Billing Code 4510-30-M DEPARTMENT OF LABOR Employment and Training Administration DEPARTMENT OF EDUCATION Office of Vocational and Adult Education AGENCIES: Employment and Training Administration, Labor. Office of Vocational and Adult Education, Education. ACTION: Notice of availability of funds and solicitation for grant applications (SGA) for engaging employers in State and local School-to-Work (STW) systems through efforts undertaken by industry groups and trade associations. SUMMARY: THIS NOTICE CONTAINS ALL OF THE NECESSARY INFORMATION AND FORMS NEEDED TO APPLY FOR GRANT FUNDING. The Departments of Labor and Education jointly invite proposals for approximately 3 - 5 new awards in FY 1998, as authorized under section 403 of the School-to-Work Opportunities Act of 1994 (the Act). These awards will provide support to industry groups and trade associations to undertake outreach, technical assistance, and other activities to engage and to build the capacity of employers to participate in STW systems. As a result of the products developed and activities carried out, awardees will be asked to provide clear, quantifiable evidence that they are significantly increasing the numbers of employers in their industry who are participating in STW activities. DATES: Applications for grant awards will be accepted commencing (date of publication). The closing date for receipt of applications is (45 days from date of publication), at 4 P.M., (Eastern Time) at the address below. Telefacsimile (FAX) applications WILL NOT BE HONORED. ADDRESSES: Applications shall be mailed to: U.S. Department of Labor, Employment and Training Administration, Division of Acquisition and Assistance, Attention: Ms. Laura Cesario, Reference: SGA/DAA 98-003, 200 Constitution Avenue, N.W., Room S-4203, Washington, D.C., 20210. FOR FURTHER INFORMATION CONTACT: Division of Acquisition and Assistance, telephone: (202) 219-8694 (this is not a toll free number). This solicitation will also be published on the Internet, on the Employment and Training Administration's Home Page at http://www.doleta.gov. Award notifications will also be published on this Home Page. INDUSTRY/TRADE ASSOCIATION SOLICITATION I. Purpose. To invite proposals to support industry and trade associations to undertake outreach, technical assistance, and other activities to engage and to build the capacity of employers to participate in STW systems. II. Background. The School-to-Work Opportunities Act was signed into law by the President on May 4, 1994. Jointly administered by the Departments of Labor and Education, this Act is a new approach to education that seeks to better prepare all American youth for careers in high skill, high wage jobs and to strengthen the linkages between what is learned in school with work. Under the Act, venture capital grants are provided to States and local communities to undertake systemic reform. Grants are for a limited duration with the Federal investment declining over time. These investments are intended to support the one-time costs of States and local communities to restructure learning experiences for all students. The Act also provides a set-aside of funds for national activities to support School-to-Work system-building nationwide. These funds are used for technical assistance and capacity building, for outreach, and for research and evaluation. Section 403 of the Act, relating to training and technical assistance, specifically directs the Secretaries to "work in cooperation with ....employers and their associations. . .to increase their capacity to develop and implement effective School-to-Work programs." III. Statement of Work. Employer Participation in STW. Changes in our economy, technology and global competition are driving forces behind efforts to improve the academic performance and career preparedness of today's youth. Among its purposes, the National School-to-Work Opportunities Act was enacted to: "utilize workplaces as active learning environments in the educational process by making employers joint partners with educators in providing opportunities for all students to participate in high-quality, work-based learning experiences." Work-based learning is one of the three key components within a STW system (school-based learning and connecting activities are the other two). Thus, employer participation is critical for the implementation and sustainability of STW systems. Employers participate in STW systems through a number of different activities involving students, teachers and with State and local governing bodies. The Employer Participation Model, published by the National Employer Leadership Council, outlines more than 50 different opportunities for employer involvement in STW. States and local communities are actively working to engage employers in becoming partners and active participants within their STW systems. Status of Employer Investments. Prior to this year, the two Departments through the National School-to-Work Office have made a number of investments to support employer knowledge and participation in aspects of emerging STW systems. A major investment included support for the establishment and development of the National Employer Leadership Council (NELC), the mission of which has been to enlist the leadership of highly visible CEOs of major companies in order to promote STW at the highest levels of corporate business. Another significant investment included one through an existing ETA grant to the National Alliance of Business (NAB). The purpose of this project was to promote participation in STW through ETA's workforce development infrastructure featuring a partnership comprised of NAB, NELC, the Association of Private Industry Councils, and the National Employer Council. The National STW office also invested in outreach activities and specific publications targeted to business entities and employers. Additional investments have been made in the research and evaluation area to collect data on employer participation. Such data has been collected from three sources: 1.) the National Employer Survey conducted by the University of Pennsylvania's Center on Educational Quality of the Workforce, 2.) the School to Work progress measure system, and 3.) The Bureau of Labor Statistics' National Longitudinal Survey of Youth Data Collection. There is preliminary information that supports the notion that the investments made to date on employer participation are having a modest impact, and that there is an extremely long way to go before employer participation can be