[Federal Register Volume 65, Number 61 (Wednesday, March 29, 2000)]
[Notices]
[Pages 16638-16657]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 00-7746]


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DEPARTMENT OF LABOR

Employment and Training Administration


Job Training Partnership Act, Title III, Demonstration Program: 
Comprehensive Incumbent/Dislocated Worker Retraining Demonstration 
Program

AGENCY: Employment and Training Administration, Labor.

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

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    This notice contains all of the necessary information and forms 
need to apply for grant funding.

SUMMARY: The U.S. Department of Labor (DOL), Employment and Training 
Administration (ETA), announces a demonstration program to test the 
ability of the workforce development system to create projects or 
industry-led consortia for the purpose of upgrading current workers, 
designing or adapting training curricula in skills shortage 
occupational areas, or in regionally important business/industry areas 
including manufacturing and machining, and specialized industrial areas 
such as plastics, telecommunications and the environment, and to 
recruit/retrain workers in these occupations. The dislocated and/or 
incumbent workers who will be assisted by these efforts include 
specific groups such as agricultural workers, low skilled workers, and 
those needing assistance in overcoming barriers to employment. These 
barriers to employment may be caused by living in rural communities, 
having limited options for transportation to work, having inadequate or 
obsolete skills or having skills in declining occupations. The focus of 
these efforts will be on skills training in skills shortage occupations 
including welding and metals, new and growing occupations in 
technological fields such as information technology, 
telecommunications, and other fields in which technology skills are 
critical parts of the jobs emerging in their regional labor markets. 
Any consortia established as a result of this competition would also be 
expected to enhance the strategic planning efforts and policy efforts 
of local boards under the Workforce Investment Act in these areas.

DATES: The closing date for receipt of applications is Thursday, April 
27, 2000. Applications must be received by 4 p.m. eastern standard 
time. No exceptions to the mailing and hand-delivery conditions set 
forth in this notice will be granted. Applications that do not meet the 
conditions set forth in this notice will not be considered. 
Telefacsimile (FAX) applications will not be honored.

ADDRESSES: Applications must be mailed or hand-delivered to: U.S. 
Department of Labor, Employment and Training Administration, Division 
of Federal Assistance, Attention: Marian G. Floyd, Reference: SGA/DFA 
00-103; 200 Constitution Avenue, N.W., Room S-4203, Washington, DC 
20210.
    Hand-Delivered Proposals. Proposals should be mailed at least five 
(5) days prior to the closing date. However, if proposals are hand 
delivered, they must be received at the designated address by 4 p.m., 
Eastern Time on Thursday, April 27, 2000. All overnight mail will be 
considered to be hand-delivered and must be received at the designated 
place by the specified closing date and time. Telegraphed, electronic, 
or faxed proposals will not be honored. Failure to adhere to these 
instructions will be a basis for determination of nonresponsiveness.
    Late Proposals. A proposal received at the office designated in the 
solicitation after the exact time specified for receipt will not be 
considered unless it is received before the award is made and was 
either:
    (1) 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 receipt of the proposals. 
The term ``working days'' excludes weekends and the U.S. Federal 
holidays.
    (2) Sent by U.S. Postal Service registered or certified mail not 
later than the fifth calendar day before the date specified for receipt 
of application (e.g., an offer submitted in response to a solicitation 
requiring receipt of applications by the 20th of the month must be 
mailed by the 15th). The only acceptable evidence to establish the date 
of mailing of a late proposal sent either by U.S. Postal Service 
registered or certified mail is the U.S. postmark both on the envelope 
or wrapper and on the original receipt from the U.S. Postal Service. 
Both postmarks must show a legible date or the proposal shall be 
processed as if mailed late. ``Post-mark'' means 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 and affixed by an employee of the U.S. Postal 
Service on the date of mailing. Therefore, offerors should request the 
postal clerk to place a legible hand cancellation ``bull's eye'' 
postmark on both the receipt and the envelope or wrapper. Both 
postmarks must show a legible date, or the application shall be 
processed as though it had been mailed late.
    Withdrawal of Applications. Applications may be withdrawn by 
written notice or telegram (including mailgram) received at any time 
before an award is made. Applications may be withdrawn in person by the 
applicant or by an authorized representative thereof, if the 
representative's identity is made known and the representative signs a 
receipt for the proposal.

FOR FURTHER INFORMATION CONTACT: Fax questions to Marian G. Floyd, 
Division of Federal Assistance at (202) 219-8739 (this is not a toll-
free number). All inquiries sent via fax should include the SGA /DFA-
00-103 and contact name, fax and phone number. This solicitation will 
also be published on the Internet on the Employment and Training 
Administration's (ETA) Home Page at http://www.doleta.gov. Award 
notifications will also be published on the ETA Home Page.

SUPPLEMENTARY INFORMATION: ETA is soliciting proposals on a competitive 
basis for comprehensive incumbent and

[[Page 16639]]

dislocated worker retraining program. It is envisioned that the 
upgrading of current workers, designing or adapting training curricula 
in skills shortage occupational areas, or in regionally important 
business/industry areas including manufacturing and machining, and 
specialized industrial areas.
    This announcement consist of six (6) parts.

(1) Part I--Background
(2) Part II--Eligible Applicants and Application Process
(3) Part III--Proposal Submission
(4) Part IV--Statement of Work/Government's Requirement
(5) Part V--Rating Criteria & Award Selection
(6) Part VI--Monitoring, Reporting & Evaluation Requirements

Part I. Background

A. Authority

    Section 323(a)(6) of JTPA (29 U.S.C. 1662b) authorizes the use for 
demonstration programs of funds reserved under Section 302 of JTPA (29 
U.S.C. 1652) and provided by the Secretary for that purpose under 
Section 322 of JTPA (29 U.S.C. 1662a). Demonstration program grantees 
must comply with all applicable federal and state laws and regulations 
in setting up and carrying out their programs.

