[Federal Register Volume 64, Number 157 (Monday, August 16, 1999)]
[Notices]
[Pages 44543-44554]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 99-21143]


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DEPARTMENT OF LABOR

Employment and Training Administration


Solicitation for Grant Applications (SGA) H-1B Technical Skill 
Training Grants

AGENCY: Employment and Training Administration (ETA), Labor.

ACTION: Notice of availability of funds and solicitation for grant 
applications (SGA).

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SUMMARY: This notice contains all of the necessary information and 
forms needed to apply for grant funding. The Employment and Training 
Administration (ETA), U.S. Department of Labor (DOL), announces the 
availability of grant funds for skill training programs for unemployed 
and employed workers. Funding for these grants is coming from the user 
fee mandated for applicants for new H-1B nonimmigrant visa workers and 
established under the American Competitiveness and Workforce 
Improvement Act of 1998 (ACWIA).
    Eligible applicants for these grants will be private industry 
councils (PICs) established under Section 102 of the Job Training 
Partnership Act (JTPA), local Workforce Investment Boards (WIBs) 
established under section 117 of the Workforce Investment Act (WIA) 
that will carry out such programs or projects through one-stop delivery 
systems established under section 121 of WIA, or regional consortia of 
PICs or local boards. Regional consortia may be interstate.
    WIA provides a framework for a national workforce investment and 
employment system designed to meet both the needs of the nation's 
businesses and the needs of job seekers and workers who want to further 
their careers. ACWIA will provide resources for skill training in 
occupations that are in employer demand; one measure of this demand is 
employer H-1B applications for workers. In particular, industries that 
appear to generate the most H-1B demand include information technology 
and health. Appendix A to this Solicitation provides information on the 
kinds of occupations certified under the H-1B program by the Department 
of Labor for Fiscal Year 1999 (Oct.1, 1998 to May 1999), and the number 
of job openings certified in each occupation.
    This notice describes the application submission requirements, the 
process that eligible entities must use to apply for funds covered by 
this solicitation, and how grantees will be selected. It is anticipated 
that about $25 million will be available for funding the projects 
covered in this first-round solicitation, that approximately fifteen to 
twenty projects will be selected for funding, and that the maximum 
grant award will not exceed $1.5 million. There is a 50 percent non-
Federal matching requirement.

DATES: Applications for grant awards will be accepted commencing August 
16, 1999. The closing date for receipt of applications shall be 75 days 
after date of publication in the Federal Register at 4:00 p.m. (Eastern 
Time) at the address below.

ADDRESSES: Applications shall be mailed to the U.S. Department of 
Labor, Employment and Training Administration, Division of Federal 
Assistance, Attention: Diemle Phan, SGA/DFA 99-019, 200 Constitution 
Avenue, NW, Room S-4203, Washington, D.C. 20210.

FOR FURTHER INFORMATION CONTACT: Questions should be faxed to Diemle 
Phan, Grants Management Specialist, Division of Federal Assistance, Fax 
(202) 219-8739. This is not a toll free number. All inquiries should 
include the SGA number (DFA 99-019) and a contact name, fax and phone 
number. This solicitation will also be published on the Internet on the 
Employment and Training Administration's Homepage at http://
www.doleta.gov. Award notifications will also be published on this 
Homepage.

BACKGROUND: This initiative will build on recent ETA initiatives, 
specifically the June 1998 dislocated worker technology demonstration 
and the new dislocated worker technology demonstration. These two 
recent efforts were intended to strengthen linkages between employers 
experiencing skill shortages in specific occupations and the publicly 
funded workforce development system. In June 1998, $7.5 million in JTPA 
Title III dislocated worker funds was awarded to 11 organizations 
throughout the country to train workers in skills related to the 
information technology industry. In June 1999, over $9.57 million was 
awarded to 10 grantees to train dislocated workers in the skills 
necessary to obtain work requiring advanced skills in occupations in 
manufacturing industry settings, including computers and electronics 
manufacturing, machinery and motor vehicles, chemicals and petroleum, 
specialized instruments and devices, and biomedics.

SUPPLEMENTARY INFORMATION: ETA is soliciting proposals on a competitive 
basis for the conduct of demonstration projects to provide technical 
skills training for workers, including both employed and unemployed 
workers.
    This announcement consists of three parts:
     Part I discusses the procedures for eligible applicants 
who wish to apply for these funds.
     Part II provides the detailed Statement of Work together 
with applicable reporting requirements.
     Part III describes the selection process/criteria for 
award.

Legislative Mandate

    The relevant portions of ACWIA dealing with the establishment of a 
fund for implementing a program of H-1B skill training grants state:
    ``Section 286(s)--H-1B Nonimmigrant Petitioner Account
    (1) In General--There is established in the general fund of the 
Treasury a separate account, which shall be known as the ``H-1B 
Nonimmigrant Petitioner Account.'' Notwithstanding any other section of 
this title, there shall be deposited as offsetting receipts into the 
account all fees collected under section 214(c)(9).
    (2) Use of Fees for Job Training--56.3 percent of amounts deposited 
into the H-1B Nonimmigrant Petitioner Account shall remain available to 
the Secretary

