[Federal Register: January 26, 1999 (Volume 64, Number 16)]
[Notices]
[Page 4009-4023]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr26ja99-147]
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_______________________________________________________________________
Part II
Department of Labor
_______________________________________________________________________
Employment and Training Administration
_______________________________________________________________________
Welfare-to-Work Competitive Grants; Notice
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DEPARTMENT OF LABOR
Employment and Training Administration
Welfare-to-Work Competitive Grants
AGENCY: Employment and Training Administration (ETA), DOL.
ACTION: Notice of availability of funds; solicitation for grant
applications.
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SUMMARY: The U.S. Department of Labor (DOL), Employment and Training
Administration (ETA) announces the third round of competitive grants
under the Welfare-to-Work (WtW) grant program. The WtW program assists
States and local communities to provide the transitional employment
assistance needed to move hard-to-employ recipients of Temporary
Assistance for Needy Families (TANF), and certain noncustodial parents,
who have experienced or have characteristics associated with long-term
welfare dependence, into lasting unsubsidized jobs. This announcement
describes the conditions under which applications will be received
under the (WtW) Competitive Grants program and how DOL/ETA will
determine which applications it will fund. Please note that substantive
changes have been made to this solicitation from previous WtW
competitive grant solicitations. Read this Announcement carefully. In
this round, the Department of Labor is placing a high priority on
funding applications targeted to specific populations who face
particular challenges in moving from welfare to work: noncustodial
parents, individuals with disabilities, individuals who require
substance abuse treatment, victims of domestic violence and individuals
with limited English proficiency. Applications targeting these high
priority populations may be eligible for bonus points. Applications for
other WtW projects will also be considered, but will not be eligible
for the bonus points associated with serving a high priority
population. This announcement includes all of the information and forms
needed to apply for WtW competitive grants.
DATES: The closing date for receipt of applications under this
announcement is April 30, 1999. For the funding cycle covered by this
announcement, complete applications must be received at the address
below no later than 2 p.m. EST (Eastern Standard Time). Except as
provided below, grant applications received after this date and time
will not be considered. Applications which are not accepted for this
announcement must be resubmitted to be considered for future
announcements.
ADDRESSES: U.S. Department of Labor, Employment and Training
Administration, Division of Federal Assistance, Attention: Ms. Mamie D.
Williams, SGA/DFA 99-003, 200 Constitution Avenue, NW, Room S4203,
Washington, D.C. 20210.
FOR FURTHER INFORMATION CONTACT: Questions should be faxed to Ms. Mamie
D. Williams, Grant Management Specialist, Division of Federal
Assistance, Fax: (202) 219-8739. This is not a toll-free number.
Questions may also be sent via electronic mail to ``disgu-
sga@doleta.gov.'' All inquiries sent via fax or e-mail should include
the SGA number (DFA 99-003) and a contact name and phone number. This
announcement is also being published on the Internet on the Employment
and Training Administration's Welfare-to-Work Home Page at http://
wtw.doleta.gov. Commonly asked questions and answers with regard to the
WtW competitive grants and the WtW program in general, and copies of
the Interim Final Rule governing the Welfare-to-Work program, including
activities conducted under the competitive grants, are also available
on the WtW Home Page. Award notifications will be also published on the
WtW Home Page.
SUPPLEMENTARY INFORMATION:
I. Authority
Section 403(a)(5)(B) of Title IV of the Social Security Act.
Regulations governing the WtW program are at 20 CFR Part 645, published
at 62 FR 61588 (November 18, 1997).
II. Submission of Applications
Four copies of the application must be submitted, one of which must
contain an original signature. Proposals must be submitted by the
applicant only. All applications must be single-spaced, and on single-
sided, numbered pages. A font size of at least 12 point is required.
Section I of the application must include the following required
elements: (1) Application Cover Sheet; (2) Project Financial Plan,
including the SF-424, (3) ETA Form 9070, Project Synopsis Form, and (4)
Evidence of State and local consultation. Section I will not count
against the application page limits. Failure to include all elements
required in this section will result in disqualification of the
application. Applications will not be reviewed if appropriate State and
PIC/political subdivision certifications (or evidence of efforts to
consult, as described in Section IV below) are not included. No
additional information or materials will be accepted by the Department
of Labor after the closing date, unless such additional material is
specifically requested by the Grant Officer.
Section II of the application, the project narrative, shall not
exceed twenty (20) pages for the Government Requirements/Statement of
Work section, as described below in the ``Required Content for WtW
Competitive Grant Applications--Fiscal Year 1999,'' plus an additional
ten (10) pages for Attachments, to include no information that is
critical to the review of the proposal. Letters of support for a
proposal should NOT be submitted and will count against the page
limits.
Acceptable Methods of Submission
Applications may be hand-delivered or mailed. Hand-delivered
applications must be received at the address identified above by the
date and time specified. Overnight mail deliveries will be treated as
hand-deliveries. Mailed applications that arrive after the closing date
will be accepted if they are post-marked at least five (5) days prior
to the closing date. Applications submitted via overnight mail that
arrive after the closing date will be accepted if they are post-marked
at least two (2) days prior to the closing date. Otherwise, late
applications will not be accepted. Telegraphed and/or faxed
applications will not be accepted.
Applications may be withdrawn by written notice or telegram
(including mailgram), or in person if the representative's identity is
made known, and the representative signs a receipt for the application.
OMB Approval of Paperwork Burden
According to the Paperwork Reduction Act of 1995, no persons are
required to respond to a collection of information unless such
collection displays a valid OMB control number. The valid OMB control
number for this information collection is 1205-0399, expiration 7/99.
