Go to H-1B main page
Billing Code 4510-30
DEPARTMENT OF LABOR
Employment and Training Administration
SOLICITATION FOR GRANT APPLICATIONS (SGA)
H-1B TECHNICAL SKILL TRAINING GRANTS
AGENCY: Employment and Training Administration (ETA), Labor.
ACTION: Notice of availability of funds and solicitation for grant applications (SGA).
SUMMARY: THIS NOTICE CONTAINS ALL OF THE NECESSARY INFORMATION AND
FORMS NEEDED TO APPLY FOR GRANT FUNDING. The Employment and Training
Administration (ETA), U.S. Department of Labor (DOL), announces the availability of grant
funds for skill training programs for unemployed and employed workers. Funding for these
grants is coming from the user fee mandated for applicants for new H-1B nonimmigrant visa
workers and established under the American Competitiveness and Workforce Improvement Act
of 1998 (ACWIA). The grants will have the longer term goal of raising the skill levels of
domestic workers so that they can fill high skill jobs which are presently being filled by
temporary workers being admitted to the United States under the provisions of H-1B.
Eligible applicants for these grants will be private industry councils (PICs) established under
Section 102 of the Job Training Partnership Act (JTPA), local Workforce Investment Boards
(WIBs) established under section 117 of the Workforce Investment Act (WIA) that will carry out
such programs or projects through one-stop delivery systems established under section 121 of
WIA, or regional consortia of PICs or local boards. Regional consortia may be interstate.
WIA provides a framework for a national workforce investment and employment system
designed to meet both the needs of the nation's businesses and the needs of job seekers and
workers who want to further their careers. ACWIA will provide resources for skill training in
occupations that are in employer demand; one measure of this demand is employer H-1B
applications for workers. In particular, industries that appear to generate the most H-1B demand
include information technology and health. Appendix A to this Solicitation provides information
on the kinds of occupations certified under the H-1B program by the Department of Labor for
Fiscal Year 1999 (Oct.1, 1998 to May 1999), and the number of job openings certified in each
occupation.
This notice describes the application submission requirements, the process that eligible entities
must use to apply for funds covered by this solicitation, and how grantees will be selected. It is
anticipated that about $40 million will be available for funding the projects covered in this
second-round solicitation, that approximately fifteen projects will be selected for funding, and
that the maximum grant award will not exceed $3.0 million.
This solicitation is one of a series. It is expected that the third-round solicitation will be
announced in early August.
DATES: Applications for grant awards will be accepted commencing immediately. The closing
date for receipt of applications shall be June 5, 2000, at 4:00 p.m. (Eastern Time) at the address
below.
ADDRESSES: Applications shall be mailed to the U.S. Department of Labor, Employment and
Training Administration, Division of Federal Assistance, Attention: Diemle Phan, SGA/DFA
00-104, 200 Constitution Avenue, NW, Room S-4203, Washington, D.C. 20210.
FOR FURTHER INFORMATION CONTACT: Questions should be faxed to Diemle Phan,
Grants Management Specialist, Division of Federal Assistance, Fax (202) 219-8739. This is not a
toll free number. All inquiries should include the SGA number (DFA 00-104) and a contact
name, fax and phone number. This solicitation will also be published on the Internet on the
Employment and Training Administration's Homepage at http://www.doleta.gov. Award
notifications will also be published on this Homepage.
BACKGROUND: This initiative will build on similar ETA initiatives that deal with the issue of
skill shortages including the June 1998 dislocated worker technology demonstration, the new
dislocated worker technology demonstration, the regional skills consortium building awards just
announced, the individual training account demonstration grant awards just made and the skills
strategies, partnership training/system building demonstration competitive procurement which
was announced in the Federal Register on February 28. . These efforts were intended to
strengthen linkages between employers experiencing skill shortages in specific occupations and
the publicly funded workforce development system. In June 1998, $7.5 million in JTPA Title III
dislocated worker funds was awarded to 11 organizations throughout the country to train workers
in skills related to the information technology industry. In June 1999, over $9.57 million was
awarded to 10 grantees to train dislocated workers in the skills necessary to obtain work
requiring advanced skills in occupations in manufacturing industry settings, including computers
and electronics manufacturing, machinery and motor vehicles, chemicals and petroleum,
specialized instruments and devices, and biomedics. On March 2, 2000, 23 awards totaling $15.2
million were announced for the regional skills consortium competition. Finally, this Solicitation
is taking into account the experience gained from the first round of the H-1B competition for
which 9 awards totaling $12.4 million were announced on February 10, 2000.
SUPPLEMENTARY INFORMATION: ETA is soliciting proposals on a competitive basis for
the conduct of demonstration projects to provide technical skills training for workers, including
both employed and unemployed workers.
This announcement consists of three parts:
- Part I Application Process.
- Part II Statement of Work/Reporting Requirements.
- Part III Review Process/Rating Criteria.