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of Labor until expended for demonstration programs and projects 
described in section 104(c) of the American Competitiveness and 
Workforce Improvement Act of 1998.''
    Section 104(c) Demonstration Programs and Projects To Provide 
Technical Skills Training for Workers.--
    (1) In General--In establishing demonstration programs under 
section 452(c) of the Job Training Partnership Act (29 U.S.C. 1732(c)), 
as in effect on the date of the enactment of this Act, or demonstration 
programs of projects under section 171(b) of the Workforce Investment 
Act of 1998, the Secretary of Labor shall use funds available under 
section 286(s) to establish demonstration programs or projects to 
provide technical skills training for workers, including both employed 
and unemployed workers.
    (2) Grants--The Secretary of Labor shall award grants to carry out 
the programs and projects described in paragraph (1) to--
    (A)(i) private industry councils established under section 102 of 
the Job Training Partnership Act (29 U.S.C.1512), as in effect on the 
date of the enactment of this Act; or
    (ii) local boards that will carry out such programs or projects 
through one-stop delivery systems established under section 121 of the 
Workforce Investment Act of 1998; or
    (B) regional consortia of councils or local boards described in 
subparagraph (A).
    The Immigration and Nationality Act (INA)(section 101(a)(15)( H)(i) 
(b)) defines the ``H-1B alien as one who is coming temporarily to the 
United States to perform services in a specialty occupation or as a 
fashion model.''
    The INA (Section 214(i)) sets criteria to define the term 
``specialty occupation:''
    (1) For purposes of section 101(a)(15)(H)(i)(b) and paragraph 2, a 
``specialty occupation'' means an occupation that requires--
    (A) theoretical and practical application of a body of highly 
specialized knowledge and,
    (B) attainment of a bachelor's or higher degree in the specific 
specialty (or its equivalent) as a minimum for entry into the 
occupation in the United States
    (2) For purposes of section 101(a)(15)(H)(i)(b)), the requirements 
of this paragraph with respect to a specialty occupation are--
    (A) full state licensure to practice in the occupation, if such 
licensure is required.
    (B) completion of the degree described in paragraph (1)(B) for the 
occupation, or (C)(i) experience in the specialty equivalent to the 
completion of such degree, and (ii) recognition of expertise in the 
specialty through progressively responsible positions relating to the 
specialty.

Part I--Application Process

A. Eligible Applicants

    ACWIA specifies under Section 104(c)(2) that the Secretary shall 
award grants to private industry councils (PICs) established under 
section 102 of the Job Training Partnership Act (JTPA), or local boards 
that will carry out such programs or projects through one-stop delivery 
systems established under section 121 of the Workforce Investment Act 
(WIA) of 1998, or regional consortia of councils or local boards.
    While the statute is quite specific about the fact that only PICs, 
local boards and consortia may apply for and receive these grant 
awards, it does not preempt the participation of other concerned 
entities which are integral to the process of planning for and 
conducting skill training in skill shortage areas. The Department of 
Labor is requiring that eligible applicants must demonstrate that they 
have the involvement of a wide representation of the business community 
in their region. They are also strongly encouraged to reach out widely 
and involve a broad spectrum of other organizations such as labor 
unions, community colleges and other postsecondary educational 
institutions, and community based organizations in a partnership or 
consortium arrangement. Applicants are encouraged to associate with 
entities which possess a sound grasp of the job marketplace in the 
region and which are in a position to address the issue of skill 
shortage occupations. Such organizations would include private, for 
profit businesses--including small- and medium-size businesses; 
business, trade, or industry associations such as local Chambers of 
Commerce and small business federations; and labor unions. Also, those 
entities should include businesses and business associations which have 
experienced first hand the problems of coping with skill shortages and 
which employ workers engaged in skill shortage occupations. This 
Solicitation will not prescriptively define the roles of individual 
entities within the partnership beyond requiring, as ACWIA states, that 
the PICs, local workforce investment boards, or consortia be the 
applicant and the recipient of grant funds. It is anticipated, however, 
that the proposal will provide a detailed discussion of participating 
organizations' respective responsibilities. The proposal should 
describe a consortium of several employers that will lead the 
consortium and provide matching funds and who intend to employ workers 
participating in the technical skills training.
    Based on Department of Labor experiences, regional partnerships 
that actively engage a wide range of participation from community 
groups--particularly with strong private employer involvement--appear 
to be successful. In general, applicants will be encouraged to include 
a broad spectrum of stakeholder groups, including such employers, in 
their partnership effort. Also, PICs or local workforce investment 
boards or consortia thereof representing more than one region that 
share common economic goals may band together as one applicant rather 
than applying individually.
    A signed certification of the authorized signatory for a PIC or a 
local workforce investment board, or the authorized signatory for each 
PIC or local board in the case of a consortium, is required. The 
attestation must identify who the grant recipient is and describe its 
capacity to administer this project; it shall also indicate that the 
project is consistent with and will be coordinated with the workforce 
investment system(s) that are involved in technical skills activities 
in the region(s) encompassed by the applicant.
    Part III of this announcement enumerates and defines in depth a 
series of criteria that will be utilized to rate applicant submissions. 
Briefly, these criteria are:
     Statement of Need
     Service Delivery Strategy
     Target Population
     Linkages with Key Partners/Sustainability
     Outcomes
     Cost Effectiveness

