[Federal Register: January 27, 2003 (Volume 68, Number 17)]
[Notices]
[Page 3882-3885]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr27ja03-75]
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FEDERAL MEDIATION AND CONCILIATION SERVICE
Labor-Management Cooperation Program; Application Solicitation
AGENCY: Federal Mediation and Conciliation Service.
ACTION: Request for public comment on draft Fiscal Year 2003 program
Guidelines/Application Solicitation for Labor-Management Committees.
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SUMMARY: The Federal Mediation and Conciliation Service (FMCS) is
publishing the draft Fiscal Year 2003 Program Guidelines/Application
Solicitation for the Labor-Management Cooperation Program to inform the
public. The program is supported by Federal funds authorized by the
Labor-Management Cooperation Act of 1978, subject to annual
appropriations. This Solicitation contains changes in the allocation of
all grant funds returned to FMCS.
DATES: Comments must be submitted before February 26, 2003.
ADDRESSES: Send comments to: Jane A. Lorber, Director, Labor Management
Grants Program, FMCS, 2100 K Street, NW., Washington, DC 20427.
FOR FURTHER INFORMATION CONTACT: Jane A. Lorber, 202-606-8181.
Labor-Management Cooperation Program Application Solicitation for
Labor-Management Committees FY2003
I. Introduction
The following is the draft solicitation for the Fiscal Year (FY)
2003 cycle of the Labor-Management Cooperation Program as it pertains
to the support of labor-management committees. These guidelines
represent the continuing efforts of the Federal Mediation and
Conciliation Service to implement the provisions of the Labor-
Management Cooperation Act of 1978, which was initially implemented in
FY81. The Act authorizes FMCS to provide assistance in the
establishment and operation of company/plant, area, public sector, and
industry-wide labor-management committees which:
A. Have been organized jointly by employers and labor organizations
representing employees in that company/plant, area, government agency,
or industry; and
B. Are established for the purpose of improving labor-management
relationships, job security, and organizational effectiveness;
enhancing economic development; or involving workers in decisions
affecting their working lives, including improving communication with
respect to subjects of mutual interest and concern.
The Program Description and other sections that follow, as well as
a separately published FMCS Financial and Administrative Grants Manual,
make up the basic guidelines, criteria, and program elements a
potential applicant for assistance under this program must know in
order to develop an application for funding consideration for either a
company/plant, area-wide industry, or public sector labor-management
committee. Directions for obtaining an application kit may be found in
Section H. A copy of the Labor-Management Cooperation Act of 1978,
included in the application kit, should be reviewed in conjunction with
this solicitation.
II. Program Description
Objectives
The Labor-Management Cooperation Act of 1978 identifies the
following seven general areas for which financial assistance would be
appropriate to:
A. Improve communication between representatives of labor and
management;
B. Provide workers and employers with opportunities to study and
explore new and innovative joint approaches to achieving organizational
effectiveness;
C. Assist workers and employers in solving problems of mutual
concern not susceptible to resolution within the collective bargaining
process;
D. Study and explore ways of eliminating potential problems which
reduce the competitiveness and inhibit the economic development of the
company/plant, area, or industry;
E. Enhance the involvement of workers in making decisions that
affect their working lives;
F. Expand and improve working relationships between workers and
managers; and
G. Encourage free collective bargaining by establishing continuing
mechanisms for communication between employers and their employees
through Federal assistance in the formation and operation of labor-
management committees. The primary objective of this program is to
encourage and support the establishment and operation of joint labor-
management committees to carry out specific objectives that meet the
fore mentioned general criteria. The term ``labor'' refers to employees
represented by a labor organization and covered by a formal collective
bargaining agreement. These committees may be found at the plant
(company), area, industry, or public sector levels.