LEGISLATIVE MANDATE
The relevant portions of ACWIA dealing with the establishment of a fund for implementing a
program of H-1B skill training grants state:
"Section 286(s) - H-1B NONIMMIGRANT PETITIONER ACCOUNT
(1) IN GENERAL - There is established in the general fund of the Treasury a separate account,
which shall be known as the 'H-1B Nonimmigrant Petitioner Account.' Notwithstanding any
other section of this title, there shall be deposited as offsetting receipts into the account all fees
collected under section 214(c)(9).
(2) USE OF FEES FOR JOB TRAINING - 56.3 percent of amounts deposited into the H-1B
Nonimmigrant Petitioner Account shall remain available to the Secretary of Labor until
expended for demonstration programs and projects described in section 104(c) of the American
Competitiveness and Workforce Improvement Act of 1998."
"Section 104(c) DEMONSTRATION PROGRAMS AND PROJECTS TO PROVIDE
TECHNICAL SKILLS TRAINING FOR WORKERS.-
(1) IN GENERAL - In establishing demonstration programs under section 452(c) of the Job
Training Partnership Act (29 U.S.C. 1732(c)), as in effect on the date of the enactment of this
Act, or demonstration programs of projects under section 171(b) of the Workforce Investment
Act of 1998, the Secretary of Labor shall use funds available under section 286(s) to establish
demonstration programs or projects to provide technical skills training for workers, including
both employed and unemployed workers.
(2) GRANTS - The Secretary of Labor shall award grants to carry out the programs and projects
described in paragraph (1) to -
(A)(i) private industry councils established under section 102 of the Job Training Partnership Act
(29 U.S.C.1512), as in effect on the date of the enactment of this Act; or
(ii) local boards that will carry out such programs or projects through one-stop delivery systems
established under section 121 of the Workforce Investment Act of 1998; or
(B) regional consortia of councils or local boards described in subparagraph (A).
The Immigration and Nationality Act (INA)(section 101(a)(15)( H)(i) (b)) defines the "H-1B
alien as one who is coming temporarily to the United States to perform services in a specialty
occupation or as a fashion model."
The INA (Section 214(i)) sets criteria to define the term "specialty occupation:"
(1) For purposes of section 101(a)(15)(H)(i)(b) and paragraph 2, a "specialty occupation" means
an occupation that requires -
(A) theoretical and practical application of a body of highly specialized knowledge and,
(B) attainment of a bachelor's or higher degree in the specific specialty (or its equivalent) as a
minimum for entry into the occupation in the United States
(2) For purposes of section 101(a)(15)(H)(i)(b)), the requirements of this paragraph with respect
to a specialty occupation are -
(A) full state licensure to practice in the occupation, if such licensure is required.
(B) completion of the degree described in paragraph (1)(B) for the occupation, or
(C)(i) experience in the specialty equivalent to the completion of such degree, and (ii)
recognition of expertise in the specialty through progressively responsible positions relating to
the specialty.
PART I - APPLICATION PROCESS
A. ELIGIBLE APPLICANTS
ACWIA specifies under Section 104(c)(2) that the Secretary shall award grants to private
industry councils (PICs) established under section 102 of the Job Training Partnership Act
(JTPA), or local boards that will carry out such programs or projects through one-stop delivery
systems established under section 121 of the Workforce Investment Act (WIA) of 1998, or
regional consortia of councils or local boards. This Solicitation contemplates that the local
boards will designate a fiscal agent to be the recipient of grant funds.
While the statute is quite specific about the fact that only PICs, local boards (through their
designated fiscal agents) and consortia may apply for and receive these grant awards, it does not
preempt the participation of other concerned entities which are integral to the process of planning
for and conducting skill training in skill shortage areas. The Department of Labor is requiring
that eligible applicants must demonstrate that they have the involvement of a wide
representation of the business community in their region. They are also strongly encouraged
to reach out widely and involve a broad spectrum of other organizations such as labor unions,
community colleges and other postsecondary educational institutions, and community based and
faith based organizations in a partnership or consortium arrangement.
Applicants are encouraged to associate with entities which possess a sound grasp of the job
marketplace in the region and which are in a position to address the issue of skill shortage
occupations. Such organizations would include private, for profit businesses -- including small-
and medium-size businesses; business, trade, or industry associations such as local Chambers of
Commerce and small business federations; and labor unions. Also, those entities should include
businesses and business associations which have experienced first hand the problems of coping
with skill shortages and which employ workers engaged in skill shortage occupations.
This Solicitation will not prescriptively define the roles of individual entities within the
partnership beyond requiring, as ACWIA states, that the PICs, local workforce investment
boards, or consortia be the applicant and the recipient of(or fiscal agent for receiving) grant
funds. It is anticipated, however, that the proposal will provide a detailed discussion of
participating organizations' respective responsibilities. The proposal should describe a
consortium of several employers that will lead the consortium and provide matching funds and
who intend to employ workers participating in the technical skills training.