B. Submission of Proposals

    Applicants must submit four (4) copies of their proposal, with 
original signatures. The proposal must consist of two (2) separate and 
distinct parts, Parts I and II.
     Part I of the proposal shall contain the Standard Form 
(SF) 424, ``Application for Federal Assistance'' (Appendix B) and the 
Budget Information Form (Appendix C). The individual signing the (SF) 
424 on behalf of the applicant shall represent the responsible 
financial and administrative entity for a grant should that application 
result in an award. The individual who signs the application should be 
the same individual who signs the certification discussed in the 
previous section. According to the

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Lobbying Disclosure Act of 1995, Section 18, an organization described 
in Section 501(c)4 of the Internal Revenue Code of 1986 which engages 
in lobbying activities shall not be eligible for the receipt of federal 
funds constituting an award, grant, or loan.
    In preparing the Budget Information Sheet, the applicant must 
provide a concise narrative explanation to support the request. The 
statutory language of ACWIA is specific and exclusive in stating that 
grant resources are to be expended for programs or projects to provide 
technical skills training. Therefore, no ACWIA grant resources may be 
utilized for the costs of administration. The budget narrative should 
discuss precisely how the costs of necessary administration are being 
borne by non-ACWIA resources. To the extent that these resources are 
non-Federal in nature, they may comprise part of the match.
    Part II must contain a technical proposal that demonstrates the 
Offeror's capabilities in accordance with the Statement of Work 
contained in this announcement. A grant application is limited to 
twenty (20) double-spaced, single-side, 8.5 inch  x  11 inch pages with 
1-inch margins. The Offeror may provide statistical information and 
related material in attachments. Attachments may not exceed fifteen 
(15) pages. Letters of commitment from partners or from those providing 
matching resources may be submitted as attachments; however, letters of 
support are not required. Such letters will not count against the 
allowable maximum page total. The Applicant must briefly enumerate 
those entities in the text of the proposal. Text type shall be 11 point 
or larger. Applications that do not meet these requirements will not be 
considered. Each application must include a Time Line outlining project 
activities and an Executive Summary not to exceed two pages. The Time 
Line and the Executive Summary do not count against the 25 page limit. 
No cost data or reference to price is included in the technical 
proposal.

C. Hand Delivered Proposals

    If proposals are hand delivered, they must be received at the 
designated place by 4:00 p.m., Eastern Time [insert date x number of 
days after date of publication in the Federal Register]. All overnight 
mail will be considered to be hand delivered and must be received at 
the designated place by 2:00 on the specified closing date. Telegraphed 
and/or faxed proposals will not be honored. Failure to adhere to the 
above instructions will be a basis for a determination of 
nonresponsiveness.

D. Late Proposals

    A proposal received at the designated office after the exact time 
specified for receipt will not be considered unless it is received 
before award is made and it:
     Was sent by registered or certified mail not later than 
the fifth calendar day before the date specified for receipt of 
applications (e.g., a proposal submitted in response to a solicitation 
requiring receipt of applications by the 20th of the month must be 
mailed by the 15th);
     Was sent by U.S. Postal Service Express Mail Next Day 
Service, Post Office to addressee, not later than 5 p.m. at the place 
of mailing two working days prior to the date specified for proposals. 
The term ``working days'' excludes weekends and U.S. Federal holidays.
    The only acceptable evidence that an application was sent in 
accordance with these requirements is a printed, stamped, or otherwise 
placed impression (exclusive of a postage meter machine impression) 
that is readily identifiable without further action as having been 
supplied or affixed on the date of mailing by employees of the U.S. 
Postal Service.

E. Period of Performance

    The initial period of performance will be up to 24 months from the 
date of execution of the grant documents. It is anticipated that about 
$25 million will be disbursed. It is also anticipated that 15-20 grant 
awards will be made for up to $1.5 million. Based on successful 
performance and the availability of resources, these grants may be 
extended for an additional period not to exceed 36 months in total.

F. Definitions

    For purposes of this solicitation:
     Technical skills training includes occupational skills 
training--that may combine academic and work-place learning and related 
instruction, customized training with a commitment of an employer or 
group of employers to employ an individual upon successful completion 
of training, and that may be tailored to meet the needs of the 
individual participant. Section 134 (d)(4)(D) of WIA provides a 
definition of training services that shall be viewed as generally 
applicable to the term ``technical skills training'' in this 
Solicitation. This definition of technical skills training specifically 
allows the use of grant funds to provide necessary books.
     Region means an area which exhibits a commonality of 
economic interest. Thus, a region may comprise a few labor market 
areas, one large labor market, one labor market area joined together 
with a couple of adjacent rural districts, a few special purpose 
districts, or a few contiguous PICs or local boards. Clearly, if the 
region involves multiple economic or political jurisdictions, it is 
essential that they be contiguous to one another. A region may be 
either intrastate or interstate. Although the rating criteria will 
provide more detail, it is the applicant's responsibility to 
demonstrate the regional nature of the area which that application 
covers. Also, a region may be coterminous with a single PIC or local 
board.
     Younger workers (ages 18-24) who may have fewer 
educational or occupational credentials means those individuals who 
have the educational or occupational credential level enumerated in 
Sec. 101 (33) of WIA (which, in another context, is employed to 
describe an ``out of school youth''). Specifically, that definition 
refers to a school dropout or someone who has received a secondary 
school diploma or its equivalent but is basic skills deficient, 
unemployed or underemployed.