B. Purpose

    During periods of economic expansion, reports of robust growth 
often overshadow news about pockets of persistent worker dislocation. 
Each year, there are over 3.3 million people laid off from their jobs, 
with many of these individuals served by federal, State and local 
career services. At the same time, the demand to create a better 
educated, higher skilled labor force for the 21st Century continues to 
rise. With 70% of the workforce for the year 2020 already in place, 
many observers have recognized that workplace learning is a priority 
investment for businesses, as well as incumbent workers. With real 
wages and productivity on the decline in some rural and urban areas, 
partnerships forged by employers, labor, unions, community colleges, 
technology centers and Government provide both the support and the 
expertise to train and retrain workers.
    Because technology and manufacturing are cornerstones of the 
economy, efforts to provide the highest levels of quality in meeting 
the training needs of workers are essential both to step-up 
productivity and to increase industrial competitiveness worldwide. 
Training machinists and engineers to replace workers who have retired 
or will be retiring from U.S. manufacturing industries during the next 
several years has created severe problems for both the industry and 
employed workers unable to move into more complex, skilled professions. 
Subsequently, expanding the manufacturing base is a key factor in 
moving people from poverty into skilled professions where rising 
standards of living will directly impact regional economies.
    Building the capacity for workers to continually develop skill sets 
and to apply new learning to job specific tasks is a fundamental 
strategy in an era of global competition, trade deregulation, and rapid 
technological change. Developing critical thinking and problem solving 
abilities, while improving fluency in reading, writing, English as a 
Second Language and mathematics are requirements of today's high 
performance workplace. Bureau of Labor Statistics data report 
occupations that require at least an associates degree will account for 
40 percent of all job growth out to 2008, compared to a one-quarter 
share of all jobs that existed in 1998. In a knowledge-driven economy, 
investing in worker skill advancement may be as important to 
competitiveness as investments in advanced machinery or technology or 
even the rise and fall interest rates. Greater schooling and training 
lead to higher wage rates. In fact, of all the factors studied, the 
wage premium for knowledge is highest. On average, wages go up about 10 
percent to 15 percent as knowledge requirements go up one level and all 
other factors of the job are fixed.
    In the Report on the American Workforce, 1999, the Secretary of 
Labor emphasized that ``Workers must enter the workforce with strong 
basic and job-related skills, and they must be prepared to learn new 
skills continuously in their places of employment, over the course of 
their lives.'' Instruction for adult literacy and numeracy, and the 
integration of knowledge from computer-based training are essential 
elements of successful business practice that cut across geographic 
regions or employment sectors. Moreover, using community-based 
expertise to provide agricultural and business training in rural areas 
appears to parallel efforts in urban communities to move people from 
poverty into the skilled labor market by targeting funds for training 
in local skill shortage occupations. Furthermore, by fostering training 
consortia, the vast majority of the costs associated with training 
incumbent workers by companies involved in the consortium would be 
fully paid by the companies themselves.
    A $7.2 million dislocated and incumbent worker demonstration 
program will support the creation of projects to respond to employer-
identified skill shortages in regional labor markets. This program will 
build on the Department's June 1998 $7.7 million dislocated worker 
technology demonstration and the new $9.5 million manufacturing 
technology demonstration awarded in June 1999. In part, it will support 
the creation of industry-led projects which can design or adapt 
training curricula in skill shortage occupational areas or in key 
regional businesses.

Part II. Eligible Applicants and the Application Process

1. Eligible Applicants

    Any organization capable of fulfilling the terms and conditions of 
this solicitation may apply. This is a risk free Federal program; 
therefore, all for profit organizations that apply will not be able to 
receive a fee if awarded a grant. All participants in projects funded 
under this demonstration program must be either:
    (a) Eligible dislocated workers as defined at JTPA Section 
301(a)(1), and 314(h)(1) of the Job Training Partnership Act. These 
sections of the law may be viewed at http://doleta.gov/regs/statutes/jtpalaw.htm. Proposed projects may target subgroups of the eligible 
population based on factors such as (but not limited to) occupation, 
industry, nature of dislocation, and reason for unemployment. Note: 
Individuals whose eligibility is based upon their status as long-term 
unemployed (Section 301(a)(1)(C)) must have a demonstrated attachment 
to the labor force; or
    (b) Incumbent workers. These are currently-employed workers whose 
employers have determined that the workers require training in order to 
help keep their firms competitive and the subject workers employed, 
avert layoffs, upgrade workers' skills, increase wages earned by 
employees and/or keep workers skills competitive. Such training would 
support further job retention and career development for improved 
economic self-sufficiency for employed workers, especially those most 
vulnerable to job loss, and increase the capability of the employing 
firm(s) to access and retain skilled workers.