Based on Department of Labor experiences, regional partnerships that actively engage a wide
range of participation from community groups -- particularly with strong private employer
involvement -- appear to be successful. In general, applicants will be encouraged to include a
broad spectrum of stakeholder groups, including such employers, in their partnership effort.
Also, PICs or local workforce investment boards or consortia thereof representing more than one
region that share common economic goals may band together as one applicant rather than
applying individually.
The application must clearly identify who the applicant is (or in the case of a local board, who
the fiscal agent is). As part of this certification, the applicant must identify who the grant
recipient (and/or fiscal agent) is and describe its capacity to administer this project; it shall also
indicate that the project is consistent with and will be coordinated with the workforce investment
system(s) that are involved in technical skills activities in the region(s) encompassed by the
applicant.
Part III of this announcement enumerates and defines in depth a series of criteria that will be
utilized to rate applicant submissions. Briefly, these criteria are:
- Statement of Need
- Service Delivery Strategy
- Target Population
- Sustainability
- Linkages with Key Partners
- Outcomes
- Cost Effectiveness
B. SUBMISSION OF PROPOSALS
Applicants must submit four (4) copies of their proposal, with original signatures. The proposal
must consist of two (2) separate and distinct parts, Parts I and II.
Part I of the proposal shall contain the Standard Form (SF) 424, "Application for Federal
Assistance" (Appendix B) and the Budget Information Form (Appendix C). The individual
signing the (SF) 424 on behalf of the applicant shall represent the responsible financial and
administrative entity for a grant should that application result in an award. The individual who
signs the application should be the same individual who signs the certification discussed in the
previous section. According to the Lobbying Disclosure Act of 1995, Section 18, an organization
described in Section 501 (c) 4 of the Internal Revenue Code of 1986 which engages in lobbying
activities shall not be eligible for the receipt of federal funds constituting an award, grant, or
loan.
In preparing the Budget Information Form, the applicant must provide a concise narrative
explanation to support the request. The statutory language of ACWIA is specific in stating that
grant resources are to be expended for programs or projects to provide technical skills training.
Therefore, ACWIA grant resources to be utilized for the costs of administration will be limited
to no more than 10 percent of the request and should clearly support the goals of the project.
Administrative costs include such items as project staff, travel, and fungible supplies. In general,
however, this does not contemplate or permit the purchase of capital equipment. The budget
narrative should discuss precisely how the administrative costs support those goals..
Part II must contain a technical proposal that demonstrates the Offeror's capabilities in
accordance with the Statement of Work contained in this announcement. A grant application is
limited to twenty (20) double-spaced, single-side, 8.5 inch x 11 inch pages with 1-inch margins.
The Offeror may provide statistical information and related material in attachments. Attachments
may not exceed fifteen (15) pages. Letters of commitment from partners or from those providing
matching resources may be submitted as attachments; however, letters of support are not
required. Such letters will not count against the allowable maximum page total. The Applicant
must briefly enumerate those entities in the text of the proposal. Text type shall be 11 point or
larger. Applications that do not meet these requirements will not be considered. Each application
must include a Time Line outlining project activities and an Executive Summary not to exceed
two pages. The Time Line and the Executive Summary do not count against the 20 page limit.
No cost data or reference to price is included in the technical proposal.
C. HAND DELIVERED PROPOSALS
If proposals are hand delivered, they must be received at the address identified above by June 5,
2000, at 4:00 p.m., Eastern Time. All overnight mail will be considered to be hand delivered and
must be received at the designated place by 2:00 on the specified closing date. Telegraphed
and/or faxed proposals will not be honored. Failure to adhere to the above instructions will be a
basis for a determination of nonresponsiveness.
D. LATE PROPOSALS
A proposal received at the designated office after the exact time specified for receipt will not be
considered unless it is received before award is made and it:
- Was sent by registered or certified mail not later than the fifth calendar day before the date
specified for receipt of applications (e.g., a proposal submitted in response to a solicitation
requiring receipt of applications by the 20th of the month must be mailed by the 15th);
- Was sent by U.S. Postal Service Express Mail Next Day Service, Post Office to addressee, not
later than 5 p.m. at the place of mailing two working days prior to the date specified for
proposals. The term "working days" excludes weekends and U.S. Federal holidays.
The only acceptable evidence that an application was sent in accordance with these requirements
is a printed, stamped, or otherwise placed impression (exclusive of a postage meter machine
impression) that is readily identifiable without further action as having been supplied or affixed
on the date of mailing by employees of the U.S. Postal Service.
E. PERIOD OF PERFORMANCE
The initial period of performance will be up to 24 months from the date of execution of the grant
documents. Department of Labor may elect to exercise its option to extend these grants for an
additional period not to exceed 36 months, based on the availability of funding and successful
program operation.