G. Matching Requirement

    No applicant may receive a grant unless that applicant agrees to 
provide resources equivalent to at least 50 percent of the grant award 
amount as a match. That match may be provided in cash or in kind. In 
view of the fact that the singular focus of grant resources is to 
provide skill training, ETA particularly encourages the provision of 
essential capital equipment, such as computer equipment, as part of the 
match. The match will not be tied to the drawdown of funds, however, 
the amount and nature of it must be clearly described in the 
application.

Part II--Statement of Work/Reporting Requirements

A. Principles

    Six basic key principles underlie this effort:
     Local Board (or PIC) Participation: The initiative should 
help local boards achieve the goals of their strategic plans 
established under WIA. While this legislation requires that the local 
board or PIC or a regional consortium of boards or PICs be the eligible 
applicant, this Solicitation encourages local boards or PICs to move 
beyond simply being the applicant and become actively engaged in the 
design and implementation of this grant and, thus, reinforce and 
strengthen the delivery systems emerging under the Workforce Investment 
Act of 1998. This concept ties in clearly to two rating criteria: 
Service Delivery Strategy (What is the

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range of potential training providers?; How will the types of training 
planned for project participants be determined?) and Links with Key 
Partners/Sustainability (What role each partner in the endeavor will 
play).
     Partnership Sustainability: The grant awards will be of 
relatively short duration--up to 24 months. Although the primary focus 
of these awards is technical skill training, ETA intends that regional 
partnerships sustain themselves over the long term--well after the 
federal resources from this initiative have been exhausted. The 50 
percent non-Federal matching requirement is an integral part of 
ensuring sustainability; matching resources will help sustain the skill 
shortages training effort beyond the term of the grant. This concept 
relates to Links with Key Partners/Sustainability (What resources does 
each partner bring to the table and how does this contribution assist 
in building the foundation for a permanent partnership?)
     Business Involvement: Business is an essential partner. It 
articulates skill requirements, hires skilled workers, and provides 
support for lifelong learning. Under WIA, business plays a critical 
role in planning and overseeing training and employment activities. WIA 
requires that the majority of the membership of State and local boards 
be business representatives, and that the State and local board chairs 
be drawn from business. For the purpose of these grants, it is 
imperative that businesses represented include businesses with current 
skill shortages who intend to hire graduates of the technical skills 
training. This concept relates to three Rating Criteria: Statement of 
Need (Assists in determining what skill shortage occupations are in 
demand in the region), Linkages with Key Partners/Sustainability (What 
private sector involvement is there in the partnership; what resources 
does each of the partners bring to the table; how do contributions 
assist in building the foundation for a permanent partnership?), and 
Outcomes (Businesses involved in the partnerships will provide a key 
resource in hiring/upgrading workers who have been trained).
     Current Skills Gap: Current skill shortages are the 
immediate focus of this initiative. Training investments should be 
targeted in occupational areas that have been identified on the basis 
of H-1B occupations as skill shortage areas. This concept relates to 
Statement of Need (The most important issue to be addressed under this 
section is identifying the particular skill shortages that manifest 
themselves in the region . . .) and Service Delivery Strategy (How will 
skill training meet the skill needs of the region.)
     Innovative and Effective Tools: The grantees will use 
innovative or proven tools and approaches to close particular skills 
gaps and provide strategies for training that promote regional 
development. This concept relates to Service Delivery Strategy (There 
can be innovation in the way training services are provided.) and Cost 
Effectiveness (Innovative tools and approaches may more effectively 
deliver training services to individual participants thereby resulting 
in better employment outcomes and higher levels of skill achieved by 
those participants for the same cost.)
     Target Population: This initiative should reach out widely 
to include all segments of the workforce--for example, high- and low-
skilled workers, minorities, women, and people with disabilities. The 
primary emphasis of the ACWIA technical skills training will be to 
focus on workers who can be placed directly in the highly skilled H-1B 
occupations. However, linked resources under WIA, JTPA, and other 
similar programs will be used to train individuals so they can secure 
immediate jobs that launch them on H-1B occupation-related career 
paths. This relates to the rating criterion, Target Population 
(Discussion of who the targeted workers are.)

B. Skills Shortages

    Section 104(c) of ACWIA mandates that the grants awarded under this 
authority be used for technical skill training to employed and 
unemployed workers. The basis of the funding for the grants, however, 
is a user fee paid by an employer seeking nonimmigrant alien workers 
(H-1B) that possess qualifications in occupations with skill shortages 
at high skill levels in American industry. Thus, training conducted 
under these auspices should be in occupations that have been 
demonstrated to be in short supply.
    What is a labor shortage? In the simplest terms possible, shortages 
occur in a market economy when the demand for workers for a particular 
occupation is greater than the supply of workers who are qualified, 
available, and willing to do that job. Although, some of the 
explanations for why this demand or supply disequilibrium exists are 
fairly complex, the basic concept is straightforward. In many 
instances, labor markets adjust quickly and the skill shortage is 
resolved.
    Problematic skills shortages occur when there is imbalance between 
worker supply and demand for an unusual period of time. The H-1B visa 
program is a response to those shortages, and this skill training grant 
program helps alleviate such shortages. It should be noted that the 
concept of skill shortages also may include an imbalance between the 
demand and supply of workers at some definable skill level.