2. Allowable Activities

    Funds provided through this demonstration may be used only to 
provide services of the types described at Section 314(c) and (d) of 
JTPA. Supportive services may be provided

[[Page 16640]]

when they are necessary to enable an individual who is eligible for 
training but cannot afford to pay for such supportive services, to 
participate in the training program. (Use ETA's web site referenced 
above to view.)
    Grant funds may be used to reimburse employers for extraordinary 
costs associated with on-the-job training of program participants, in 
accordance with the provisions of 20 CFR 627.240. In addition to the 
limitations and requirements provided in JTPA, particularly at Part C 
of Title I, prospective applicants should be aware that grant funds may 
not be used for the following purposes:
    (a) for training that an employer is in a position to provide and 
would have provided in the absence of the requested grant;
    (b) to pay salaries for program participants; and
    (c) for acquisition of production equipment. Applicants may budget 
limited amounts of grant funds to work with technical experts or 
consultants to provide advice and develop more complete project plans 
after a grant award, however, the level of detail in the project plan 
may affect the amount of funding provided.
    Grant activities may include:
    (a) development, testing and initial application of curricula 
focused on intensive, short-term training to get participants into 
productive, high demand employment as quickly as possible;
    (b) working with employers to develop and apply worksite-based 
learning strategies that utilize cutting-edge technology and equipment;
    (c) development of employer-based training programs that will take 
advantage of opportunities created by employers' needs for workers with 
new skills;
    (d) development and initial application of contextual learning 
opportunities for participants to learn occupational theory in a 
classroom setting while applying that learning in an on-the-job 
setting;
    (e) use of curriculum and skills training programs that are 
designed to impart learning to meet employer-specified or industry 
specific skill standards or certification requirements;
    (f) convening of an Employer Advisory Board to identify skills gaps 
of job applicants and present workers affecting the ability of the 
employer to offer a competitive product and develop a strategy for 
retraining;
    (g) innovative linkage and collaboration between employers and the 
local JTPA Substate Grantee and/or One-Stop/Career Center system to 
ensure a steady supply of targeted workers.
    The above are illustrative examples and are not intended to be an 
exhaustive listing of possible demonstration project designs or 
approaches which may achieve the purpose of this solicitation. However, 
successful applicants must demonstrate the direct involvement by 
employers experiencing skill shortages in the design and operation of 
the project as well as provide substantive documentation about the 
existence of skill shortages for the industry or occupations to be 
targeted by the proposed project. Documentation should include a 
description of the employer involvement anticipated in the project. An 
employer advisory committee may be one means of accomplishing employer 
involvement.

3. Coordination

    In order to maximize the use of public resources and avoid 
duplication of effort, applicants will coordinate the delivery of 
services under this demonstration with the delivery of services under 
other programs (public or private), available to all or part of the 
target group. Projects linking or collaborating with an existing USDOL 
funded One-Stop/Career Center initiative and/or local JTPA Substate 
Grantee located within a project area fulfill this requirement. The use 
of Pell Grants for eligible workers or the use of State training or 
education funds provided for dislocated workers or certain types of 
employers should also be addressed in the application. Where 
appropriate, partnerships should also include trade unions, 
manufacturing extension programs, economic development organizations, 
training institutions, and other local stakeholders. Any efforts 
proposed in isolation will not have the maximum impact on building 
capacity within that region or industry and are not likely to be 
funded.

4. Grant Awards

    It is anticipated that $7.2 million will be available to fund these 
projects. Approximately six to ten grants will be awarded, with an 
estimated range of $200,000 to $3 million per grant, with no individual 
grant exceeding $3 million.

5. Period of Performance

    The period of performance shall be 24 months from the date of 
execution by the Government.

6. Option To Extend

    DOL may elect to exercise its option to extend these grants for an 
additional one (1) or two (2) years of operation, based on the 
availability of demonstration funding under the Workforce Investment 
Act, successful program operation, and the determination that a 
grantee's initial program findings could further inform the workforce 
development system through refinement of the present demonstration.

Part III. Proposal Submission

A. Contents

    Applicants must submit four (4) copies of their proposal, with 
original signatures. The proposal must consist of two (2) distinct 
parts, Part I and Part II.
1. Financial Application
    Part I of the proposal shall contain the Standard Form SF424, 
``Application for Federal Assistance'' (Appendix # A) and Budget 
Information Form (Appendix # B). The Catalog of Federal Domestic 
Assistance number is 17.246. Applicants shall indicate on the SF424 the 
organization's IRS status, if applicable. According to the 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. The individual signing the 
SF424 on behalf of the applicant must represent the responsible 
financial and administrative entity for a grant should that application 
result in an award.
    The budget must include on separate pages detailed breakouts of 
each proposed budget line item found in the budget information sheet 
including detailed administrative costs and costs for one or more of 
the following categories as applicable: basic readjustment services, 
supportive services, and retraining services. The Salaries line item 
shall be used to document the project staffing plan by providing a 
detailed listing of each staff position providing more than .05 FTE 
support to the project, by annual salary, number of months assigned to 
demonstration responsibilities, and FTE percentage to be charged to the 
grant. In addition, for the Contractual line item, list each of the 
planned contracts and the amount of the contract. For each budget line 
item that includes funds or in-kind contributions from a source other 
than the requested grant funds, identify the source, the amount, and 
in-kind contributions, including any restrictions that may apply to 
these funds.

[[Page 16641]]

    Costs associated with the development of curriculum and other one-
time costs should be noted separately in order for reviewers to 
identify costs associated with development and start-up as well as on-
going participant costs.
    In addition, the budget shall provide sufficient funds for 
approximately four persons' trips to meetings in Washington, DC and 
other locations.
2. Technical Proposal
    Part II, the technical proposal shall demonstrate the offeror's 
capabilities in accordance with the Statement of Work in Part IV of 
this solicitation, and following the outline of the Rating Criteria in 
Part V, a grant application shall be limited to twenty (20) double-
spaced, single-side, 8.5-inch x 11-inch pages with 1-inch margins. 
Attachments shall not exceed ten (10) pages. Text type shall be 11 
point or larger. Each application must include the Checklist provided 
as Appendix C, a Time line outlining project activities provided as 
Appendix D, and an Executive Summary not to exceed two (2) pages. No 
cost data or reference to price shall be included in the technical 
proposal.