F. DEFINITIONS
For purposes of this solicitation:
- Technical skills training includes occupational skills training -- that may combine academic and
work-place learning and related instruction, customized training with a commitment of an
employer or group of employers to employ an individual upon successful completion of training,
and that may be tailored to meet the needs of the individual participant. Section 134 (d)(4)(D) of
WIA provides a definition of training services that shall be viewed as generally applicable to the
term "technical skills training" in this Solicitation. This definition of technical skills training
specifically allows the use of grant funds to provide necessary books.
- Region means an area which exhibits a commonality of economic interest. Thus, a region may
comprise a few labor market areas, one large labor market, one labor market area joined together
with a couple of adjacent rural districts, a few special purpose districts, or a few contiguous PICs
or local boards. Clearly, if the region involves multiple economic or political jurisdictions, it is
essential that they be contiguous to one another. A region may be either intrastate or interstate.
Although the rating criteria will provide more detail, it is the applicant's responsibility to
demonstrate the regional nature of the area which that application covers. Also, a region may be
coterminous with a single PIC or local board.
G. SUSTAINABILITY
No applicant may receive a grant unless that applicant agrees to provide resources equivalent to
at least 25 percent of the grant award amount as a match. That match may be provided in cash or
in kind, however, Federal resources may not be counted against the matching requirement. In
view of the fact that the singular focus of grant resources is to provide skill training, ETA
particularly encourages the provision of essential capital equipment, such as computer
equipment, as part of the match. The match will not be tied to the drawdown of funds, however,
the amount and nature of it must be clearly described in the application.
The 25 percent matching requirement should be viewed as a minimum designed to assist grantees
in developing sustainability. The Department is particularly interested that applicants
demonstrate clear evidence through matched and/or leveraged resources (those Federal resources
which may not be counted against match but which are integral to strengthening the quality of
technical skills training provided and which contribute materially to sustainability) that the
project will have the capacity to continue its training activities after the expiration date of the
grant.
PART II - STATEMENT OF WORK/REPORTING REQUIREMENTS
A. PRINCIPLES
Five basic key principles underlie this effort:
- Partnership Sustainability: The grant awards will be of relatively short duration -- up to 24
months. Although the primary focus of these awards is technical skill training, ETA intends that
regional partnerships sustain themselves over the long term -- well after the federal resources
from this initiative have been exhausted. The 25 percent non-Federal matching requirement is an
integral part of ensuring sustainability; matching resources will help sustain the skill shortages
training effort beyond the term of the grant. This concept relates to Links with Key Partners and
Sustainability (What resources does each partner bring to the table and how does this
contribution assist in building the foundation for a permanent partnership?)
- Business Involvement: Business is an essential partner. It articulates skill requirements, hires
skilled workers, and provides support for lifelong learning. Under WIA, business plays a critical
role in planning and overseeing training and employment activities. WIA requires that the
majority of the membership of State and local boards be business representatives, and that the
State and local board chairs be drawn from business. For the purpose of these grants, it is
imperative that businesses represented include businesses with current skill shortages who intend
to hire graduates of the technical skills training. This concept relates to three Rating Criteria:
Statement of Need (Assists in determining what skill shortage occupations are in demand in the
region), Linkages with Key Partners and Sustainability (What private sector involvement is there
in the partnership; what resources does each of the partners bring to the table; how do
contributions assist in building the foundation for a permanent partnership?), and Outcomes
(Businesses involved in the partnerships will provide a key resource in hiring/upgrading workers
who have been trained).
- Current Skills Gap: Current skill shortages are the immediate focus of this initiative. Training
investments should be targeted in occupational areas that have been identified on the basis of
H-1B occupations as skill shortage areas. This concept relates to Statement of Need (The most
important issue to be addressed under this section is identifying the particular skill shortages that
manifest themselves in the region.) and Service Delivery Strategy (How will skill training meet
the skill needs of the region.)
- Innovative and Effective Tools: The grantees will use innovative or proven tools and
approaches to close particular skills gaps and provide strategies for training that promote regional
development. This concept relates to Service Delivery Strategy (There can be innovation in the
way training services are provided.) and Cost Effectiveness (Innovative tools and approaches
may more effectively deliver training services to individual participants thereby resulting in
better employment outcomes and higher levels of skill achieved by those participants for the
same cost.)
- Target Population: The primary emphasis of the ACWIA technical skills training will be to
focus on employed and unemployed workers who can be trained and placed directly in the
highly skilled H-1B occupations. As part of identifying people with the appropriate backgrounds
that would benefit from such training, there should be a special outreach effort to target women,
minorities, persons with disabilities, and other underrepresented groups. This relates to the
rating criterion, Target Population (Discussion of who the targeted workers are.)
B. SKILLS SHORTAGES
Section 104(c) of ACWIA mandates that the grants awarded under this authority be used for
technical skill training to employed and unemployed workers. The basis of the funding for the
grants, however, is a user fee paid by an employer seeking nonimmigrant alien workers (H-1B)
that possess qualifications in occupations with skill shortages at high skill levels in American
industry. Thus, training conducted under these auspices should be in occupations that have been
demonstrated to be in short supply.
