[Federal Register: April 15, 1998 (Volume 63, Number 72)]
[Notices]
[Page 18445-18458]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr15ap98-135]
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DEPARTMENT OF LABOR
Employment and Training Administration
Welfare-to-Work Competitive Grants
AGENCY: Employment and Training Administration (ETA), DOL.
ACTION: Notice of availability of funds; solicitation for grant
applications.
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SUMMARY: The U.S. Department of Labor (DOL), Employment and Training
Administration (ETA) announces the second round of competitive grants
under a two year Welfare-to-Work (WtW) grant program enacted under the
Balanced Budget Act of 1997. The WtW program assists States and local
communities to provide the transitional employment assistance needed to
move hard-to-employ recipients of Temporary Assistance to Needy
Families (TANF) into lasting unsubsidized jobs. WtW grants are targeted
to assisting those TANF recipients, and certain noncustodial parents,
who have experienced, or have characteristics associated with, long-
term welfare dependence. This announcement describes the conditions
under which applications will be received under the Welfare-to-Work
(WtW) Competitive Grants Program and how DOL/ETA will determine which
applications it will fund. This announcement includes all of the
information and forms needed to apply for WtW competitive grants.
DATES: The closing date for receipt of applications under this
announcement is July 14, 1998. For the funding cycle covered by this
announcement, complete applications must be received at the address
below no later than 2 p.m. EST (Eastern Standard Time). Except as
provided below, grant applications received after this date and time
will not be considered. Applications which are not accepted for this
announcement must be resubmitted to be considered for future
announcements.
ADDRESSES: U.S. Department of Labor, Employment and Training
Administration, Division of Acquisition Assistance, Attention: Ms.
Mamie D. Williams, SGA/DAA 98-009, 200 Constitution Avenue, NW, Room
S4203, Washington, D.C. 20210.
FOR FURTHER INFORMATION CONTACT: Questions should be faxed to Ms. Mamie
D. Williams, Grant Management Specialist, Division of Acquisition
Assistance, Fax: (202) 219-8739. This is not a toll-free number.
Questions may also be sent via electronic mail to ``disgu-
sga@doleta.gov.'' All inquiries sent via fax or e-mail should include
the SGA number (DAA 98-009) and a contact name and phone number. This
announcement is also being published on the Internet on the Employment
and Training Administration's Welfare-to-Work Home Page at http://
wtw.doleta.gov. Commonly asked questions and answers with regard to the
WtW competitive grants and the WtW program in general, and copies of
the Interim Final Rule governing the Welfare-to-Work program, including
activities conducted under the competitive grants, are also available
on the WtW Home Page. In addition, award notifications will be
published on the WtW Home Page.
SUPPLEMENTARY INFORMATION:
I. Authority
Section 403(a)(5)(B) of Title IV of the Social Security Act.
Regulations governing the WtW program are at 20 CFR Part 645, published
at 62 FR 61588. This Interim Final Rule was published in the Federal
Register on November 18, 1997.
II. Submission of Applications
Four copies of the application must be submitted, one of which must
contain an original signature. Proposals must be submitted by the
applicant only.
All applications must be single-spaced, and on single-sided,
numbered pages. A font size of at least 12 pitch is required. Section I
of the application must include the following three required elements:
(1) The Project Financial Plan, including the SF-424, (2) ETA Form
9070, Project Synopsis Form, and (3) Evidence of State and local
consultation. Section I will not count against the application page
limits.
Section II of the application, the project narrative, shall not
exceed twenty (20) pages for the Government Requirements/Statement of
Work section, as described below in the ``Required Content for WtW
Competitive Grant Applications--Fiscal Year 1998,'' plus an additional
ten (10) pages for Attachments, to include no information that is
critical to the review of the
[[Page 18446]]
proposal. Letters of support for a proposal should NOT be submitted and
will count against the page limits.
Acceptable Methods of Submission
Applications may be hand-delivered or mailed. Hand-delivered
applications must be received at the address identified above by the
date and time specified. Overnight mail deliveries will be treated as
hand-deliveries. Mailed applications that arrive after the closing date
will be accepted if they are post-marked at least five (5) days prior
to the closing date. Applications submitted via overnight mail that
arrive after the closing date will be accepted if they are post-marked
at least two (2) days prior to the closing date. Otherwise, late
applications will not be accepted. Telegraphed and/or faxed
applications will not be accepted.
Applications may be withdrawn by written notice or telegram
(including mailgram), or in person if the representative's identity is
made known, and the representative signs a receipt for the application.
OMB Approval of Paperwork Burden
According to the Paperwork Reduction Act of 1995, no persons are
required to respond to a collection of information unless such
collection displays a valid OMB control number. The valid OMB control
number for this information collection is 1205-0387. The time required
to complete this information collection is estimated to average twenty
(20) hours per response, including the time to review the instructions,
search existing data resources, gather data needed, and complete and
review the information. Comments concerning this burden estimate or any
other aspect of this collection of information, including suggestions
for reducing this burden, to the U.S. Department of Labor, Office of
Job Training Programs, Room N4459, Washington, DC 20210 (Paperwork
Reduction Project 1205-0387). Comments may be reflected in the
development of future solicitations.
Catalog of Federal Domestic Assistance Number
The Welfare-to-Work program is listed in the Catalog of Federal
Domestic Assistance at No. 17.253, ``Employment and Training
Assistance--Welfare-to-Work Grants to States & Local Entities for Hard-
to-Employ Welfare Recipient Programs.''
III. Program Scope and Funding
Competitive grant projects will be expected to achieve the purpose
of all WtW grants:
To provide transitional assistance which moves welfare
recipients into unsubsidized employment providing good career
potential for achieving economic self-sufficiency.