Part IV. Statement of Work

A. Background

    Each grant application is required to fully address items A thru H 
of this Part as they relate to the rating criteria in Part V.
    Information required under A and B below shall be provided 
separately for each labor market area where dislocated workers will be 
served. To the extent that the project design differs for different 
geographic areas, information required under section C below shall be 
provided for each geographic area.
A. Target Population
    Describe the characteristics of the proposed target population for 
the project, e.g., educational level, previous occupation, age range, 
likely transferrable skills, length of unemployment, and language 
limitations. Describe the size and needs of the target population in 
the local area as they relate to the services available to the grant. 
Provide documentation showing there is a significant number of 
dislocated workers with the target population's characteristics in the 
project area(s).
    If the project seeks to serve under-represented subgroups such as 
minority groups, women, older workers (50 years of age and older), 
disabled individuals, within a particular occupation and the selected 
subgroup has unique characteristics or needs, such characteristics or 
needs should be identified. Substantive and timely documentation of the 
subgroup's under-representation must be included.
    Indicate how the number of workers to be enrolled was determined. 
Sufficient documentation should be provided to show that workers with 
appropriate characteristics to meet the purposes of this grant are 
available in sufficient numbers to meet the recruitment goals of the 
grant recognizing that not all workers with appropriate characteristics 
will choose to participate.
B. Available Jobs
    Describe the jobs that will be available and targeted for placement 
to project participants upon completion of training and placement 
services including the strategy(ies) for identifying job openings that 
appear appropriate to the training planned and meet the target wage-at-
placement goals established in the proposal. Include information about 
the number and type of jobs, wage information and the specific set of 
skills, knowledge or duties (industry-sponsored standards of 
certifications). Provide documentation (footnote sources) that a 
shortage of qualified workers exists in the local area to fill 
positions in the targeted occupations in the absence of the proposed 
project. Anecdotal data should not be used. Information from the Bureau 
of Labor Statistics (BLS) available through a variety of web sites 
including BLS, O*NET and America's Labor Market Information System 
(ALMIS), should be considered as a key source of documentation. In 
addition, State Occupational Information Coordinating Committee (SOICC) 
and JTPA Substate Grantee local job training plans may also be 
considered. Other sources from the private sector such as Chamber of 
Commerce, local Technology Council surveys, as well as university 
studies, are also acceptable. Data must relate to local employment 
shortages. Substantive linkages with specific employers who are 
experiencing skill shortages among their present workforce and/or the 
demand for additional employees with skills in documented occupational 
shortages must be provided. Letters from employers who have made a 
commitment to the demonstration project are the most appropriate form 
of documentation.
    If some placements will be made with employers who have not been 
identified at the time of application, describe the job development and 
placement strategy to be used to assure placement of demonstration 
participants.
C. Project Design
    (1) Purpose. Describe the specific purpose or purposes of the 
proposed project.
    (2) Service Plan. Describe the services to be provided from the 
time of selection of participants through placement of those 
participants in jobs. Describe any services to be provided subsequent 
to job placement. The descriptions shall provide a clear understanding 
of the services and support that will be necessary for participants to 
be placed successfully in jobs and to retain those jobs, including 
services not funded under the grant, and ways to address participants' 
financial needs during periods of training. Grant-funded activities 
should, at a minimum, include recruitment, eligibility determination, 
assessment, retraining, job placement, and supportive services.
    (a) Outreach and recruitment. Describe how eligible dislocated 
workers will be identified and recruited for participation in the 
project. Recruitment efforts may address public service communications 
and announcements, use of media, coordination with the JTPA Service 
Delivery Area or Substate Grantee, use of community-based organizations 
and other service groups. Describe the applicant's experience in 
reaching dislocated workers, especially the targeted population. It is 
highly recommended that non-JTPA applicants partner with the 
appropriate JTPA Title III Substate Grantee(s) or local One-Stop Career 
Center System to plan and implement effective outreach and recruitment 
strategies.
    (b) Eligibility determination. Describe the process to be used in 
determining the JTPA Title III eligibility of potential participants in 
the project. It is highly recommended that non-JTPA applicants partner 
with the appropriate JTPA Title III substate grantee(s)or local One-
Stop Career Center System to carry out eligibility determination.
    (c) Selection criteria. Describe the criteria and process to be 
used in selecting those individuals to be served by the project from 
among the total number of eligible persons recruited for the project. 
Explain how the selection criteria relate to the specific purpose of 
the proposed project. Identify any assessment tools that will be used 
as part of the selection process.
    (d) Training Services. Describe the training to be provided-
classroom, experiential, on-the-job, internships, etc. Include the 
length (days and hours) and schedule, any prerequisite courses, and

