[Federal Register: May 16, 2003 (Volume 68, Number 95)]
[Notices]
[Page 26654-26673]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr16my03-134]
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DEPARTMENT OF LABOR
Employment and Training Administration
Proposed Collection; Comment Request
ACTION: Notice.
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SUMMARY: The Department of Labor, as part of its continuing effort to
reduce paperwork and respondent burden, conducts a preclearance
consultation program to provide the general public and Federal agencies
with an opportunity to comment on proposed and/or continuing
collections of information in accordance with the Paperwork Reduction
Act of 1995 (PRA95) (44 U.S.C. 3506(c)(2)(A)). This program helps to
ensure that requested data can be provided in the desired format,
reporting burden (time and financial resources) is minimized,
collection instruments are clearly understood, and the impact of
collection requirements on respondents can be properly assessed.
Currently, the Employment and Training Administration is soliciting
comments concerning revisions to the collection of data contained in
the Workforce Investment Act (WIA) National Emergency Grant (NEG)
application procedures and project oversight and reporting requirements
(OMB approval no. 1205-0439, expiring 5/30/03).
OMB granted emergency approval for the use of the forms (ETA 9103,
9014, and 9106) for Trade Health Insurance Coverage Assistance NEGs.
Those approved forms have been revised to enable their use for Regular,
Disaster and Trade-WIA Dual Enrollment NEGs and two proposed additional
forms have been added to this request.
Attached is a copy of the proposed application procedures and
project application review process, and project oversight and reporting
requirements for the Workforce Investment Act (WIA)National Emergency
Grants (NEG).
A copy of this information collection request, with applicable
supporting documentation and application procedures, may be obtained by
calling the Department of Labor. To obtain documentation contact Darrin
King on 202-693-4129 or e-mail: king.darrin@doleta.gov.
DATES: Written comments must be submitted to the office listed in the
addressee section below on or before July 15, 2003.
ADDRESSEE: Shirley M. Smith, Administrator, Office of National
Response, Employment and Training Administration, United States
Department of Labor, 200 Constitution Avenue, NW., Room N-5426,
Washington, DC 20210, 202-693-3500 (this is not a toll-free number)
SUPPLEMENTARY INFORMATION:
I. Background
Authorized by section 173 of the Workforce Investment Act (WIA), as
amended, National Emergency Grants (NEG) are discretionary grants
awarded by the Secretary of Labor(the Secretary) intended to complement
the resources and service capacity at the state and local area levels
by providing supplemental funding for workforce development and
employment services and other adjustment assistance for dislocated
workers and other eligible individuals as defined in sections 101, 134
and 173 of WIA; sections 113, 114 and 203 of the Trade Act of 2002; and
20 CFR 671.140.
Funds are available for obligation by the Secretary under sections
132 and 173 of the WIA, and section 203 of the Trade Act of 2002.
Applications will be accepted on an ongoing basis as the need for funds
arises at the state and local level.
The provisions of WIA and the Regulations define four NEG project
types:
[sbull] Regular, which encompasses plant closures, mass layoffs,
and multiple layoffs in a single community.
[sbull] Disaster, which includes all eligible FEMA-declared natural
and manmade disaster events.
[sbull] Trade-WIA Dual Enrollment, which provides funding to ensure
that a full range of services is available to trade-impacted
individuals eligible under the Trade Adjustment Assistance program
provisions of the Trade Act of 2002.
[sbull] Trade Health Insurance Coverage Assistance, which provides
specialized health coverage, support services, and income assistance to
targeted individuals defined in the Trade Adjustment Assistance Reform
Act of 2002.
II. Review Focus
The Department of Labor is particularly interested in comments
which:
[sbull] Evaluate whether the proposed collection of information is
necessary for the proper performance of the functions of the agency,
including whether the information will have practical utility;
[sbull] Evaluate the accuracy of the agency's estimate of the
burden of the proposed collection of information, including the
validity of the methodology and assumptions used;
[sbull] Enhance the quality, utility, and clarity of the
information to be collected; and
[sbull] Minimize the burden of the collection of information on
those who are to respond, including through the use of appropriate
automated, electronic, mechanical, or other technological collection
techniques or other forms of information technology, e.g., permitting
electronic submissions of responses.
III. Current Actions
The Employment and Training Administration (ETA) of the U.S.
Department of Labor (DOL) is announcing proposed application and
reporting procedures to enable eligible entities to access funds for
National Emergency Grant (NEG) programs under section 173 of the
Workforce Investment Act (WIA), as amended. Applications will be
accepted on an ongoing basis as the need for funds arises at the state
and local level.
The application procedures, application review process, and project
oversight and reporting requirements described in this notice are
issued under the WIA regulations at 20 CFR 671.125.
Applications for NEG funds may be submitted at any time. The
maximum allowable project performance periods are defined by the months
remaining in the Program Year in which the grant award is made plus the
subsequent two Program Years. The Program Year for these projects is
the twelve month period July 1-June 30.
USDOL/ETA expects that the project performance period in any NEG
application will reflect a time efficient approach to returning
eligible individuals to appropriate employment consistent with the
performance goals that apply to NEG projects.
Consistent with the Government Paperwork Elimination Act, the
information collection including the application and the reporting form
is fully in an electronic format. Electronic applications are intended
to provide ease of completion as well as timely processing. The
information in the grant application collection will provide the grant
officer with the necessary information during the application review
process in order to be able to make consistent and objective funding
decisions based on the stated funding request evaluation criteria. The
quarterly reports information collection will assure accountability and
measure actual project performance to date.
[[Page 26655]]
USDOL/ETA is committed to making a decision to approve or
disapprove all submitted applications within 15 working days from
receipt of a complete and responsive application.
Type of Review: Revision.
Title: Workforce Investment Act: National Emergency Grants (NEG)--
Application and Reporting Procedures.
OMB Number: 1205-0439.
Affected Public: State, local, or tribal government.
Burden Hours: 1,171.
Estimated Total Annualized Hour Burden
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Expected
Reference Expected total Frequency Expected total Avg. time per burden*
respondents* responses* response (hours)
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SF 424....................... 150 1 per project... 150 45 minutes..... 113.0
Narrative Summary............ 150 1 per project... 150 1.0 hour....... 150.0
ETA 9103..................... 150 1 per project... 150 90 minutes..... 225.0
ETA 9105..................... 75 1 per project... 75 30 minutes..... 38
ETA 9106..................... 150 1 per project... 150 1.0 hour....... 150.0
ETA 9107..................... 100 1 per project... 100 30 minutes..... 50.0
Expenditure Status Report.... 50 1 per project... 50 1.0 hour....... 50.0
TAA Certification Report..... 50 1 per project... 50 30 minutes..... 25.0
Reports: ETA 9104............ 150 quarterly per 600 30 minutes..... 300.0
project.
