
further notice. Funds are available for obligation by the Secretary of
Labor (the Secretary) under Sections 302(a)(2) and 323 of the JTPA.
Applications will be accepted on an ongoing basis as the need for funds
arises at the State and local level. Applicants are strongly encouraged
to submit fully documented applications as early as possible following
notice of the dislocation event.
ADDRESSES: An original plus one copy of the application must be mailed
or hand delivered to: Office of Grants and Contracts Management,
Division of Acquisition and Assistance, Employment and Training
Administration, U.S. Department of Labor, Room S-4203, 200 Constitution
Avenue, NW, Washington, DC 20210; Attention: James C. DeLuca, Grant
Officer. The application must be paginated and unbound. A copy of the
application must simultaneously be mailed or delivered to the
appropriate Regional Office(s) of the Employment and Training
Administration. [A list of the Regional Offices is provided in Appendix
A.] Emergency applications may be sent to the Grant Officer by
electronic transmission (FAX No.: 202/219-8739) with a hard copy
followup within one day of the transmission, but the Department prefers
that an applicant use an overnight mail service.
FOR FURTHER INFORMATION CONTACT: Ms. Shirley M. Smith, Chief, Division
of Program Implementation, Office of Worker Retaining and Adjustment
Programs. Telephone: 202/219-5577. (This is not a toll free number).
Application packages and instructions and technical assistance on
application requirements are available from Regional Offices of the
Employment and Training Administration (see Appendix A) and from the
Office of Worker Retraining and Adjustment Programs, Employment and
Training Administration, U.S. Department of Labor, Room N-5426, 200
Constitution Avenue, NW., Washington, DC 20210.
SUPPLEMENTARY INFORMATION: The Department announces the availability of
funds for grants to provide training, adjustment assistance, and
employment services for dislocated workers, as defined in Sections
301(a), 314(h)(1), 325 (a) and (e), 325A (b) and (f), and 326(a)(1) of
JTPA.
The application procedures, selection criteria, and approval
process contained in this notice are issued pursuant to the JTPA
regulations at 20 CFR 631.61.
This program announcement consists of five parts and five
appendices:
Part I provides background and basic DOL policies and emphases
for discretionary grants under sections 323, 325, 325A and 326 of the
Act;
Part II describes specific program and administrative
requirements that will apply to all grant awards;
Part III describes basic grant application submission
requirements and the criteria that will be used to evaluate
applications for funding;
Part IV describes responsibilities for oversight and
performance management of awarded grants; and
Part V describes the circumstances requiring and approval
criteria for grant modification requests.
The appendices include directories of ETA Regional Offices and State
Offices, copies of required assurances and certifications, and
definitions of key terms.
Copies of complete application packages and instructions are
available from ETA Regional Offices (see Appendix A) and State
Dislocated Worker Units (see Appendix C).
The JTPA Title III program is listed in the Catalogue of Federal
Domestic Assistance at No. 17-246 ``Employment and Training
Assistance--Dislocated Workers (JTPA Title III Programs).''
Signed in Washington, DC on this 19th day of September, 1996.
Timothy M. Barnicle,
Assistant Secretary of Labor.
Part I
A. Background
The guidelines for the submission, award and management of JTPA
Title III National Reserve Account (NRA) grants are designed and
intended to foster efficient and responsive disbursement, and effective
use of NRA funds. A primary objective of these guidelines is to
establish a process which results in timely assistance to eligible
dislocation events while supporting accomplishment of the quality
service principles which have been defined by DOL for its customers.
These principles are:
Early intervention and contact with affected workers;
Effective planning which mobilizes a full range of services
and resources;
Flexible, individualized service approaches which are tailored
to the needs of the workers and circumstances of the dislocation event;
and
Service-delivery that achieves quality outcomes for the
affected workers.
To ensure that NRA grant awards achieve these service principles, the
NRA guidelines were developed by a Federal- State-local workgroup of
representatives from each of the partner organizations involved in the
implementation and management of NRA projects. The workgroup focused on
developing guidelines which reflect the key principles of quality
management: strategic planning, customer-driven quality, strong
processes and continuous improvement, and management by facts/
information.
B. DOL Policies and Emphases
1. DOL is establishing four primary objectives regarding the use of
NRA funds:
Effective use and integration of NRA funds with other
available resources (e.g., Title III formula, Pell grants, Trade
Adjustment Assistance);
Targeting resources to need;
Providing quality services and achieving quality outcomes for
customers;
Timely submission and processing of applications and
implementation of services.
To support these objectives, DOL is committing to a 45 (calendar) day
turnaround between the receipt of a complete application and a funding
decision by the Secretary. The review and approval process presumes an
[[Page 50389]]
active review role by the State JTPA entity, including the Dislocated
Worker Unit (DWU), to ensure the submission of complete and responsive
applications. DOL expects that the State will not require more than 15
(calendar) days following its receipt of a complete application to
review and transmit that application to the Grant Officer and the ETA
Regional Office.
2. DOL is implementing two policies designed to support more
flexible funding of projects and more timely delivery of services to
eligible workers:
a. Grant Officer authority to approve, in appropriate cases, the
use of grant funds to pay for pre-award costs of reemployment and
retraining services specifically identified in the grant award document
that were or are being provided to members of the eligible target
group; and
b. Incremental or phased funding where appropriate.
These policies are intended to support a quality-based approach to
the design and delivery of services to eligible dislocated workers.
Quality improvements in services and outcomes achieved for dislocated
workers are an important goal of NRA grant projects. The
appropriateness of these funding options will be evaluated on a case-
by-case basis.
In general, authorization of pre-award costs will only occur in
exceptional circumstances where: (1) It was necessary for the State or
substate to provide previously committed funds to serve the immediate
needs of the eligible target group prior to the date of the grant
award; and (2) it can be demonstrated that the needed action was due to
an unanticipated or unusual circumstance and not as a result of
untimely planning or submission of the funding request. Funds awarded
in one Program Year cannot be used to pay for the costs of services
incurred in a prior Program Year.
3. DOL expects that applications for NRA grant funds will flow from
effective rapid response and early intervention activities, a
significant State and local project planning effort, and will ensure an
integration of all available resources (e.g., formula, discretionary,
other public and private) to support the project plan. Applicants are
required to provide rapid response-type, early intervention services in
conjunction with any dislocation event for which NRA grant assistance
is provided.
4. Application requirements are focused more on the use of quality
participant service and management processes, and less on detailed
operational planning decisions.
Applicants are expected to use NRA grant funds to implement
innovative projects which achieve high quality services and outcomes
for the dislocated workers who are served. Customer satisfaction
measurement and continuous improvement will be required elements in
each NRA grant project.
In summary, the guidelines provide more flexibility, but increase
expectations regarding the linkage between discretionary grants and:
rapid response and project planning activities; the mobilization and
use of all available resources; and the implementation of quality
service strategies and management processes.
Part II
Under Section 322(a), the Secretary has the responsibility to
target resources efficiently to areas of most need, to encourage a
rapid response to economic dislocations, and to promote the effective
use of funds. In addition, Title III national reserve funds should
provide a model for promoting higher quality services and outcomes in
all dislocated worker programs.
A. Policies and Requirements Governing the Use of Title III National
Reserve (NRA) Funds
1. All projects and activities funded shall be subject to the Act,
the JTPA regulations, the requirements contained in the application
instructions, and the Grant Officer's award document(s) and any
subsequent grant amendment(s).
2. Grant applications should be an outgrowth of an effective early
intervention process. Applications for NRA funds should be the result
of a planning process which has been activated through State rapid
response and, as appropriate, an early intervention assistance process
that may include the use of formula funds to initiate basic
readjustment, retraining and supportive services. In cases where
formula funds have been used to provide services (excluding rapid
response, which is the State's responsibility) to the eligible target
group prior to the date of grant award and the availability of formula
funds in the State is limited, the Grant Officer may authorize the use
of grant funds to pay for the costs of these services.
3. National reserve funds should supplement and expand the State
and substate capability to respond effectively to dislocation events.
NRA projects should generally be funded from multiple sources; and NRA
funds should be used both to serve more dislocated workers and to
achieve higher quality services and outcomes than may be possible
through the formula funded program alone. States and substate areas are
expected to make maximum use of funds provided for the purpose of
serving eligible dislocated workers. Requests for NRA funds, therefore,
will be evaluated in terms of the policy delineated in Training and
Employment Guidance Letter (TEGL) 7-95, and any subsequent
modifications thereto, regarding intertitle transfers of funds under
JTPA, as authorized by the FY 1996 Omnibus Appropriations Act.
Grantees will be expected to make a maximum effort to assist each
eligible participant to apply and qualify for available sources of
student financial assistance, consistent with the provisions of
Sec. 627.220 of the JTPA Regulations. It is important to note that
student financial assistance not only provides more resources to the
program, but also provides more resources, and expands the options, to
the participant.
When an employer or other entity offers a tuition payment or
tuition reimbursement program for the eligible workers, the grantee
and/or project operator shall work with the employer/entity to
establish an appropriate process for accessing the funds to pay for the
costs of worker training.