A plant or company committee is generally characterized as
restricted to one or more organizational or productive units operated
by a single employer. An area committee is generally composed of
multiple employers of diverse industries as well as multiple labor
unions operating within and focusing upon a particular city, county,
contiguous multi-county, or statewide jurisdiction. An industry
committee generally consists of a collection of agencies or enterprises
and related labor union(s) producing a common product or service in the
private sector on a local, state, regional, or nationwide level. A
public sector committee consists of government employees and managers
in one or more units of a local or state government, managers and
employees of public institutions of higher education, or of employees
and managers of public elementary and secondary schools. Those
employees must be covered by a formal collective bargaining agreement
or other enforceable labor-management agreement. In deciding whether an
application is for an area or industry committee, consideration should
be given to the above definitions as well as to the focus of the
committee.
In FY 2003, competition will be open to company/plant, area,
private industry, and public sector committees. Special consideration
will be given to committee applications involving innovative or unique
efforts. All application budget requests should focus directly on
supporting the committee. Applicants should avoid seeking funds for
activities that are clearly available under other Federal programs
(e.g., job training, mediation of contract disputes, etc.)
Required Program Elements
A. Problem Statement--The application should have numbered pages
and discuss in detail what specific problem(s) face the company/plant,
area, government, or industry and its workforce that will be addressed
by the committee. Applicants must
[[Page 3883]]
document the problem(s) using as much relevant data as possible and
discuss the full range of impacts these problem(s) could have or are
having on the company/plant, government, area, or industry. An
industrial or economic profile of the area and workforce might prove
useful in explaining the problem(s). This section basically discusses
WHY the effort is needed.
B. Results or Benefits Expected--By using specific goals and
objectives, the application must discuss in detail WHAT the labor-
management committee will accomplish during the life of the grant.
Applications that promise to provide objectives after a grant is
awarded will receive little or not credit in this area. While a goal of
``improving communication between employers and employees'' may suffice
as one over-all goal of a project, the objectives must, whenever
possible, be expressed in specific and measurable terms. Applicants
should focus on the outcome, impacts or changes that the committee's
efforts will have. Existing committees should focus on expansion
efforts/results expected from FMCS funding. The goals, objectives, and
projected impacts will become the foundation for future monitoring and
evaluation efforts of the grantee, as well as the FMCS grants program.
C. Approach -- This section of the application specifies HOW the
goals and objectives will be accomplished. At a minimum, the following
elements must be included in all grant applications.
1. A discussion of the strategy the committee will employ to
accomplish its goals and objectives;
2. A listing, by name and title, of all existing or proposed
members of the labor-management committee. The application should also
offer a rationale for the selection of the committee members (e.g.,
members represent 70% of the area or company/plant workforce).
3. A discussion of the number, type, and role of all committee
staff persons. Include proposed position descriptions for all staff
that will have to be hired as well as resumes for staff already on
board; noting, that grant funds may not be used to pay for existing
employees.
4. In addressing the proposed approach, applicants must also
present their justification as to why Federal funds are needed to
implement the proposed approach;
5. A statement of how often the committee will meet (we require
meetings at least every other month) as well as any plans to form
subordinate committees for particular purposes; and
6. For applications from existing committees, a discussion of past
efforts and accomplishments and how they would integrate with the
proposed expanded effort.
D. Major Milestones--This section must include an implementation
plan that indicates what major steps, operating activities, and
objectives will be accomplished as well as a timetable for WHEN they
will be finished. A milestone chart must be included that indicates
what specific accomplishments (process and impact) will be completed by
month over the life of the grant using October 1, 2003, as the start
date. The accomplishment of these tasks and objectives, as well as
problems and delays therein, will serve as the basis for quarterly
progress reports to FMCS.
E. Evaluation--Applicants must provide for either an external
evaluation or an internal assessment of the project's success in
meeting its goals and objectives. An evaluation plan must be developed
which briefly discusses what basic questions or issues the assessment
will examine and what baseline data the committee staff already has or
will gather for the assessment. This section should be written with the
application's own goals and objectives clearly in mind and the impacts
or changes that the effort is expected to cause.
F. Letters of Commitment--Applications must include current letters
of commitment from all proposed or existing committee participants and
chairpersons. These letters should indicate that the participants
support the application and will attend scheduled committee meetings. A
blanket letter signed by a committee chairperson or other official on
behalf of all members is not acceptable. We encourage the use of
individual letters submitted on company or union letterhead represented
by the individual. The letters should match the names provided under
Section C.2 of the Required Program Elements section above.