This transitional assistance is to be provided through a ``work first''
service strategy in which recipients are engaged in employment-based
activities. Grant funds may be used to provide needed basic and/or
vocational skills training as a post-employment service in conjunction
with either subsidized or unsubsidized employment. This flexibility,
established in the Regulations, reflects the basic ``work first''
philosophy of the WtW legislation, and recognizes the critical
importance of continuous skills acquisition and lifelong learning to
economic self-sufficiency.
All competitive grant projects will be expected to be an integral
part of a comprehensive strategy for moving eligible individuals into
unsubsidized employment in a local, community-based context. Projects
should develop and implement innovative approaches that enhance a
community's ability to move eligible individuals into self-sustaining
employment, create upward mobility paths and higher earnings potential
for WtW participants, and achieve sustainable improvements in the
community's service infrastructure for assisting welfare recipients.
All applications will be reviewed under the criteria set forth in Part
VII of this announcement, including the effectiveness of the proposal
in moving TANF recipients who are least job ready into unsubsidized
employment, in moving such recipients into unsubsidized employment in
labor markets that have a shortage of low-skill jobs, and in expanding
the base of knowledge about programs aimed at moving TANF recipients
into long-term unsubsidized employment.
Areas of Special Interest
In addition to proposing innovative strategies for moving welfare
recipients into lasting unsubsidized employment, applicants are
encouraged to consider the following in designing responsive service
strategies for the eligible population in their local area:
<bullet> Targeted assistance to specific subgroups of the eligible
populations such as noncustodial parents, individuals with learning
disabilities, individuals who require substance abuse treatment for
employment, and public housing residents;
<bullet> Development of responsive transportation and child care
service systems;
<bullet> Use of integrated work and learning strategies to develop
skills;
<bullet> Creation of job opportunities (including self-employment)
that allow for flexibility to address work and family needs while
providing income levels that are adequate for self-sufficiency;
<bullet> Proactive strategies to involve employers in design of
service strategies and implementation of the project;
<bullet> Strategies that focus on family-based assistance and that
are integrated with children systems (e.g., Child Care, Head Start)
that can assist the full family unit;
<bullet> Activities to help women access nontraditional
occupations; and
<bullet> Strategies that reflect effective integration with both
the workforce development (e.g., One-Stop) and welfare systems.
In identifying those Areas of Special Interest addressed by the
proposal on the Project Synopsis form (Required format can be found in
Appendix C), please indicate the page number on which relevant text
relating to this interest area can be found in the proposal narrative.
The Department is also interested in receiving applications to
implement projects that are coordinated with community saturation
strategies (in which comprehensive services are available to assist all
of the eligible residents in a defined community). The Department
expects that these applications would be submitted from communities in
which there are concentrations of eligible hard-to-employ individuals,
there is a reasonable opportunity to provide employment for all such
individuals, and there are established partnerships which can
contribute a significant level of resources to implement the strategy.
A definition of community saturation strategy is provided in Appendix
B.
Funding Availability
A total of $368.25 million is available for competitive grant
awards in Fiscal Year (FY) 1998 and $343.25 million in FY 99.
Approximately $184 million (or 50 percent of FY 98 competitive grant
funding) is available for Federal grant assistance through this
announcement. Of the funds available in FY 98, the Department aims to
distribute approximately 70 percent for projects to serve cities with
large concentrations of poverty and 30 percent for projects to serve
rural areas. Definitions for ``cities with large concentrations of
poverty'' and ``rural area'' can be found in Appendix B of this
announcement. Applications to serve rural areas should be targeted to
serve eligible residents from subareas that represent concentrations of
poverty. Further, as
[[Page 18447]]
indicated under the Criteria section of this solicitation, applications
are strongly encouraged to present innovative strategies to address the
needs of areas with concentrations of poverty. Each application must
indicate on the required Project Synopsis Form either a rural or an
urban focus for its project services.
It is expected that most grant awards will be between $1 million
and $5 million. Furthermore, it is expected that most grants will serve
a minimum of 100 eligible participants. Applications that are outside
of this range must provide a brief explanation of how the project will
have substantial community impact (especially for those below $1
million and/or fewer than 100 participants), or how project services
will be provided on a local level and targeted to the specific needs of
the defined target group (especially for those applications over $5
million).
Award Period
It is expected that the planned performance period for most
projects will be between 18 and 30 months. Grant funds are not
available for expenditure for longer than three years. No obligation or
commitment of funds will be allowed beyond the grant period of
performance. Any unspent grant funds must be returned to the Department
of Labor.
IV. Eligible Grant Applicants
Private Industry Councils (PIC), political subdivisions of the
State (as defined in Appendix B), and private entities (as defined in
Appendix B) are eligible to receive grant funds under this
announcement. Eligible private entities include community development
corporations, community action agencies, community-based and faith-
based organizations, disability community organizations, public and
private colleges and universities, and other qualified private
organizations. Private entities include both non-profit and for-profit
organizations but do not include individuals.
Entities other than a PIC or a political subdivision of the State
must submit an application for competitive grant funds in conjunction
with the PIC(s) or political subdivision(s) for the area in which the
project is to operate. The term ``in conjunction with'' shall mean that
the application must include a signed certification by both the
applicant and either the appropriate PIC(s) or political subdivision(s)
indicating that:
1. The applicant has consulted with the appropriate PIC(s)/
political subdivision(s) during the development of the application; and
2. The activities proposed in the application are consistent with,
and will be coordinated with, the WtW efforts of the PIC(s)/political
subdivision(s).