Grant Modifications.......... 140 1 per project... 140 30 minutes..... 70.0
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Total.................... .............. ................ 1615 ............... 1126
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* Actual number will vary based on state and local needs.
Total Burden Cost (capital/startup): 0.
Total Burden Cost (operating/maintaining): 0.
Comments submitted in response to this comment request will be
summarized and/or included in the request for Office of Management and
Budget approval of the information collection request; they will also
become a matter of public record.
Dated: May 12, 2003.
Emily Stover DeRocco,
Assistant Secretary, Employment and Training Administration.
ATTACHMENT
Workforce Investment Act: Application Procedures for National
Emergency Grants
Overview
The Employment and Training Administration (ETA) of the U.S.
Department of Labor (DOL) is announcing policies and procedures for
accessing funds to implement National Emergency Grant (NEG) programs
under section 173 of the Workforce Investment Act (WIA), as amended.
Funds are available for obligation by the Secretary of Labor (the
Secretary) under sections 132 and 173 of the WIA, and section 203 of
the Trade Adjustment Assistance Reform Act of 2002. Applications
will be accepted on an ongoing basis as the need for funds arises at
the state and local level. Applicants are strongly encouraged to
submit applications as early as possible following notice of an
eligible dislocation event. Grant awards will be made only to the
extent that funds remain available.
This application package provides information and procedures by
which eligible entities can apply for National Emergency Grant funds
to provide workforce development and employment services, and other
adjustment assistance for dislocated workers and other eligible
individuals as defined in sections 101, 134 and 173 of WIA; sections
113, 114 and 203 of the Trade Adjustment Assistance Reform Act of
2002; and 20 CFR 671.140. It consists of the following eight parts
and two appendices:
[sbull] Part I provides background about the purpose and use of
NEGs.
[sbull] Part II describes eligibility, including eligible
circumstances for funding, eligible entities for grant awards, and
eligible individuals for assistance.
[sbull] Part III identifies the policies governing
administrative and project design requirements on NEGs.
[sbull] Part IV provides an overview of the application
submission requirements for each type of NEG project;
[sbull] Part V identifies the elements in the application review
process including the criteria that will be used to determine the
appropriateness of the request for funds.
[sbull] Part VI describes alternative approaches to grant
funding and the requirements associated with partial funding
requests and actions.
[sbull] Part VII describes the follow-up planning, oversight and
reporting requirements for awarded grants.
[sbull] Part VIII describes the grant modification process.
Appendix A contains copies of the required grant application
forms. The forms are in an electronic format to facilitate easy
completion and timely submission of the application. The Department
seeks to establish a process that provides both timely submission of
applications for funding, in relation to worker eligibility for
assistance, and timely processing of such applications. The
electronic formats have been developed to facilitate accomplishment
of this objective.
Appendix B contains a directory of Regional Office contacts.
Applications for NEG funds may be submitted at any time. The
maximum allowable project performance periods are defined by the
months remaining in the Program Year in which the grant award is
made plus the subsequent two Program Years. The Program Year for
these projects is the 12 month period July 1--June 30. The
Employment and Training Administration expects that the project
performance period in any NEG application will reflect a time
efficient approach to returning eligible individuals to appropriate
employment consistent with the performance goals that apply to NEG
projects.
The application procedures, application review process, and
project oversight and reporting requirements described in this
notice are issued under the WIA regulations at 20 CFR 671.125.
Applications must be filed electronically using the Web site
http://testetareports.doleta.gov. To submit an application
electronically, applicants will need to use a PIN that has
been assigned to them by ETA. A PIN can be obtained by
contacting the appropriate Regional Office.
For further information you may contact Shirley M. Smith,
Administrator, Office of National Response at (202) 693-3501. (This
is not a toll-free number.) A user's guide on preparing and
submitting an application electronically and technical assistance on
application requirements are available from Regional Offices of ETA
and from the Office of National Response, Employment and Training
Administration, U.S. Department of Labor, Room N-5426, 200
Constitution Avenue, NW., Washington, DC 20210.
Part I: Background
National Emergency Grants are discretionary awards by the
Secretary of Labor and are intended to complement resources and
service capacity at the State and local area levels by providing
supplemental funding for workforce development and employment
services and other adjustment assistance for dislocated workers and
other eligible individuals, as defined in sections 101, 134 and 173
of WIA: sections 113, 114 and 203 of the Trade Adjustment Assistance
Reform Act of 2002: and 20 CFR 671.140. To be effective, NEG funding
actions must be timely in relation to
[[Page 26656]]
the need for assistance. At the same time, effective use of NEG
funds requires reasonable, informed estimates of the amount of funds
needed to respond to eligible events AND responsive implementation
plans for assisting the affected workers.
Responsive and responsible use of NEG funds requires a system-
based collaboration between the State and local entities that are
charged with providing assistance to workers affected by significant
dislocation events, and the Federal agency that manages the national
fund account. This collaboration must operate in a manner that
``puts the right amount of money in the right place at the right
time.'' Inefficiencies in this collaboration are defined by both
delayed funding actions (i.e., in relation to the time at which
services are needed by eligible workers) and unexpended funds caused
by inaccurate estimates of the amount of funding needed to respond
to the dislocation event. Correcting these inefficiencies is a
shared responsibility by the applicant/grantee and ETA.
The approach to NEG grant awards will be based on quick
turnaround initial funding actions where the following can be
demonstrated:
[sbull] There is an eligible circumstance for funding, with a
group of workers who are currently eligible to receive assistance.
[sbull] An early intervention strategy has been initiated.*
[sbull] Per-participant expenditure levels are consistent with
the formula program experience in the proposed project area.*
[sbull] There is a plan for timely enrollment of eligible
workers into assistance and expenditure of requested funds.
[sbull] Overall project performance goals are consistent with
the Secretary's goals for dislocated worker assistance.
[sbull] Other available funding sources are inadequate to fully
fund the level of assistance needed.*
(Note: *These do not apply to Disaster and Trade Health Coverage
Assistance projects. In addition, the early intervention requirement
does not apply to Trade-WIA Dual Enrollment projects.)
ETA is committed to making a decision to approve or disapprove
all submitted applications within 15 working days from receipt of a
complete and responsive application. Note, however, that if the
applicant chooses to submit an unrequested revision to a previously
submitted application that is undergoing review, the 15-day
processing time period starts over. Additionally, because experience
with worker dislocations has consistently demonstrated that actual
project requirements often vary from initial planning assumptions
(i.e., on factors such as participation levels and intensity of
reemployment assistance needs), most NEG requests will be funded
incrementally.