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customization to account for transferable skills, previous education 
(note whether the training requires new and higher educational levels 
than previous skill training in the same industry), and particular 
circumstances of the target population and the skill needs of the 
hiring employer(s). Include information to demonstrate that any 
proposed training provider is qualified to deliver training that meets 
appropriate employment standards, and any applicable certification or 
licensing requirement. Past performance, qualifications of instructors, 
accreditation of curricula, and similar matters should be addressed, if 
appropriate. Address the costs of proposed training and other services 
relative to the costs of similar training and services including 
courses provided by both public and private providers in the local 
area. If the training is be customized to account for individual 
differences in skills levels of participants or employer hiring needs, 
describe how these considerations will be taken into account in the 
delivery of the training. The planned training must be supported by the 
information provided regarding skill shortages and demand for jobs 
using such skills.
    (e) Job Placement. Describe the role of the employer linkages 
previously addressed in assuring the availability of jobs for 
participants completing training. If an Employer Advisory Committee is 
the primary employer linkage, the members of the committee should be 
listed and the type of expertise they bring to the committee noted. 
Provide a discussion of the role(s) of the advisory committee and its 
projected meeting frequency. A neutral chair (someone other than the 
grantee) should direct the advisory committee. Describe any additional 
job seeking skills training or assistance provided to participants 
completing training.
    (f) Post placement services. Describe any post placement services 
to be provided and explain their value to the achievement of the 
project's purpose and planned outcomes.
    (g) Supportive services. Describe those supportive services 
determined to be appropriate to the target population's needs. Describe 
policies and procedures to ensure that supportive services are provided 
only when they are necessary to enable an individual who is eligible 
for training but cannot afford to pay for such supportive services, to 
participate in the training program. Indicate how the participants' 
financial needs during the period of training will be addressed.
    (h) Relocation. Describe the limitations and eligibility criteria 
for relocation assistance, if such assistance is included in the 
proposal.
    (3) Participant flow. Provide a flowchart noting length of time for 
various activities (such as one day for assessment, etc.) to illustrate 
how the project will ensure access to necessary and appropriate 
reemployment and retraining services. Show the sequence of services and 
the criteria to be used to determine the appropriateness of specific 
services for particular participants. Note where service choice options 
will be available to participants. Indicate the average length of 
participation from eligibility determination and enrollment in the 
demonstration project to placement in an unsubsidized job.
    (4) Relationship to prior experience. Discuss how the applicant's 
prior experience in working with dislocated individuals affects or 
influences the design of the proposed project. Note especially lessons 
learned or positive experiences that will be replicated.
D. Planned Outcomes
    A description of the project outcomes and of the specific measures, 
and planned achievement levels, that will be used to determine the 
success of the project. These outcomes and measures must include, but 
are not limited to:
    (1) The number of participants projected: to be enrolled in 
services, to successfully complete services through the project, and to 
be placed into new jobs (a minimum of 80 percent entered-employment 
rate is required); to retain their jobs after specified periods of 
time; to learn new skills which will assist them in retaining or 
upgrading their current positions or in moving to a new job; to be 
``placed'' into new, enhanced jobs with their current employers, or 
jobs in another occupational class with their current employers, or 
another occupation.
    (2) Measurable effects of the services provided to project 
participants as indicated by gains in individuals' skills, 
competencies, or other outcomes;
    (3) Wages of participants prior to, at placement, and 90 days after 
placement: (a) for dislocated worker participants: a minimum of 90 
percent wage replacement rate is required for at least 75 percent of 
the participants and an average 90 percent wage replacement for the 
overall demonstration project is required; (b) for incumbent worker 
participants: a minimum of 100 percent wage retention is required for 
all participants successfully completing training and meeting the 
competencies/skills levels specified by the employer prior to the 
training.
    (4) As part of the targeted outcome for wage after training, each 
project should benchmark the average weekly wage in the relevant sector 
or industry in the labor market in which each project will operate. For 
projects serving dislocated workers, as part of the targeted outcome 
for wage at placement, each project should benchmark at least two key 
wage averages for the labor market in which each project will operate. 
Suggested benchmarks might include:
    (a) The average weekly wage in the relevant sector; or the average 
weekly wage for technical and skilled trade jobs; and (b) the average 
wage at placement for the JTPA Title III, dislocated worker program 
operated by the local Substate Grantee. Provide an explanation of the 
particular benchmarks chosen for the project. For incumbent workers, 
indicate the present wage level of the workers to be trained, their 
projected wage after training, and discuss how these wage levels 
compare with the appropriate benchmark wage for the local labor market 
area.
    (5) For each project serving dislocated workers, at least 80 
percent of the individuals placed shall be placed at a wage that meets 
or exceeds (a) the average benchmarked wage in the labor market area, 
or (b) the average wage at placement for the last program year 
completed (currently 1998) for the JTPA Title III dislocated worker 
program operated by the local Substate Grantee in the targeted labor 
market, whichever is greater. Wages for labor markets may be obtained 
from the Covered Wages and Employment Program administered by each 
State's Employment Service.
    (6) Customer satisfaction of participants with the project services 
at critical points in the service delivery process as well as upon 
placement, and employer satisfaction with the skills and preparation of 
the participants placed with their organization; participant and 
employer satisfaction with project services and with the participants' 
skill level and work, should be measured not only at the end of the 
project but also at critical points identified by the applicant during 
the progress of the demonstration's implementation in order to allow 
for service strategy correction as required.
    (7) Planned average cost per placement (amount of the grant request 
divided by the number of program-related placements or continued 
placements); and
    (8) Other additional measurable, performance-based outcomes that 
are relevant to the project and which may be readily assessed during 
the period of performance of the project, such as cost effectiveness of 
services and comparison