If the applicant is unable to obtain the certification, it will be
required to include information describing the efforts which were
undertaken to consult with the PIC(s)/political subdivision(s) and
indicating that the PIC(s)/political subdivision(s) were provided a
sufficient opportunity to cooperate in the development of the project
plan and to review and comment on the application prior to its
submission to the Department of Labor. ``Sufficient opportunity for
PIC/political subdivision review and comment'' shall mean at least 30
calendar days.
The certification, or evidence of efforts to consult, must be with
either each PIC or each political subdivision in the service area in
which the proposed project is to operate. These certifications must be
included in Section I of the grant application, and will not count
against the established page limitations. For the purposes of this
portion of the application, evidence of efforts to consult with the
PIC/political subdivision must be demonstrated by written
documentation, such as registered mail receipt, that attempts were made
to share project applications with the PIC/political subdivision in a
timely manner.
State-level Consultation
All applicants for competitive grants, including PICs and political
subdivisions, must submit their applications to the Governor or, at the
discretion of the Governor, to the designated State administrative
entity for the WtW program, for review and comment prior to submission
of the application to the Department. For private entities, State
review must be subsequent to review by the PIC or political entity.
When submitted to the Department, the application must include any
comments from the Governor or his/her designee or must include
information indicating that the Governor was provided a sufficient
opportunity for review and comment prior to submission to the
Department. ``Sufficient opportunity for State review and comment''
shall mean at least 15 calendar days. For the purposes of this portion
of the application, information indicating that the Governor was
provided opportunity for review must be demonstrated by written
documentation, such as registered mail receipt, that attempts were made
to submit project applications to the Governor or his/her designee in a
timely manner.
Applicants for Multiple Community or National Projects
Consideration will be given to applications which propose multi-
community or national strategies to move welfare recipients into long-
term unsubsidized employment leading to economic self-sufficiency. For
example, an applicant may design a nationwide project to create jobs
for welfare recipients in a particular industry. Applications which
propose multi-community or national strategies must meet all of the
application requirements contained in this Announcement. Specifically,
private entities proposing such projects must include the signed
certification from the applicable PIC or political subdivision of each
SDA in which the project will operate or other evidence indicating the
efforts undertaken to obtain the required consultation as described
above. Such applications must also demonstrate the required
consultation with the Governors of the States in which the project will
operate. Applications proposing national projects must comply with all
statutory and regulatory requirements and will be rated under the same
evaluation criteria as other applications. Applicants should be aware
that the extent of local collaboration demonstrated in a national
project will be considered as an important factor in the overall
strength of the proposal.
Lobbying Disclosure Act of 1995
Entities described in Section 501(c)(4) of the Internal Revenue
Code that engage in lobbying activities are not eligible to receive
funds under this announcement. The Lobbying Disclosure Act of 1995,
Public Law 104-65, 109 Stat. 691, prohibits the award of Federal funds
to these entities if they engage in lobbying activities.
V. Program and Administrative Requirements
Participant Eligibility and Funding Expenditures
Each project will be required to meet the targeting provisions
described at 20 CFR 645.211-645.213. [NOTE: The WtW Regulations are
available at the WtW Internet web site at http://wtw.doleta.gov.] These
provisions dictate that a minimum of 70 percent of the funds in each
WtW competitive grant must be used to serve hard-to-employ individuals
as described in Sec. 645.212. Furthermore, no more than 30 percent of
the funds in each grant may be used to serve individuals with
characteristics predictive of long-term
[[Page 18448]]
welfare dependence, as described in Sec. 645.213.
Allowable Uses of Funds
Competitive grant funds shall only be spent for those activities
identified in the WtW Regulations, at 20 CFR 645.220 and set forth
below, for appropriate administrative costs, and for information
technology costs in accordance with 20 CFR 645.235(c)(3).
WtW allowable activities are:
(a) Job readiness activities financed through job vouchers or
through contracts with public or private providers.
(b) Employment activities which consist of any of the following:
(1) Community service programs; (2) Work experience programs; (3) Job
creation through public or private sector employment wage subsidies;
and (4) On-the-job training.
(c) Job placement services financed through job vouchers or through
contracts with public or private providers subject to the payment
requirements at Sec. 645.230(a)(3).
(d) Post-employment services financed through job vouchers or
through contracts with public or private providers, which are provided
after an individual is placed in one of the employment activities
listed in paragraph (b) above, or in any other subsidized or
unsubsidized job. Post-employment services include, but are not limited
to, such services as: (1) Basic educational skills training; (2)
Occupational skills training; (3) English as a second language
training; and (4) Mentoring.
(e) Job retention services and support services which are provided
after an individual is placed in a job readiness activity, as specified
in paragraph (a) above, in one of the employment activities, as
specified in paragraph (b) above, or in any other subsidized or
unsubsidized job. These services can be provided with WtW funds only if
they are not otherwise available to the participant. Job retention and
support services include, but are not limited to, such services as: (1)
Transportation assistance; (2) Substance abuse treatment (except that
WtW funds may not be used to provide medical treatment); (3) Child care
assistance; (4) Emergency or short term housing assistance; and (5)
Other supportive services.
(f) Individual development accounts which are established in
accordance with section 404(h) of the Act.
(g) Intake, assessment, eligibility determination, development of
an individualized service strategy, and case management may be
incorporated in the design of any of the allowable activities listed in
paragraphs (a) through (f) above.
Administrative Costs
Allowable costs and the 15 percent limitation on administrative
costs for WtW competitive grants are defined in the WtW Regulations at
20 CFR 645.235. All proposed costs must be reflected as either a direct
charge to specific budget line items, or as an indirect cost. Direct
and indirect administrative costs are allowable, but combined, these
costs cannot exceed 15 percent of the total grant. The administrative
costs negotiated in the final grant document may be below fifteen
percent.