Grant recipients will be expected to develop a more complete
project operational plan, including project operator agreements and
participant registration and assessment information, which should be
available for review at the state or grantee level approximately 90
days after the grant award decision. This plan and project
implementation experience to date will help verify the full amount
of NEG funding needed to adequately respond to the dislocation
event.
Part II
A. Eligible Circumstances for Funding
NEG funds may be used to provide assistance in the following
circumstances:
[sbull] Plant closures and mass layoffs affecting 50 or more
workers at a single site of employment;
[sbull] Closures and realignments of military installations;
[sbull] Multiple layoffs in a single local community that have
significantly increased the total number of unemployed individuals
in the community; *
[sbull] Emergencies or disasters that have been declared
eligible for public assistance by the Federal Emergency Management
Agency (FEMA); and
[sbull] Special assistance, including health coverage
assistance, to trade-impacted workers and other individuals eligible
under the Trade Adjustment Assistance Reform Act of 2002.
The Secretary may determine that other circumstances are
appropriate for NEG funding.
(*In order to qualify under this criterion, the applicant must
demonstrate that there is significant economic impact upon the
community by indicating such conditions as:
--The ``community'' is a local area labor market or, if smaller,
another geographical entity for which monthly unemployment
information is available.
Note: This criterion cannot be applied at the state level
although the state may be the grant applicant.
--The total layoffs in the community occurring during the reference
period have resulted in an increase in the unemployment rate by at
least one percentage point (e.g., from 4% to 5%).
(In order to assure the timely nature of these applications, the
``Reference Period'' should be a period of time of no less than
three months and no greater than six months for which monthly
unemployment information is publicly available. The months included
in the ``Reference Period'' cannot overlap with any months included
in the time period used in calculating the current program year's
formula funding state allotments. The percentage point increase
calculation will be based on the unemployment rate of the last month
in the ``Reference Period'' and the month immediately prior to the
first month in the ``Reference Period.'')
--The request includes only those layoffs that have occurred within
the reference period used for the unemployment rate computation or
later.
--The level of formula funds usage, as described in part IV, section
A.7, for both the local area and the state's reserve exceeds 50% in
the first quarter of the program year, 70% in the second quarter and
85% in the last two quarters of the program year.)
The provisions of WIA and the Regulations define four NEG
project types:
[sbull] Regular, which encompasses plant closures, mass layoffs,
and multiple layoffs in a single community.
[sbull] Disaster, which includes all eligible FEMA-declared
natural and manmade disaster events.
[sbull] Trade-WIA Dual Enrollment, which provides funding to
ensure that a full range of services is available to individuals
eligible through a certification under the provisions of the Trade
Adjustment Assistance Reform Act of 2002.
[sbull] Trade Health Coverage Assistance, which provides special
health coverage assistance through partial payment of health
insurance premium costs under approved plans, support services, and
income assistance to targeted individuals defined in the Trade
Adjustment Assistance Reform Act of 2002.
B. Eligible Entities for Grant Awards
Entities that are eligible to receive a NEG grant for a Regular
Project are:
[sbull] For Intrastate Projects:
--The designated state WIA program grantee agency.
--A Local Area Workforce Investment Board (or its fiscal agent).
--A designated organization receiving WIA funding through the Native
American Program provision of the Act;
[sbull] For Interstate Projects:
--A consortium of states.
--A consortium of local Boards.
For interstate projects, one state must be designated to serve
as the grant applicant and recipient. The Secretary may consider
applications from other entities where it can be demonstrated that
the entity will provide the most effective response to the
applicable dislocation(s).
Because NEG grants are a source of supplemental funding to the
existing dislocated worker service structure, DOL expects that
states, as the entities responsible for ensuring the effective use
of all dislocated worker funds within the State, will assume the
role of grantee in most instances.
Eligible applicants for Disaster projects and projects to
provide special assistance to trade-impacted workers are limited to
States. In those cases where the State is the grantee but the
project will operate in one or more designated local areas, the
State may want to consult with applicable local area Workforce
Investment Boards in the development of applications for NEG funds.
C. Eligible Individuals for Assistance
Individuals who are eligible for assistance vary by type of NEG
project. The categories of eligible individuals are:
1. A dislocated worker: a. An individual who:
(1) Has been terminated or laid off, or has received a notice of
termination or layoff, from employment;
(2) Is eligible for or has exhausted entitlement to unemployment
compensation, or has been employed for a duration sufficient to
demonstrate to appropriate staff of the One-Stop Center attachment
to the workforce but is not eligible for unemployment compensation
due to insufficient earnings or having performed
[[Page 26657]]
services for an employer not covered under the state's unemployment
compensation law; and
(3) Is unlikely to return to a previous industry or occupation.
b. An individual who:
(1) Has been terminated or laid off, or has received a notice of
termination or layoff, from employment as a result of any permanent
closure of, or any substantial layoff at, a plant, facility or
enterprise; or
(2) Is employed at a facility at which the employer has made a
general announcement that such facility will close within 180 days;
or is employed at a facility at which the employer has made a
general announcement that such facility will close. (Note:
Eligibility for other than Core Services requires an announcement by
the employer that the facility will close within 180 days.)
c. An individual who was self-employed but is unemployed as a
result of general economic conditions in the community in which the
individual resides or because of natural disasters.
d. An individual who has been providing unpaid services to
family members in the home and who:
(1) Has been dependent on the income of another family member
but is no longer supported by that income; and
(2) Is unemployed or underemployed and is experiencing
difficulty in obtaining or upgrading employment.
2. A civilian employee of the Department of Defense or the
Department of Energy employed at a military installation that is
being closed, or that will undergo realignment, within the next 24
months.
3. An individual who is employed in a nonmanagerial position
with a Department of Defense contractor, and who is determined to be
at risk of termination from employment as a result of reductions in
defense expenditures, and whose employer is converting operations
from defense to non-defense applications in order to prevent worker
layoffs.
4. A member of the Armed Forces who:
a. Was on active duty or full-time National Guard duty;
b. Is involuntarily separated from active duty or full-time
National Guard duty, or is separated from active duty or full-time
National Guard duty pursuant to a special separation benefits
program or voluntary separation incentive program;
c. Is not entitled to retired or retained pay incident to the
separation described in (b); and
d. Applies for employment and training assistance before the end
of the 180 day period beginning on the date of separation.
5. An individual who is temporarily or permanently laid off as a
consequence of a disaster event qualifying for public assistance
through a FEMA declaration.
6. An individual who is long-term unemployed.
7. For Trade-WIA Dual Enrollment Projects, an individual covered
by a certification under the Trade Adjustment Assistance Reform Act
of 2002 who also qualifies as an eligible dislocated worker.