4. NRA funded projects should support the key ETA service goals and
be designed around principles that have been shown to be effective in
achieving positive outcomes for dislocated workers (e.g., transition
service centers, mechanisms for active employer and worker input in
design and operation of the project, methods of continuous improvement
based on customer feedback).
5. The NRA grant process should recognize and provide a means for
responding to the fluidity of dislocation events. The Secretary may use
an incremental funding approach to respond to dislocation events as
determined by need. Incremental funding of a grant can be at the
request of the applicant or at the discretion of the Secretary.
B. Eligible Circumstances for Use of NRA Funds
Services of the type described in JTPA section 314 may be provided
with national reserve funds in the following circumstances:
Plant closures and substantial layoffs within a State when the
workers are not expected to return to their previous industry or
occupation of employment;
Dislocations resulting from natural disasters and other
devastating events;
Plant closures and substantial layoffs that occur on a multi-
state basis;
[[Page 50390]]
Substantial layoffs resulting from federal government actions;
Provision of additional financial assistance to programs and
activities being operated by State and substate grantees under Part A
of Title III of JTPA, where economic conditions have sufficiently
changed to warrant an increase in the area's formula allocation.
C. Participant Eligibility
Individuals who meet the eligibility criteria defined in sections
301(a), 314(h)(1), 325(a) and (e), 325A(b) and (f), or 326(a)(1) of
JTPA, as amended by the Defense Authorization Act of 1995), shall be
eligible for assistance through national reserve grants.
D. Allowable Activities and Services
NRA funds may be used to provide services of the type described in
sections 314 and 325A(f) of the Act.
E. Required Services
Each project funded with national reserve funds--except
applications for DISASTER projects and ADDITIONAL FINANCIAL ASSISTANCE
(AFA)--must provide the following activities and services prior to or
in conjunction with project implementation:
1. Contact with employers and employee representatives affected by
a dislocation or potential dislocation of individuals, preferably not
later than 2 business days after notification of such dislocation.
2. Establishment of a mechanism for involving representatives of
the affected workers, the employer and the community in planning the
project.
3. Collection of information on affected individuals to determine
the approximate number of such individuals in need of assistance and
interested in receiving services. Such information should include items
such as age ranges, education and skills, job tenure, and wage ranges
to allow preliminary assessments of likelihood to seek and obtain
employment in the local labor market.
4. As appropriate, arranging for orientation sessions, counseling
services, and early intervention services for affected individuals.
These services must be provided as a condition for award of the
grant. These services should be provided by, under the direction of, or
in collaboration with the State through its Dislocated Worker Unit.
F. Performance Outcomes
Each NRA grant project will be expected to achieve the end-of-
project performance goals which are established by ETA for the
applicable program year. For PY 1996, the performance goals are:
1. Entered Employment Rate = 75.0%
2. Wage Replacement Rate for Entered Employments = 90.0%
Note: The ``wage replacement rate'' is defined in Appendix E.
3. Customer satisfaction rating of ``extremely'' or ``very satisfied''
with the services received = 70.0%
Note: Each grantee will be required to establish or use a system
of customer satisfaction measurement and continuous improvement in
conjunction with the NRA project. The project-related costs of
operating this system are chargeable to the grant under the
``Administration'' cost category.
G. Administrative Requirements
1. General
Grantee organizations will be subject to the JTPA law, regulations,
these guidelines, the terms and conditions of the grant and any
subsequent modifications, to applicable Federal laws (including
provisions in appropriations law), and any applicable requirements
listed below--
a. State and local Governments (except for JTPA State grant
recipients that receive national reserve grant funds under the JTPA
State Grant Agreement ``block grant'')--OMB Circular A-87 (cost
principles), and 29 CFR part 97 (Uniform Administrative Requirements
for Grants with State and Local Governments).
b. Non-Profit Organizations--OMB Circulars A-122 (Cost Principles)
and 29 CFR Part 95 (Administrative Requirements).
c. Educational Institutions--OMB Circulars A-21 (Cost Principles)
and 29 CFR Part 95 (Administrative Requirements).
d. Profit Making Commercial Firms--Federal Acquisition Regulation
(FAR)--48 CFR Part 31 (Cost Principles), and 29 CFR Part 95
(Administrative Requirements). In addition, the audit requirements at
20 CFR 627.480 shall apply to commercial recipients.
2. Financial Management
a. Cost limitations under section 315 of JTPA and 20 CFR 631.14
apply to national reserve grants, except where justification for
adjusting these limitations is included in the grant application, or
subsequent grant modification requests, and approved by the Grant
Officer.
b. The limitation on administrative costs shall apply to the grant
award, exclusive of funds expended for needs-related payments. This
limitation applies to the total expenditures for program administration
including any funds reserved by the State where it is the applicant but
not the project operator. Any costs associated with administering a
system of needs-related payments shall be separately identified in the
application budget and justified. The Grant Officer may approve
additional costs for the administration of needs-related payments,
based on information provided by the applicant. For National Reserve
Account grants, cost limitations will be based on actual end-of-project
expenditures.
c. NRA grant applicants should not automatically budget 15 percent
of the award amount toward administration. All proposed costs in the
budget must be reflected as either direct charges to specific budget
line items or an indirect cost. The amount planned to be used for
administration and the specific purposes for which it will be used must
be specified in the budget.
d. If an indirect cost is used, a copy of the most recent approval
document from the cognizant federal agency shall be included in the
application.
e. Profits or fees are not an allowable expense for grantee
organizations. Profits or fees are allowable for profit organizations
which are subrecipients or project operators, subject to the provisions
of Sec. 627.420(e)(3) of the JTPA Regulations. However, no profits or
fees will be allowed if the subrecipient or service provider is the
employer, or a division or subsidiary of the employer, of the
dislocated workers.
f. National reserve grant funds which have been expended for
training prior to certification of Trade Adjustment Assistance (TAA)
eligibility do not have to be reimbursed when TAA funds become
available to cover the balance of the training. The source of funds
used to pay these costs will be the decision of the grantee, in
conformance with provisions of the Trade Act.
g. Unless otherwise waived by the Grant Officer, national reserve
grant funds cannot be used to pay for the full cost of furniture or
equipment that has a useful life which is longer than the grant period.
Other funds should be used, as needed, for such purchases and an
appropriate usage/depreciation charge should be applied to the grant.
3. Audit
Grantee organizations shall be responsible for complying with the
audit requirements defined in Sec. 627.480 of the JTPA Regulations (as
published in the September 2, 1994, Federal Register).
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4. Reporting Requirements
a. The grantee will be required to comply with two reporting
requirements related to each NRA grant project:
(1) Applicants should contact the appropriate Regional Office of
the Employment and Training Administration (see Appendix A) for
currently applicable reporting requirements.
One signed original and one copy of applicable reports shall be
provided to: U.S. Department of Labor, ETA, Office of the Comptroller,
Division of Accounting, Room C-5325, 200 Constitution Ave., NW,
Washington, DC 20210.
One copy shall also be provided to the ETA Regional Office, ATTN:
Regional Administrator.
(2) The grantee shall provide information required on the
Standardized Program Information Record (SPIR) (OMB No. 1205-0321).
b. The grantee will be requested to provide the following
additional performance information to the Grant Officer and to the
Regional Office:
(1) One copy each of its periodic performance management reports on
the project, consistent with the performance management procedures
which are described in the approved grant.
These reports should be provided no later than 30 days after the
end of the report period.
At a minimum, the grantee's performance management procedures will
be expected to address how the grantee will measure progress and manage
performance against the project's objectives as defined in the approved
Implementation Schedule and the Cumulative Quarterly Expenditure Plan.
(2) An End-of-Project Report providing a summary analysis of the
accomplishments of the project in relation to its goals, strengths and
weaknesses in project design and implementation, and suggestions for
improvements in the NRA grants management process. This report should
be provided no later than 90 days after the end date of the project.
H. State Review
1. Responsibility
Where the applicant is an entity other than the State JTPA
administrative entity, the State, in its role of managing the use of
Title III resources in the State to provide services to eligible
dislocated workers, will be expected to provide comments on the
application. The JTPA Liaison shall submit with each application for
NRA grant funds a letter providing his/her comments on the application.
The applicant will submit the application to the State JTPA
administrative entity for review (see Appendix B: List of State JTPA
Liaisons and Appendix C: List of State Dislocated Worker Units). In the
case of a non- State entity submitting an application for a multi-State
project, the applicant will submit the application to the State JTPA
administrative entity in each state in which the project will operate.
The State's review and comments should include:
A determination that the application is complete and
responsive to the guidelines (a completeness review checklist is
included in Appendix G);
An assessment of the responsiveness of the project plan to the
dislocation event;
A verification that the applicant has the ability to
satisfactorily undertake the proposed project;
A certification that available State and local resources are
inadequate to meet the requirements of the proposed project; and
A certification that the required services identified in
Section II.C have been or are being provided.
The State's review and determination letter must be included in the
application package.
Note: This requirement shall not apply to applications submitted
by eligible Native American grantees.