[[Page 16643]]

with other available service strategies. Where possible, it would also 
be useful to look at production improvement and other measures the 
employer uses regarding efficiency, product quality and output. [Note: 
An explanation of how such additional measures are relevant to the 
purpose of the demonstration program shall be included in the 
application.]
E. Collaboration
    Describe the nature and extent of collaboration and working 
relationships between the applicant and other workforce development 
partners in the design and implementation of the proposed project. 
Include services to be provided through resources other than grant 
funds under this demonstration. Provide documentation that the 
collaboration described can reasonably be expected to occur. Signed 
letters of agreement and/or the charter of a formally established 
advisory council are considered the strongest evidence, while letters 
of support are considered weaker evidence.
    Describe the number and types of employers to be directly involved 
in implementation of the demonstration through activities as 
participation on an advisory council, provision of input to curriculum 
development and design, training provider, internship supervision, 
participation in establishment of local skill standards, etc. Describe 
activities, presently in place or to be undertaken to link activities 
to program interventions under this grant to employers, industry, or 
curriculum/learning centers currently designing and developing 
occupational/job skill standards and certifications. Collaboration 
should focus on linking employers involved in grant activities with any 
employer, industry, or trade and worker association that has already 
developed or is developing skill standards certifications. Employer 
linkages must be specifically addressed in the application and 
documentation provided of the specific role(s) the employer(s) will 
play in implementation of the grant provided.
    Skill standards play an important role in ensuring participants are 
meeting the accepted standards of industries. Grant applicants may show 
how skills standards and O*NET are used to help dislocated/incumbent 
workers acquire training and new jobs. Skill standards can mean 
National Skill Standards (NSS) developed under the auspices of the NSS 
Board or other skill standards recognized by employers as valid 
requirements for jobs. O*NET refers to the Occupational Information 
Network that replaces the Dictionary of Occupational Titles and defines 
all jobs in terms of worker requirements, occupational requirements, 
experience requirements, worker characteristics, occupational 
characteristics and occupation-specific requirements. The applicant may 
request a brochure explaining O*NET at the following e-mail address: 
[email protected]. Skill standards and O*NET are useful for structuring 
training curriculum, assessing dislocated/incumbent workers' skills and 
interests, and defining career paths from one occupation to another. 
Their application in the proposed project's training design would 
indicate close links to employers and an understanding of the demands 
faced by workers in high performance workplaces.
    Applicants are encouraged to commit matching funds to the 
implementation and management of their proposed programs. Matches may 
be in the form of cash or in-kind contributions. These may include but 
are not limited to such contributions as the development of training 
modules; payment of tuition costs for training; support for child care 
or transportation; and provision of staff time at no cost to the 
project. Sources of matching funds may include but are not limited to 
employers, employer associations, labor organizations, and training 
institutions. With reference to the sources and amounts of project 
funds and in-kind contributions identified in the financial proposal as 
being other than those requested under the grant applied for, describe 
the basis for valuation of those funds and contributions.

    Note: National Reserve Account grants for specific plant 
closures and layoffs may not be used to match demonstration grant 
funds, these grants provide sufficient funds to meet the needs of 
any worker in the targeted area. However, NRA grant funds may be 
used to purchase 50 percent or less of the total training slots in 
training developed with demonstration grant funds.

    Documentation of consultation on the project concept from 
applicable labor organizations must be submitted when 20 percent or 
more of the targeted population is represented by one or more labor 
organizations, or where the training is for jobs where a labor 
organization represents a substantial number of workers engaged in 
similar work. Where the union has been involved in bargaining relative 
to the introduction of either technology or the addition of new skilled 
workers at the workplace, provide information as to any role the union 
played in the design and delivery of the training as well as any impact 
on the workers with respect to the growth or shrinkage in the number of 
jobs, the selection of workers for retraining.
F. Innovation
    Describe key innovations in the proposed project, including (but 
not limited to) innovations in concept to be tested, type of 
participant to be served, services provided, delivery of services, 
training methods, job development, or job retention strategies. These 
innovations should be unique to the ongoing knowledge base of service 
delivery and training presently available to the workforce system. 
Explain the impact of such innovation on project costs to substantiate 
the budget items designated as development and start-up costs.
G. Previous Experience
    If the applicant has had a demonstration grant with the Department 
of Labor, Education or HHS within the last three years, list the title 
of the grant, the amount of the grant, the funding agency, a Federal 
contact phone number and a brief summary of purpose of the grant. For 
those grants funded by the Department of Labor, explain how this grant 
application differs from the previous grant's activity. Explain how the 
proposed project is similar to and differs from the applicant's prior 
and current operations.
H. Project Management
    (1) Structure. Describe the management structure for the project, 
including a staffing plan that describes each position and the 
percentage of its time to be assigned to this project and assures that 
sufficient staff are available to implement the project in a timely and 
effective manner. Provide an organizational chart showing the 
relationship among project management and operational components, 
including those at multiple sites of the project, in the overall 
structure of the applicant's organization. Note: It is highly 
recommended for applicants requesting $500,000 or more that a full-time 
project director be available to ensure timely and effective 
implementation of the project.
    (2) Program Integrity. Describe the mechanisms to ensure financial 
accountability for grant funds and performance accountability relative 
to job placements, in accordance with standards for financial 
management and participant data systems in 29 CFR part 95 or 97, as 
appropriate, and 20 CFR 627.425. Explain the basis for the applicant's 
administrative authority over the management and operational 
components. Describe how information will be collected to determine the