8. For Trade Health Coverage Assistance Projects:
a. An individual who is eligible for a trade readjustment
allowance (TRA) under the TAA program, or would be eligible for TRA
except that he/she has not yet exhausted his/her unemployment
insurance (UI) benefits;
b. A qualified family member of an eligible individual under
``a'';
c. Recipients of pension benefits through the Pension Benefit
Guaranty Corporation.
Not all of these groups are eligible for each type of NEG
project assistance. The following table summarizes the relationship
between eligible individuals and eligible NEG project types.
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Trade Adjustment
Assistance
-----------------------
Regular Disaster Health
Dual coverage &
enrollment related
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Dislocated Worker............................................... X X .......... ..........
DoD/DoE Civilian Employee....................................... X .......... .......... ..........
DoD Contractor Employee......................................... X .......... .......... ..........
Member of Armed Forces.......................................... X .......... .......... ..........
Laid off as result of Disaster.................................. .......... X .......... ..........
Long-term Unemployed............................................ .......... X .......... ..........
Trade-impacted.................................................. .......... .......... X X
Qualified Dependent of Eligible Trade-Impacted Worker........... .......... .......... .......... X
PBGC Pension Recipient.......................................... .......... .......... .......... X
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Part III: Administrative and Project Design Requirements
A. General
Grantee organizations, administrative entities, project
operators and service providers are subject to the WIA law,
regulations, grant application instructions, the terms and
conditions of the grant and any subsequent modifications, and to all
other applicable Federal laws (including provisions in Federal
appropriations laws). Since eligible applicants are generally
limited to State, Native American tribal entities, and local Boards
that are established through WIA, NEG grantees will be subject to
all administrative system requirements that apply to the use of WIA
formula funds for dislocated workers, except as otherwise provided
in these instructions. Any other entity that seeks to apply for NEG
funds will be required to demonstrate its ability to meet these same
administrative system requirements.
B. Cost Limitations
Administrative cost limitations shall apply to all NEG grant
awards. Cost limitations shall apply to actual expenditures. In
general, a 10 percent (10%) limit will apply to all NEG projects.
On projects where the state is the grantee, but services are
being provided through one or more local area project operators, the
10 percent cost limit will apply to local area expenditures. In
these grants the state may retain an additional amount to perform
state-level management and oversight functions in support of the
grant. This amount should not exceed 1.5 percent of the total local
area funding.
Any costs associated with administering a system of needs-
related or health coverage payments must be separately identified in
the application budget and justified in the narrative.
Although administrative cost limits on NEG projects are subject
to negotiation with the Grant Officer, ETA expects that most
projects will be able to be implemented within the above cited
limits. Any request for a higher limit will have to be clearly and
fully justified in terms of unusual project operating circumstances.
Applicants should recognize that any such request will have to be
negotiated with the Grant Officer and will delay the timing of the
funding action.
C. Indirect Costs
If an indirect cost rate is applied in calculating
administrative costs, the applicant must include information from
the most recent approval document that identifies the approved
indirect cost rate and base, the cognizant approval agency, and the
date of the approval. Generally, indirect costs will only be
approved at the grantee level. If an application includes indirect
costs at the project operator level, the grantee will be responsible
for verifying the appropriate documentation to support the costs.
D. Early Intervention
For Regular projects, all NEG applications are expected to be
the result of an early intervention process that has been activated
through the State's Rapid Response system. As appropriate, the early
intervention
[[Page 26658]]
process may include the use of formula funds to initiate core and
intensive, and even training services. In cases where formula funds
have been used to provide services (excluding Rapid Response) to the
eligible target group prior to grant award and the availability of
formula funds in the state is limited, the Grant Officer may
authorize the use of grant funds to reimburse the cost of such
services. However, approval for using grant funds for such costs
will be limited to costs incurred within the 90-day period preceding
the date of receipt of the application. For Regular projects, ETA
expects that applications for NEG funding will be submitted within
90 days of the dislocation event(s) or the date on which the target
group of workers included in the application become eligible for
assistance.
In general, the initiation of early intervention activities will
be a pre-condition for the award of NEG funds for Regular projects.
If early intervention through Rapid Response has not been feasible,
the applicant must document the circumstances that prevented
initiation of early intervention in the application.
E. Allowable Activities and Services
NEG funds may be used to provide services of the type described
in section 134(d)(2), (3), (4) and (e)(2) and (3) of WIA. For
Disaster projects, NEG funds may also be used for temporary
employment assistance to provide food, clothing, shelter and related
humanitarian assistance; and to perform demolition, cleaning,
repair, renovation and reconstruction of damaged and destroyed
structures, facilities and lands located within the designated
disaster area. For Trade Health Coverage Assistance projects, funds
may also be used for the activities and services described in WIA
sections 173 (f) and (g). Additional guidance on the use of funds
for these activities and services will be provided through Training
and Employment Guidance Letters (TEGLs).
F. Project Design and Service Operations
Project operations should be consistent with the established
policies and procedures of the State and/or local Board(s) in the
area in which the project is to operate. ETA expects that such
policies and procedures are flexible enough to respond to the needs
of any eligible dislocated worker, including those who are eligible
for assistance through NEG funding. Where variations may be
appropriate to respond to the needs of special populations (e.g.,
limited English speaking) who comprise the target group, these will
have to be explained and justified in the application.
G. Temporary Employment (Disaster Projects ONLY)
Temporary job creation is limited to public and private non-
profit agencies. An individual participant on a Disaster project may
be employed for a maximum of six months, or 1,040 hours, whichever
is longer. The maximum level of wages paid to a participant is
limited to $12,000 excluding the cost of fringe benefits. Fringe
benefits should be paid in accordance with the policies of the
employer of record for temporarily employed workers. If a higher
wage level for some participants is critical to the success of
clean-up efforts on the project, the applicant may request a higher
limit from the Grant Officer.
H. Integration With Other Resources
The services provided to eligible workers in the large majority
of Regular and Trade Adjustment Assistance projects should be
financed from multiple sources, including WIA formula, One-Stop
partner and other public and private (e.g., employer) funds. In
addition, grantees will be expected to make a maximum effort to
assist each project participant to apply and qualify for available
sources of financial assistance, consistent with the provisions of
Sec. 663.320 of the WIA Regulations.
I. Coordination With Trade Act Funds
ETA expects that states will have in place efficient procedures
for dual enrollment of eligible workers in both the TAA and WIA
programs. Receipt of NEG funds to provide services to TAA eligible
workers will be predicated on the existence of such procedures.
J. Performance Outcomes
ETA expects that NEG-funded projects will achieve quality
employment and earnings outcomes for the individuals who are served.