The time required to complete this information collection is estimated
to average twenty (20) hours per response, including the time to review
the instructions, search existing data resources, gather data needed,
and complete and review the information. Comments concerning this
burden estimate or any other aspect of this collection of information,
including suggestions for reducing this burden, to the U.S. Department
of Labor, Office of Job Training Programs, Room N4459, Washington, DC
20210 (Paperwork Reduction Project 1205-0399).
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Comments may be reflected in the development of future solicitations.
Catalog of Federal Domestic Assistance Number
The Welfare-to-Work program is listed in the Catalog of Federal
Domestic Assistance at No. 17.253, ``Employment and Training
Assistance--Welfare-to-Work Grants to States & Local Entities for Hard-
to-Employ Welfare Recipient Programs.''
III. Program Scope and Funding
Competitive grant projects will be expected to achieve the purpose
of all WtW grants:
To provide transitional assistance which moves welfare recipients
into unsubsidized employment providing good career potential for
achieving economic self-sufficiency.
This transitional assistance is to be provided through a ``work
first'' service strategy in which recipients are engaged in employment-
based activities. Grant funds may be used to provide needed basic and/
or vocational skills training as a post-employment service in
conjunction with either subsidized or unsubsidized employment. This
flexibility, established in the Regulations, reflects the basic ``work
first'' philosophy of the WtW legislation, and recognizes the critical
importance of continuous skills acquisition and lifelong learning to
economic self-sufficiency.
All competitive grant projects are expected to be integral parts of
a comprehensive strategy for moving eligible individuals into
unsubsidized employment in a local, community-based context. Projects
should develop and implement innovative approaches that enhance a
community's ability to move eligible individuals into self-sustaining
employment, create upward mobility paths and higher earnings potential
for WtW participants, and achieve sustainable improvements in the
community's service infrastructure for assisting welfare recipients.
All applications will be reviewed under the criteria set forth in
Part VII of this announcement, including the effectiveness of the
proposal in moving TANF recipients who are least job ready into
unsubsidized employment, in moving such recipients into unsubsidized
employment in labor markets that have a shortage of low-skill jobs, and
in expanding the base of knowledge about programs aimed at moving TANF
recipients into long-term unsubsidized employment.
Targeted Populations
Within the overall WtW competition, the Department seeks
applications that target one of five high priority populations--(1)
noncustodial parents; (2) individuals with disabilities; (3)
individuals requiring substance abuse treatment; (4) victims of
domestic violence or (5) individuals with limited English proficiency.
Applications that identify one (and only one) of these target
populations on the Project Synopsis Form (ETA Form 9070, Appendix B)
will be reviewed separately by a panel of appropriate subject matter
experts. Applications that target more than one of the high priority
populations will be considered as general applications. It is important
to note that the eligibility criteria and the proposed outcomes for
projects for these targeted populations are the same as for the WtW
program overall--to place hard-to-employ individuals in unsubsidized
employment leading to economic self-sufficiency.
Projects serving high priority populations must respond to the same
requirements as all other WtW competitive grant proposals, as described
in ``Required Content for WtW Competitive Grant Applications--Fiscal
Year 1999'' below. In addition, these applications will be required to
describe: the specific services to be provided that address the unique
characteristics of the targeted population; the specific partner
organizations who have experience serving the targeted population or
who will be key to the recruitment of the population into the project;
and the prevalence of the targeted population within the eligible WtW
population in the local area(s) to be served by the project.
Other Areas of Interest
In addition to proposing innovative strategies for moving welfare
recipients into lasting unsubsidized employment and for providing
services to the targeted populations described above, applicants are
encouraged to consider the following in designing responsive service
strategies for the eligible population in their local area.
<bullet> Strategies that focus on serving public and assisted
housing residents;
<bullet> Development of responsive transportation and child care
service systems;
<bullet> Integration of work and learning strategies to develop
skills that promote employment, retention and career development;
<bullet> Creation of job opportunities (including self-employment)
that allow for flexibility to address work and family needs while
providing income levels that are adequate for self-sufficiency;
<bullet> Proactive strategies to involve employers in design of
service strategies and implementation of the project;
<bullet> Strategies that focus on family-based assistance and that
are integrated with children systems (e.g., Child Care, Head Start)
that can assist the full family unit;
<bullet> Activities to help women access nontraditional
occupations; and
<bullet> Strategies that reflect effective integration with both
the workforce development (e.g., One-Stop) and welfare systems.
In identifying those Other Areas of Interest addressed by the
proposal on the Project Synopsis form (Required format can be found in
Appendix B), please indicate the page number on which relevant text
relating to this interest area can be found in the proposal narrative.
The Department is also interested in receiving applications to
implement projects that are coordinated with community saturation
strategies (in which comprehensive services are available to assist all
of the eligible residents in a defined community). The Department
expects that these applications would be submitted from communities in
which there are concentrations of eligible hard-to-employ individuals,
there is a reasonable opportunity to provide employment for all such
individuals, and there are established partnerships which can
contribute a significant level of resources to implement the strategy.
A definition of ``community saturation strategy'' is provided in
Appendix A.
Funding Availability
Approximately $240 million is available for Federal grant
assistance through this announcement. Of the funds available in this
round of competitive grants, the Department aims to distribute
approximately 70 percent for projects to serve cities with large
concentrations of poverty and 30 percent for projects to serve rural
areas. Definitions for ``cities with large concentrations of poverty''
and ``rural area'' can be found in Appendix A of this announcement.
Applications to serve rural areas should be targeted to serve eligible
residents from subareas that represent concentrations of poverty.
Further, as indicated under the Criteria section of this solicitation,
applicants are strongly encouraged to present innovative strategies to
address the needs of areas with concentrations of poverty. Each
application must indicate
[[Page 4012]]
on the required Project Synopsis Form either a rural or an urban focus
for its project services.