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achievement of project outcomes as indicated in section D of this part; 
and report on participants, outcomes, and expenditures.
    (3) Monitoring and Reporting. Describe how the project will keep 
records of its activities, as required in 29 CFR parts 95 and 97 and 20 
CFR 631.63 as appropriate, which will include information such as the 
following:
    (a) Benchmarks. Provide a Timeline of implementation and projected 
performance benchmarks covering the period of performance of the 
project (Appendix E). Include a monthly schedule of planned 
implementation activities and start-up events (such as curriculum 
development, selection of advisory council, advisory council meetings, 
hiring of staff, and completion of lease arrangement for space, 
development of an internal program progress reporting system, design of 
customer satisfaction measures, initiation of customer satisfaction 
activities for participants/for employers); quarterly projections of 
planned participant activity, showing cumulative numbers of 
enrollments, participation in training and other services, placements, 
and terminations; and quarterly cumulative expenditure projections. The 
quarterly performance projection data may be shown in the same 
implementation benchmark timeline or separately.
    (b) Participant progress. Describe how a participant's continuing 
participation in the project will be monitored, including determination 
of successful progress in training activities.
    (c) Project performance. Identify the information on project 
performance that will be collected on a short-term basis (e.g., weekly 
or monthly) by program managers for internal project management to 
determine whether the project is accomplishing its objectives as 
planned and whether project adjustments are necessary. Describe the 
process and procedures to be used to obtain feedback from participants, 
employers, and any other appropriate parties on the responsiveness and 
effectiveness of the services provided. The description shall identify 
the types of information to be obtained, the methods and frequency of 
data collection, and ways in which the information will be used in 
implementing and managing the project. Describe the process for 
effecting needed corrective action that may be identified through this 
feedback. Grantees may employ focus groups and surveys, in addition to 
other methods, to collect feedback information. Technical assistance in 
the design and implementation of customer satisfaction data collection 
and analysis may be provided by DOL.
    (d) Impact of Collaboration and Innovation. Describe the process 
for assessing and reporting on the impact of collaboration and 
innovation in the project with respect to the purpose and goals of the 
demonstration program and the specific purpose and goals of the 
project.
    (4) Grievance Procedure. If the applicant is a JTPA administrative 
entity or service provider, assure that a grievance procedure is 
presently in place. Otherwise, describe the grievance procedure to be 
used for grievances and complaints from participants, contractors, and 
other interested parties, consistent with the requirements at Section 
144 of JTPA and 20 CFR 631.64(b) and (c).
    (5) Previous Project Management Experience. Provide an objective 
demonstration of the grant applicant's ability to manage the project, 
ensure the integrity of the grant funds, and deliver the proposed 
performance. Indicate the grant applicant's past experience in the 
management of grant-funded projects similar to that being proposed, 
particularly regarding oversight and operating functions including 
financial management.
    (6) Sustainability and Replicability. Provide assurances that if 
the project is successful, the demonstration grantee and partners will 
continue to improve and develop the demonstrated approach. Describe the 
aspects of the demonstration approach that will allow other workforce 
development entities to replicate the proposed project. Note: The cost 
per participant will be a consideration in any replication 
consideration by other entities. Discuss the potential applicability of 
the project, or aspects of the project (such as new assessment tools, 
etc.), to other dislocated worker programs.

V. Rating Criteria & Award Selection Process

    A careful evaluation of applications will be made by a technical 
review panel who will evaluate the applications against the criteria 
listed in the SGA. The panel results are advisory in nature and not 
binding on the Grant Officer. The Government may elect to award grants 
with or without discussions with the offerors. In situations without 
discussions, an award will be based on the offeror's signature on the 
Standard Form SF 424, which constitutes a binding offer. The Government 
reserves the right to make awards under this section of the 
solicitation to ensure geographical balance. The Grant Officer will 
make final award decisions based upon what is most advantageous to the 
Federal Government in terms of technical quality, responsiveness to 
this Solicitation (including goals of the Department to be accomplished 
by this solicitation) and other factors.
    Panelists shall evaluate proposals for acceptability based upon 
overall responsiveness in accordance with the factors below.

A. Target Population (10 Points)

    The description of the characteristics of the target group to be 
served is clear and meaningful, and sufficiently detailed to determine 
the potential participants' service need. Documentation is provided 
showing that a significant number of eligible dislocated workers who 
possess these characteristics are available for participation within 
the project area. Sufficient information is provided to explain how the 
number of dislocated workers to be enrolled in the project was 
determined. The recruitment plan supports the number of planned 
enrollments. The target population is appropriate for the specific 
purpose of the proposed project. The project identifies under 
represented groups to be trained in the targeted occupation(s).

B. Targeted Jobs (15 Points)

    The jobs are clearly available to workers who have received 
appropriate training and preparation given:
    (1) The match between the documented skill shortage and the 
training planned;
    (2) The documentation provided specifying that training meets or is 
developed based on industry driven skill standards or certifications;
    (3) The substantial level of involvement of employers in making 
known their needs regarding requisite worker skills necessary for 
hiring program completers;
    (4) The documentation and reliability of job availability is based 
upon recognized, reliable and timely sources of information;
    (5) Where appropriate, the role of workers or representatives of a 
labor organization representing the workers in the design and/or 
delivery of training in enhancing worker skills during workplace change

C. Service Plan (20 Points)

    The scope of services to be provided is consistent with the 
demonstration program and project purposes and goals. The scope of 
services to be provided is adequate to meet the needs of the target 
population given:

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    (1) Their characteristics and circumstances;
    (2) The complexity of the training and the skills to be developed 
relative to their characteristics and previous job experience;
    (3) The jobs in which they are to be placed relative to targeted 
wage at placement goals;
    (4) The length of program participation planned prior to placement.