Each NEG project will be required to achieve performance outcomes
for eligible workers that are at least as high as the higher of the
corresponding goals set by the Secretary and those negotiated with
the applicable state or local Board.
Employment-related performance measures will not apply to Trade
Health Coverage Assistance projects.
K. Project Management
ETA expects that NEG-funded projects will be organized to
provide the most responsive services from the perspective of the
customer (i.e., the dislocated worker). There may be instances in
which a project will operate in multiple local workforce areas.
Except in the limited cases where projects may span large areas of
the state and involve workers from widely dispersed areas and
different labor market conditions, the projects should be designed
and managed to operate under a consistent set of service policies
and procedures that are agreed to by all of the local Boards
involved.
Where a single project will operate in multiple local areas, ETA
will award the grant to the state or to one of the local Boards that
has been designated as grant recipient through an agreement executed
by all of the local Boards involved. The grant will be structured to
operate on a full service area basis, and the grantee will have full
authority to move funds between designated project operators
consistent with where eligible workers are seeking services. In
these cases, the service policies and procedures applying to the
project can be those of the state, of the local Board designated as
grant recipient, or ones jointly developed by all of the local
Boards as part of the agreement. This principle will also apply to
projects that will operate on an interstate basis, that is, an
agreement will have to be executed among all of the involved states
and the agreement will need to designate one of the states to be the
grant recipient, as well as identify the service policies and
procedures that will apply.
Part IV: Application Submission Requirements
To be considered for funding, an application must include the
information identified in this section. The information requirements
are organized by type of NEG project since the requirements vary by
project type.
A. Regular Projects
1. Completed and signed SF 424-Application for Federal
Assistance. This form is the required application for Federal funds.
The authorized signatory of the applicant will be issued a unique
Personal Identification Number (PIN). The entry of this PIN on the
SF 424 constitutes the authorized signature.
2. Project Synopsis Form (ETA 9106). This form summarizes key
aspects of the proposed project such as project type, type of
eligible event, key contact information, planned number of
participants, performance measures, and explanation of why requested
funds are needed.
3. Employer Data Form (ETA 9105). This form provides employer
and dislocation site-specific information needed to validate the
eligibility of the dislocation event(s) and the target group of
workers for NEG assistance. Information includes name and location
of employer, date and type of worker notification, date(s) of layoff
and number of workers affected, date(s) and types of Rapid Response
activities.
4. Project Operator Data Form (ETA 9107). This form includes key
contact and project scope information (e.g., number of participants,
total budget, service area) for each project operator. This form
must be completed and submitted only to the degree that Project
Operators have been identified at the time of application. This
information should be submitted as Project Operators are identified
and agreements executed. However, if the applicant is submitting a
full funding request, it is expected that Project Operators will
have been identified and the contact information on the form should
be completed.
5. Planning Form (ETA 9103). This form provides cumulative
quarterly estimates on project scope (e.g., number of participants,
exits), design (e.g., mix of activities), and budget (e.g., costs by
type of activity, administrative costs).
6. Narrative Summary. This form allows the applicant to provide
any explanations/justifications needed for entries in the above
forms. Narrative explanations are required in the following
instances:
--A notification was made by the employer but no Rapid Response
activities have been initiated.
--Some of the affected layoffs have occurred more than 4 months
prior to the date of submission of the application.
--The application is being submitted to address ``community impact
layoffs.'' The narrative must provide specific information in
relation to the specific requirements for meeting this criterion
(see definition in part II.A of these guidelines).
[[Page 26659]]
--The number of planned participants is greater than 50% of the
total number of affected workers.
--Either the planned entered employment rate or the planned average
wage replacement rate is less than the higher of the corresponding
goals set by the Secretary and those negotiated with the applicable
State or local Board.
--The planned cost per participant on the project is greater than
the cost per participant in the applicant's formula program for
dislocated workers.
--There are participants receiving NRPs, which requires explaining
how the planned number of recipients and the NRP cost per
participant were determined.
--Indirect costs are included in the budget, which requires
identifying the following: cognizant approval agency, approved cost
rate and base, and date of approval.
--``Other'' costs--at either the State or local level--are included
in the budget, which requires identifying the specific cost items
and amounts.
--Administrative costs related to NRPs are included in the budget,
which requires explaining how the administrative cost estimate was
derived (i.e., based on number of check payments and check
processing costs).
--Administrative expenses at the local/project level, excluding
NRPs, are greater than 10% of total expenses.
--In projects where the state is the grantee but the project is
implemented through local project operators, State-level management
and oversight expenses are greater than 1.5% of total local
expenses.
The applicant is free to include narrative explanations of other
special factors, but the narrative should not exceed five pages.
7. Current Obligation and Expenditure Status Report. The
applicant must include, as an attachment to its grant submission,
information which presents the current status (i.e., through the
most recent month for which information is available) of accrued
expenditures and obligations, both for available WIA formula funds
in the current Program Year and for each active NEG grant in the
applicant's service area. The status report must address the
following factors:
--Total available funds;
--Total accrued expenditures;
--Total unexpended but obligated funds in ITAs for currently
enrolled participants;
--Amount for this PY;
--Amount for next PY;
--Total unexpended but obligated funds for fixed staff costs;
--Total unexpended but obligated funds for fixed facilities
costs;
--Total unexpended but obligated funds for other (identify)
fixed costs.
For formula funds, available funds and obligations for fixed
costs are for the current Program Year. For active NEG projects, the
available funds and obligations for fixed costs are for the approved
budget and project period.
B. Disaster Projects
1. Completed and signed SF 424-Application for Federal
Assistance. This form is the required application for Federal funds.
The authorized signatory of the applicant will be issued a unique
Personal Identification Number (PIN). The entry of this PIN on the
SF 424 constitutes the authorized signature.
2. Project Synopsis Form (ETA 9106). This form summarizes key
aspects of the proposed project such as project type, type of
eligible event, key contact information, types of eligible
individuals to be included in the target group for the project,
planned number of participants, performance measures, and contact
information. This form includes an entry for the FEMA declaration
that qualifies the event as eligible for NEG assistance. This may
not be available at the time the application is submitted and, if
not, will be entered by DOL/ETA.
3. Project Operator Data Form (ETA 9105). This form includes key
contact and project scope information (e.g., number of participants,
total budget, service area) for each project operator. This form
must be completed and submitted only to the degree that
ProjectOperators have been identified at the time of application.
This information should be submitted as Project Operators are
identified and agreements executed. However, if the applicant is
submitting a full funding request, it is expected that Project
Operators will have been identified and the contact information on
the form should be completed.