2. Timing
The State should, and is strongly urged to complete the review and
forward the application to the Grant Officer, with a copy to the
appropriate Regional Office, within 15 calendar days after receiving a
complete application.
I. Secretary's Rights Reserved
1. The Secretary reserves the right to distribute a portion of
national reserve funds in a manner other than that provided by this
notice, consistent with the JTPA, and taking into consideration special
circumstances and unique needs which may arise. This may include the
funding of projects through a separate competitive grant process.
2. The Secretary also reserves the right to fund individual
projects on an incremental basis where the Department determines that
such an action would result in the most effective use of available
resources.
3. If the Department receives an insufficient number of
applications which are of acceptable quality, and which meet the
guidelines and selection criteria contained in this notice, to fully
and effectively use the funds in the national reserve account, the
Department will take whatever action it deems necessary and
appropriate, consistent with the Act and the regulations. Unobligated
funds remaining when the Secretary's obligational authority expires
will be returned to the Treasury.
Part III
A. Types of Grant Applications for NRA Funds
There are four types of applications which may be submitted for
Title III NRA funds:
A standard or REGULAR application;
An application for a DISASTER assistance project;
An application for a MULTI-STATE project where the applicant
is not a State entity;
An application for ADDITIONAL FINANCIAL ASSISTANCE (AFA).
A REGULAR or MULTI-STATE application may be submitted to operate a
project in accordance with Section 323, Section 325 (Defense
Conversion), Section 325A (Defense Diversification), Section 326 of the
Act (Clean Air Employment Transition Assistance), or for NAFTA-impacted
workers. AFA projects may only be operated in accordance with Section
323; and DISASTER projects may only be operated in accordance with
Sections 323 and 324.
B. Eligible Applicants for NRA Grants
Eligible applicants for NRA grants include States, Title III
substate grantees, employers, representatives of employees, Native
American tribal entities eligible to receive JTPA grant funds pursuant
to section 401 of JTPA, and other entities which are certified by the
State(s) as qualified project operators. Eligibility of specific types
of entities for the various types of NRA grants is more completely
described in the grant application package.
C. Grant Application Submission Requirements
To be considered for funding, an application will need to include
the information identified in this section. Specific requirements for
each type of application are fully described in the application package
available through ETA Regional Offices and State Dislocated Worker
Units.
If an applicant plans to operate a project through more than one
project operator (see definitions in Appendix E), each project operator
shall be identified and a separate Budget and Implementation Schedule
provided. Where appropriate, description of separate target groups and
service
[[Page 50392]]
processes for each project operator shall also be provided. In all
cases, the applicant must also include a summary Budget and
Implementation Schedule for the entire project.
1. State's Review and Comment Letter.--A letter from the State
consistent with the provisions of Section II.H.
2. Transmittal Letter.--A letter requesting national reserve funds
on behalf of the applicant, signed by the Governor (or his/her
authorized JTPA signatory official), or by the applicant's authorized
signatory must accompany the application. [Note: Where the applicant is
the State, the Review and Comment and Transmittal requirements may be
covered in one letter.]
3. Standard Form (SF 424).--Each application must include a
completed SF 424, Application for Federal Domestic Assistance
(Catalogue No. 17.246) with an original signature by the authorized
signatory.
4. Assurances and Certifications.--Each application must include an
original signed copy, by the authorized signatory, of the ``Assurances
and Certifications for National Reserve Grants'' [See Appendix D]. Non-
State grantees will be required to complete additional assurances and
certifications, where applicable.
5. Synopsis of the Project.--Each application must include a
completed ``Project Synopsis,'' which identifies the applicant, the
target group, the amount of requested funds, the number of planned
participants, and the primary occupations targeted for training and job
placement.
6. Project Narrative.--The narrative portion of the application,
excluding attachments, should not exceed thirty (30) double-spaced
pages, typewritten on one side of the paper only, and paginated. The
narrative must specifically address each of the elements listed below.
Use of tables and charts to summarize relevant data and information is
strongly encouraged. However, the applicant must provide sufficient
narrative interpretations of data summarized in any tables and charts
to support the need for the project and the effectiveness of the
planned service strategy.
The project narrative shall include:
a. Required Services. A description of the specific actions which
have been completed regarding the required services described in
section II.E of these guidelines.
If all required services have not been completed at the time of
submitting the application, a timetable for completing them must be
included in the application.
b. Analysis of Target Group. (1) A description of how the number of
affected workers which are expected to participate in the program was
determined.
(2) Where layoffs have occurred more than 4 months prior to the
submittal of the application to the State (or DOL if the State is the
project operator), the application shall describe the methods which are
being and will be used to maintain continuing contact with the workers.
(3) Identify if all or part of the dislocation is potentially
trade-impacted. Indicate the status of any NAFTA and/or TAA petitions
which have been filed or planned to be filed in conjunction with this
dislocation.
(4) If the proposed target group includes workers dislocated as a
result of the relocation of a company facility or the transfer of a
company operation to another location, the city and State to which the
relocation or transfer is being made shall be identified.
Note: This information will not be used to evaluate the
application, but is being requested to help the Department enforce
section 141(c) of the Act.
c. Analysis of Labor Market Conditions. A brief description of
local labor market conditions, including any other job markets in which
job placement is an appropriate option for the affected workers. The
description must address current and expected labor supply and demand
relationships as they relate to the reemployment and wage recovery
potential for the target group of workers.
d. Description of Client Service Process. A description of the
client service process to be used for effective training and job
placement of the population to be served.
e. Needs-Related Payments. A description of how the estimate of the
funds required for needs-related payments to the participants to be
served through the project was developed. The description should
include an identification of the estimated number of participants who
will need or be eligible for needs- related payments, and the
applicant's policies for payment of needs-related payments.
f. Relocation/Out-of-Area Job Search Assistance. If relocation and/
or out-of-area job search assistance are to be provided, a description
of the circumstances that make these appropriate services for the
target group.
g. Management Process. A description of the core management process
and procedures to be used by the project operator in implementing the
project and in managing and controlling project performance and
expenditures.
h. Coordination and Linkages. (1) For States and Title III substate
grantee applicants, a description only of coordination relationships
which go beyond those that are described in the Title III State or
substate plan.
(2) For other applicants, a signed statement from the State
Dislocated Worker Unit and/or the applicable Title III substate grantee
that the level of coordination relationships which have been, or are
being developed is adequate.
(i) Financial and Management Capabilities. For applicants who are
neither the State nor a Title III substate grantee, a description of
financial and management capabilities of the applicant.
7. Implementation Plan.--The application shall include the
following implementation information:
a. An identification of activities, timeframes and responsibilities
for implementing the project in a timely manner after award. The
activities must include organization and opening of service facilities,
staffing, and the execution of agreements with key service providers.
b. A quarterly implementation schedule showing the number of
participants, enrollments in training, participants receiving needs-
related payments, terminations, and entered employments.
8. Project Budget.--The application must include a budget for all
costs required to implement the project design effectively, as
described in the preceding sections.
a. Cost Classification. Costs must be classified under the
following cost categories: Administration, Basic Readjustment Services,
Retraining, Supportive Services and Needs-Related Payments, as defined
in 20 CFR 631.13.
b. Budget Forms. The application shall include the following
completed budget information:
(1) Project Line Item Budget, which shall reflect the total costs
required to implement the project design that are to be paid with NRA
grant funds.
(2) Service Plan Matrix, which shall identify the specific
activities and services in the project design and the planned funding
sources for each.
(3) Planned Cumulative Quarterly Expenditures of NRA Grant Funds,
which shall provide a quarterly expenditure plan for the use of NRA
grant funds, identified by cost category.
Collectively, these budget forms present a total cost picture to
implement the project and indicate how NRA funds
[[Page 50393]]
will be integrated with other available sources of funds.
c. Use of Grant Funds for Pre-Award Costs. If the applicant is
requesting approval from the Grant Officer for use of grant funds to
pay for costs of providing services to the target group which have been
incurred prior to issuance of the Notice of Obligation (NOO), the
applicant shall submit two sets of the required budget forms: one which
includes requested pre-award costs, and one which does not include
these costs. The applicant must provide a detailed explanation of why
grant funds are needed to cover these costs. If the Grant Officer
approves the request, such costs will be specifically identified in the
grant award document. If the applicant does not request and the Grant
Officer does not approve the use of grant funds for such costs, then
grant funds cannot be used to pay for any such costs.
d. Justification for Requested NRA Funds. The applicant must
provide information which justifies the level of requested NRA funds in
relation to other available Title III funds in the State. The
information must include an identification of available formula and NRA
funds, actual obligations and expenditures, and the projected need for
unexpended funds. Available Title III funds in the State shall include
funds allotted by formula at the beginning of the Program Year plus any
carryover funds from previous PYs. Available Title III funds shall
include any Title III funds which have been transferred to other Titles
under the provisions of TEGL 7-95, and any subsequent modifications
thereto, and which remain unexpended.
e. Justification for Project Design Performance. The applicant must
provide information which compares the planned design and performance
for the project with performance information for the formula program
for the most recently completed Program Year in the substate area, or
State if appropriate, in which the project is to be implemented. If the
planned performance for this project varies from the related experience
on the formula program by more than ten percent (10%), the applicant
must provide an explanation, including supporting documentation, of the
factors which are causing the differences in performance. Performance
factors to be addressed must include: cost per participant, entered
employment rate, cost per entered employment, average wage at
placement, average duration of participation, and maximum amounts of
needs-related payments which can be paid to an individual participant.