C. Skills Standards

    As noted earlier, the definition of the minimum proficiency level 
required to be considered an H-1B occupation, contained in section 214 
(i) of INA, speaks to a very high skill level for these ``specialty 
occupations'' (8 U.S.C. 1184 (i)). To reiterate, these are occupations 
that require ``theoretical and practical application of a body of 
highly specialized knowledge,'' and full state licensure to practice in 
the occupation (if it is required). These occupations also must require 
either completion of at least a bachelor's degree or experience in the 
specialty equivalent to the completion of such degree and recognition 
of expertise in the specialty through progressively responsible 
positions relating to the specialty.
    In examining the occupational goals to target the training, it may 
be appropriate for applicants to identify intermediate occupational 
skill-level steps that linked resources will assist in addressing. To 
the extent that applicants target younger workers (age 18-24) or low 
wage workers who may have fewer educational and occupational 
credentials, it is important that the applicant spell out career paths 
which will help individuals acquire the high proficiency levels 
explicitly and implicitly contained in the H-1B occupations.
    Skill standards represent a benchmark by which an individual's 
achieved competence can be measured. Much work has been done in this 
area--some by private industry and trade associations, some by 
registered apprenticeship training systems, some by public and private 
partnerships, including local School-to-Work partnerships, and the Job 
Corps. Succinctly stated, well-defined skill standards can be a useful 
tool in matching training goals to targeted occupational areas. 
Applicants are encouraged to survey the progress to date in developing 
occupational skill standards in their communities. Do companies that 
will be seeking skilled workers for H-1B occupations have a clearly 
defined set of expectations for the requisite capabilities of those 
workers?

[[Page 44547]]

D. Regional Planning

    Applicants must describe the local area or region that will be 
served. The proposal must also identify the political jurisdictions to 
be included as well as provide an enumeration of the specific local 
areas under JTPA or WIA. This description should include a discussion 
of skill shortages in the local area or region. Although comprehensive 
occupational vacancy data do not exist, current H-1B applicant data 
should be utilized to the extent feasible to describe occupational 
shortages. Attachment A to this Solicitation is a listing by occupation 
of the most current H-1B applicant data. Applicants may take into 
consideration that occupations listed in high demand among those for 
which H-1B visas were sought nationally also might be in short supply 
in their region.
    However, applicants should avail themselves of all available local 
data including data provided by area businesses and business 
associations in making determinations as to shortages. They are 
encouraged to research widely and be inclusive in utilization of labor 
market information. In addition to the sources already described, 
applicants are encouraged to analyze data made available by the Bureau 
of Labor Statistics and through the local One-Stop delivery system.

E. Service Delivery and Supportive Services

    Applicants should carefully describe skill training in context of 
the goals that are to be achieved by participants. These goals should 
be expressed in terms of targeted occupations. The Statement of Work 
should provide a detailed discussion of the kinds of training to be 
provided and the mechanisms to be used to provide it. Applicants also 
should build linkages to the One-Stop system established under WIA to 
reach out, inform, and recruit individuals to participate in the H-1B 
financed training. It is expected that the applicant's work statement 
will include a discussion of the types of skills being trained for, the 
necessary skill levels that are targeted, how they will be measured, 
and how skill shortages in the local area or region will be met through 
this training
    The central role of the local boards or PICs in the planning and 
policy activity surrounding these grants is critical. WIA requires the 
local board to prepare a strategic workforce investment plan for the 
area that it embraces. The local board also designates One-Stop service 
center operators and selects eligible training providers. In short, 
local boards are already engaged in much of the necessary work that 
could provide a solid foundation for the training activities to be 
undertaken in ACWIA. The PIC under JTPA is very much in a similar role 
except that the PIC may provide direct services; under WIA however, the 
presumption is that local boards only provide services under certain 
circumstances and for a limited time period.
    ACWIA requires that grant resources be used solely for technical 
skills training. However, ETA anticipates that applicants may need to 
make available a range of supportive services to enhance the quality 
and effectiveness of the skill training provided under the grant. Grant 
funds may not be used to provide supportive services. Appropriately 
focused services, however--such as transportation or child care and 
others defined by section 4(24) of JTPA and section 101(46) of WIA--
could be viewed as an important factor enhancing the technical skills 
training package. To the extent that these services are provided 
utilizing non-Federal resources, applicants may present them as part of 
the proposed matching requirement. Federal resources such as 
coenrollment in WIA or JTPA while participating in ACWIA training for 
supportive services clearly cannot be counted toward the matching 
requirement; however, such coordinated coenrollment and services are 
clearly desirable features of these projects. Successful applicants are 
encouraged to leverage such Federal resources as part of making the 
technical skills training more effective.

F. Reporting Requirements

    The Grantee is required to provide the reports and documents listed 
below:
     Quarterly Financial Reports. The grantee must submit to 
the Grant Officer's Technical Representative (GOTR) within the 30 days 
following each quarter, two copies of a quarterly Financial Status 
Report (SF269) until such time as all funds have been expended or the 
period of availability has expired.
     Progress Reports. The grantee must submit brief narrative 
quarterly reports to the GOTR within the 30 days following each 
quarter. Two copies are to be submitted; the report provides a detailed 
account of activities undertaken during that quarter including:
    a. A discussion of occupational areas for which skill training is 
being provided,
    b. Job placements in skill shortage occupations, and
    c. An indication of any current problems which may affect 
performance and proposed corrective action.
     Final Report. A draft final report which summarizes 
project activities and employment outcomes and related results of the 
demonstration shall be submitted no later than the expiration date of 
the grant. The final report shall be submitted in 3 copies no later 
than 60 days after the grant expiration date.