D. Costs (20 Points)

    Proposed costs are reasonable in relation to the characteristics 
and circumstances of the target group, the services to be provided, 
planned outcomes, the management plan, and coordination/collaboration 
with other entities, including One-Stop/Career Center organizations. 
The cost information provided regarding similar training available 
through other training providers is within an acceptable range or 
sufficient rationale is provided for the cost differences. The impact 
of development/start-up and innovation on costs is explained clearly in 
the proposal and is reasonable.
    Identification is provided of the specific sources and amounts of 
other funds which will be used, in addition to funds provided through 
this grant, to implement the project. The application must include 
information on any non-JTPA resources committed to this project, 
including employer funds, grants, and other forms of assistance, public 
and private. Value and level of external resources being contributed, 
including employer contributions, to achieve program goals will be 
taken into consideration in the rating process.
    The degree to which other interested partners in the workforce 
development system invest resources to test the concepts put forth in 
the application.

E. Management (13 Points)

    The project management plan is designed to track project 
performance in such a way as to assure that benchmarks are achieved in 
a timely manner, issues affecting performance such as employer 
involvement, collaboration partners commitments, etc. are quickly 
identified and addressed, and planned outcomes will be achieved in a 
cost effective manner.
    The applicant (as a part of a collaborative approach) has 
experience working with the relevant training. The management structure 
and management plan for the proposed project will ensure the integrity 
of the funds requested. The project work plan demonstrates the 
applicant's ability to effectively track project progress with respect 
to planned expenditures. Sufficient procedures are in place to use the 
information obtained by the project operator(s) to take corrective 
action if indicated. In addition, review by appropriate labor 
organizations, where applicable, is documented.
    The proposal includes a method of assessing customer feedback for 
both participants and employers involved, and establishes a mechanism 
to take into account the results of such feedback as part of a 
continuous system of management and operation of the project.

F. Collaboration (12 Points)

    The proposal includes evidence of direct participation by JTPA 
SubState Grantees and One-Stop/Career Center entities (where present) 
in the planning and management of this grant. Evidence of participation 
of employers whose positions are targeted under the grant is present. 
Evidence of coordination with other programs and entities for project 
design or provision of services is also provided. Evidence is presented 
that ensures cooperation of coordinating entities, as applicable, for 
the life of the proposed project. The project includes a reasonable 
method of assessing and reporting on the impact of such coordination, 
relative to the demonstration purpose and goals and the specific 
purpose and goals of the proposed project.

G. Innovation (5 Points)

    The proposal demonstrates innovation in the concept(s) to be 
tested, the project's design, and/or the services to be provided. 
``Innovation'' refers to the degree to which such concept(s), design 
and/or services are not currently found in dislocated worker programs. 
The project includes a reasonable method of assessing and reporting on 
the impact of such innovation, relative to the demonstration program 
and project purposes and goals.

H. Sustainability and Replicability (5 Points)

    The proposal provides evidence that, if successful, activities 
supported by the demonstration grant will be continued after the 
expiration date of the grant, using JTPA Title III formula-allotted 
funds or other public or private resources. The likelihood that the 
approach may be applicable to a broad range of dislocated worker 
programs across the country. The proposal provides evidence that the 
approach and training strategy(ies) used can be replicated by other 
workforce development partners to address skill shortages in their 
local area.
    Grant applications will be evaluated for the reasonableness of 
proposed costs, considering the proposed target group, targeted jobs, 
services, outcomes, management plan, and coordination with other 
entities.
    Applicants are advised that discussions may be necessary in order 
to clarify any inconsistency or ambiguity in their applications. The 
final decision on awards will be based on what is most advantageous to 
the Federal Government as determined by the ETA Grant Officer. The 
Government may elect to award grant(s) without discussion with the 
applicant(s). The applicant's signature on the Application for Federal 
Assistance SF424 constitutes a binding offer.

Part VI. Monitoring, Reporting and Evaluation

A. Monitoring

    The Department shall be responsible for ensuring effective 
implementation of each competitive grant project in accordance with the 
Act, the Regulations, the provisions of this announcement and the 
negotiated grant agreement. Applicants should assume that at least one 
on-site project review will be conducted by Department staff, or their 
designees. This review will focus on the project's performance in 
meeting the grant's programmatic goals and participant outcomes, 
complying with the targeting requirements regarding participants who 
are served, expenditure of grant funds on allowable activities, 
collaboration with other organizations as required, and methods for 
assessment of the responsiveness and effectiveness of the services 
being provided. Grants may be subject to their additional reviews at 
the discretion of the Department.

B. Reporting

    DOL will arrange for or provide technical assistance to grantees in 
establishing appropriate reporting and data collection methods and 
processes taking into account the applicant's project management plan. 
An effort will be made to accommodate and provide assistance to 
grantees to be able to complete all reporting electronically. 
Applicants selected as grantees will be required to provide the 
following reports:
    1. Monthly progress reports, during initial start-up and 
implementation of the project, and Quarterly Progress Reports.
    2. Standard Form 269, Financial Status Report Form, on a quarterly 
basis.

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    3. Final Project Report including an assessment of project 
performance. This report will be submitted in hard copy and on 
electronic disk utilizing a format and instructions to be provided by 
the Department. A draft of the final report is due to the Department 45 
days prior to the termination of the grant.

C. Evaluation

    DOL 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 as 
well as project financial and management data and to provide access to 
personnel, as specified by the evaluator(s) under the direction of the 
Department.

    Signed at Washington, DC, this 24th day of March, 2000.
Laura A. Cesario,
Grant Officer, Division of Federal Assistance.

Appendices

1. Appendix A--Application for Federal Assistance SF 424
2. Appendix B--Budget Information
3. Appendix C--Checklist
4. Appendix D--Implementation Benchmarks and Time Line

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