What is a skills shortage? In the simplest terms possible, such shortages occur in a market
economy when the demand for skilled workers for a particular occupation is greater than the
supply of workers who are qualified, available, and willing to do that job. Although, some of the
explanations for why this demand or supply disequilibrium exists are fairly complex, the basic
concept is straightforward. In many instances, labor markets adjust quickly and the skill shortage
is resolved.
Problematic skills shortages occur when there is imbalance between worker supply and demand
for an unusual period of time. The H-1B visa program is a response to those shortages, and this
skill training grant program helps alleviate such shortages. It should be noted that the concept of
skill shortages also may include an imbalance between the demand and supply of workers at
some definable skill level.
C. SKILLS STANDARDS
As noted earlier, the definition of the minimum proficiency level required to be considered an
H-1B occupation, contained in section 214 (i) of INA, speaks to a very high skill level for these
"specialty occupations" (8 U.S.C. 1184 (i)). To reiterate, these are occupations that require
"theoretical and practical application of a body of highly specialized knowledge," and full state
licensure to practice in the occupation (if it is required). These occupations also must require
either completion of at least a bachelor's degree or experience in the specialty equivalent to the
completion of such degree and recognition of expertise in the specialty through progressively
responsible positions relating to the specialty.
Skill standards represent a benchmark by which an individual's achieved competence can be
measured. Much work has been done in this area -- some by private industry and trade
associations, some by registered apprenticeship training systems, some by public and private
partnerships, including local School-to-Work partnerships, and the Job Corps. Succinctly stated,
well-defined skill standards can be a useful tool in matching training goals to targeted
occupational areas. Applicants are encouraged to survey the progress to date in developing
occupational skill standards in their communities. Do companies that will be seeking skilled
workers for H-1B occupations have a clearly defined set of expectations for the requisite
capabilities of those workers?
D. REGIONAL PLANNING
Applicants must describe the local area or region that will be served with particular emphasis on its skill shortages. That discussion should include an articulation of the dimensions, nature and
specifics of those skill shortages. The proposal must also identify the political jurisdictions to be
included as well as provide an enumeration of the specific local areas under JTPA or WIA.
Although comprehensive occupational vacancy data do not exist, current H-1B applicant data
should be utilized to the extent feasible to describe occupational shortages. Attachment A to this
Solicitation is a listing by occupation of the most current H-1B applicant data. Applicants may
take into consideration that occupations listed in high demand among those for which H-1B visas
were sought nationally also might be in short supply in their region. However, applicants should
avail themselves of all available local data including data provided by area businesses and
business associations in making determinations as to shortages. They are encouraged to research
widely and be inclusive in utilization of labor market information. In addition to the sources
already described, applicants are encouraged to analyze data made available by the Bureau of
Labor Statistics and through the local One-Stop delivery system.
E. SERVICE DELIVERY AND SUPPORTIVE SERVICES
Applicants should carefully describe skill training that will be provided under the grant in
context of the goals that are to be achieved by participants. These goals should be expressed in
terms of targeted occupations. The Statement of Work should provide a detailed discussion of the
kinds of training to be provided and the mechanisms to be used to provide it. Applicants also
should build linkages to the One-Stop system established under WIA to reach out, inform, and
recruit individuals to participate in the H-1B financed training. It is expected that the applicant's
work statement will include a discussion of the types of skills being trained for, the necessary
skill levels that are targeted, how they will be measured, and how skill shortages in the local area
or region will be met through this training
The central role of the local boards or PICs in the planning and policy activity surrounding these
grants is critical. WIA requires the local board to prepare a strategic workforce investment plan
for the area that it embraces. The local board also designates One-Stop service center operators
and selects eligible training providers. In short, local boards are already engaged in much of the
necessary work that could provide a solid foundation for the training activities to be undertaken
in ACWIA. The PIC under JTPA is very much in a similar role except that the PIC may provide
direct services; under WIA however, the presumption is that local boards only provide services
under certain circumstances and for a limited time period.
ACWIA requires that grant resources be used solely for technical skills training. However, ETA
anticipates that applicants may need to make available a range of supportive services to enhance
the quality and effectiveness of the skill training provided under the grant. Grant funds may not
be used to provide supportive services. Appropriately focused services, however -- such as
transportation or child care and others defined by section 4(24) of JTPA and section 101(46) of
WIA -- could be viewed as an important factor enhancing the technical skills training package.
To the extent that these services are provided utilizing non-Federal resources, applicants may
present them as part of the proposed matching requirement. Federal resources such as
coenrollment in WIA or JTPA while participating in ACWIA training for supportive services
clearly cannot be counted toward the matching requirement; however, such coordinated
coenrollment and services are clearly desirable features of these projects. Successful applicants
are encouraged to leverage such Federal resources as part of making the technical skills training
more effective.