9. Description of State's Administrative Responsibilities.--The
application shall include an identification of the individual(s) within
the State administrative entity who will be responsible for the
oversight activities, as described in Part IV of these guidelines.
The State is expected to perform the following core
responsibilities related to each NRA project for which the State is the
grantee:
Maintain participant and financial information and submit
required reports;
Ensure compliance of project operations with applicable
statutory and regulatory requirements;
Carry out the required project site visits;
Provide needed technical assistance to the project
operator(s).
If the State is performing only these core responsibilities in
conjunction with the project, it may receive no more than 1.5% of the
approved grant funds, up to a maximum amount of $25,000.
If the State is performing more than the core administrative
responsibilities and/or wants to request more than $25,000 in NRA grant
funds for State-level administration, it must include in the
application:
a. A detailed description of the additional administrative
responsibilities to be performed and a timetable for undertaking and
completing them;
b. A line-item budget identifying the costs of the State-level
administrative responsibilities;
c. An explanation of why these responsibilities are more
appropriately performed at the State level instead of by the project
operator;
d. A certification that State formula funds are not available to
cover the costs;
e. A signed letter from the project operator(s) commenting on the
proposed plan for performing project administrative functions.
10. Review and Comment.--Each application shall include
documentation of the following review and comment requirements:
a. Substate Grantees. The application must include letters from the
Governor (or his/her designated signatory official for JTPA) and each
appropriate JTPA Title III substate grantee indicating that they have
been provided an opportunity to review and comment on the application.
Each letter shall provide a description of funding, services and/or
assistance to be provided to the project.
b. Labor Organizations. Each application where a substantial number
(20% or more) of the affected workers are represented by a labor
organization(s) must provide documentation of full consultation with
each appropriate local labor organization in the development of the
project design.
Each application shall describe the procedure which has been or
will be used to consult with any labor organization which represents a
substantial number of the workers employed in the local labor market in
occupations in which participants are being trained through the
proposed project.
D. Application Review Criteria
1. Overall Considerations. To be considered, the application must
demonstrate that the proposed project meets the purpose of and is
consistent with the Act and regulations; and provides all the
information required by these guidelines. Applications which are not
complete in accordance with the requirements defined in these
guidelines will not be evaluated for funding until all required
information and documentation is provided.
2. Specific Evaluation Criteria. The following specific criteria
shall apply to the evaluation of complete applications:
a. Target Group. The extent to which the application identifies an
eligible target group and provides a reasonable estimate of the portion
of the total eligible group to be assisted through the project, based
on available information.
b. Need for NRA Funds. The extent to which an effort has been made
to access other available federal, State and local resources to finance
the project and the request for NRA funds is supported by available
information on resources and resource utilization.
c. Management Plan. Extent to which an adequate process and plan is
in effect to deliver the required services, and the applicant has
described appropriate management processes to guide and control project
implementation.
d. Participant Service Plan. Extent to which the described
participant service process is responsive to the dislocation
circumstances and the ETA customer service principles; and the
Implementation Plan provides a timely response to the dislocation(s).
e. Reasonableness of Proposed Costs. Extent to which proposed cost
items relate to the service plan and that cost levels are appropriate
given experience on other projects in the same service area, or on
information provided in the application.
These criteria will be used to develop a recommendation on each
application regarding fundability (YES/NO),
[[Page 50394]]
funding level, and funding method (e.g., full funding, incremental
funding, incremental release of funds).
Part IV
A. Performance Management/Oversight Requirements
There will be a minimum of two onsite reviews of each NRA grant
project: one within 90 days after grant award; a second at
approximately the midpoint of the grant period or six months after the
project begins enrolling participants (whichever comes first).
Additional onsite reviews may be conducted based on the complexity,
duration and/or performance of the project, and/or recommendations from
either of the two required reviews.
1. 90-Day Review
The purpose of this review is to verify that the required services
have been or are being provided; the implementation actions regarding
facilities, staffing, and project operator agreements have been
completed; and that the core management and participant service
processes are being planned and implemented appropriately.
This review must be completed no later than the end of the 4th
month following grant award.
2. Midpoint Review
The purpose of this review is to assess the effectiveness of the
participant service process and the core service elements of outreach,
recruitment, eligibility; assessment and service planning; referral to
services; and job development. This review will also analyze the
approach to collecting and using customer feedback information.
Although both the 90 day and the midpoint reviews will, as a matter
of course, look at compliance issues, the focus is on ensuring that
critical elements are in place to be able to accomplish the project's
objectives and effectively use the grant funds which have been awarded.
B. Performance/Oversight Responsibilities
The States and ETA Regional Offices will have primary
responsibility for the onsite reviews in cases where the project
operator is an entity other than the State. The Regional Office will be
responsible for the onsite reviews of all projects in which the grantee
is a non-JTPA entity, or in which the State is the project operator.
In cases in which the State is the grantee but not the project
operator, the State will have the primary responsibility for conducting
the 90 day review. The midpoint review of such projects will be jointly
conducted by the State and the Regional Office. National Office staff
will participate in midpoint reviews of selected large and/or complex
projects.
For both 90 day and midpoint reviews, a summary report from the
site review shall be submitted to the Title III Program Office, ATTN:
Chief of the Division of Program Implementation and to the ETA Regional
Administrator, no later than 30 (calendar) days after the review is
completed.
A copy of the report shall be provided to the State and to the
grantee (if other than the State) for follow-up.
C. State Administration
States are expected to perform the following core responsibilities
related to NRA projects in which the State is the grantee:
Maintenance of participant and financial information and
submission of required reports;
Ensure compliance of project operations with applicable
statutory and regulatory requirements;
Provide needed technical assistance.
If this is the limit of the State's role on the project, the State is
playing a ``pass-through'' administrative role and is subject to the
following limit on the State's share of administrative costs which can
be charged to the project: 1.5% of the grant award up to a maximum of
$25,000. As described in section III.C.9 of these guidelines, the State
may request a higher amount for State administration, but must provide
a detailed justification.
Part V
A. Circumstances Requiring a Grant Modification Request
In general, a grant modification request will be required when
circumstances change to the extent that:
Actual end-of-project performance is expected to vary by more
than 15% from plan regarding: total participants, participants to be
enrolled in training, or expenditures for retraining;
Actual end-of-project expenditures will be less than the
award, or the amount of the award will be insufficient to
satisfactorily complete the project;
The project objectives cannot be accomplished in the approved
grant period;
There is a need to redefine the eligible target group for the
project.
Modification requests to reduce the performance measures in the
approved grant (i.e., entered employment rate, wage replacement rate,
customer satisfaction rating) to be consistent with actual performance
will not be approved.
Non-State grantees will also be required to comply with applicable
OMB Circular requirements regarding grant modifications, where
applicable.
B. Review and Approval of Grant Modification Requests
Requests for grant modifications will be considered consistent with
the general purposes of the national reserve account, the selection
criteria for national reserve projects, and the purposes of the
original grant award. Modifications which request changes in the
approved grant budget that comprise 25% or more of the grant award, or
which significantly change the project design will be reviewed on the
same basis as a new application, except that Assistant Secretary rather
than Secretary approval will be required.
Grant modification requests should not be submitted later than 90
days prior to the expiration date of the grant. A request to deobligate
or reprogram grant funds should be submitted no later than 120 days
prior to the expiration date of the grant.
The Grant Officer will advise the State, or grantee if not the
State, in writing of any approval or disapproval of the requested grant
modifications within 30 (calendar) days of receipt of a complete grant
modification request. Such notification will occur within 45 (calendar)
days for modifications requiring Assistant Secretary approval.
[[Page 50395]]
Appendix A.--Directory of Regional Offices of the Employment and
Training Administration
Regional Offices of the Employment and Training Administration
------------------------------------------------------------------------
Region (States served) Contact information
------------------------------------------------------------------------
Region I (Connecticut, Maine, U.S. Dept. of Labor/Employment &
Massachusetts, New Hampshire, Training Admin., JFK Federal
Rhode Island, Vermont)--Robert J. Building, Room E-350, Boston,
Semler, Regional Administrator. Massachusetts 02203, (617) 565-
3630.
Region II (New York, New Jersey, U.S. Dept. of Labor/Employment &
Puerto Rico, Virgin Islands)-- Training Admin., 201 Varick Street,
Albert Garizio, Acting Regional Room 755, New York, New York 10014,
Administrator. (212) 337-2139.
