[Federal Register: December 17, 2003 (Volume 68, Number 242)]
[Notices]
[Page 70265-70268]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr17de03-74]
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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 2004 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 2004 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. The Solicitation contains changes in the eligibility
requirement, specifically, that applicants who have not received
funding under this program within the past 6 years are eligible to re-
apply.
DATES: Comments must be submitted on or before January 16, 2004.
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, 202-271-8868.
Labor-Management Cooperation Program Application Solicitation for
Labor-Management Committees FY 2004
A. Introduction
The following is the final solicitation for the Fiscal Year (FY)
2004 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 organization 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.
B. Program Description
Objectives
The Labor-Management Cooperation Act of 1978 identifies the
following seven general areas for which financial assistance would be
appropriate:
(1) To improve communication between representatives of labor and
management;
(2) To provide workers and employers with opportunities to study
and explore new and innovative joint approaches to achieving
organizational effectiveness;
(3) To assist workers and employers in solving problems of mutual
concern not susceptible to resolution within the collective bargaining
process;
(4) To study and explore ways of eliminating potential problems
which reduce the competitiveness and inhibit the economic development
of the company/plant, area, or industry;
(5) To enhance the involvement of workers in making decisions that
affect their working lives;
(6) To expand and improve working relationships between workers and
managers; and
(7) To 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 aforementioned 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 either 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 multicounty, 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
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
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given to the above definitions as well as to the focus of the
committee.
In FY 2004, 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
1. 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 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.
2. 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 no 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.
3. 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:
(a) A discussion of the strategy the committee will employ to
accomplish its goals and objectives;
(b) 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).
(c) 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
(d) In addressing the proposed approach, applicants must also
present their justification as to why Federal funds are needed to
implement the proposed approach;
(e) 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
(f) For applications from existing committees, a discussion of past
efforts and accomplishments and how they would integrate with the
proposed expanded effort.
4. 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, 2004, 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.
5. 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.
6. 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 3(b).
7. Other Requirements--Applicants are also responsible for the
following:
(a) The submission of data indicating approximately how many
employees will be covered or represented through the labor-management
committees;
b. 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;
(c) A detailed budget narrative based on policies and procedures
contained in the FMCS Financial and Administrative Grants Manual;
(d) An assurance that the labor-management committee will not
interfere with any collective bargaining agreements; and
(e) 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:
(1) The extent to which the application has clearly identified the
problem and justified the needs that the proposed project will address.
(2) The degree to which appropriate and measurable goals and
objectives have been developed to address the problems/needs of the
applicant.
(3) 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.
(4) 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.
(5) The feasibility and thoroughness of the implementation plan in
specifying major milestones and target dates.
(6) The cost effectiveness and fiscal soundness of the
application's budget request, as well as the application's feasibility
vis-a-vis its goals and approach.
(7) The overall feasibility of the proposed project in light of all
of the information presented for consideration; and
(8) The value to the government of the application in light of the
overall
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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-managment concept.
C. 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 private 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 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 applications signed by entities such as
law firms or other third-parties failing to meet the above criteria.
Successful grantees will be bound by OMB Circular 110, i.e.,
``contractors 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 within the past
6 years for committee operations are not eligible to re-apply. The only
exception will be made for grantees that seek funds on behalf of an
entirely different committee whose efforts are totally outside of the
scope of the original grant.
D. Allocations
The FY2004 appropriation for this program anticipated to be
$1,490,250 of which at least $1,000,000-$1,050,000 will be 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 FY2004
appropriation to contract for program support purposes (such as
evaluation) other than administration.
E. 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 grants 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:
--Up to $65,000 over a period of up to 18 months for company/plant
committees or single department public sector applicants;
--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.
F. Cash Match Requirements and Cost Allowability
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 many
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 is 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 cost allowability, applicants are encouraged to
consult the FY2004 FMCS Financial and Administrative Grants Manual,
which will be included in the application kit.
G. 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 30, 2004. 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
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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 2004.
All FY2004 grant applicants will be notified of results and all
grant awards will be made before October 1, 2003. Applications
submitted after the June 30 deadline date or fail to adhere to
eligibility or other major requirements will be administratively
rejected by the Director, Labor-Management Grants Program.
H. Contact
Individuals wishing to apply for funding under this program should
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.
John J. Toner,
Chief of Staff, Federal Mediation and Conciliation Service.
[FR Doc. 03-31032 Filed 12-16-03; 8:45 am]
BILLING CODE 6732-01-M