Only costs which result from applying a Federally-approved indirect
cost rate may be entered on the ``indirect cost'' line item of the
budget. If an indirect cost rate is used, the applicant must include
documentation from the cognizant Federal agency which includes the
approved rate, the cost base against which it is applied, and the
approval date.
All applicants will be expected to justify proposed costs (see Item
3 of the Financial Plan in the ``Required Content for WtW Competitive
Grants Applications--Fiscal Year 1998''). Profits are not an allowable
use of grant funds.
Use of Federal Funds
Federal funds cannot be used to support activities which would be
provided in the absence of those funds. Grant funds may cover only
those costs which are appropriate and reasonable. Federal grant funds
may only be used to acquire equipment which is necessary for the
operation of the grant. The grantee must receive prior approval from
the DOL/ETA Grant Officer for the purchase and/or lease of any property
and/or equipment with a per unit acquisition cost of $5,000 or more,
and a useful life of more than one year as defined in the ``Uniform
Administrative Requirements for Grants and Cooperative Agreements to
State and Local Governments'', codified at 29 CFR Part 97 (also known
as the ``Common Rule''), and ``Grants and Agreements with Institutes of
Higher Education, Hospitals and Other Non-Profit Organizations'',
codified at 29 CFR Part 95 (also known as OMB Circular A-110). This
restriction includes the purchase of Automated Data Processing (ADP)
equipment. A request for such prior approval may be included in the
grant application or submitted after the grant award. Requests
submitted after the grant award must be directed through the Grant
Officer Technical Representative (GOTR) and must include a detailed
description and cost of the items to be acquired.
Grant funds also may not be used to cover any project-related costs
incurred prior to the effective date of the grant award. In making a
grant award, DOL/ETA has no obligation to provide any future additional
funding in connection with the grant award.
Pursuant to 20 CFR 645.235(c)(3), the costs of information
technology--computer hardware and software--needed for tracking or
monitoring under a WtW grant are not subject to the fifteen percent
limitation on administrative costs.
Year 2000 Compliance
Any information technology purchased in whole or in part with WtW
funds, which is used for a period of time that goes beyond December 31,
1999, must be ``year 2000 compliant.'' This means that such information
technology shall accurately process date/time data (including, but not
limited to, calculating, comparing and sequencing) from, into and
between the twentieth and twenty-first centuries, the years 1999 and
2000, and leap year calculations. Furthermore, ``year 2000 compliant''
information technology, when used in combination with other information
technology, shall accurately process date/time data if the other
information technology properly exchanges date/time with it.
Assurances and Certifications
The following assurances and certifications must be included as
part of each grant application: Debarment & Suspension Certification.
Other assurances and certifications will be required as part of
each executed grant agreement, but do not need to be submitted as part
of a WtW Competitive grant application: Assurances/Non-Construction
Programs; Certification Regarding Lobbying; Drug Free Workplace
Certification; Certification of Non-delinquency; and Non-discrimination
and Equal Opportunity Requirements.
Departmental Oversight
The Department reserves the right to conduct oversight and both
programmatic and financial monitoring activities for all competitive
grants awarded under the WtW grants program.
Department of Health and Human Services Evaluation of the Welfare-to-
Work Program
Competitive grant projects will participate in the evaluation of
the WtW
[[Page 18449]]
grant program by the U.S. Department of Health and Human Services
(DHHS), as described in Title IV, section 413(j)(1) of the Social
Security Act. The goal of the DHHS evaluation is to expand the base of
knowledge about programs aimed at moving the least job ready welfare
recipients into unsubsidized employment. The evaluation will collect
program and administrative data to determine the range of WtW project
designs and the employment outcomes for all WtW grantees, consistent
with sec. 413(j)(1)(C) of the Social Security Act. In addition, DHHS
will select certain sites at which to qualitatively study the
implementation of the WtW program and other sites where net impact and
cost effectiveness of the program will be examined quantitatively.
VI. Monitoring & Reporting
Monitoring
The Department shall be responsible for ensuring effective
implementation of each competitive grant project in accordance with the
Act, the Regulations, the provisions of this announcement and the
negotiated grant agreement. Applicants should assume that at least one
on-site project review will be conducted by Department staff, or their
designees, at approximately the midpoint of the project performance
period. This review will focus on the project's performance in meeting
the grant's programmatic goals and participant outcomes, complying with
the targeting requirements regarding recipients who are served,
expenditure of grant funds on allowable activities, integration with
other resources and service providers in the local area, and methods
for assessment of the responsiveness and effectiveness of the services
being provided. Grants may be subject to other additional reviews at
the discretion of the Department.
Reporting
Applicants selected as grantees will be required to provide the
following reports:
1. Financial Reporting: The Department of Labor (DOL) will issue
financial reporting instructions for competitive grantees shortly.
Financial reports will be submitted directly to DOL.
2. Participant Reporting: Participant reporting instructions will
be issued shortly covering the entire WtW program. Participant reports
for each competitive grant will be submitted in accordance with
reporting instructions at a later date.
3. Other Reporting: The Department of Labor may negotiate
additional reporting requirements with individual grantees, where
necessary, for grants management and/or knowledge development purposes.
In addition to required quarterly financial and participant reporting,
some grantees may be asked to provide information to the appropriate
ETA Regional Office during the early implementation phase of the
project for the purpose of project oversight. This information may
include project enrollment levels, participant characteristics, and
emerging implementation issues.
VII. Review and Selection of Applications for Grant Award Review
Process
The Department will screen all applications to determine whether
all required elements are present and clearly identifiable. These
elements are described below in the ``Required Content for WtW
Competitive Grant Applications--Fiscal Year 1998.'' Failure to include
and all required elements in Section I of the grant application will
result in rejection of the application.