Region III (Delaware, District of U.S. Dept. of Labor/Employment &
Columbia, Maryland, Pennsylvania, Training Admin., 3535 Market
Virginia, West Virginia)--Edwin Street, Room 13300, Philadelphia,
G. Strong, Regional Administrator. Pennsylvania 19104, (215) 596-6336.
Region IV (Alabama, Florida, U.S. Dept. of Labor/Employment &
Georgia, Kentucky, Mississippi, Training Admin., 1371 Peachtree
North Carolina, South Carolina, Street, NE; Room 400, Atlanta,
Tennessee)--Toussiant L. Hayes, Georgia 30367, (404) 347-4411.
Regional Administrator.
Region V (Illinois, Indiana, U.S. Dept. of Labor/Employment &
Michigan, Minnesota, Ohio, Training Admin., 230 South Dearborn
Wisconsin) Joseph Juarez, Street, Room 628, Chicago, Illinois
Regional Administrator. 60604, (312) 353-0313.
Region VI (Arkansas, Louisiana, U.S. Dept. of Labor/Employment &
New Mexico, Oklahoma, Texas)-- Training Admin., 525 Griffin
Donald A. Balcer, Regional Street, Room 317, Dallas, Texas
Administrator. 75202, (214) 767-8263.
Region VII (Iowa, Kansas, U.S. Dept. of Labor/Employment &
Missouri, Nebraska)--William H. Training Admin., 1100 Main Street,
Hood, Regional Administrator. Suite 1050, Kansas City, Missouri
64105, (816) 426-3796.
Region VIII (Colorado, Montana, U.S. Dept. of Labor/Employment &
North Dakota, South Dakota, Utah, Training Admin., 1999 Broadway
Wyoming)--Peter E. Rell, Regional Street, Suite 1780, Denver,
Administrator. Colorado 80202-5716, (303) 391-
5740.
Region IX (Arizona, California, U.S. Dept. of Labor/Employment &
Hawaii, Nevada, Pacific Training Admin., 71 Stevenson
Territories)--Armando Quiroz, Street, Suite 830, San Francisco,
Regional Administrator. California 94105, (415) 975-4612.
Region X (Alaska, Idaho, Oregon, U.S. Dept. of Labor/Employment &
Washington)--Bill Janes, Regional Training Admin., 1111 Third Avenue,
Administrator. Suite 900, Seattle, Washington
98101-3212, (206) 553-7700.
------------------------------------------------------------------------
Appendix B.--Directory of State JTPA Liaisons
State JTPA Liaisons
(As of 4/1/96)
ALABAMA
Robert E. Lunsford, Director, Alabama Department of Economic and
Community Affairs, P.O. Box 5690, Montgomery, Alabama 36103-5690,
Telephone: 334-242-5893, FAX: 334-242-5855,
ALASKA
Jeff Smith, Director, Division of Community and Rural Development,
Alaska Department of Community and Regional Affairs, 333 West 4th
Avenue, Suite 220, Anchorage, Alaska 99501-2341, Telephone: 907-269-
4607, FAX: 907-269-4520
ARIZONA
Bill Hernandez, Assistant Director, Division of Employment and
Rehabilitation Services, 1789 West Jefferson; P.O. Box 6123, Suite
901A, Phoenix, Arizona 85005, Telephone: 602-542-4910, FAX: 602-542-
2273
ARKANSAS
Sharon Robinette, Administrator, Office of Employment & Training
Services, Arkansas Employment Security Department, P.O. Box 2981,
Little Rock, Arkansas 72203, Telephone: 501-682-5227, FAX: 501-682-3144
CALIFORNIA
Victoria L. Bradshaw, Director, Employment Development Department, 800
Capitol Mall, MIC 69, P.O. Box 826880, Sacramento, California 94280-
0001, Telephone: 916-654-8210, FAX: 916-657-5294
COLORADO
Vickey Ricketts, Executive Director, Governor's Job Training Office,
720 South Colorado Boulevard, Suite 550, Denver, Colorado 80222,
Telephone: 303-758-5020, FAX: 303-758-5578
CONNECTICUT
John E. Saunders, Deputy Commissioner, Connecticut State Department of
Labor, 200 Folly Brook Boulevard, Wethersfield, Connecticut 06109,
Telephone: 203-566-4280, FAX: 203-566-1520
DELAWARE
Louis A. Masci, Administrator, Employment and Training, Delaware
Department of Labor, University Plaza, P.O. Box 9499, Newark, Delaware
19714-9499, Telephone: 302-368-6810, FAX: 302-368-6995
FLORIDA
Doug Jamerson, Secretary, Department of Labor and Employment Security,
2012 Capital Circle, Southeast, Suite 303, Hartman Building,
Tallahassee, Florida 32399-2152, Telephone: 904-922-7021, FAX: 904-488-
8930
GEORGIA
David B. Poythress, Commissioner, Georgia Department of Labor, Sussex
Place, 148 International Boulevard, N.E., Room 600, Atlanta, Georgia
30303, Telephone: 404-656-3011, FAX: 404-656-2683
HAWAII
Lorraine H. Akiba, Director, Department of Labor and Industrial
Relations, 830 Punchbowl Street, Room 321, Honolulu, Hawaii 96813,
Telephone: 808-586-8844, FAX: 808-586-9099
IDAHO
Roger B. Madsen, Director, Idaho Department of Employment, 317 Maine
Street, Boise, Idaho 83735-0001, Telephone: 208-334-6110, FAX: 208-334-
6430
ILLINOIS
Herbert D. Dennis, Manager, JTPA Programs Division, Department of
Commerce and Community Affairs, 620 East Adams, 6th Floor, Springfield,
Illinois 62701, Telephone: 217-785-6006, FAX: 217-785-6454
INDIANA
Timothy C. Joyce, Commissioner, Indiana Department of Workforce
Development, Indiana Government Center South, SE302, 10 North Senate
Avenue, Indianapolis, Indiana 46204-2277, Telephone: 317-233-5661, FAX:
317-233-4793
[[Page 50396]]
IOWA
Cynthia P. Eisenhauer, Director, Workforce Development Department, 1000
E. Grand, Des Moines, Iowa 50319, Telephone: 515-281-5365, FAX: 515-
281-4698
KANSAS
Wayne L. Franklin, Secretary, Kansas Department of Human Resources, 401
S.W. Topeka Boulevard, Topeka, Kansas 66603-3182, Telephone: 913-296-
7474, FAX: 913-296-0179
KENTUCKY
Jill K. Day, Staff Assistant, Office of Training and Reemployment,
Workforce Development Cabinet, 275 East Main Street, 2-West, Frankfort,
Kentucky 40621, Telephone: 502-564-5360, FAX: 502-564-7452
LOUISIANA
Calvin E. Beale, Assistant Secretary, Louisiana Department of Labor,
P.O. Box 94094, Baton Rouge, Louisiana 70804-9094, Telephone: 504-342-
7693, FAX: 504-342-7960
MAINE
Valerie Landry, Commissioner, Maine Department of Labor, 20 Union
Street; P.O. Box 309, Augusta, Maine 04330, Telephone: 207-287-3788,
FAX: 207-287-5292
MARYLAND
Sheila Tolliver, Assistant Secretary, Department of Labor, Licensing
and Regulations, 1100 North Eutaw Street, Room 600, Baltimore, Maryland
21201, Telephone: 410-767-2400, FAX: 410-767-2986
MASSACHUSETTS
Nils L. Nordberg, Commissioner, Department of Employment and Training,
Charles F. Hurley Building, Government Center, 19 Staniford Street,
Boston, Massachusetts 02114, Telephone: 617-727-6600, FAX: 617-727-0315
MICHIGAN
Douglas E. Stites, Chief Operating Officer and Vice President for
Workforce Development, Michigan Jobs Commission, 201 North Washington
Square, Lansing, Michigan 48913, Telephone: 517-373-6227, FAX: 517-373-
0314
MINNESOTA
Byron Lee Zuidema, Assistant Commissioner, Community Based Services,
Minnesota Department of Economic Security, 390 North Robert Street, 1st
Floor, St. Paul, Minnesota 55101, Telephone: 612-296-3700, FAX: 612-
296-0994
MISSISSIPPI
Jean Denson, Director, Employment Training Division, Mississippi
Department of Economic and Community Development, 301 West Pearl
Street, Jackson, Mississippi 39203-3089, Telephone: 601-949-2234, FAX:
601-949-2291
MISSOURI
Julie Gibson, Director, Division of Job Development and Training,
Department of Economic Development, P.O. Box 1087, Jefferson City,
Missouri 65102-1087, Telephone: 314-751-4750, FAX: 314-751-6765,
MONTANA
Ingrid Danielson, Bureau Chief, State Job Training Bureau, Montana
Department of Labor and Industry, P.O. Box 1728, Helena, Montana 59624,
Telephone: 406-444-4500, FAX: 406-444-3037
NEBRASKA
Dan Dolan, Commissioner, Department of Labor, P.O. Box 94600, 550 South
16th Street, Lincoln, Nebraska 68509-4600, Telephone: 402-471-9000,
FAX: 402-471-2318
NEVADA
Roger Dremner, Executive Director, State Job Training Office, Capitol
Complex, 400 West King, Carson City, Nevada 89710, Telephone: 702-687-
4310, FAX: 702-687-3957
NEW HAMPSHIRE
Ray O. Worden, Executive Director, New Hampshire Job Training
Coordinating Council, 64B Old Suncook Road, Concord, New Hampshire
03301, Telephone: 603-228-9500, FAX: 603-228-8557
NEW JERSEY
Peter Calderone, Commissioner, State of New Jersey Department of Labor,
CN055, Trenton, New Jersey 08629-0055, Telephone: 609-292-2323, FAX:
609-633-9271
NEW MEXICO
Clinton D. Harden, Jr., Secretary, New Mexico Department of Labor, P.O.