G. Evaluation

    ETA will arrange for or conduct an independent evaluation of the 
outcomes, impacts, and benefits of the demonstration projects. Grantees 
must agree to make available records on participants and employers and 
to provide access to personnel, as specified by the evaluator(s) under 
the direction of ETA.

Part III--Review Process & Rating Criteria

    A careful evaluation of applications will be made by a technical 
review panel who will evaluate the applications against the criteria 
listed below. The panel results are advisory in nature and not binding 
on the Grant Officer. The Government may elect to award the grant with 
or without discussions with the offeror. In situations without 
discussions, an award will be based on the offeror's signature on the 
(SF) 424, which constitutes a binding offer. Awards will be those in 
the best interest of the Government.

A. Statement of Need (20 Points)

    The underlying statute authorizing this competitive grant program--
ACWIA--is a response to skill shortages around the country in specific 
occupations. ETA has provided the most recent H-1B application data as 
an attachment to this solicitation. The most important issue to be 
addressed under this section is identifying, to the extent possible, 
the particular skill shortages that manifest themselves in the region 
that is encompassed by the application. Applicants are encouraged to 
utilize all available data resources--H-1B applications, newspaper want 
ads, expressed employer consortium hiring desires, and One Stop 
system's labor market information--in responding to this criterion.
    To provide a focused backdrop for the discussion of skill 
shortages, applicants should describe clearly the region for which 
services are to be provided. What are the characteristics that make 
this area a cohesive region? What are the particular characteristics of 
the local political, economic and administrative

[[Page 44548]]

jurisdictions--PICs, local workforce investment boards, labor market 
areas, special district authorities--that caused them to associate for 
the purpose of this application?
    There are several useful items of information that could be 
provided to enhance the description of the region. A general discussion 
of the region should include socioeconomic data--with a particular 
focus on the general education and skill level prevalent in the area. 
Also, it is useful to include such items as transportation patterns, 
demographic information (such as age and general income of residents). 
Judicious use of statistical information is encouraged. Other pertinent 
questions that will provide greater depth of description include: What 
is the general business environment? What industries and occupations 
are growing, and which ones are contracting? What are the 
characteristics of the major employers in the region? What is the 
particular situation of the consortium member companies?

B. Service Delivery Strategy (22 points)

    Applicants must lay out a comprehensive strategy for providing the 
technical skills training that is mandated as the core activity of 
these grant awards. Concomitantly, there needs to be a discussion of 
how this skill training will meet the skill needs of the region. 
Several specific issues must be focused on as part of this section. 
Those issues include:
    What is the range of potential training providers, what kinds of 
skill training will be offered, how will that meet the regional skill 
needs, and how will training be provided? How will the types of 
training planned for project participants be determined? Also, although 
there is a separate section on outcomes, it is strongly recommended 
that some brief mention in context of the service delivery strategy, be 
made of them here. Such outcomes would include job placements in skill 
shortage occupations, increased salary, and measurable skill gains or 
certificates obtained that demonstrate how the training will alleviate 
skill shortages.
    Supportive services, per se, are not an allowable activity with 
grant funds. However, making such services available on an as needed 
basis (utilizing other available resources) is encouraged.
    Innovation in the context of service delivery can represent a wide 
variety of items. There can be innovation in the way training services 
are provided--e.g., distance learning to provide instruction, 
interactive video self-instructional materials, and flexible class 
scheduling (sections of the same class scheduled at different times of 
the day to accommodate workers whose schedules fluctuate). Creativity 
in developing the service strategy is also encouraged.

C. Target Population (18 Points)

    The eligibility criterion for skill training enumerated in ACWIA is 
extremely broad--employed and unemployed workers. This section should 
include an extensive focused discussion of who the targeted workers 
are, including their characteristics, and why they are being targeted. 
A discussion of what assessment procedures are to be used is integral.
    In the case of employed workers, there should be some articulation 
of what is to be accomplished. The applicant should address some 
specific issues relating to the target employed worker population such 
as:

--How many employed workers will be targeted for services and why?
--What are the technical skills training needs of those workers to 
fulfill skill shortage occupations?

    In the case of unemployed workers, there needs to be an extensive 
discussion of criteria to be used to assess and enroll individuals. It 
is true that the target occupations and specific jobs to be trained for 
within the H-1B rubric are statutorily geared to a very high skill 
standard.
    However, applicants are encouraged to identify intermediate skill 
level steps (or in the words of the INA--``progressively responsible 
positions relating to the specialty'' (8 U.S.C. 1184(i)(2)(c)(2)) so 
that linked resources--e.g., from WIA, JTPA, and other similar 
programs--may be used to train younger less skilled workers to ``back 
fill'' those positions.
    In this light, ETA is interested in opening opportunities for these 
positions to younger workers (ages 18-24) who may have fewer 
educational or occupational credentials, individuals with disabilities, 
or low-wage workers. ETA also is very interested in serving 
underrepresented communities and populations, particularly those that 
may reside in Empowerment Zones and Enterprise Communities (EZ/ECs).
    Applicants are strongly encouraged to describe in detail how linked 
resources will meet the needs of individuals in these groups. 
Applications are also strongly encouraged to target one or more of 
these groups and describe in realistic terms the training goals that 
can be attained by that group(s). The businesses that will employ these 
individuals do not need to be located in the EZ or EC.