It is expected that most grant awards will be between $1 million
and $5 million. Furthermore, it is expected that most grants will serve
a minimum of 100 eligible participants. Applications that are outside
of this range must provide a brief explanation of how the project will
have substantial community impact (especially for those below $1
million and/or fewer than 100 participants), or how project services
will be provided on a local level and targeted to the specific needs of
the defined target group (especially for those applications over $5
million).
Award Period
It is expected that the planned performance period for most
projects will be between 18 and 30 months. Grant funds are not
available for expenditure for longer than three years. No obligation or
commitment of funds will be allowed beyond the grant period of
performance. Any unspent grant funds must be returned to the Federal
government.
IV. Eligible Grant Applicants
Private Industry Councils (PICs), political subdivisions of the
State, and private entities (as defined in Appendix A) are eligible to
receive grant funds under this announcement. Eligible private entities
include community development corporations, community action agencies,
community-based and faith-based organizations, disability community
organizations, public and private colleges and universities, and other
qualified organizations. Private entities include both non-profit and
for-profit organizations but do not include individuals.
Entities other than a PIC or a political subdivision of the State
must submit an application for competitive grant funds in conjunction
with the PIC(s) or political subdivision(s) for the area in which the
project is to operate. The term ``in conjunction with'' shall mean that
the application must include a signed certification by both the
applicant and either the appropriate PIC(s) or political subdivision(s)
indicating that:
1. The applicant has consulted with the appropriate PIC(s)/
political subdivision(s) during the development of the application; and
2. The activities proposed in the application are consistent with,
and will be coordinated with, the WtW efforts of the PIC(s)/political
subdivision(s).
If the applicant is unable to obtain the certification, it will be
required to include information describing the efforts which were
undertaken to consult with the PIC(s)/political subdivision(s) and
indicating that the PIC(s)/political subdivision(s) were provided a
sufficient opportunity to cooperate in the development of the project
plan and to review and comment on the application prior to its
submission to the Department of Labor. ``Sufficient opportunity for
PIC/political subdivision review and comment'' shall mean at least 30
calendar days.
The certification, or evidence of efforts to consult, must be with
either each PIC or each political subdivision in the service area in
which the proposed project is to operate. These certifications must be
included in Section I of the grant application, and will not count
against the established page limitations. For the purposes of this
portion of the application, applicants must demonstrate, through
written documentation such as registered mail receipt, that project
applications were shared with the PIC/political subdivision in a timely
manner. Certifications or evidence of efforts to consult must be
included with the application. The Department of Labor will not accept
additional information after the closing date.
State-level Consultation
All applicants for competitive grants, including PICs and political
subdivisions, must submit their applications to the Governor or, at the
discretion of the Governor, to the designated State administrative
entity for the WtW program, for review and comment prior to submission
of the application to the Department. For private entities, State
review must be subsequent to review by the PIC or political
subdivision.
When submitted to the Department, the application must include any
comments from the Governor or his/her designee or must include
information indicating that the Governor was provided a sufficient
opportunity for review and comment prior to submission to the
Department. ``Sufficient opportunity for State review and comment''
shall mean at least 15 calendar days. For the purposes of this portion
of the application, information indicating that the Governor was
provided opportunity for review must be demonstrated by written
documentation, such as registered mail receipt, that project
applications were submitted to the Governor or his/her designee in a
timely manner. Certifications or evidence of efforts to consult must be
included with the application. The Department of Labor will not accept
additional information after the closing date.
Applicants for Multiple Community or National Projects
Consideration will be given to applications which propose multi-
community or national strategies to move welfare recipients into long-
term unsubsidized employment leading to economic self-sufficiency. For
example, an applicant may design a nationwide project to create jobs
for welfare recipients in a particular industry. Applications which
propose multi-community or national strategies must meet all of the
application requirements contained in this Announcement. Specifically,
private entities proposing such projects must include the signed
certification from the applicable PIC or political subdivision of each
local area in which the project will operate or other evidence
indicating the efforts undertaken to obtain the required consultation
as described above. Such applications must also demonstrate the
required consultation with the Governors of the States in which the
project will operate. Applications proposing national projects must
comply with all statutory and regulatory requirements and will be rated
under the same evaluation criteria as other applications. Applicants
should be aware that the extent of local collaboration demonstrated in
a national project will be considered as an important factor in the
overall strength of the proposal. Applications targeting one of the
high priority populations may also propose a multi-site project.
Lobbying Disclosure Act of 1995
Entities described in section 501(c)(4) of the Internal Revenue
Code that engage in lobbying activities are not eligible to receive
funds under this announcement. The Lobbying Disclosure Act of 1995, 2
U.S.C. 1601 et seq., prohibits the award of Federal funds to these
entities if they engage in lobbying activities.
V. Program and Administrative Requirements
Participant Eligibility and Funding Expenditures
Each project will be required to meet the targeting provisions
described at 20 CFR 645.211-645.213. [Note: The WtW Regulations are
available at the WtW Internet web site at http://wtw.doleta.gov.] These
provisions dictate that a minimum of 70 percent of the funds in each
WtW competitive grant must be used to serve hard-to-employ individuals
as described in Sec.
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645.212. Furthermore, no more than 30 percent of the funds in each
grant may be used to serve individuals with characteristics predictive
of long-term welfare dependence, as described in Sec. 645.213.
Allowable Uses of Funds
Competitive grant funds shall be spent only for those activities
identified in the WtW Regulations, at 20 CFR Part 645.220 and set forth
below; for appropriate administrative costs; and for information
technology costs in accordance with 20 CFR 645.235(c)(3).
WtW Allowable Activities Are:
(a) Job readiness activities financed through job vouchers or
through contracts with public or private providers.