G. Other Requirements--Applicants are also responsible for the
following:
1. The submission of data indicating approximately how many
employees will be covered or represented through the labor-management
committee;
2. From existing committees, a copy of the existing staffing
levels, a copy of the by-laws (if any), a breakout of annual operating
costs and identification of all sources and levels of current financial
support;
3. A detailed budget narrative based on policies and procedures
contained in the FMCS Financial and Administrative Grants Manual;
4. An assurance that the labor-management committee will not
interfere with any collective bargaining agreements; and
5. An assurance that committee meetings will be held at least every
other month and that written minutes of all committee meetings will be
prepared and made available to FMCS.
Selection Criteria
The following criteria will be used in the scoring and selection of
applications for award:
A. The extent to which the application has clearly identified the
problems and justified the needs that the proposed project will
address.
B. The degree to which appropriate and measurable goals and
objectives has been developed to address the problems/needs of the
applicant.
C. The feasibility of the approach proposed to attain the goals and
objectives of the project and the perceived likelihood of accomplishing
the intended project results.
This section will also address the degree of innovativeness or
uniqueness of the proposed effort.
D. The appropriateness of committee membership and the degree of
commitment of these individuals to the goals of the application as
indicated in the letters of support.
E. The feasibility and thoroughness of the implementation plan in
specifying major milestones and target dates.
F. The cost effectiveness and fiscal soundness of the application's
budget request, as well as the application's feasibility vis-[agrave]-
vis its goals and approach.
G. The overall feasibility of the proposed project in light of all
of the information presented for consideration.
H. The value to the government of the application in light of the
overall objectives of the Labor-Management Cooperation Act of 1978.
This includes such factors as innovativeness, site location, cost, and
other qualities that impact upon an applicant's value in encouraging
the labor-management committee concept.
III. Eligibility
Eligible grantees include state and local units of government,
labor-management committees (or a labor union, management association,
or company on behalf of a committee that will be created through the
grant), and certain third-party non-profit entities on behalf of one or
more committees to be created through the grant. Federal government
agencies and their employees are not eligible.
Third-party private, non-profit entities that can document that a
major purpose or function of their
[[Page 3884]]
organization is the improvement of labor relations are eligible to
apply. However, all funding must be directed to the functioning of the
labor-management committee, and all requirements under Part B must be
followed. Applications from third-party entities must document
particularly strong support and participation from all labor and
management parties with whom the applicant will be working.
Applications from third parties, which do not directly support the
operation of a new or expanded committee, will not be deemed eligible,
nor will the applications signed by entities such as law firms or other
third parties failing to meet the above criteria.
OMB Circular 110 will bind successful grantees, i.e. individuals
``that develop or draft specifications, requirements, statements of
work, invitations for bids and/or requests for proposals shall be
excluded (emphasis added) from competing for such procurements.''
Applicants who received funding under this program in the past for
committee operations are not eligible to re-apply. An exception may be
made for grantees that seek funds on behalf of entirely different
committee members whose efforts are totally outside of the scope of the
original grant.
IV. Allocations
The FY2003 appropriation for this program anticipated to be $1.5
million, of which at least $1,000,000 available competitively for new
applicants. Specific funding levels will not be established for each
type of committee. The review process will be conducted in such a
manner that at least two awards will be made in each category (company/
plant, industry, public sector, and area), provided that FMCS
determines that at least two outstanding applications exist in each
category. After these applications are selected for award, the
remaining applications will be considered according to merit without
regard to category.
In addition to the competitive process identified in the preceding
paragraph, FMCS will set aside a sum not to exceed thirty percent of
its non-reserved appropriation to be awarded on a non-competitive
basis. These funds will be used only to support applications that have
been solicited by the Director of the Service and are not subject to
the dollar range noted in Section E. All funds returned to FMCS from a
competitive grant award may be awarded on a non-competitive basis in
accordance with budgetary requirements.
FMCS reserves the right to retain up to five percent of the FY2003
appropriation to contract for program support purposes (such as
evaluation) other than administration.