D. Linkages With Key Partners/Sustainability (17 Points)

    The applicant should enumerate who the partners are in this 
endeavor and how they will link together--i.e., what role each will 
play. In particular, this section should articulate ties to the private 
sector, including ties with small- and medium-sized businesses and 
small business federations.
    The Service Delivery Strategy section of the Statement of Work 
described the role each of the actors would play in providing services. 
This section looks at the linkages from a somewhat different more 
structural perspective with particular emphasis on the employers in the 
consortium that are experiencing skill shortages. What resources does 
each partner bring to the table? The application will specify a 
management entity (together with a staffing pattern and resumes of 
major staff members) and will articulate with some precision the roles 
of various actors. A short portion of this discussion should dwell upon 
the organizational capacity and track record of the primary actors in 
the partnership.
    There is a 50 percent matching requirement. To what extent does any 
of these partners provide matching funds or services and how does this 
contribution assist in building the foundation for a permanent 
partnership, i.e., sustainability?
    As noted earlier, Federal resources cannot be counted against the 
matching requirement; however, it is important that such resources be 
provided as part of the project because they certainly support and 
strengthen the quality of the technical skills training provided in the 
project and contribute materially toward sustainability. Because ACWIA 
resources are limited to training individuals to fill high skill H-1B 
jobs, it is vitally important that applicants link job training 
resources under JTPA, WIA and other similar programs so that 
individuals possessing lesser levels of educational and/or occupational 
skills may also benefit from this initiative. For example, local boards 
could commit through One-Stop centers such valuable participant 
services as participant assessment and case management. Applicants are 
encouraged to enumerate these leveraged resources under this section as 
examples of leveraged resources. This section should also enumerate any 
specific existing contractual commitments.
    Briefly stated, the sustainability issue can be addressed by 
providing concrete evidence that activities supported by the 
demonstration grant will be continued

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after the expiration date of the grant using other public or private 
resources.

E. Outcomes (15 Points)

    Applicants must describe the predicted outcomes resulting from this 
training. It is posited that the projected results will be somewhat 
varied given the broad range of people that will probably be served. 
For example, employed workers may be trained to achieve a higher skill 
level than most unemployed workers. Their success could manifest itself 
through job placements in H-1B skill shortage occupations, increased 
wages, or skill attainment in H-1B occupations.
    By contrast, using linked WIA or JTPA resources, unemployed 
workers, particularly those in the underrepresented groups discussed 
above, might be trained to ``backfill'' the jobs previously occupied by 
the incumbent workers whose skills have been upgraded. These unemployed 
individuals may be measured in terms of gaining employment as well as 
skills attainment. There also could be an effort to project target 
salary levels for them as a result of the training received.
    There are, however, unemployed workers who may well already possess 
a very high skill level. They could receive refresher technical skills 
training to update their skills. The outcomes for this group may also 
be projected in terms of gaining employment and skills attainment; 
those outcomes would simply be at a somewhat higher level than for 
those unemployed workers who do not possess similar skills at the 
outset.
    Ideally, the applicant's outcomes section will describe some 
version of a relatively cohesive mosaic that weaves together the 
outcomes for both employed and unemployed workers in the context 
described in the preceding three paragraphs. Additionally, the outcomes 
section should focus very specifically on the changes that occur 
because of the training. Thus, an applicant might state that a certain 
skill level is projected for a given group; but the applicant should 
couch that outcome in context of what the initial pre-training skill 
level had been for the group.

F. Cost Effectiveness (8 Points)

    Applicants will provide a detailed cost proposal including a 
discussion of the expected cost effectiveness of their proposal in 
terms of the expected cost per participant compared to the expected 
benefits for these participants. Applicants should address the 
employment outcomes and the levels of skills to be achieved (such as 
attaining State licensing in an occupation) relative to the amount of 
training that the individual had to receive to achieve those outcomes. 
Benefits can be described both qualitatively in terms of skills 
attained and quantitatively in terms of wage gains. Cost effectiveness 
may be demonstrated in part by cost per participant and cost per 
activity in relation to services provided and outcomes to be attained.
    This section must contain a detailed discussion of the size, 
nature, and quality of the non-Federal match. Proposals not presenting 
a detailed discussion of the non-Federal match or not meeting the 50 
percent match requirement will be considered nonresponsive.
    Applicants are advised that discussions and/or site visits may be 
necessary in order to clarify any inconsistencies in their 
applications. The reviewers' evaluations are only advisory to the Grant 
Officer. The final decisions for grant award will be made by the Grant 
Officer after considering the panelists' scoring decisions. The Grant 
Officer's decisions will be based on what he or she determines is most 
advantageous to the Federal Government in terms of technical quality 
and other factors.

    Signed in Washington, D.C. , this 10th day of August 1999.
Laura Cesario,
Grant Officer.