(b) Employment activities which consist of any of the following:
(1) Community service programs; (2) Work experience programs; (3) Job
creation through public or private sector employment wage subsidies;
and (4) On-the-job training.
(c) Job placement services financed through job vouchers or through
contracts with public or private providers subject to the payment
requirements at Sec. 645.230(a)(3).
(d) Post-employment services financed through job vouchers or
through contracts with public or private providers, which are provided
after an individual is placed in one of the employment activities
listed in paragraph (b) above, or in any other subsidized or
unsubsidized job. Post-employment services include, but are not limited
to, such services as: (1) Basic educational skills training; (2)
Occupational skills training; (3) English as a second language
training; and (4) Mentoring.
(e) Job retention services and support services which are provided
after an individual is placed in a job readiness activity, as specified
in paragraph (a) above, in one of the employment activities, as
specified in paragraph (b) above, or in any other subsidized or
unsubsidized job. These services can be provided with WtW funds only if
they are not otherwise available to the participant. Job retention and
support services include, but are not limited to, such services as: (1)
Transportation assistance; (2) Substance abuse treatment (except that
WtW funds may not be used to provide medical treatment); (3) Child care
assistance; (4) Emergency or short-term housing assistance; and (5)
Other supportive services.
(f) Individual development accounts which are established in
accordance with section 404(h) of the Act.
(g) Intake, assessment, eligibility determination, development of
an individualized service strategy, and case management may be
incorporated in the design of any of the allowable activities listed in
paragraphs (a) through (f) above.
Administrative Costs
Allowable costs and the 15 percent limitation on administrative
costs for WtW competitive grants are defined in the WtW Regulations at
20 CFR 645.235. All proposed costs must be reflected as either a direct
charge to specific budget line items, or as an indirect cost. Direct
and indirect administrative costs are allowable, but combined, these
costs cannot exceed 15 percent of the total grant. The administrative
costs negotiated in the final grant document may be below fifteen
percent.
Only costs which result from applying a federally-approved indirect
cost rate may be entered on the ``indirect cost'' line item of the
budget. If an indirect cost rate is used, the applicant must include
documentation from the cognizant Federal agency which includes the
approved rate, the cost base against which it is applied, and the
approval date.
All applicants will be expected to justify proposed costs (see Item
1B, Project Financial Plan, in the ``Required Content for WtW
Competitive Grants Applications--Fiscal Year 1999''). Profits are not
an allowable use of grant funds.
Use of Federal Funds
Federal funds cannot be used to support activities which would be
provided in the absence of those funds. Grant funds may cover only
those costs which are appropriate and reasonable. Federal grant funds
may only be used to acquire equipment which is necessary for the
operation of the grant. The grantee must receive prior approval from
the DOL/ETA Grant Officer for the purchase and/or lease of any property
and/or equipment with a per unit acquisition cost of $5,000 or more,
and a useful life of more than one year as defined in the ``Uniform
Administrative Requirements for Grants and Cooperative Agreements to
State and Local Governments'', codified at 29 CFR Part 97 (also known
as the ``Common Rule''), and ``Grants and Agreements with Institutes of
Higher Education, Hospitals and Other Non-Profit Organizations,''
codified at 29 CFR Part 95 (also known as OMB Circular A-110). This
restriction includes the purchase of Automated Data Processing (ADP)
equipment. A request for such prior approval may be included in the
grant application or submitted after the grant award. Requests
submitted after the grant award must be directed through the Grant
Officer Technical Representative (GOTR) and must include a detailed
description and cost of the items to be acquired.
Grant funds also may not be used to cover any project-related costs
incurred prior to the effective date of the grant award. In making a
grant award, DOL/ETA has no obligation to provide any future additional
funding in connection with the grant award.
Pursuant to 20 CFR Part 645.235(c)(3), the costs of information
technology--computer hardware and software--needed for tracking or
monitoring under a WtW grant are not subject to the fifteen percent
limitation on administrative costs.
Year 2000 Compliance
Any information technology purchased in whole or in part with WtW
funds, which is used for a period of time that goes beyond December 31,
1999, must be ``year 2000 compliant.'' This means that such information
technology shall accurately process date/time data (including, but not
limited to, calculating, comparing and sequencing) from, into and
between the twentieth and twenty-first centuries, the years 1999 and
2000, and leap year calculations. Furthermore, ``year 2000 compliant''
information technology, when used in combination with other information
technology, shall accurately process date/time data if the other
information technology properly exchanges date/time with it.
Assurances and Certifications
The following assurances and certifications must be included as
part of each grant application: Debarment & Suspension Certification.
Other assurances and certifications will be required as part of
each executed grant agreement, but do not need to be submitted as part
of a WtW Competitive grant application: Assurances/Non-Construction
Programs; Certification Regarding Lobbying; Drug Free Workplace
Certification; Certification of Non-delinquency; and Non-discrimination
and Equal Opportunity Requirements.
Departmental Oversight
The Department reserves the right to conduct oversight and both
programmatic and financial monitoring activities for all competitive
grants
[[Page 4014]]
awarded under the WtW grants program.
Department of Health and Human Services Evaluation of the Welfare-to-
Work Program
Competitive grant projects will participate in the evaluation of
the WtW grant program by the U.S. Department of Health and Human
Services (DHHS), as described in Title IV, section 413(j)(1) of the
Social Security Act. The goal of the DHHS evaluation is to expand the
base of knowledge about programs aimed at moving the least job-ready
welfare recipients into unsubsidized employment. The Department of
Health and Human Services has selected Mathematica Policy Research as
the evaluation contractor for this project. The evaluator will collect
program and administrative data to determine the range of WtW project
designs and the employment outcomes for all WtW grantees, consistent
with section 413(j)(1)(C) of the Social Security Act. In addition, the
evaluator, in cooperation with DHHS, will select certain sites at which
to qualitatively study the implementation of the WtW program and other
sites where net impact and cost effectiveness of the program will be
examined quantitatively. For more information concerning Mathematica's
evaluation of the WtW grants program, visit their website at http://
www.mathematica-mpr.com.