4. Planning Form (ETA 9103). This form provides cumulative
quarterly estimates on project scope (e.g., number of participants,
exits), design (e.g., mix of activities), and budget (e.g., costs by
type of activity, administrative costs).
5. Narrative Summary. This form allows the applicant to provide
any explanations/justifications needed for entries on the above
forms. Narrative explanations will be required in the following
instances:
--Dislocated workers and long-term unemployed are included in the
target group, but no workforce development services are proposed
beyond temporary job creation.
--Either the planned entered employment rate or the planned average
wage replacement rate for participants receiving workforce
development services is less than the higher of the corresponding
goals set by the Secretary and those negotiated with the applicable
state or local Board.
--There are participants receiving NRPs, which requires explaining
how the planned number of recipients and the NRP cost per
participant were determined.
--Indirect costs are included in the budget, which requires
identifying the following: cognizant approval agency, approved cost
rate and base, and date of approval.
--``Other'' costs--at either the State or local level--are included
in the budget, which requires identifying the specific cost items
and amounts.
--Administrative costs related to NRPs are included in the budget,
which requires explaining how the administrative cost estimate was
derived (i.e., based on number of check payments and check
processing costs).
--Administrative expenses excluding NRPs are greater than 10% of
total expenses.
--In projects where the state is the grantee but the project is
implemented through local project operators, State-level management
and oversight expenses are greater than 1.5% of total local
expenses.
The applicant is free to include narrative explanations of other
special factors, but the narrative should not exceed five pages.
C. Trade Adjustment Assistance Projects
These projects are limited to assistance to eligible individuals
as identified in the Trade Adjustment Assistance Reform Act of 2002.
NEG funds can be used in two ways:
--To provide funding to ensure that a full range of services is
available to trade-impacted individuals eligible under the
provisions of the Trade Adjustment Assistance Reform Act of 2002.
--To pay for costs of health insurance premiums, supportive services
(e.g., transportation, child care, dependent care), and income
assistance (e.g., needs-related payments) for eligible individuals
under the provisions of section 173(g) of the Workforce Investment
Act, as amended by the Trade Adjustment Assistance Reform Act of
2002.
Each of these uses is supported by a separate appropriation.
Therefore, a separate NEG application will be required for each use
for which an applicant is seeking funds. Instructions for applying
for NEG funds to pay the costs of allowable system-building
activities under section 173(f) have been separately issued.
1. Trade-WIA Dual Enrollment Project
a. Completed and signed SF 424-Application for Federal
Assistance. This form is the required application for Federal funds.
The authorized signatory of the applicant will be issued a unique
Personal Identification Number (PIN). The entry of this PIN on the
SF 424 constitutes authorized signature.
b. Project Synopsis Form (ETA 9106). This form summarizes key
aspects of the proposed project such as project type, key contact
information, planned number of participants, performance measures,
and explanation of why the requested funds are needed.
c. Project Operator Data Form (ETA 9107). This form includes key
contact and project scope information (e.g., number of participants,
total budget, service area) for each project operator. This form
must be completed and submitted only to the degree that Project
Operators have been identified at the time of application. This
information should be submitted as Project Operators are identified
and agreements executed. However, if the applicant is submitting a
full funding request, it is expected that Project Operators will
have been identified and the contact information on the form should
be completed.
d. Planning Form (ETA 9103). This form provides cumulative
quarterly estimates on project scope (e.g., number of participants,
exits), design (e.g., mix of activities), and budget (e.g., costs by
type of activity, administrative costs).
e. Narrative Summary. This form allows the applicant to provide
any explanations/justifications needed for entries on the above
[[Page 26660]]
forms. Narrative explanations will be required in the following
instances:
--Either the planned entered employment rate or the planned average
wage replacement rate is less than the higher of the corresponding
goals set by the Secretary and those negotiated with the applicable
state or local Board-Indirect costs are included in the budget,
which requires identifying the following: cognizant approval agency,
approved cost rate and base, and date of approval.
--``Other Program'' costs--at either the state or local level--are
included in the budget, which requires identifying the specific cost
items and amounts.
--Administrative expenses are greater than 10% of total expenses.
--In projects where the state is the grantee but the project is
implemented through local project operators, State-level management
and oversight expenses are greater than 1.5% of total local
expenses.
The applicant is free to include narrative explanations of other
special factors, but the narrative should not exceed five pages.
f. TAA Certification Report. The applicant must include, as an
attachment to its grant submission, information which identifies by
employer the TAA Trade Certification numbers and the number of
workers covered in the certifications. In cases where a petition has
been filed but the certification is pending, identify the TAA Trade
Petition number, the date the petition was filed, and the number of
workers covered in the petition.
g. Current Obligation and Expenditure Status Report. The
applicant must include, as an attachment to its grant submission,
information which presents the current status (i.e., through the
most recent month for which information is available) of accrued
expenditures and obligations, for both available WIA formula and
Trade Act funds in the current Program Year. The status report must
address the following factors:
--Total available funds;
--Total accrued expenditures;
--Total unexpended but obligated funds in ITAs for currently
enrolled participants;
--Amount for this PY;
--Amount for next PY;
--Total unexpended but obligated funds for fixed staff costs;
--Total unexpended but obligated funds for fixed facilities costs;
--Total unexpended but obligated funds for other (identify) fixed
costs.
For formula funds, available funds and obligations for fixed
costs are for the current Program Year. For active NEG projects, the
available funds and obligations for fixed costs are for the approved
budget and project period.
2. Trade Health Coverage Assistance
a. Completed and signed SF 424--Application for Federal
Assistance. This form is the required application for Federal funds.
The authorized signatory of the applicant will be issued a unique
Personal Identification Number (PIN). The entry of this PIN on the
SF 424 constitutes the authorized signature.
b. Project Synopsis form (ETA 9106). This form summarizes key
aspects of the proposed project such as project type, planned number
of participants, and contact information. It also includes
identification of the types of health insurance coverage options
that will be available to project participants.
c. Planning Form (ETA 9103). This form provides cumulative
quarterly estimates on project scope (e.g., number of participants,
exits), design (e.g., mix of services), and budget (e.g., costs by
type of activity, administrative costs).
d. Narrative Summary. Describe steps taken to consult and
coordinate with appropriate state executive agencies and other
appropriate parties in order to ensure that the use of NEG funds to
provide health coverage assistance to eligible individuals will be
consistent with the policies and procedures of those agencies. A
narrative explanation must also be provided in cases where one or
more of the following are reflected in the project plan:
--There are participants receiving NRPs, which requires explaining
how the planned number of recipients and the NRP cost per
participant were determined.
--Indirect costs are included in the budget, which requires
identifying the following: Cognizant approval agency, approved cost
rate and base, and date of approval.