Each complete application will be objectively rated by a panel
against the criteria described in this announcement. Applicants are
advised that the panel recommendations to the Grant Officer are
advisory in nature. The Grant Officer may elect to award grants either
with or without discussion with the applicant. In situations where no
discussions occur, an award will be based on the applicant's signature
on the SF424 form (See Appendix C), which constitutes a binding offer.
The Grant Officer will make final award decisions based on what is most
advantageous to the Government, considering factors such as: Panel
findings; the geographic distribution of the competitive applications;
the extent to which the competitive applications reflect a reasonable
distribution of funds across the areas of special interest identified
in this announcement; and the availability of funds.
Criteria
The criteria, and the weights assigned to each, which will apply to
the review of applications submitted in response to this announcement
are:
1. ``Relative Need for Assistance'' [20 points] which shall
consider the concentration of poverty and long-term welfare dependence
and the lack of employment opportunities in the project service area
(up to 9 points); the extent of gaps in the capacity of the local
infrastructure to effectively address the employment barriers which
characterize the targeted population (up to 6 points); and the
responsiveness of the project design to the areas of special interest
identified in Part III of this announcement (up to 5 points).
2. ``Innovation'' [20 points] which shall consider the extent to
which the project incorporates new and better strategies for moving
welfare recipients into lasting unsubsidized employment leading to
economic self-sufficiency. These strategies can include, but are not
limited to, new and better ways that services can be accessed by
participants in the local community, new and better ways for local
organizations to work together, or the replication of effective
strategies in a new setting.
3. ``Outcomes'' [25 points] which shall consider the quality of the
proposed employment and earnings outcomes (up to 10 points); the extent
to which the proposed plan of services responds to identified needs,
the barriers faced by proposed participants, and the conditions in the
local area as well as the likelihood that the proposed service plan
will result in the proposed outcomes (up to 12 points); and the
reasonableness of the level of investment in relation to the proposed
outcomes (up to 3 points).
4. ``Local Collaboration and Sustainability'' [25 points] which
shall consider the extent to which the project is coordinated with the
WtW formula grant and TANF grant activities and supported by the PIC/
political subdivision and local TANF agency (up to 4 points); the
extent and quality of local community partnerships that are involved in
and making substantial contributions of resources to the project (up to
11 points); involvement of and participation by local employers (up 5
points); and the extent to which the community and/or the local area
has developed plans and commitments to maintain and expand the capacity
to serve the target population with local resources over a sustained
period of time (up to 5 points).
5. ``Demonstrated Capability'' [10 points] which shall consider the
extent to which the applicant and its partner organizations demonstrate
a history of success in serving a comparable target group, the extent
of use of current or former welfare recipients in the provision of
services, and the extent to which the applicant demonstrates the
ability to effectively execute grant management responsibilities.
For those proposals that are deemed by the Grant Officer to be most
competitive, applicants proposing projects in which the majority of
participants to be served by the project
[[Page 18450]]
reside in designated Empowerment Zones and Enterprise Communities (EZ/
EC) will be eligible for 5 bonus points.
In addition, proposals that are deemed by the Grant Officer to be
most competitive, that plan to serve at least 450 WtW participants, and
that are willing to participate in a random assignment evaluation may
be awarded from zero to five bonus points (based on a DHHS assessment
of the suitability of the project for evaluation against the criteria
outlined in Appendix A). Projects selected to participate in a random
assignment evaluation may also be able to access additional technical
assistance resources, as well as a small amount of funding to offset
the additional administrative costs of random assignment. These
applicants should submit the additional information identified in
Appendix A of this announcement. This information will be submitted as
an Addendum to the grant application and will not be counted against
the application page limit or count as an Attachment.
Signed at Washington, D.C., this 9th day of April, 1998.
Janice E. Perry,
Grant Officer.
Required Content for WtW Competitive Grant Applications Fiscal Year
1998
Each application must contain the information and follow the format
outlined in this Part. The application should include: (1) Information
that responds to these requirements; (2) information that indicates
adherence to the provisions described in preceding sections of this
announcement; and (3) any other information the applicant believes will
address the review and selection criteria.
I. Project Summary
A. Project Financial Plan
Information provided in this section will be evaluated
predominantly under the ``Outcomes'' criteria.
The financial plan shall describe all costs associated with
implementing the project that are to be covered with grant funds. All
costs should be necessary and reasonable according to the Federal
guidelines set forth in the ``Uniform Administrative Requirements for
Grants and Cooperative Agreements to State and Local Governments'',
codified at 29 CFR Part 97 (also known as the ``Common Rule''), and
``Grants and Agreements with Institutes of Higher Education, Hospitals
and Other Non-Profit Organizations'' (also known as OMB Circular A-
110), codified at 29 CFR Part 95.
The financial plan must contain the following parts:
<bullet> ``Application for Federal Assistance'' and ``Budget
Information Sheet'' by line item for all costs required to implement
the project design effectively. Submission of these two completed forms
is required. (See Appendix C for these required forms.)
Note: Although there is no matching requirement for these
grants, the Department strongly encourages the leveraging of
resources in the implementation of WtW competitive grant projects.
On the Budget Information form, the ``Matching/Cost Sharing''
section of the form provides an opportunity for applicants to
reflect such leveraged resources.
<bullet> Budget narrative/justification which provides sufficient
information to support the reasonableness of the costs included in the
budget in relation to the service strategy and planned outcomes.