VI. Monitoring and Reporting
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, at approximately the midpoint of the project performance
period. 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 recipients who are served,
expenditure of grant funds on allowable activities, integration with
other resources and service providers in the local area, and methods
for assessment of the responsiveness and effectiveness of the services
being provided. Grants may be subject to other additional reviews at
the discretion of the Department.
Reporting
Applicants selected as grantees will be required to provide the
following reports:
1. Financial Reporting: The Department of Labor (DOL) issued
financial reporting instructions for competitive grantees on June 24,
1998. Financial reports will be submitted electronically directly to
DOL.
2. Participant Reporting: Participant reporting instructions will
be issued shortly covering the WtW competitive grant program.
Participant reports for each competitive grant will be submitted in
accordance with reporting instructions at a later date.
3. Other Reporting: The Department of Labor may negotiate
additional reporting requirements with individual grantees, where
necessary, for grant management and/or knowledge development purposes,
including quarterly narrative reports.
In addition to required quarterly financial and participant
reporting, some grantees may be asked to provide information to the
appropriate ETA Regional Office during the early implementation phase
of the project for the purpose of project oversight. This information
may include project enrollment levels, participant characteristics, and
emerging implementation issues.
VII. Review and Selection of Applications for Grant Award Review
Process
The Department will screen all applications to determine whether
all required elements are present and clearly identifiable. These
elements are described below in the ``Required Content for WtW
Competitive Grant Applications--Fiscal Year 1999.'' Failure to include
and all required elements in Section I of the grant application will
result in rejection of the application.
Each complete application will be objectively rated by a panel
against the criteria described in this announcement. Applicants are
advised that the panel recommendations to the Grant Officer are
advisory in nature. The Grant Officer may elect to award grants either
with or without discussion with the applicant. In situations where no
discussions occur, an award will be based on the applicant's signature
on the SF424 form (See Appendix B), which constitutes a binding offer.
Those applications that target one of the high priority populations
(noncustodial parents, individuals with disabilities, individuals
requiring substance abuse treatment, victims of domestic violence or
individuals with limited English proficiency) will be reviewed
separately from the general applications.
The Grant Officer will make final award decisions based on what is
most advantageous to the Government, considering factors such as: Panel
findings; the geographic distribution of the competitive applications;
the extent to which the competitive applications reflect a reasonable
distribution of funds across the targeted populations and other areas
of interest identified in this announcement; and the availability of
funds.
Criteria
The criteria, and the weights assigned to each, which will apply to
the review of applications submitted in response to this announcement
are:
1. ``Relative Need for Assistance'' [20 points] which shall
consider the concentration of poverty and long-term welfare dependence
and the lack of employment opportunities in the project service area
(up to 9 points); the extent of gaps in the capacity of the local
infrastructure to effectively address the employment barriers which
characterize the targeted population, including an assessment of
existing WtW competitive and formula funding in the local area (up to 6
points); and the responsiveness of the project design to the other
areas of interest identified in Part III of this announcement (up to 5
points).
2. ``Innovation'' [20 points] which shall consider the extent to
which the project incorporates new and better strategies for moving
welfare recipients into lasting unsubsidized employment leading to
economic self-sufficiency. These strategies can include, but are not
limited to, new and better ways that services can be accessed by
participants in the local community, new and better ways for local
organizations to work together, or the replication of effective
strategies in a new setting.
3. ``Outcomes'' [25 points] which shall consider the quality of the
proposed employment and earnings outcomes (up to 10 points); the extent
to which the proposed plan of services responds to identified needs,
the barriers faced by proposed participants, and the conditions in the
local area as well as the likelihood that the proposed service plan
will result in the proposed outcomes (up to 12 points); and the
reasonableness of the level of investment in relation to the proposed
outcomes (up to 3 points).
4. ``Local Collaboration and Sustainability'' [25 points] which
shall consider the extent to which the project is coordinated with the
WtW formula
[[Page 4015]]
grant and TANF grant activities and supported by the PIC/political
subdivision and local TANF agency (up to 8 points); the extent and
quality of local community partnerships that are involved in and making
substantial contributions of resources to the project (up to 7 points);
involvement of and participation by local employers (up 5 points); and
the extent to which the community and/or the local area has developed
plans and commitments to maintain and expand the capacity to serve the
target population with local resources over a sustained period of time
(up to 5 points).
5. ``Demonstrated Capability'' [10 points] which shall consider the
extent to which the applicant and its partner organizations demonstrate
a history of success in serving a comparable target group, the extent
of use of current or former welfare recipients in the provision of
services, and the extent to which the applicant demonstrates the
ability to effectively execute grant management responsibilities.
For those proposals that are deemed by the Grant Officer to be most
competitive, applicants proposing projects in which the majority of
participants to be served by the project reside in designated
Empowerment Zones and Enterprise Communities (EZ/EC) will be eligible
for 5 bonus points. Applicants must demonstrate that the majority of
participants reside within a federally-designated EZ/EC in order to be
awarded the 5 bonus points, and must indicate the name of the EZ/EC to
be served. The applicant does not necessarily have to be located within
the EZ/EC.
In addition, for those proposals that are deemed by the Grant
Officer to be most competitive, applicants targeting one of five high
priority populations (noncustodial parents, individuals with
disabilities, individuals requiring substance abuse treatment, victims
of domestic violence or individuals with limited English proficiency)
will be eligible for 10 bonus points. Applications must address the
services, partner organizations and need in the local area relative to
service to the targeted population.