F. REPORTING REQUIREMENTS
The Grantee is required to provide the reports and documents listed below:
- Quarterly Financial Reports. The grantee must submit to the Grant Officer's Technical
Representative (GOTR) within the 30 days following each quarter, two copies of a quarterly
Financial Status Report (SF269) until such time as all funds have been expended or the period of
availability has expired.
- Progress Reports. The grantee must submit brief narrative quarterly reports to the GOTR within
the 30 days following each quarter. Two copies are to be submitted; the report provides a
detailed account of activities undertaken during that quarter including:
- A discussion of occupational areas for which skill training is being provided,
- Job placements in skill shortage occupations, and
- An indication of any current problems which may affect performance and proposed corrective
action.
- Final Report. A draft final report which summarizes project activities and employment
outcomes and related results of the demonstration shall be submitted no later than the expiration
date of the grant. The final report shall be submitted in 3 copies no later than 60 days after the
grant expiration date.
G. EVALUATION
ETA will arrange for or conduct an independent evaluation of the outcomes, impacts, and
benefits of the demonstration projects. Grantees must agree to make available records on
participants and employers and to provide access to personnel, as specified by the evaluator(s)
under the direction of ETA.
PART III - REVIEW PROCESS & RATING CRITERIA
A careful evaluation of applications will be made by a technical review panel who will evaluate
the applications against the criteria listed below. The panel results are advisory in nature and not
binding on the Grant Officer. The Government may elect to award the grant with or without
discussions with the offeror. In situations without discussions, an award will be based on the
offeror's signature on the (SF) 424, which constitutes a binding offer. Awards will be those in the
best interest of the Government.
A. Statement of Need (15 points)
The underlying statute authorizing this competitive grant program -- ACWIA - is a response to
skill shortages around the country in specific occupations. ETA has provided the most recent
H-1B application data as an attachment to this solicitation. The most important issue to be
addressed under this section is identifying, to the extent possible, the particular skill shortages
that manifest themselves in the region that is encompassed by the application. Applicants are
encouraged to utilize all available data resources - H-1B applications, newspaper want ads,
expressed employer consortium hiring desires, and One Stop system's labor market information -
in responding to this criterion.
To provide a focused backdrop for the discussion of skill shortages, applicants should describe
clearly the region for which services are to be provided. What are the characteristics that make
this area a cohesive region? What are the particular characteristics of the local political,
economic and administrative jurisdictions - PICs, local workforce investment boards, labor
market areas, special district authorities - that caused them to associate for the purpose of this
application?
There are several useful items of information that could be provided to enhance the description of
the region. A general discussion of the region should include socioeconomic data - with a
particular focus on the general education and skill level prevalent in the area. Also, it is useful to
include such items as transportation patterns, demographic information (such as age and general
income of residents). Judicious use of statistical information is encouraged. Other pertinent
questions that will provide greater depth of description include: What is the general business
environment? What industries and occupations are growing, and which ones are cutting back
contracting? What are the characteristics of the major employers in the region? What is the
particular situation of the consortium member companies?
B. Service Delivery Strategy (30 points)
Applicants must lay out a comprehensive strategy for providing the technical skills training that
is mandated as the core activity of these grant awards. Concomitantly, there needs to be a
discussion of how this skill training will meet the skill needs of the region. Several specific
issues must be focused on as part of this section. Those issues include:
What is the range of potential training providers, what kinds of skill training will be offered, how
will that meet the regional skill needs, and how will training be provided? How will the types of
training planned for project participants be determined? Also, although there is a separate section
on outcomes, it is strongly recommended that some brief mention in context of the service
delivery strategy, be made of them here. Such outcomes would include job placements in skill
shortage occupations, increased salary, and measurable skill gains or certificates obtained that
demonstrate how the training will alleviate skill shortages.
Supportive services, per se, are not an allowable activity with grant funds. However, making
such services available on an as needed basis (utilizing other available resources) is encouraged.
Innovation in the context of service delivery can represent a wide variety of items. There can be
innovation in the way training services are provided - e.g., distance learning to provide
instruction, interactive video self-instructional materials, and flexible class scheduling (sections
of the same class scheduled at different times of the day to accommodate workers whose
schedules fluctuate). Creativity in developing the service strategy is also encouraged.
C. Target Population (10 points)
The eligibility criterion for skill training enumerated in ACWIA is extremely broad -- employed
and unemployed workers. This section should include an extensive focused discussion of who
the targeted workers are, including their characteristics, and why they are being targeted. A
discussion of what assessment procedures are to be used is integral.
In the case of employed workers, there should be some articulation of what is to be
accomplished. The applicant should address some specific issues relating to the target employed
worker population such as:
- How many employed workers will be targeted for services and why?
- What are the technical skills training needs of those workers to fulfill skill shortage
occupations?
In the case of unemployed workers, there needs to be an extensive discussion of criteria to be
used to assess and enroll individuals. It is true that the target occupations and specific jobs to be
trained for within the H-1B rubric are statutorily geared to a very high skill standard.