V. Dollar Range and Length of Grants
Awards to expand existing or establish new labor-management
committees will be for a period of up to 18 months. If successful
progress is made during this initial budget period and all grant funds
are not obligated within the specified period, these grants may be
extended for up to six months. Continuation awards may be made.
The dollar range of awards is as follows:
[sbull] Up to $65,000 over a period of up to 18 months for company/
plant committees or single department public sector applicants;
[sbull] Up to $125,000 per 18-month period for area, industry, and
multi-department public sector committee applicants.
Applicants are reminded that these figures represent maximum
Federal funds only. If total costs to accomplish the objectives of the
application exceed the maximum allowable Federal funding level and its
required grantee match, applicants may supplement these funds through
voluntary contributions from other sources. Applicants are also
strongly encouraged to consult with their local or regional FMCS field
office to determine what kinds of training may be available at no cost
before budgeting for such training in their applications. A list of our
field leadership team and their phone numbers is included in the
application kit.
VI. Cash Match Requirements and Costs
All applicants must provide at least 10 percent of the total
allowable project costs in cash. matching funds may come from state or
local government sources or private sector contributions, but may
generally not include other Federal funds. Funds generated by grant-
supported efforts are considered ``project income,'' and may not be
used for matching purposes.
It will be the policy of this program to reject all requests for
indirect or overhead costs as well as ``in-kind'' match contributions.
In addition, grant funds must not be used to supplant private or local/
state government funds currently spent for committee purposes. Funding
requests from existing committees should focus entirely on the costs
associated with the expansion efforts. Also, under no circumstances may
business or labor officials participating on a labor-management
committee be compensated out of grant funds for time spent at committee
meetings or time spent in committee training sessions. Applicants
generally will not be allowed to claim all or a portion of existing
full-time staff as an expense or match contribution. For a more
complete discussion of costs allowed, applicants are encouraged to
consult the FY2003 FMCS Financial and Administrative Grants Manual,
which will be included in the application kit.
VII. Application Submission and Review Process
The Application for Federal Assistance (SF-424) form must be signed
by both a labor and management representative. In lieu of signing the
SF-424 form representatives may type their name, title, and
organization on plain bond paper with a signature line signed and
dated, in accordance with block 18 of the SF-424 form. Applications
must be postmarked no later than June 28, 2003. No applications or
supplementary materials will be accepted after the deadline. It is the
responsibility of the applicant to ensure that the U.S. Postal Service
or other carrier correctly postmarks the application. An original
application containing numbered pages, plus three copies, should be
addressed to the Federal Mediation and Conciliation Service, Labor-
Management Grants Program, 2100 K Street, NW., Washington, DC 20427.
FMCS will not consider videotaped submissions or video attachments to
submissions.
After the deadline has passed, all eligible applications will be
reviewed and scored preliminarily by one or more Grant Review Boards.
The Board(s) will recommend selected applications for rejection or
further funding consideration. The Director, Labor-Management Grants
Program, will finalize the scoring and selection process. The
individual listed as contact person in Item 6 on the application form
will generally be the only person with whom FMCS will communicate
during the application review process. Please be sure that person is
available between June and September of 2003.
All FY2003 grant applicants will be notified of results and all
grant awards will be made before October 1, 2003. Director, Labor-
Management Grants Program, will administratively reject applications
submitted after the June 28 deadline date or those that fail to adhere
to eligibility or the other major requirements.
VIII. Contact
Individuals wishing to apply for funding under this program should
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contact the Federal Mediation and Conciliation Service as soon as
possible to obtain an application kit. Please consult the FMCS Web site
(http:/www.fmcs.gov) to download forms and information.
These kits and additional information or clarification can be
obtained free of charge by contacting the Federal Mediation and
Conciliation Service, Labor-Management Grants Program, 2100 K Street,
NW., Washington, DC 20427; or by calling 202-606-8181.
Dated: January 13, 2003.
John J. Toner,
Chief of Staff, Federal Mediation and Conciliation Service.
[FR Doc. 03-1695 Filed 1-24-03; 8:45 am]
BILLING CODE 6732-01-M