Signed at Washington, D.C., this 22nd day of January 1999.
Janice E. Perry,
DOL Grant Officer.
Required Content for WtW Competitive Grant Applications Fiscal 1999
Each application must contain the information and follow the format
outlined in this Part. The application must include: (1) Information
that responds to these requirements; (2) information that indicates
adherence to the provisions described in preceding sections of this
announcement; and (3) any other information the applicant believes will
address the review and selection criteria.
I. Project Summary
A. Application Cover Sheet
Each application shall complete an Application Cover Sheet (as
found in Appendix B) to clearly designate the applicant name,
affiliation and which, if any, of the targeted populations will be
served. This form will help the Department in the processing of
applications and is required.
B. Project Financial Plan
Information provided in this section will be evaluated
predominantly under the ``Outcomes'' criteria.
The financial plan shall describe all costs associated with
implementing the project that are to be covered with grant funds. All
costs should be necessary and reasonable according to the Federal
guidelines set forth in the ``Uniform Administrative Requirements for
Grants and Cooperative Agreements to State and Local Governments,''
codified at 29 CFR Part 97 (also known as the ``Common Rule''), and
``Grants and Agreements with Institutes of Higher Education, Hospitals
and Other Non-Profit Organizations' (also known as OMB Circular A-110),
codified at 29 CFR Part 95.
The financial plan must contain the following parts:
<bullet> ``Application for Federal Assistance'' and ``Budget
Information Sheet'' by line item for all costs required to implement
the project design effectively. Submission of these two completed forms
is required. (See Appendix B for these required forms.)
Note: Although there is no matching requirement for these
grants, the Department strongly encourages the leveraging of
financial and other resources in the implementation of WtW
competitive grant projects. These resources will not, however, be
recorded on the Budget Information Sheet (Appendix B). Leveraged
resources offered by applicants will be evaluated in the selection
criteria under ``Local Collaboration and Sustainability.''
<bullet> Budget narrative/justification which provides sufficient
information to support the reasonableness of the costs included in the
budget in relation to the service strategy and planned outcomes.
C. Project Synopsis Form--ETA Form 9070
Each application shall provide a project synopsis form (ETA Form
9070) which identifies: the applicant; the type of organization;
applicant contact information; the project service area; whether the
service area is a city with a large concentration of poverty or a rural
area; whether the project is located within an EZ/EC, and if so, which
one; which, if any, of the five high priority populations will be
served--noncustodial parents, individuals with disabilities,
individuals requiring substance abuse treatment, victims of domestic
violence or individuals with limited English proficiency [NOTE:
Applications which target more than one of the targeted populations
will be reviewed as general applications]; the other areas of interest
identified in the announcement which are addressed by the project (with
page numbers where relevant portions of the project narrative can be
found); the amount of grant funds requested; the planned period of
performance; the planned number of WtW-eligible TANF recipients to be
served; the number of noncustodial parents to be served (if
applicable); the significant employment barriers which characterize the
target group; and the planned employment and earnings outcomes. The
required format for this synopsis can be found in Appendix B.
In addition, each application must provide a two-page executive
summary of the grant proposal, describing the significant employment
barriers which characterize the target group, the proposed service
strategy, other significant service organizations involved in the
delivery of services, and the most innovative elements of the proposal.
This section must be limited to no more than two single-spaced, single-
sided pages.
D. Evidence of Required Local and State Consultation
It is the expectation of the Department that, to the extent
possible, all applications will be developed in consultation with the
appropriate PIC/political subdivision and the Governor. Competitive
grant projects should complement the WtW formula program activity,
rather than exist independent of, or in conflict with, that program.
Each application must include the signed certification of the
required consultation with the Governor, or of evidence of efforts to
consult, as described in this announcement. Applications from private
entities must also include the signed certification from the
appropriate PIC(s) or political subdivision(s) or other evidence
indicating the efforts undertaken to obtain the required consultation
as described in this announcement. In areas where an entity other than
the PIC
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has been designated by the Governor and approved by the Secretary to
administer the WtW formula grant, the applicant should also include
evidence of consultation and/or support from that entity. All
certifications or comments provided as part of this requirement must be
included in this section of the grant application and will not be
counted against the established page limits.
Note: All certifications or evidence of efforts to consult must be
included as part of the application. The Department of Labor will
not accept any information received after the closing date.
II. Government Requirements/Statement of Work--Project Narrative
This section of the application should not exceed 20 single-spaced,
numbered pages. The application should include information of the type
described below, as appropriate.
Description of Service Area
Information provided in this section will be evaluated
predominantly under the ``Relative Need'' criteria.
--Identify the specific political and geographic jurisdictions (e.g.,
cities, counties, subsections of cities/counties) which are included in
the service area for the project.
--Identify the percent of the population in the service area that has
income below the poverty level.
--Identify the percent of the population in the service area that is
receiving TANF assistance.
(Note: Child-only TANF cases should be excluded from this number
unless these cases are relevant to the project target group--e.g.
noncustodial parents--Please note that ETA Training and Employment
Guidance Letter (TEGL) No. 6-98 entitled ``Technical Amendment to
Welfare-to-Work (WtW) Eligibility Criteria for Noncustodial
Parents'' and dated 9/21/98, provides further information on
eligibility requirements of noncustodial parents).
--Identify the percent of the TANF population that has received TANF or
AFDC assistance for 30 months or more, or is within 12 months of losing
eligibility for assistance under State or Federal law (Note: Child-only
TANF cases should be excluded from this number unless these cases are
relevant to the project target group--e.g. noncustodial parents).
--Identify the most recent unemployment rate in the service area.