Box 1928, Albuquerque, New Mexico 87103, Telephone: 505-841-8409, FAX:
505-841-8491
NEW YORK
John E. Sweeney, Commissioner, New York State Department of Labor,
State Office Building Campus, Building 12, Room 500, Albany, New York
12240, Telephone: 518-457-2741, FAX: 518-457-6908
NORTH CAROLINA
R. Scott Ralls, Director, Division of Employment and Training,
Department of Commerce, 111 Seaboard Avenue, Raleigh, North Carolina
27604, Telephone: 919-733-6383, FAX: 919-733-6923
NORTH DAKOTA
Gerald P. Balzer, Executive Director, Job Service North Dakota, 1000
East Divide Avenue; P.O. Box 5507, Bismarck, North Dakota 58506-5507,
Telephone: 701-224-2836, FAX: 701-224-4000
OHIO
Evelyn Bissonnette, Director, Job Training Partnership-Ohio, Ohio
Bureau of Employment Services, 145 South Front Street, 4th Floor,
Columbus, Ohio 43216, Telephone: 614-466-3817, FAX: 614-752-6582
OKLAHOMA
Glen E. Robards, Jr., Associate Director, Oklahoma Employment Security
Commission, 2401 North Lincoln, Will Rogers Building, Room 408,
Oklahoma City, Oklahoma 73152, Telephone: 405-557-5329, FAX: 405-557-
1478
OREGON
Jacki Bessler-Perasso, Acting Manager, Business Resources Division,
Oregon Economic Development Department, 255 Capitol Street, N.E., Suite
399, Salem, Oregon 97310-1600, Telephone: 503-373-1995, FAX: 503-581-
5115
PENNSYLVANIA
Alan R. Williamson, Deputy Secretary for Employment Security and Job
Training, Department of Labor and Industry, 7th and Forster Streets,
Room 1700, Harrisburg, Pennsylvania 17120, Telephone: 717-787-3907,
FAX: 717-787-8826
RHODE ISLAND
Robert Palumbo, Associate Director, Department of Employment and
Training, 101 Friendship Street, Providence, Rhode Island 02903-3740,
Telephone: 401-277-3600, FAX: 401-277-2731
SOUTH CAROLINA
Dr. Robert E. David, Executive Director, South Carolina Employment
Security Comm., 1550 Gadsden Street; P.O. Box 1406, Columbia, South
Carolina 29202, Telephone: 803-737-2617, FAX: 803-737-2642
[[Page 50397]]
SOUTH DAKOTA
Craig W. Johnson, Secretary, South Dakota Department of Labor, Kneip
Building, 700 Governor's Drive, Pierre, South Dakota 57501-2277,
Telephone: 605-773-3101, FAX: 605-773-4211
TENNESSEE
Robert L. Morris, II, Assistant Commissioner, Tennessee Department of
Labor, 710 James Robertson Parkway, 4th Floor, Nashville, Tennessee
37243-0658, Telephone: 615-741-6772, FAX: 615-741-3003
TEXAS
Linda Williamson, Deputy Director, Workforce Development Division,
Texas Workforce Commission, 211 East 7th Street, Suite 1000, Austin,
Texas 78701, Telephone: 512-936-0468, FAX: 512-936-0313
UTAH
Gregory B. Gardner, Director, Office of Job Training, 324 South State
Street, Suite 500, Salt Lake City, Utah 84114-7162, Telephone: 801-538-
8750, FAX: 801-359-3928
VERMONT
Robert Ware, Director, Jobs and Training Division, Department of
Employment and Training, 5 Green Mountain Drive; P.O. Box 488,
Montpelier, Vermont 05601-0488, Telephone: 802-828-4300, FAX: 802-828-
4022
VIRGINIA
Ann Y. McGee, Executive Director, Governor's Employment and Training
Department, Theatre Row Building, 730 East Broad Street, 9th Floor,
Richmond, Virginia 23219, Telephone: 804-786-2308, FAX: 804-786-2310
WASHINGTON
Larry A. Malo, Assistant Commissioner, Training and Employment Analysis
Division, Employment Security Department, 605 Woodview Drive, S.E., MS
KG11, Olympia, Washington 98504-5311, Telephone: 206-438-4611, FAX:
206-438-3174
WEST VIRGINIA
Andrew N. Richardson, Commissioner, Bureau of Employment Programs, Job
Training Programs Division, 112 California Avenue, Room 610,
Charleston, West Virginia 25305-0112, Telephone: 304-558-2630, FAX:
304-558-2992
WISCONSIN
June Suhling, Administrator, Division of Jobs, Employment and Training
Services, Wisconsin Department of Industry, Labor and Human Relations,
201 East Washington Avenue, Room 201X, P.O. Box 7972, Madison,
Wisconsin 53707, Telephone: 608-266-2439, FAX: 608-267-2392
WYOMING
Elizabeth A. Nelson, Deputy Director, Department of Employment, P.O.
Box 2760, Casper, Wyoming 82602, Telephone: 307-235-3254, FAX: 307-235-
3278
DISTRICT OF COLUMBIA
F. Alexis Roberson, Acting Director, D.C. Department of Employment
Services, 500 C Street, N.W., Suite 600, Washington, D.C. 20001,
Telephone: 202-724-7185, FAX: 202-724-7112
PUERTO RICO
Cesar Juan Almodovar, Secretary of Labor and President Council for
Occupational Development and Human Resources, 431 Ponce de Leon, 17th
Floor, Hato Rey, Puerto Rico 00918, Telephone: 809-754-5633, FAX: 809-
763-0195
VIRGIN ISLANDS
Lisa Harris-Moorhead, Commissioner, V. I. Department of Labor, 2131
Hospital Street, Christiansted, St. Croix, Virgin Islands 00820,
Telephone: 809-773-1994, FAX: 809-773-1515
AMERICAN SAMOA
Patolo Mageo, Acting Director, Department of Human Resources, American
Samoa Government, Pago Pago, American Samoa 96799, Telephone: 9-1-0288-
011-684-633-5172, FAX: 9-1-0288-011-684-633-1139
GUAM
William Cundiff, Director, Agency for Human Resources Development, P.O.
Box CQ, Agana, Guam 96910, Telephone: 9-1-0288-011-671-475-0751, FAX:
9-1-0288-011-671-477-5022
NORTHERN MARIANAS
Felix Nogis, JTPA Administrator, Office of the Governor, Commonwealth
of the Northern, Mariana Islands, Saipan, MP 96950, Telephone: 9-1-
0288-011-670-664-1700, FAX: 9-1-0288-011-670-322-5096
REPUBLIC OF THE MARSHALL ISLANDS
Evelyn Konou, Minister of Education, P.O. Box 3, Majuro, Republic of
the Marshall Islands 96960, Telephone: 9-1-0288-11-692-9-3345, FAX: 9-
1-0288-11-680-488-1625
REPUBLIC OF PALAU
Josephine Ulengchong, Palau JTPA Director, P.O. Box 100, Koror,
Republic of Palau 96940, Telephone: 9-1-0288-011-680-488-2513, FAX: 9-
1-0288-011-680-488-1725
FEDERATED STATES OF MICRONESIA
Kapilly Capelle, Office of Administrative Services, FSM National
Government, Palikir, Pohnpei, Eastern Caroline Islands 96941,
Telephone: 9-1-0288-011-691-320-2618, FAX: 9-1-0288-011-691-320-5854
Appendix C.--Directory of State Dislocated Worker Units
Dislocated Worker Units
(As of 4/1/96)
ALABAMA
Raymond A. Clenney, Coordinator, Job Training Division, Alabama
Department of Economic and Community Affairs, 401 Adams Avenue; Post
Office Box 5690, Montgomery, Alabama 36103-5690, Telephone: (334) 242-
5893
ALASKA
Carolyn Tuovienen, DWU Coordinator, Division of Community and Rural
Development, Department of Community and Regional Affairs, 333 West 4th
Avenue, Suite 220, Anchorage, Alaska 99501-2341, Telephone: (907) 269-
4658
ARIZONA
Tommy Landa, DWU Coordinator, Job Training Partnership Act, 1789 West
Jefferson, Site Code 920Z, Phoenix, Arizona 85005, Telephone: (602)
542-2484
ARKANSAS,
Linda Morris, Arkansas Employment Security Department, Post Office Box
2981, Little Rock, Arkansas 72203-2981, Telephone: (501) 682-3137
CALIFORNIA
Robert Hermsmeier, Displaced Worker Services Section Manager, Job
Training Partnership Div., MIC 69, Employment Development Department,
Post Office Box 826880, Sacramento, CA 94280-0001, Telephone: (916)
654-9212
COLORADO
Dick Rautio, Planner, Dislocated Worker Unit, Governor's Job Training
Office, Suite 550, 720 South Colorado
[[Page 50398]]
Boulevard, Denver, Colorado 80222, Telephone: (303) 758-5020
CONNECTICUT
Kathleen Wimer, Title III Coordinator, State Department of Labor, 200
Folly Brook Boulevard, Wethersfield, Connecticut 06109, Telephone:
(203) 566-7550
DELAWARE
Alice Mitchell, Technical Service Manager, Delaware Department of
Labor, Division of Employment and Training, University Plaza; Post
Office Box 9499, Newark, Delaware 19714-9499, Telephone: (302) 368-6913
FLORIDA
Arnell Bryant-Willis, Chief, Bureau of Job Training, Div. of Labor,
Employment and Training, 1320 Executive Center Drive, Atkins Building--
Room 211, Tallahassee, FL 32399-0667, Telephone: (904) 488-9250
GEORGIA
Robert Davis, Chief, Worker Adjustment Section, Georgia Department of
Labor, Sussex Place, 148 International Blvd., NE, Atlanta, Georgia
30303, Telephone: (404) 656-6336
HAWAII
Carol Kanayama, Acting Administrator, Office of Employment and Training
Admin., Department of Labor and Industrial Relations, 830 Punchbowl
Street, Rm. 316, Honolulu, Hawaii 96813, Telephone: (808) 586-9067
IDAHO
Cheryl Brush, Bureau Chief, Planning, Employment and Training Programs,
Department of Employment, 317 Main Street, Boise, Idaho 83735-0001,
Telephone: (208) 334-6303
ILLINOIS
Herbert Dennis, Manager, Job Training Division, Dept. of Commerce and
Community Affairs, 620 East Adams Street, Springfield, Illinois 62701,
Telephone: (217) 785-6006
INDIANA
Sharon K. Langlotz, Director, Dislocated Worker Unit, Indiana
Department of Workforce Development, 10 North Senate Avenue,
Indianapolis, Indiana 46204, Telephone: (317) 232-7371
IOWA
Jeff Nall, Administrator, Division of Workforce Development, Iowa Dept.