B. Project Synopsis Form--ETA Form 9070
Each application shall provide a project synopsis which identifies
the applicant, the type of organization, the project service area,
whether the service area is a city with a large concentration of
poverty or a rural area, the specific areas of interest identified in
the announcement which are addressed by the project (with page numbers
where relevant portions of the project narrative can be found), the
amount of grant funds requested, the planned period of performance, the
planned number of WtW-eligible TANF recipients to be served, the number
of noncustodial parents to be served (if applicable), the significant
employment barriers which characterize the target group, the planned
employment and earnings outcomes, a summary description of the proposed
service strategy, and other significant service organizations involved
in the delivery of services. This section must be limited to no more
than two single-spaced, single-sided pages. The required format for
this synopsis can be found in Appendix D.
C. Evidence of Required Local and State Consultation
It is the expectation of the Department that, to the extent
possible, all applications will be developed in consultation with the
appropriate PIC/political subdivision and the Governor. Competitive
grant projects should complement the WtW formula program activity,
rather than exist independent of, or in conflict with, that program.
Each application must include the signed certification or other
evidence of the required consultation with the Governor as described in
this announcement. Applications from private entities must also include
the signed certification from the appropriate PIC(s) or political
subdivision(s) or other evidence indicating the efforts undertaken to
obtain the required consultation as described in this announcement. In
areas where an entity other than the PIC has been designated by the
Governor and approved by the Secretary to administer the WtW formula
grant, the applicant should also include evidence of consultation and/
or support from that entity. All certifications or comments provided as
part of this requirement must be included in this section of the grant
application and will not be counted against the established page
limits.
II. Government Requirements/Statement of Work--Project Narrative
This section of the application should not exceed 20 single-spaced,
numbered pages. The application should include information of the type
described below, as appropriate.
Description of Service Area
Information provided in this section will be evaluated
predominantly under the ``Relative Need'' criteria.
--Identify the specific political and geographic jurisdictions (e.g.,
cities, counties, subsections of cities/counties) which are included in
the service area for the project.
--Identify the percent of the population in the service area that has
income below the poverty level.
--Identify the percent of the population in the service area that is
receiving TANF assistance
Note: Child-only TANF cases should be excluded from this number
unless these cases are relevant to the project target group.
--Identify the percent of the TANF population that has received TANF or
AFDC assistance for 30 months or more, or is within 12 months of losing
eligibility for assistance under State or Federal law (Note: Child-only
TANF cases should be excluded from this number unless these cases are
relevant to the project target group).
--Identify the most recent unemployment rate in the service area.
--Describe the significant deficiencies in the local area
infrastructure that represent significant barriers to moving eligible
recipients into permanent employment in an efficient manner (e.g., lack
of transportation, labor market with a shortage of low-skill jobs,
shortage of employers with appropriate employment opportunities,
remoteness from health
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facilities, limited number of social and support service agencies).
Summary of Strategy for Use of WtW Formula Funds in the Local Area
Information provided in this section will be evaluated
predominantly under the ``Local Collaboration and Sustainability''
criteria.
--Identify the substate service area covered by the WtW formula grant.
--Describe the allocation of formula grant funds among the allowable
activities.
--Identify the significant local and community organizations involved
and their roles in providing assistance through the formula grant.
--Describe how the proposed competitive grant project will supplement
and enhance the capacity of the WtW formula grant activities to
effectively serve eligible recipients in the local area who have
significant employment barriers.
--In cases where the applicant cannot obtain this information because
the State has not yet submitted a complete WtW Formula Grant Plan, the
application should so indicate. Absence of this information, in and of
itself, will not penalize the applicant.
Analysis of Target Group
Information provided in this section will be evaluated
predominantly under the ``Relative Need'' criteria.
--Describe the individuals targeted for assistance through this
project, including any noncustodial parents.
--Describe the significant employment barriers which characterize this
target group, including the process for identifying those participants
who are least job ready.
Note: An adequate analysis of employment barriers of the target
group will be a critical factor in evaluating the need for grant
assistance and the appropriateness of the proposed plan of services.
Analysis of Employment Opportunities
Information provided in this section will be evaluated
predominantly under the ``Relative Need'' criteria.
--Identify the types of occupations in the local area which are being
targeted as appropriate employment opportunities for the target group
of this project.
--Describe the justification for the selection of the occupations in
terms of their availability and the adequacy of expected placement wage
and post-placement earnings potential to achieve self-sufficiency.
Service Strategy
Information provided in this section will be evaluated
predominantly under the ``Innovation'' and Outcomes'' criteria.
--Identify the specific job readiness, placement (in both subsidized
and unsubsidized employment), post-employment, job retention and/or
support services to be provided with competitive grant funds as well as
services to be leveraged from other sources.
--Describe the rationale for planned enrollments in activities in terms
of the employment barriers, infrastructure deficiencies and employment
opportunities previously identified above (enrollments in each activity
will be reflected in the Quarterly Implementation Plan).
--Where vouchers for services are to be used, describe the process by
which vouchers will be distributed and redeemed (in compliance with 20
CFR Sec. 645.230(a)(3)), including who will be eligible, how amounts of
vouchers will be determined, and how the grantee will ensure that
quality services are being provided.
Service Process
Information provided in this section will be evaluated
predominantly under the ``Innovation'' and ``Outcomes'' criteria.
--Describe the comprehensive service process that will be available to
participants, and identify the organizations which will be involved in
providing specific services/activities. [A process flowchart and/or
service matrix may be used to provide this description.] The
description should specify what elements of the service strategy are
already available in the community, whether through the WtW formula
program, the TANF program or from other sources, as well as the
elements or services that will be funded through the WtW competitive
grant award. Also describe what individual support services, such as
mentoring and case management, will be used to maintain participants in
the program.
--Describe the specific methods which will be used by the grantee and
the local TANF agency to coordinate and work jointly in providing the
following services: Outreach, recruitment, and referral of appropriate
recipients for assistance through the project; assessment of skills and
identification of specific employment barriers; counseling and case
management; and support services.