--Describe the significant deficiencies in the local area
infrastructure that represent significant barriers to moving eligible
recipients into permanent employment in an efficient manner (e.g., lack
of transportation, labor market with a shortage of low-skill jobs,
shortage of employers with appropriate employment opportunities,
remoteness from health facilities, limited number of social and support
service agencies).
Summary of Strategy for Use of WtW Formula and Existing Competitive
Grant Funds in the Local Area
Information provided in this section will be evaluated
predominantly under the ``Local Collaboration and Sustainability'' and
``Relative Need'' criteria.
--Identify the substate service area covered by the WtW formula and
existing competitive grants.
--Describe the allocation of formula and existing competitive grant
funds among the allowable activities.
--Identify the significant local and community organizations involved
and their roles in providing assistance through the formula and
existing competitive grants.
--Describe how the proposed competitive grant project will supplement
and enhance the capacity of the WtW formula and existing competitive
grant activities to effectively serve eligible recipients in the local
area who have significant employment barriers.
--In cases where the applicant cannot obtain information regarding the
formula grant because the State has not submitted a complete WtW
Formula Grant Plan, the application should so indicate. Absence of this
information, in and of itself, will not penalize the applicant.
Analysis of Target Group
Information provided in this section will be evaluated
predominantly under the ``Relative Need'' criteria.
--Describe the individuals targeted for assistance through this
project, including any noncustodial parents (See reference above to
TEGL 6-98, dated 9/21/98 concerning eligibility determination for
noncustodial parents), individuals with disabilities, individuals
requiring substance abuse treatment, victims of domestic violence,
individuals with limited English proficiency, and public and assisted
housing residents.
--Describe the significant employment barriers which characterize this
target group, including the process for identifying those participants
who are least job ready.
Note: An adequate analysis of employment barriers of the target
group will be a critical factor in evaluating the need for grant
assistance and the appropriateness of the proposed plan of services.
Analysis of Employment Opportunities
Information provided in this section will be evaluated
predominantly under the ``Relative Need'' criteria.
--Identify the types of occupations in the local area which are being
targeted as appropriate employment opportunities for the target group
of this project.
--Describe the justification for the selection of the occupations in
terms of their availability and the adequacy of expected placement wage
and post-placement earnings potential to achieve self-sufficiency.
Service Strategy
Information provided in this section will be evaluated
predominantly under the ``Innovation'' and ``Outcomes'' criteria.
--Identify the specific job readiness, placement (in both subsidized
and unsubsidized employment), post-employment, job retention and/or
support services to be provided with competitive grant funds as well as
services to be leveraged from other sources.
--Describe the rationale for planned enrollments in activities in terms
of the employment barriers, infrastructure deficiencies and employment
opportunities previously identified above.
--Describe what individual support services, such as mentoring and case
management, will be used to maintain participants in the program.
Service Process
Information provided in this section will be evaluated
predominantly under the ``Innovation'' and ``Outcomes'' criteria.
--Describe the comprehensive service process that will be available to
participants, and identify the organizations which will be involved in
providing specific services/activities. [A process flowchart and/or
service matrix may be used to provide this description.] The
description should specify what elements of the service strategy are
already available in the community, whether through the WtW formula
program, the TANF program or from other sources, as well as the
elements or services that will be funded through the WtW competitive
grant award.
--Describe the specific methods which will be used by the grantee and
the local TANF agency to coordinate and work jointly in providing the
following services: Outreach,
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recruitment, and referral of appropriate recipients for assistance
through the project; assessment of skills and identification of
specific employment barriers; counseling and case management; and
support services.
--Applicants are strongly encouraged to develop good linkages to the
local TANF agency in the development of their proposal. Although not
required, applicants are encouraged to consult with and, where
possible, to share their proposals with the local TANF agency to
incorporate that agency's perspective into their proposed service
process.
--Where vouchers for services are to be used, describe the process by
which vouchers will be distributed and redeemed (in compliance with 20
CFR Sec. 645.230(a)(3)), including who will be eligible, how amounts of
vouchers will be determined, and how the grantee will ensure that
quality services are being provided.
Integration of Resources
Information provided in this section will be evaluated
predominantly under the ``Local Collaboration and Sustainability''
criteria.
--Identify specific financial and other resources and organizational/
service provider capabilities which are being contributed to provide
the full range of assistance to the identified target group for the
project. At a minimum, describe the coordination and contributions of
local JTPA service providers, local TANF providers, and local housing
and transportation authorities. In developing their plans, applicants
are encouraged to be mindful of their obligations not to interfere with
collective bargaining rights or agreements or to displace employees.
[Note: There is no matching or cost sharing requirement for WtW
competitive grants.]
--Describe the process that will be used to maintain and expand the
service structure in the local area and engage new partners after
receipt of WtW competitive grant funds.
--Describe how the project will develop a sustainable capacity in the
local community to effectively move welfare recipients into permanent
jobs and to foster the long-term self-sufficiency of the target
population. It is expected that project services will provide
assistance oriented towards long-term solutions. It is also expected
that the need for grant funds to provide this assistance will diminish
over time, specifically in the latter stages of the grant performance
period.
Employer Support
Information provided in this section will be evaluated
predominantly under the ``Local Collaboration and Sustainability''
criteria.
--Describe the specific responsibilities and approaches for developing
relationships with and support of area employers to generate a
sufficient number of unsubsidized employment opportunities for the
target group. Specifically describe how employers will be encouraged to
customize employment opportunities to meet work-related needs (e.g.,
child care, flexible work schedules) of recipients.
--Identify the employers in the local area who have made commitments to
the project and describe the types of commitments made (e.g., number
and types of jobs, contribution of employer resources for post-hire
support services and/or training).
Planned Outcomes
Information provided in this section will be evaluated
predominantly under the ``Outcomes'' criteria.