--``Other'' costs are included in the budget, which requires
identifying the specific cost items and amounts.
--Administrative costs related to processing payments for qualified
health insurance coverage and NRPs are included in the budget, which
requires explaining how the administrative cost estimate was derived
(i.e., based on number of check payments and check processing
costs).
--Administrative expenses excluding NRPs and health insurance
coverage assistance are greater than 10% of total expenses.
The applicant is free to include narrative explanations of other
special factors, but the narrative should not exceed five pages.
e. TAA Certification Report. The applicant must include, as an
attachment to its grant submission, information that identifies by
employer the TAA Trade Certification numbers and the number of
workers covered in the certifications. In cases where a petition has
been filed and certification is pending, identify the TAA Trade
Petition number, the date the petition was filed, and the number of
workers covered in the petition.
Part V: Application Review Process
To be considered for funding, an application must demonstrate
that the proposed project meets the purpose of and is consistent
with the Act and Regulations and provides all of the information
required by these guidelines. Applications that are not completely
in accordance with the requirements or do not contain all required
submission forms will not be considered as submitted and will not be
evaluated for funding until all required information and
documentation is provided. Complete applications will be evaluated
for responsiveness to the criteria identified in this part. Just as
with the submission requirements, the criteria are generally similar
for each type of NEG project but there are variations. The specific
criteria by type of project are itemized in the following sections.
A. Regular Projects
1. Eligibility: To ensure that NEG funds are only awarded to
eligible dislocation events and where there is a verifiable target
group that is both eligible and in need of assistance.
a. Information demonstrates that the dislocation events cited
are eligible for NEG funding.
b. Information demonstrates that identified workers in the
target group are currently eligible for assistance.
c. Information indicates that the affected workers are still in
need of assistance.
2. Early Intervention: To ensure that required Rapid Response is
being implemented.
a. Information indicates that timely and appropriate Rapid
Response actions have been taken.
b. Information indicates that some effort has been made to
contact affected workers and/or their representatives.
3. Reasonableness of Proposed Services and Costs: To ensure that
NEG projects are designed and operated in accordance with the
Federal requirements and the State and local policies that apply to
formula-funded dislocated worker programs in the proposed project
area, OR, if different, that they are fully justified in terms of
target group and reemployment barriers.
a. The planned average cost per participant for the project is
within a reasonable range of the state's actual average cost per
participant reported for the prior Program Year.
b. The percentage of planned participants receiving needs-
related payments (NRPs) in the project is justified in terms of
formula program experience or target group characteristics and
reemployment barriers.
c. The indirect costs are justified by identifying: (1) The
approved indirect cost rate and base; (2) the cognizant approval
agency; (3) the date of the approval.
d. ``Other'' expenditures that are included in the budget--at
either the State or local level -are identified and justified in the
narrative.
e. The ratio of planned participants to affected workers is
reasonable in light of prior experience with NEG projects and with
the results of Rapid Response/early intervention activities.
f. Total administrative costs are within the cost limitations at
both the state and local project levels, OR are explained and
justified.
4. Timeliness of Assistance: To ensure that project
implementation will reflect timely assistance to affected workers,
consistent with the initiation of Rapid Response and other early
intervention activities; and to ensure that the rate of expenditures
is consistent with rate of on-board participants by service type
(e.g., core/intensive, training).
a. All planned participants are enrolled in services in a timely
manner and consistent with availability of funds to complete
services.
b. Rates of expenditure for Core/Intensive and Supportive
Services are consistent with the rates of enrollment in those
services quarter-to-quarter.
[[Page 26661]]
c. Rates of expenditure for Training Services and NRPs (if
applicable) are consistent with the rates of enrollment in those
services quarter-to-quarter.
5. Adequacy of Planned Performance: To verify that planned
performance on NEG projects is appropriate.
a. The planned levels of performance on each applicable
performance measure equal to or greater than the higher of the
negotiated state goal or the Secretary's goal. OR
b. The application includes specific employment barriers-related
information on the project's target group to justify a lower level
of performance.
6. Need for Funds: To ensure that other funds are not available
and/or have not been committed to meet the needs of the workers
covered in the application.
a. No other funding exists which provides the same services to
the same target group.
b. Available information on expenditures of other dislocated
worker funds in the state indicates the need for the requested
funds.
B. Disaster Projects
1. Eligibility: To ensure that NEG funds are only awarded to
eligible dislocation events and where there is a verifiable target
group that is both eligible and in need of assistance.
a. FEMA has issued a public declaration that the event is
eligible for public assistance.
2. Reasonableness of Proposed Services and Costs: To ensure that
NEG projects are designed and operated in accordance with the
Federal requirements and the State and local policies that apply to
formula-funded dislocated worker programs in the proposed project
area, OR, if different, that they are fully justified in terms of
target group and reemployment barriers.
a. If long-term unemployed and dislocated workers are part of
the target group, then the project design includes workforce
development services designed to move them into permanent
employment.
b. If workforce development services are included in the project
design, then:
(1) The planned average cost per participant for the project is
within a reasonable range of the state's actual average cost per
participant reported for the prior Program Year.
(2) The percentage of planned participants receiving needs-
related payments (NRPs) in the project is justified in terms of
formula program experience or target group characteristics and
reemployment barriers.
c. The indirect costs are justified by identification of: (1)
The approved indirect cost rate and base; (2) the cognizant approval
agency; (3) the date of the approval.
d. ``Other'' expenditures that are included in the budget--at
either the State or local level--are identified and justified in the
narrative.
e. Total administrative costs are within the cost limitation, or
are explained and justified.
3. Timeliness of Assistance: To ensure that project
implementation will reflect timely response to the emergency
situation.
a. All planned temporary jobs are filled within the first three
quarters of project operation.
b. Information indicates that participants are completing
temporary jobs prior to substantially undertaking workforce
development activities.
4. Adequacy of Planned Performance: For participants receiving
workforce development services, to verify that planned performance
on NEG projects appropriate.
a. The planned levels of performance on each applicable
performance measure equal to or greater than the higher of the
negotiated state goal or the Secretary's goal, or
b. The application includes specific employment barriers-related
information on the project's target group to justify a lower level
of performance.
5. Need for Funds: To ensure that other funds are not available
and/or have not been committed to meet the needs of the workers
covered in the application.
a. There are no other NEG disaster projects in the state that
are underexpended according to their approved Implementation Plan
and where the funds could be redirected to this project.
C. Dual Enrollment Projects
1. Eligibility: To ensure that NEG funds are only awarded to
eligible dislocation events and where there is a verifiable target
group that is both eligible and in need of assistance.
a. TAA certifications and/or other appropriate documentation to
demonstrate eligibility is provided in the application or can be
accessed from other sources in DOL/ETA.