of Economic Development, 200 East Grand Avenue, Des Moines, Iowa 50309,
Telephone: (515) 281-9013
KANSAS
Armand Corpolongo, Job Training Director, Department of Human
Resources, Div. of Employment & Trainng, 401 SW Topeka Boulevard,
Topeka, Kansas 66603, Telephone: (913) 296-7876
KENTUCKY
Jill K. Day, Staff Assistant, Office of Training and Reemployment,
Workforce Development Cabinet, 275 East Main, 3 Floor West, Frankfort,
Kentucky 40621, Telephone: (502) 564-5360
LOUISIANA
Dale Miller, Assistant Director, Special Programs Section Office of
Labor, Federal Training Program Div., Post Office Box 94094, Baton
Rouge, LA 70804-9094, Telephone: (504) 342-7637
MAINE
Michael Bourret, Dir. of Workforce Development, Maine Department of
Labor, Bureau of Employment and Training Programs, 20 Union Street,
State House Station 55, Augusta, Maine 04330, Telephone: (207) 287-3377
MARYLAND
Ron Windsor, Office of Employment Training, Dept. of Economic and
Employment Development, 1100 North Eutaw Street, Room 3109, Baltimore,
Maryland 21201, Telephone: (410) 767-2832
MASSACHUSETTS
Suzanne Teegarden, Director, Industrial Services Program, The Schrafft
Center, 529 Main Street, Suite 400, Boston, Massachusetts 02129,
Telephone: (617) 727-8158 -X319
MICHIGAN
James Hover, Workforce Transition Unit, Michigan Jobs Commission, 201
N. Washington Square, Lansing, Michigan 48913, Telephone: (517) 373-
2162
MINNESOTA
Jim Korkki, Director, Dislocated Worker Program, Community-Based
Services, Minnesota Dept. of Economic Security, 390 North Robert
Street, First Floor, St. Paul, Minnesota 55101, Telephone: (612) 296-
6061
MISSISSIPPI
Jean Denson, Director, Employment Training Division, Mississippi Dept.
of Economic and Community Development, 301 West Pearl Street, Jackson,
MS 39203-3089, Telephone: (601) 949-2234
MISSOURI
Julie Gibson, Director, Div. of Job Development and Training,
Department of Economic Development, Post Office Box 1087, Jefferson
City, MO 65102-1087, Telephone: (314) 751-7796
MONTANA
Mary Walsh, DWU Coordinator, State Job Training Bureau, Montana Dept.
of Labor and Industry, Post Office Box 1728, Helena, Montana 59624,
Telephone: (406) 444-4500
NEBRASKA
Edward Kosark, Nebraska Department of Labor, Job Training Program
Division, 550 South 16th Street, Lincoln, Nebraska 68509, Telephone:
(402) 471-9903
NEVADA
Jan Pirozzi, DWU, State Job Training Office, Capitol Complex, 400 West
King St., Suite 108, Carson City, Nevada 89710, Telephone: (702) 687-
4310
NEW HAMPSHIRE
Boby Stevens, DWU Director, New Hampshire Job Training Coordinating
Council, 64-B Old Suncock Road, Concord, New Hampshire 03301,
Telephone: (603) 228-9500 X440
NEW JERSEY
Thomas Drabik, Director, Rapid Response Team, Labor Management
Committee, New Jersey Dept. of Labor, CN 058, Trenton, NJ 08625-0058,
Telephone: 1-800-343-3919
NEW MEXICO
Kent James, Planner/EDWAA Coordinator, Post Office Box 4218, Santa Fe,
NM 87502, Telephone: (505) 827-6866
NEW YORK
Charles Bertolami, Acting DWU Director, NY State Dept. of Labor, State
Office Campus--Bldg. 12, Albany, New York 12240, Telephone: (518) 457-
3101
NORTH CAROLINA
R. Scott Ralls, Director, Div. of Employment and Training, NC
Department of Commerce, 111 Seaboard Avenue, Raleigh, NC 27604,
Telephone: (919) 733-6383
NORTH DAKOTA
James Hirsch, Director, Job Training Division, Job Service North
Dakota, 1000 E. Divide Avenue; Post Office
[[Page 50399]]
Box 5507, Bismarck, ND 58502-5507, Telephone: (701) 328-2843
OREGON
Patricia Grose, DWU Coordinator, Economic Development Dept., 255
Capitol Street, NE; 3rd Floor, Salem, Oregon 97310, Telephone: (503)
373-1995
OHIO
James Turner, Manager, Rapid Response, OJT Ohio, Ohio Bureau of
Employment Services, 145 South Front Street; Post Office Box 1618,
Columbus, OH 43215, Telephone: (614) 466-3817
OKLAHOMA
Joe Glenn, Chief, DWU Unit, Oklahoma Employment Security Commission,
Will Rogers Building, Room 408, 2401 North Lincoln Boulevard, Oklahoma
City, Oklahoma 73105, Telephone: (405) 557-7294
PENNSYLVANIA
John Vogel, Director DWU, Labor & Industry Building, 7th and Forester
Streets; Room 1112E, Harrisburg, PA 17120, Telephone: (717) 787-9282
RHODE ISLAND
Robert Gray, EDWAA Coordinator, Dept. of Employment and Training, 109
Main Street, Pawtucket, RI 02860, Telephone: (401) 277-3450
SOUTH CAROLINA
Maxwell F. Parrott, Jr., Program Coordinator, Manpower Training Unit,
Post Office Box 995, Columbia, SC 29202, Telephone: (803) 737-2601
SOUTH DAKOTA
Mike Ryan, JTPA Administrator, SD Dept. of Labor, Kneip Building, 700
Governors Drive, Pierre, SD. 57501, Telephone: (605) 773-5017
TENNESSEE
Louis Stone, DWU Manager, TN Department of Labor, Gateway Plaza, 710
James Robertson Parkway, 4th Floor, Nashville, TN 37243, Telephone:
(615) 741-1031
TEXAS
Dale Robertson, Manager EDWAA, Work Force Development Div., Texas
Workforce Commission, 211 East 7th Street, Suite 1000, Austin, Texas
78701, Telephone: (512) 936-0474
UTAH
Gary Gardner, DWU Supervisor, Utah Office of Job Training for Economic
Development, 324 South State Street; Suite 500, Salt Lake City, Utah
84114-7162, Telephone: (801) 538-8757
VERMONT
Andrea Tomasi, DWU Coordinator, Dept. of Employment and Training, Post
Office Box 488, Montpelier, Vermont 05602, Telephone: (802) 828-4177
VIRGINIA
Rob Ashby, Virginia Employment Commission, Post Office Box 1358,
Richmond, Virginia 23211, Telephone: (804) 786-3037
WASHINGTON
Larry Malo, Assistant Commissioner, Employment and Training Division,
605 Woodland Square Loop, SE, MS-6000; Post Office Box 9046, Olympia,
WA 98507-9046, Telephone: (206) 438-4611
WEST VIRGINIA
Sherron Higginbotham, Manager, Governor's Administered Programs & DWU,
Bureau of Employment Programs, Job Training Programs Division, 112
California Avenue, Charleston, WV 25305-0112, Telephone: (304) 558-1847
WISCONSIN
Dan Bond, Chief, Dislocated Worker Unit, Division of Jobs, Employment &
Training Services, Dept. of Labor, Industry and Human Relations, 201 E.