--Identify and justify planned performance for the comprehensive
service strategy on the following measures: Number of participants to
be placed into unsubsidized employment; average earnings at placement
in unsubsidized employment; expected average earnings one year after
placement in unsubsidized employment; and cost per placement in
unsubsidized employment.
The application may include other measures and planned performance
levels as deemed appropriate by the applicant. If these are included,
the applicant should briefly describe their relevance to the project.
Implementation Plan
Information provided in this section will be evaluated
predominantly under the ``Outcomes'' and ``Innovation'' criteria.
--Identify the critical activities, time frames and responsibilities
for effectively implementing the project within the first 60 days after
the award of the grant.
--Include an implementation schedule showing the number of
participants, enrollments in allowable activities, placements in
unsubsidized employment and terminations over the life of the grant.
Project Management Plan
Information provided in this section will be evaluated
predominantly under the ``Demonstrated Capability'' and ``Innovation''
criteria.
Applicants must be able to document that they have systems capable
of satisfying the administrative and grant management requirements for
WtW grants as defined in 20 CFR Part 645.
--Include a project organizational chart which identifies the
organizations, and staff, with key management responsibilities and the
specific responsibilities of each organization;
--Describe the specific experience of the applicant and other key
organizations involved in the project in serving individuals with
significant barriers to employment. The information should include at a
minimum specific projects or grants, a comparison of the
characteristics of individuals served to the target group for this
project, and the employment outcomes which were achieved. In addition,
applicants should provide the names and addresses of their last three
grantors, public and/or private, from which applicants received
funding. The Department of Labor reserves the right to contact any or
all of these funding organizations or to request additional information
from the applicant regarding past performance as part of a
responsibility review process, or if the Department is concerned about
the applicants' financial responsibility or capability to manage grant
funds.
--As appropriate, describe how current or former welfare recipients
will be used to provide services.
--Describe the procedures which will be used to obtain feedback from
participants and other appropriate parties on the responsiveness and
effectiveness of the services provided.
--Applicants are advised that the Department of Labor may use
information included in proposals to document the nature of the WtW
applicant pool, as well as the range and depth of perceived service
needs in the WtW population.
Innovation
Information provided in this section will be evaluated
predominantly under the ``Innovation'' criteria.
Recipients of WtW competitive grants are expected to use creativity
and innovation to help eligible individuals obtain long-term
unsubsidized employment and economic self-sufficiency. The application
should describe how the proposed approach represents an innovative
method for
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achieving the employment objectives of the project. Proposed strategies
should represent an improvement over, or a variation on, approaches
that have traditionally been used in the project service area to assist
welfare recipients and other low-income unemployed individuals.
Grant recipients are also expected to share knowledge which they
develop through the use of innovative approaches. Applicants should
describe how they will report lessons learned in the course of the
grant implementation, and further, describe their plans for
disseminating the knowledge they have gained.
Additional Requirements for Community Saturation Projects
Information provided in this section will be evaluated
predominantly under the ``Outcomes'' and ``Innovation'' criteria.
--Describe why a project employing a saturation strategy is appropriate
for the project service area and target group.
--Describe the feasibility of a saturation strategy for the project
service area and target group (e.g., based on available employment
opportunities).
--Identify the local partners who will be involved in implementing the
saturation strategy, the services to be provided and the dollar value
of the contribution from each.
Additional Requirements for Projects Targeting High Priority
Populations
Information provided in this section will be evaluated
predominantly under the ``Relative Need'' and ``Local Collaboration and
Sustainability'' criteria.
For those projects targeting services to noncustodial parents,
individuals with disabilities, individuals requiring substance abuse
treatment, victims of domestic violence or individuals with limited
English proficiency:
--Describe the specific services to be provided that address the unique
characteristics of the targeted population;
--Describe the specific partner organizations who have experience
serving the targeted population or who will be key to the recruitment
of the population into the project; and
--Describe the prevalence of the targeted population within the
eligible WtW population in the local area(s) to be served by the
project.
Appendix A: Definitions of Key Terms
City with Large Concentration of Poverty--Any county that
contains an urban center of more than 50,000 people with a poverty
rate of greater than 7.5 percent.
Community Saturation Strategy--Projects that propose to serve
100 percent of the WtW eligible population within a designated
service area, i.e., the community is completely ``saturated'' with
services.
Private Entity--Any organization, public or private, which is
neither a PIC nor a political subdivision of a State.
Private Industry Council (PIC)--from Sec. 645.120 of the WtW
Regulations--A Private Industry Council established under Section
102 of the Job Training Partnership Act, which performs the
functions authorized at Section 103 of the JTPA.
Political Subdivision--A unit of general purpose local
government, as provided for in State laws and/or Constitution, which
has the power to levy taxes and spend funds and which also has
general corporate and police powers.
Rural Area--(1) Any county that does not contain an urban center
of more than 50,000 people, and where at least 50 percent of the
geographical area of the county has a population density of less
than 100 persons per square mile; or (2) in counties where there is
an urban center, a rural area within the county that constitutes, or
is part of, a distinct rural labor market.
Individual with a disability--A person with a physical or mental
impairment as defined in Section 3 of the Americans with
Disabilities Act of 1990 (42 U.S.C. 12102).
Appendix B: Required Forms
(1) Application Cover Sheet
(2) Application for Federal Assistance (Standard Form 424)
Note: In completing the Standard Form 424, the applicant should
indicate in Item 11 of the form whether the project is to operate in
a city with a large concentration of poverty or in a rural area;
identify the EC/EZ included in the project service area, if
applicable; and identify any of the areas of interest identified in
the announcement which are addressed by the project.
(3) Budget Information Sheet
(4) Project Synopsis Form
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