It is extremely important that the selection process for workers be carefully described to make it
clear how those individuals will possess the capacity after the completion of training to take jobs
that previously were filled by resorting to the H-1B visa process. In particular, the applicant
should describe with precision the methods that will be used to reach out and include minorities,
women, and individuals with disabilities who can meet these standards.
D. Sustainability (5 points)
There is a 25 percent matching requirement. To what extent does any of these partners provide
matching funds or services and how does this contribution assist in building the foundation for a
permanent partnership, i.e., sustainability?
As noted earlier, Federal resources cannot be counted against the matching requirement; however,
it is important that such resources be provided as part of the project because they certainly support
and strengthen the quality of the technical skills training provided in the project and contribute
materially toward sustainability. ACWIA resources are limited to training individuals to fill high
skill H-1B jobs, however, applicants will be given preference for enumerating other resources -Federal and non Federal - because they can contribute materially toward sustainability. For
example, local boards could commit through One-Stop centers such valuable participant services
as participant assessment and case management. Applicants are encouraged to enumerate these
resources under this section to support their discussion of sustainability.. This section should also
enumerate any specific existing contractual commitments.
Briefly stated, the sustainability issue can be addressed by providing concrete evidence that
activities supported by the demonstration grant will be continued after the expiration date of the
grant using other public or private resources.
E. Linkages with Key Partners (15 points)
The applicant should enumerate who the partners are in this endeavor and how they will link
together -- i.e., what role each will play. In particular, this section should articulate ties to the
private sector, including ties with small- and medium-sized businesses and small business
federations.
The Service Delivery Strategy section of the Statement of Work described the role each of the
actors would play in providing services. This section looks at the linkages from a somewhat
different more structural perspective with particular emphasis on the employers in the consortium
that are experiencing skill shortages. What resources does each partner bring to the table? The
application will specify a management entity (together with a staffing pattern and resumes of
major staff members) and will articulate with some precision the roles of various actors. Each
application MUST designate an individual who will serve as project director and who will devote
a substantial portion of his/her time to it. (For purposes of this requirement, a substantial portion
of time is defined as at least 40 percent.) A short portion of this discussion should dwell upon the
organizational capacity and track record of the primary actors in the partnership.
F. Outcomes (15 points)
Applicants must describe the predicted outcomes resulting from this training. It is posited that the
projected results will be somewhat varied given the broad range of people that will probably be
served. For example, employed workers may be trained to achieve a higher skill level than most
unemployed workers. Their success could manifest itself through job placements in H-1B skill
shortage occupations, increased wages, or skill attainment in H-1B occupations.
There are, however, unemployed workers who may well already possess a very high skill level.
They could receive refresher technical skills training to update their skills. The outcomes for this
group may also be projected in terms of gaining employment and skills attainment; those
outcomes would simply be at a somewhat higher level than for those unemployed workers who do
not possess similar skills at the outset.
Ideally, the applicant's outcomes section will describe some version of a relatively cohesive
mosaic that weaves together the outcomes for both employed and unemployed workers in the
context described in the preceding three paragraphs. Additionally, the outcomes section should
focus very specifically on the changes that occur because of the training. Thus, an applicant might
state that a certain skill level is projected for a given group; but the applicant should couch that
outcome in context of what the initial pre-training skill level had been for the group.
G. Cost Effectiveness (10 points)
Applicants will provide a detailed cost proposal including a discussion of the expected cost
effectiveness of their proposal in terms of the expected cost per participant compared to the
expected benefits for these participants. Applicants should address the employment outcomes and
the levels of skills to be achieved (such as attaining State licensing in an occupation) relative to
the amount of training that the individual had to receive to achieve those outcomes. Benefits can
be described both qualitatively in terms of skills attained and quantitatively in terms of wage
gains. Cost effectiveness may be demonstrated in part by cost per participant and cost per activity
in relation to services provided and outcomes to be attained.
This section MUST contain a detailed discussion of the size, nature, and quality of the
non-Federal match. Proposals not presenting a detailed discussion of the non-Federal match or not
meeting the 25 percent match requirement will be considered nonresponsive.
Applicants are advised that discussions and/or site visits may be necessary in order to clarify any
inconsistencies in their applications. The reviewers' evaluations are only advisory to the Grant
Officer. The final decisions for grant award will be made by the Grant Officer after considering
the panelists' scoring decisions. The Grant Officer's decisions will be based on what he or she
determines is most advantageous to the Federal Government in terms of technical quality and
other factors.
Signed in Washington, D.C. , this 24th day of March 2000.
Laura Cesario, Grant Officer
Appendix A: Selected H-1B Professional, Technical and Managerial Occupations, and Fashion
Models: Number of Job Openings Certified by the U.S. Department of Labor, Fiscal Year 1999
(Oct. 1, 1998 - May 31, 1999)
Appendix B: Budget Information Form
Appendix C: (SF) 424-Application Form
Appendix A
Selected H-1B Professional, Technical and Managerial Occupations, and Fashion Models:
Number of Job Openings Certified by the U.S. Department of Labor, Fiscal Year 1999 (Oct.