Appendix A--Selected H-1B Professional, Technical and Managerial 
Occupations, and Fashion Models: Number of Job Openings Certified 
by the U.S. Department of Labor, Fiscal Year 1999 (Oct. 1, 1998-May 
31, 1999)

------------------------------------------------------------------------
                                                           Number of
    Occupational code          Occupational title           openings
                                                           certified
------------------------------------------------------------------------
030.....................  Occupations In Systems                 360,745
                           Analysis And Programming.
076.....................  Therapists.................            181,665
160.....................  Accountants, Auditors, And              35,665
                           Related Occupations.
039.....................  Other Computer-Related                  28,529
                           Occupations.
003.....................  Electrical/Electronic                   16,859
                           Engineering Occupations.
070.....................  Physicians And Surgeons....             11,264
019.....................  Other Occupations In                    11,175
                           Architecture, Engineering
                           And.
090.....................  Occupations In College And               9,028
                           University Education.
199.....................  Miscellaneous Professional,              8,964
                           Technical, And Manager.
189.....................  Miscellaneous Managers And               8,824
                           Officials.
007.....................  Mechanical Engineering                   7,115
                           Occupations.
050.....................  Occupations In Economics...              5,608
163.....................  Sales And Distribution                   5,368
                           Management Occupations.
033.....................  Occupations In Computer                  4,573
                           Systems Technical Support.
161.....................  Budget And Management                    4,263
                           Systems Analysis
                           Occupations.
169.....................  Other Occupations In                     4,135
                           Administrative Occupations.
031.....................  Occupations In Data                      4,121
                           Communications And
                           Networks.
041.....................  Occupations In Biological                3,981
                           Sciences.
079.....................  Other Occupations In                     3,764
                           Medicine And Health.
012.....................  Industrial Engineering                   2,725
                           Occupations.
186.....................  Finance, Insurance And Real              2,624
                           Estate Managers And Off.
020.....................  Occupations In Mathematics.              2,599
001.....................  Architectural Occupations..              2,490
141.....................  Commercial Artists:                      2,371
                           Designers & Illustrators,
                           Graphics.
297.....................  Fashion Models.............              2,367
092.....................  Occupations In Preschool,                2,359
                           Primary, Kindergarten Ed..
187.....................  Service Industry Managers                2,347
                           And Officials.
022.....................  Occupations In Chemistry...              2,345
005.....................  Civil Engineering                        2,186
                           Occupations.
032.....................  Occupations In Computer                  1,595
                           System User Support.

[[Page 44550]]

 
091.....................  Occupations In Secondary                 1,579
                           School Education.
110.....................  Lawyers....................              1,353
029.....................  Other Occupations In                     1,306
                           Mathematics And Physical
                           Sciences.
131.....................  Interpreters and                         1,270
                           Translators.
166.....................  Personnel Administration                 1,229
                           Occupations.
165.....................  Public Relations Management              1,216
                           Occupations.
185.....................  Wholesale And Retail Trade               1,183
                           Managers And Officials.
008.....................  Chemical Engineering                     1,075
                           Occupations.
168.....................  Inspectors And                             974
                           Investigators, Managerial
                           & Public.
142.....................  Environmental, Product And                 955
                           Related Designers.
119.....................  Other Occupations In Law                   882
                           And Jurisprudence.
099.....................  Other Occupations In                       841
                           Education.
023.....................  Occupations In Physics.....                836
010.....................  Mining And Petroleum                       777
                           Engineering Occupations.
164.....................  Advertising Management                     773
                           Occupations.
132.....................  Editors: Publication,                      748
                           Broadcast, And Script.
078.....................  Occupations In Medical And                 699
                           Dental Technology.
183.....................  Manufacturing Industry                     681
                           Managers And Officials.
184.....................  Transportation,                            659
                           Communication, And
                           Utilities Management.
049.....................  Other Occupations In Life                  612
                           Sciences.
162.....................  Purchasing Management                      604
                           Occupations.
040.....................  Occupations In Agricultural                574
                           Sciences.
074.....................  Pharmacists................                508
159.....................  Other Occupations In                       506
                           Entertainment And
                           Recreation.
------------------------------------------------------------------------

    Technical Note: The Immigration and Nationality Act (Act) 
assigns responsibility to the Department of Labor with respect to 
the temporary entry of foreign professionals to work in specialty 
occupations in the U.S. under H-1B nonimmigrant status. Before the 
Immigration and Naturalization Service will approve a petition for 
an H-1B nonimmigrant worker, the employer must have filed and had 
certified by the Department a Labor Condition Application. The 
employer must indicate on the application the number of H-1B 
nonimmigrant workers sought, the rate of pay offered to the 
nonimmigrants, and the location where the nonimmigrants will work, 
among other things.

    The Act limits the number of foreign workers who may be assigned H-
1B status in each fiscal year, however, there is no limit on the number 
of job openings that may be certified by the Department. Historically, 
the actual number of job openings certified by the Department each year 
far exceeds the number of available visas. This excess in the number of 
certified openings is due to a number of factors: extension of status 
filings that are not subject to the annual cap; openings certified for 
anticipated employment that does not transpire; or movement from one 
employer to another (again, not subject to cap).
    The occupational codes in the left-hand column represent the three-
digit occupational groups codes for professional, technical and 
managerial occupations from the Dictionary of Occupational Titles 
(DOT).

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