Integration of Resources
Information provided in this section will be evaluated
predominantly under the ``Local Collaboration and Sustainability''
criteria.
--Identify specific financial resources and organizational/service
provider capabilities which are being contributed to provide the full
range of assistance to the identified target group for the project. At
a minimum, describe the coordination and contributions of local JTPA
service providers, local TANF providers, and local housing and
transportation authorities. In developing their plans, applicants are
encouraged to be mindful of their obligations not to interfere with
collective bargaining rights or agreements or to displace employees.
--Describe the process that will be used to maintain and expand the
service structure in the local area and engage new partners after
receipt of WtW competitive grant funds.
--Describe how the project will develop a sustainable capacity in the
local community to effectively move welfare recipients into permanent
jobs and to foster the long-term self-sufficiency of the target
population. It is expected that project services will provide
assistance oriented towards long-term solutions. It is also expected
that the need for grant funds to provide this assistance will diminish
over time, specifically in the latter stages of the grant performance
period.
Employer Support
Information provided in this section will be evaluated
predominantly under the ``Local Collaboration and Sustainability''
criteria.
--Describe the specific responsibilities and approaches for developing
relationships with and support of area employers to generate a
sufficient number of unsubsidized employment opportunities for the
target group. Specifically describe how employers will be encouraged to
customize employment opportunities to meet work-related needs (e.g.,
child care, flexible work schedules) of recipients.
--Identify the employers in the local area who have made commitments to
the project and describe the types of commitments made (e.g., number
and types of jobs, contribution of employer resources for post-hire
support services and/or training).
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Planned Outcomes
Information provided in this section will be evaluated
predominantly under the ``Outcomes'' criteria.
--Identify and justify planned performance for the comprehensive
service strategy on the following measures: Number of participants to
be placed into unsubsidized employment; average earnings at placement
in unsubsidized employment; expected average earnings one year after
placement in unsubsidized employment; and cost per placement in
unsubsidized employment. In addition, where applicable, for those
services supported specifically by WtW competitive grant funds,
describe specific process or outcome objectives for those services.
The application may include other measures and planned performance
levels as deemed appropriate by the applicant. If these are included,
the applicant should briefly describe their relevance to the project.
Implementation Plan
Information provided in this section will be evaluated
predominantly under the ``Outcomes'' and ``Innovation'' criteria.
--Identify the critical activities, time frames and responsibilities
for effectively implementing the project within the first 60 days after
the award of the grant.
--Include an implementation schedule showing the number of
participants, enrollments in allowable activities, placements in
unsubsidized employment and terminations.
Project Management Plan
Information provided in this section will be evaluated
predominantly under the ``Demonstrated Capability'' and ``Innovation''
criteria.
Applicants must be able to document that they have systems capable
of satisfying the administrative and grant management requirements for
WtW grants as defined in 20 CFR Part 645.
--Include a project organizational chart which identifies the
organizations, and staff, with key management responsibilities and the
specific responsibilities of each organization;
--Describe the specific experience of the applicant and other key
organizations involved in the project in serving individuals with
significant barriers to employment. The information should include
specific projects or grants, a comparison of the characteristics of
individuals served to the target group for this project, and the
employment outcomes which were achieved.
--As appropriate, describe how current or former welfare recipients
will be used to provide services.
--Describe the procedures which will be used to obtain feedback from
participants and other appropriate parties on the responsiveness and
effectiveness of the services provided.
Innovation
Information provided in this section will be evaluated
predominantly under the ``Innovation'' criteria.
Recipients of WtW competitive grants are expected to use creativity
and innovation to help eligible individuals obtain long-term
unsubsidized employment and economic self-sufficiency. The application
should describe how the proposed approach represents an innovative
method for achieving the employment objectives of the project. Proposed
strategies should represent an improvement over, or a variation on,
approaches that have traditionally been used in the project service
area to assist welfare recipients and other low income unemployed
individuals.
Grant recipients are also expected to share knowledge which they
develop through the use of innovative approaches. Applicants should
describe how they will report lessons learned in the course of the
grant implementation, and further, describe their plans for
disseminating the knowledge they have gained.
Additional Requirements for Community Saturation Projects
Information provided in this section will be evaluated
predominantly under the ``Outcomes'' and ``Innovation'' criteria.
--Describe why a project employing a saturation strategy is appropriate
for the project service area and target group.
--Describe the feasibility of a saturation strategy for the project
service area and target group (i.e., based on available employment
opportunities and other factors).
--Identify the local partners who will be involved in implementing the
saturation strategy, the services to be provided and the dollar value
of the contribution from each.
Appendix A: Instructions for Random Assignment Plan Addendum
Background
The Department of Health and Human Services is charged with the
responsibility to conduct a national evaluation of the welfare-to-
work (WtW) grants program. The goal of the evaluation is to expand
the base of knowledge about effective strategies for moving the
least job-ready welfare recipients into unsubsidized employment. Ten
to fourteen WtW competitive grant project sites will be selected for
an in-depth study of the net impact and cost-effectiveness in moving
hard-to-employ recipients into employment. This analysis will rely
on both administrative data and, potentially, in-person interviews
with program participants. In addition, these sites will participate
in a qualitative study of the issues, challenges, and successes
associated with implementing and operating WtW programs. This
qualitative analysis will rely on on-site interviews with program
administrators and staff, administrative data, and potentially,
focus groups with WtW participants.
To qualify as a site for the in-depth study, the site must plan
to serve at least 450 WtW eligible individuals. Up to five (5) bonus
points are available to competitive grant applicants which meet this
participant threshold and which are willing to participate in the
net impact and cost-effectiveness components of the evaluation.