Washington Avenue, Post Office Box 7972, Madison, Wisconsin 53707,
Telephone: (608) 266-0745
WYOMING
Brian Clark, Coordinator, Job Training Program, Dept. of Employment,
100 West Midwest, Post Office Box 2760, Casper, Wyoming 82602,
Telephone: (307) 235-3601
PUERTO RICO
Ardin Teron, President, Technological--Occupational Education Council,
431 Ponce de Leon, 16th Floor, Hato Rey, PR 00918, Telephone: (809)
754-5633
VIRGIN ISLANDS
Malcolm McGregor, DWU Coordinator, V.I. Department of Labor, 2131
Hospital Street, Christiansted, St. Croix, V.I. 00820, Telephone: (809)
773-1994
DISTRICT OF COLUMBIA
Shirley Arnett, DWU Chief, 1000 U Street, N.W., Suite 331, Washington,
DC 20001, Telephone: (202) 673-4434
Appendix D.--Assurances and Certifications
Assurances and Certifications for JTPA Title III National Reserve
Grants
----------------------------------------------------------------------
assures that:
1. Use of funds provided through this grant will be in accordance
with the Act, applicable regulations, the application and any
amendments thereto as approved by the Grant Officer, and shall be
consistent with the executed award document signed by the Grant
Officer.
2. Services under this grant will be provided only to eligible
dislocated workers.
3. Services will not be denied on the basis of residence to
eligible dislocated workers.
4. The project design will reflect full consultation with each
local labor organization(s) representing 20% or more of the workers
affected by the layoff(s) covered by this grant.
5. The project will provide activities and services which are
supported with funds reserved by the Secretary pursuant to
Sec. 302(a)(2) and Sec. 322(a)(3) of the Job Training Partnership Act.
6. The project will operate in accordance with the General
Administrative Provisions of the Act, as described in Title I, Parts C
and D, and section 312(e) of the Act; 20 CFR Part 627 of the
Regulations; and 20 CFR Part 631, Sec. 631.13, Sec. 631.15,
Sec. 631.16, Sec. 631.17, Sec. 631.31, Sec. 631.37, and Subpart G.
7. The project will maintain accurate and timely participant and
fiscal records, and will submit complete, accurate and timely reports
as specified by the Grant Officer.
8. Except as described in the application and as approved by the
Grant Officer, projects administered by State or Title III substate
grantees will adhere to all policies and procedures identified in the
approved State Title III Plan, and applicable Title III substate plan.
9. Retraining will only occur in occupations with a demand for
workers.
10. By signing these Assurances and Certifications, the applicant
is assuring compliance with the provisions of each of the following:
a. Assurances--Non-Construction Programs (SF 424B);
b. Debarment, Suspension, Ineligibility and Voluntary Exclusion--
Primary Covered and Lower Tier Transactions (29 CFR Part 98);
c. Certification Regarding Lobbying (29 CFR Part 93);
d. Certification Regarding Drug-Free Workplace (29 CFR Part 98);
e. Certification of Release of Information;
f. Compliance with Nondiscrimination and Equal Opportunity
Requirements of JTPA (29 CFR Part 34).
[[Page 50400]]
11. Each contract for on-the-job training will comply with the
provisions at Sec. 627.240 of the Regulations.
12. It will conduct at least once annually a comprehensive review
and verification of financial management, procurement systems,
participant data, and subrecipient monitoring procedures and systems
for the project operator.
13. Funds awarded under this grant will not supplant available
resources, and will be coordinated with all resources available to
provide assistance to the target group.
14. It will provide effective administration and oversight of the
funds awarded through this grant; and that it will review expenditures
and enrollment data against the planned levels for the project and
notify the Grant Officer expeditiously of any potential over- or
underexpenditure of grant funds.
15. It will compile and maintain information on project
implementation on a monthly basis, and shall provide such information
to the Department as requested.
16. It will develop and implement a system for collecting
information from participants regarding satisfaction with outcomes and
the service process, and for using that information in a continuous
improvement process regarding project design and operation.
----------------------------------------------------------------------
Signature of Authorized Signatory
----------------------------------------------------------------------
Date
----------------------------------------------------------------------
Name
Appendix E.--Definitions of Key Terms
Definitions of Key Terms
1. Family, for purposes of establishing eligibility for needs-
related payments, means two or more persons related by blood, marriage,
or decree of court who are living in a single residence, and are
included in one of the following categories:
A husband, wife and dependent children;
A parent or guardian and dependent children;
A husband and wife.
2. Family income means income as defined by the Department of
Health and Human Services in connection with the annual poverty
guidelines. Items which should not be included in computing family
income are:
unemployment compensation
child support and public assistance (including Aid to Families
with Dependent Children, Supplemental Security Income, Emergency
Assistance money payments, and non-federally funded General Assistance
or General Relief payments)
foster child care payments
educational financial assistance received under Title IV of
the Higher Education Act
needs-based scholarship assistance
income earned while on active military duty.
In addition, when a Federal statute specifically provides that
income or payments received under such statute shall be excluded in
determining eligibility for and the level of benefits received under
any other federal statute, such income shall be excluded.
With the exception of the above, and any other exclusions which can
be determined appropriate, family income to be used in determining
eligibility for needs-related payments shall be all income actually
received from all sources by all members of the family for the six-
month period prior to application, annualized. When computing family
income, income of a spouse and other family members is counted for the
portion of the six-month period, prior to application that the person
was actually a member of the family.
3. High performance workplace activities are activities designed to
increase the productivity of workers and the efficiency of work
processes. They include, but are not limited to: analyzing and
restructuring (``reengineering'') work processes to strip down
processes and work procedures to the most essential parts; acquisition
and installation of flexible, multi-purpose, usually computer-based
equipment; development and installation of self-control performance
management procedures; worker participation in designing new work
procedures and methods, including evaluation and selection of new
technologies and equipment to be used in the workplace; development of
worker skills in self-control systems and procedures, decision-making,
working in team-based environment; development of worker competence in
using new technologies, including an active role by worker
representatives in evaluating and selecting training methodologies and
materials.
4. Obsolete skills, for purposes of establishing eligibility for
skills upgrading, means skills or skill levels that would not allow the
individual worker to meet current hiring requirements for the
occupation in the local labor market, or a labor market to which the
individual is willing to relocate. Examples of reasons for ``obsolete
skills'' include: skills that are based on individual employer
requirements and are not transferrable to other workplaces; skills that
are satisfactory in low technology work environments, but are
inadequate to meet hiring criteria or for successful job performance in
similar occupations within the current local labor market.
5. Project Operator is an entity which receives an award from the
grantee to operate a full service program for all or part of the target
group covered by the grant. Project operators may be defined on the
basis of geographical service areas or specific segments of the target
population, but shall not be considered to be individual service
offices or locations, or providers of specific services (e.g.,
occupational skills training). In general, project operators would
qualify as ``subrecipients'' as defined at 20 CFR 626.5 of the JTPA
Regulations.
6. State, for the purposes of these grant application guidelines,
shall mean the 50 States of the United States, as represented by the
State JTPA agency under the Governor/Secretary Agreement and the JTPA
Agreement, block grants. ``State'' shall also include the following
grant eligible territories and legal jurisdictions: District of
Columbia, Commonwealth of Puerto Rico, Virgin Islands, Guam, American
Samoa, Commonwealth of Northern Marianas, Republic of the Marshall
Islands, Federated States of Micronesia, and Republic of Palau, as
represented by the State JTPA agency under the Governor/Secretary and
the JTPA Grant Agreements, ``block grant''.
7. Substate area means that geographic area in a State designated
by the Governor pursuant to his/her authority under section 312 of
JTPA.
8. Substate grantee means that agency or organization selected to
administer programs under agreement among the Governor, the local
elected official or officials of the applicable substate area, and the
private industry council or councils of such area, as provided in
section 312 of JTPA.
9. Substantial layoff, for the purpose of eligibility of a layoff
for assistance with national reserve account funds, is any reduction-
in-force which is not the result of a plant closure and which results
in an employment loss at any single site of employment during any 30
period for at least 33% of the employees (who work 20 or more hours per
week) or at least 50 employees (who work 20 or more hours per week).
10. Wage replacement rate for entered employments is the number
which represents the average, for all project participants, of the
ratio of the
[[Page 50401]]
placement wage to the dislocation wage for each participant.
[GRAPHIC] [TIFF OMITTED] TN25SE96.006
[FR Doc. 96-24535 Filed 9-24-96; 8:45 am]
BILLING CODE 4510-30-U