1, 1998 - May 31, 1999)
Occupational Code |
Occupational Title |
Number of Openings
Certified |
030 |
Occupations In Systems
Analysis And Programming |
360,745 |
076 |
Therapists |
181,665 |
160 |
Accountants, Auditors, And
Related Occupations |
35,665 |
039 |
Other Computer-Related
Occupations |
28,529 |
003 |
Electrical/Electronic
Engineering Occupations |
16,859 |
070 |
Physicians And Surgeons |
11,264 |
019 |
Other Occupations In
Architecture, Engineering And |
11,175 |
090 |
Occupations In College And
University Education |
9,028 |
199 |
Miscellaneous Professional,
Technical, And Manager |
8,964 |
189 |
Miscellaneous Managers And
Officials |
8,824 |
007 |
Mechanical Engineering
Occupations |
7,115 |
050 |
Occupations In Economics |
5,608 |
163 |
Sales And Distribution
Management Occupations |
5,368 |
033 |
Occupations In Computer
Systems Technical Support |
4,573 |
161 |
Budget And Management
Systems Analysis Occupations |
4,263 |
169 |
Other Occupations In
Administrative Occupations |
4,135 |
031 |
Occupations In Data
Communications And
Networks |
4,121 |
041 |
Occupations In Biological
Sciences |
3,981 |
079 |
Other Occupations In Medicine
And Health |
3,764 |
012 |
Industrial Engineering
Occupations |
2,725 |
186 |
Finance, Insurance An Real
Estate Managers And Off |
2,624 |
020 |
Occupations In Mathematics |
2,599 |
001 |
Architectural Occupations |
2,490 |
141 |
Commercial Artists: Designers
& Illustrators, Graphics |
2,371 |
297 |
Fashion Models |
2,367 |
092 |
Occupations In Preschool,
Primary, Kindergarten Ed. |
2,359 |
187 |
Service Industry Managers And
Officials |
2,347 |
022 |
Occupations In Chemistry |
2,345 |
005 |
Engineering Occupations |
2,186 |
032 |
Occupations In Computer
System User Support |
1,595 |
091 |
Occupations In Secondary
School Education |
1,579 |
110 |
Lawyers |
1,353 |
029 |
Other Occupations In
Mathematics And Physical
Sciences |
1,306 |
131 |
Interpreters and Translators |
1,270 |
166 |
Personnel Administration
Occupations |
1,229 |
165 |
Public Relations Management
Occupations |
1,216 |
185 |
Wholesale And Retail Trade
Managers And Officials |
1,183 |
008 |
Inspectors And Investigators,
Managerial & Public |
974 |
142 |
Environmental, Product And
Related Designers |
955 |
119 |
Other Occupations In Law And
Jurisprudence |
882 |
099 |
Other Occupations In
Education |
841 |
023 |
Occupations In Physics |
836 |
010 |
Mining And Petroleum
Engineering Occupations |
777 |
164 |
Advertising Management
Occupations |
773 |
132 |
Editors: Publication, Broadcast,
And Script |
748 |
078 |
Occupations In Medical And
Dental Technology |
699 |
183 |
Manufacturing Industry
Managers And Officials |
681 |
184 |
Transportation,
Communication, And Utilities
Management |
659 |
049 |
Other Occupations In Life
Sciences |
612 |
162 |
Purchasing Management
Occupations |
604 |
040 |
Occupations In Agricultural
Sciences |
574 |
074 |
Pharmacists |
508 |
159 |
Other Occupations In
Entertainment And Recreation |
506 |
Technical Note: The Immigration and Nationality Act (Act) assigns responsibility to the
Department of Labor with respect to the temporary entry of foreign professionals to work in
specialty occupations in the U.S. under H-1B nonimmigrant status. Before the Immigration and
Naturalization Service will approve a petition for an H-1B nonimmigrant worker, the employer
must have filed and had certified by the Department a Labor Condition Application. The
employer must indicate on the application the number of H-1B nonimmigrant workers sought, the
rate of pay offered to the nonimmigrants, and the location where the nonimmigrants will work,
among other things.
The Act limits the number of foreign workers who may be assigned H-1B status in each fiscal
year, however, there is no limit on the number of job openings that may be certified by the
Department. Historically, the actual number of job openings certified by the Department each year
far exceeds the number of available visas. This excess in the number of certified openings is due
to a number of factors: extension of status filings that are not subject to the annual cap; openings
certified for anticipated employment that does not transpire; or movement from one employer to
another (again, not subject to cap).
The occupational codes in the left-hand column represent the three-digit occupational groups
codes for professional, technical and managerial occupations from the Dictionary of Occupational
Titles (DOT).