Sites selected to participate in the evaluation will receive
additional resources to cover the extra administrative costs
associated with participating in the evaluation. Additionally,
selected sites will have access to enhanced technical assistance
from the evaluation contractor. Finally, the sites will benefit from
a high-quality evaluation of their program, as well as the
opportunity to have their program showcased nationally to
demonstrate innovative techniques for serving hard-to-employ welfare
recipients.
What Will Participation in the Net Impact and Cost-Effectiveness
Components of the Evaluation Mean for the Selected Sites.
To effectively measure the net impact and cost-effectiveness of
specific service strategies, an experimental design involving the
random assignment of individuals to either treatment status (receipt
of WtW services) or control status (receipt of regular TANF
services) will be used to estimate program net impacts. The random
assignment approach will also be applied to test impacts among a
variety of WtW services.
Since the level of funding available to a particular WtW site
will not be sufficient to serve the entire population eligible in
that site, the applicant must demonstrate the capacity to design a
random assignment study so that no fewer participants will be served
by the WtW program than would have been served in the absence of the
study. Random assignment will only change the mechanism by which
program administrators would otherwise respond to the funding
shortfall (e.g., waiting lists, first-come first-serve, priority
groups). Nor will random assignment require excluding the control
group from services--the control group will be eligible to receive
the regular TANF services available to participants in the TANF
program.
Application Process
WtW applicants who would like to be considered as net impact and
cost-
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effectiveness evaluation site should submit an ``Evaluation
Addendum'' in addition to their programmatic application.
The addendum should address the following items:
--Appropriateness of site for evaluation purposes. Because of the
statistical requirements associated with random assignment, programs
selected for the evaluation will need to serve at least 450
participants in this grant cycle (with funding available over three
years). Preference may be given to programs that address the areas
of interest identified in the SGA and that will be able to be
implemented quickly. The application should explain the importance
of the program model for learning about effective strategies for
hard-to-employ recipients. It also should include evidence of the
applicant's understanding of what is required to carry out a net
impact evaluation program under the coordination of a contractor,
and evidence of the site's commitment to provide the necessary
supports and resources to ensure the success of the project.
--Evidence of capacity to participate. Evaluation sites must be
willing and able to collect administrative data on participants'
experiences and outcomes. The following are specific examples of
evaluation site requirements: utilizing staff time to oversee the
administration of special data collection forms and reviewing them
for completeness; having on staff personnel with knowledge about or
experience in data systems management and extraction; utilizing
staff time to contact program participants to set up meetings or
elicit their cooperation in focus groups; helping to identify
current address or additional contact information for participants
who cannot be located after program termination; and utilizing
management and staff time to meet with evaluation staff for
individual and/or group interviews and information exchange. The
application should list the ability of the site to participate in
these tasks. It also should identify the key individuals who will
work on the evaluation along with a short description of the nature
of their contribution and the percentage of their time available for
the project. There also should be evidence of support from
management of the organization for the purposes of research and
evaluation. Applicants are encouraged to discuss relevant staff
experience with research and evaluation.
--Budget for reimbursement of evaluation costs. Additional grant
funds are available to help defray the incremental administrative
costs associated with the site's participation in the national
evaluation. This may include the costs associated with special data
collection and reporting (above that required of all WtW grant
recipients), monitoring case status and ensuring that cases receive
the services appropriate under the arrangements agreed upon for the
evaluation, supporting the evaluation by notifying participants and
arranging for meetings between evaluators and WtW participants, and
providing liaison between the program and the evaluator as a part of
the national evaluation team. Based on past experience, it is
estimated that the costs to carry out these special tasks equate to
between 1 and 1.5 full time employees (FTE) per year for a mid-range
support staff person. WtW applicants applying to be considered as
participants in this component of the evaluation should include a
budget attachment that includes the costs of evaluation.
Sites that are interested in participating in a random
assignment experiment but are unsure whether they meet the criteria
are encouraged to submit an application for the bonus points.
Efforts will be made to work closely with the selected sites to
facilitate participation in the study and to minimize the
administrative burden of random assignment.
Appendix B: Definitions of Key Terms
City with Large Concentration of Poverty--Any county that
contains an urban center of more than 50,000 people with a poverty
rate of greater than 7.5 percent.
Community Saturation Strategy--Projects that propose to serve
100 percent of the WtW eligible population within a designated
service area, i.e., the community is completely ``saturated'' with
services.
Noncustodial Parent--A parent of a child whose custodial parent
is an eligible TANF recipient.
Private Entity--Any organization, public or private, which is
neither a PIC nor a political subdivision of a State.
Private Industry Council (PIC)--from Sec. 645.120 of the WtW
Regulations--A Private Industry Council established under Section
102 of the Job Training Partnership Act, which performs the
functions authorized at Section 103 of the JTPA.
Political Subdivision--A unit of general purpose local
government, as provided for in State laws and/or Constitution, which
has the power to levy taxes and spend funds and which also has
general corporate and police powers.
Rural Area--(1) Any county that does not contain an urban center
of more than 50,000 people, and where at least 50 percent of the
geographical area of the county has a population density of less
than 100 persons per square mile; or (2) in counties where there is
an urban center, a rural area within the county that constitutes, or
is part of, a distinct rural labor market.
Appendix C: Application for Federal Assistance (Standard Form 424)
Budget Information Sheet
Note: In completing the Standard Form 424, the applicant should
indicate in Item 11 of the form whether the project is to operate in
a city with a large concentration of poverty or in a rural area;
identify the EC/EZ included in the project service area, if
applicable; and identify any of the areas of interest identified in
the announcement which are addressed by the project.
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[FR Doc. 98-9950 Filed 4-14-98; 8:45 am]
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