2. Reasonableness of Proposed Services and Costs: To ensure that
NEG projects are designed and operated in accordance with the
applicable Federal requirements and the State and local policies in
the proposed project area.
a. The average cost per participant for the project is within a
reasonable range of the state's actual average cost per participant
reported for the prior Program Year.
b. The indirect costs are justified by identifying: (1) The
approved indirect cost rate and base; (2) the cognizant approval
agency; (3) the date of the approval.
c. ``Other'' expenditures that are included in the budget--at
either the State or local level--are identified and justified in the
narrative.
d. Total administrative costs are within the cost limitation, OR
are explained and justified.
3. Adequacy of Planned Performance: to verify that planned
performance on NEG projects appropriate.
a. The planned levels of performance on each applicable
performance measure equal to or greater than the higher of the
negotiated state goal or the Secretary's goal, or
b. The application includes specific employment barriers-related
information on the project's target group to justify a lower level
of performance.
4. Need for Funds: To ensure that other funds are not available
and/or have not been committed to meet the needs of the workers
covered in the application.
a. No other funding exists which provides the same services to
the same target group.
b. A state verification of the need for the requested funds is
provided.
c. Available information on expenditures of other dislocated
worker funds, including Trade Act funds, in the state indicates the
need for the requested funds.
D. Health Coverage Assistance Projects
1. Eligibility: To ensure that NEG funds are only awarded to
provide health coverage assistance and supportive services to
eligible trade-impacted workers and other eligible individuals, as
specified in the Trade Adjustment Assistance Reform Act of 2002.
a. TAA certifications and/or other appropriate documentation to
demonstrate eligibility is either provided in the application or can
be accessed from other sources in DOL/ETA.
2. Reasonableness of Proposed Services and Costs: To ensure that
NEG funds are utilized in a manner consistent with the Federal
requirements and the State and local policies that apply to trade
assistance programs in the proposed project area.
a. The indirect costs are justified by identifying: (1) The
approved indirect cost rate and base; (2) the cognizant approval
agency; (3) the date of the approval.
b. ``Other'' expenditures that are included in the budget are
identified and justified in the narrative.
c. Total administrative costs, exclusive of health coverage
payment processing costs, are within the cost limitation, OR are
explained and justified.
d. The basis for administrative costs to process health coverage
payments is justified.
Part VI: Funding Approaches
Applications for NEG funds can be funded in whole or in part.
Full or partial funding can be at the applicant's request or at the
Secretary's discretion. The applicant may request partial funding
when the dislocation event is an emergency (i.e., regular projects
where there was no advance notification of the layoffs, or any
disaster projects) and there is insufficient time to develop an
appropriate estimate of the amount of funding that will be needed to
respond to the event. In cases where the applicant requests partial
funding, the applicant should only request a partial amount of
project funding needed in the initial application. After the project
design uncertainties have been resolved and the initial partial
funding application has been approved, the applicant must complete a
new application for the remaining amount of project funding needed.
Where the applicant is submitting a partial funding request due
to an emergency situation, the application must be submitted within
15 calendar days of the emergency, unless logistical barriers (e.g.,
damaged communication systems resulting from a natural disaster)
prevent submission within this timeframe.
The following minimum submission requirements shall apply to a
partial funding request:
For Regular Projects
--SF 424;
--Project Synopsis Form (ETA 9106) (entries are not required for
Planned Cost per Participant, Planned Entered Employment Rate,
Planned Wage Replacement Rate and Project Operator Listing);
--Employer Data Form (ETA 9105).
[[Page 26662]]
For Disaster Projects
--SF 424;
--Project Synopsis Form (ETA 9106) (entries are not required for
Planned Cost per Participant, Planned Entered Employment Rate,
Planned Wage Replacement Rate and Project Operator Listing).
As noted previously, most NEG grant awards will be funded
incrementally at the Secretary's discretion, with the multiple
disbursements of funds all based on the single application. In these
cases, a maximum funding level will be approved by the Secretary,
but a lesser amount will be initially awarded. The grantee will be
required to submit, at a later date, supplemental information in
order to request the balance of funds. This information will be
specified in the grant award letter, but will include, at a minimum,
current information on actual participant levels, performance
outcomes, and expenditures.
Part VII: Post-Grant Award Requirements
A. Follow-Up Planning Requirements
Recipients of a NEG will be required to develop a more complete
project operational plan as follow-up to the grant award. This plan
should be completed within 90 days of grant award and be available
for review at the office of the grant recipient. The information in
this plan will be used to verify the feasibility of the project
design and planned levels of performance based on actual project
implementation experience. The content of the plan will vary by type
of project but, in general, will need to address factors such as
status of Rapid Response activities (for Regular projects),
participant enrollments, needs of participants for specific
services, implementation schedules, project operator agreements and
budgets, and project management and staffing structure.
B. Project Oversight
In addition to the review of the Project Operational Plan, each
project will be reviewed at the project midpoint. The purpose of
this review will be to verify core compliance factors such as
participant eligibility and adequate financial management, assess
the effectiveness of participant service policies and processes in
achieving project performance goals, and evaluate the need for funds
to complete the project.
C. Project Performance Reporting
Each grant recipient will be required to submit to the Grant
Officer a Quarterly Report Form (ETA 9104) on actual performance to-
date. The report will include the same factors as the Cumulative
Quarterly Planning Form (ETA 9103) in the grant document. A copy of
this form is included in Appendix A.
Part VIII: Grant Modifications
Grant modifications will be required in the following
circumstances:
--To increase or change the approved Project Operators.
--When end-of-project performance is expected to vary by more than
10% from the approved plan regarding: Total participants,
participants to be enrolled in training, or expenditures for
training.
--To increase the number of participants receiving NRPs/health
coverage assistance and/or the amount of expenditures for NRPs/
health coverage assistance.
--To increase the approved amounts of administrative costs.
--To change the performance period for the project.
--When actual end-of-project expenditures will be less than the
amount of awarded funds.
Grant modifications must be submitted to the Grant Officer. They
must be submitted electronically.
Grant modifications will not be accepted within 90 days prior to
the scheduled expiration date of the project.
Where there is a need to increase the amount of approved funding
a new application for NEG funds must be submitted. To expand the
layoff dates, and number of eligible workers, at a dislocation site
already included in the approved grant without increasing the amount
of approved funding, the grantee may submit a modification that
would include additional Employer Data Form(s) for the applicable
layoffs and, if needed, a revised Planning Form. A new application
is required for the addition of new dislocation sites and target
groups of eligible workers.
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[FR Doc. 03-12248 Filed 5-15-03; 8:45 am]
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