considered at scale and sufficiently sustainable. The recently released evaluation of STW work systems conducted by Mathematica Policy Research revealed that employers are playing an active role in local partnerships, participating widely in governing boards and in about a quarter of the cases are actually chairing these bodies. They are offering varied forms of work based learning opportunities, hosting teacher internships and contributing to curriculum development. However, according to the Mathematica report, partnerships face major challenges to recruit large numbers of employers. The report concludes that "Employer recruiting will have to expand participation manyfold beyond 1996 levels if the goals States are setting for workplace activity are to be realized." Other research such as the National Employer Leadership Survey conducted by the Center on Educational Quality of the Workforce suggests that employers, under the right circumstances are more than ready and eager to participate in STW programs. However, as key stakeholders, contributors to and major beneficiaries of STW, they will require more clear linkages and more focused attention than has been typically occurring. It is also clear that other stakeholders, particularly educators, need to be better connected and attuned to employer perspectives. These reports and past experience with national employer investments obviously suggest that stronger and more strategic employer investments will be necessary if the entire STW system can really be brought to scale and confidently sustained. Industry focus. On June 18, 1997, the National Advisory Council for STW Opportunities held its third meeting. Advisory Council members were asked to consider and provide their input to the two Departments on key issues surrounding sustainability of the STW initiative. Employer participation was identified as a key area of consideration. Among the suggestions made by Council members was for the Departments to make strategic investments with industry associations to conduct outreach and develop the capacity of employers to participate in STW systems. The Departments agree that engaging employers by industry sectors and through industry groups and trade associations has the potential to capture a critical mass of STW business partners. In addition, when industries are partners with education they can be engaged in the design of portable, industry recognized credentials that certifies that a student has mastered skills at least as challenging as skill standards endorsed by the National Skill Standards Board or those developed under an approved State plan. Through the resources of several industry-specific business associations, affiliate networks of national and State trade associations can link to small and large employers and use the associations' infrastructures to develop the capacity of employers to participate in local STW partnerships. Industries which already have a solid base of employer participation to build upon, provide jobs that lead to high wage careers for students; or are projected to grow are considered to be of high priority by the Departments for making strategic investments. The Mathematica national evaluation report and occupational and industry outlook data prepared by the Bureau of Labor Statistics (BLS) data, identify industries that show significant potential for building employer participation in STW. Mathematica's national evaluation report provides baseline information on leading industries in which students have paid workplace experiences through jobs obtained either outside of school or through school. The data was collected through student surveys in eight states and identified the following industries as the leading employers of students: retail trade; manufacturing, transportation, and utilities; finance, insurance, and real estate; automotive repair; health service; and education, public administration and legal/social services. BLS data on growth industries and occupations and on industries expected to need a high number of replacement workers confirm that these are the leading industries for job opportunities and growth. Employer Investment Categories. Reaching a critical mass of employer participation and sustaining the effort will require that both private and public sector employers are knowledgeable enough to want to participate, that there is research - both hard evidence and anecdotal examples - to demonstrate the conditions under which there is return on the investment when they participate, that employer participation is easily facilitated, that other stakeholders are ready and knowledgeable enough to partner with employers, that employers are able to influence other institutions for mutual benefit, that employers help infuse STW into other systems, and that investments in employer participation grow and leverage other resources. Based on lessons learned from previous investments, results of research and evaluative data gathering, and the degree of employer participation required for bringing STW to scale, activities for employer engagement can be clustered around the following broad investment categories. 1. Products and activities that enable employer participation and build a knowledge base of employers. This includes but is not limited to those activities that address barriers to participation, provide more information to employers, organize employer events, highlight effective and best practices, and generally provide outreach to the employer community. 2. Educating other stakeholders about business need and business culture. Educators especially need a better grounding on how to work effectively in partnership with employers. Previous experience tells us that employer involvement becomes tenuous when they are in a ready posture to participate but schools and others are not ready to engage employers. 3. Employers influencing institutions. There are multiple and complex institutional entities that necessarily interact with business in STW. Policies and practices of these institutions are often out of line with business and industry need and are often inadvertently misaligned with economic trends that affect their own effectiveness. Thus, there is a need for business influence on not only education, but other initiatives. 4. Advocating for Intermediaries. The process of connecting schools with employers and students with employers can be time consuming and challenging given the institutional and cultural barriers described above. One successful approach has been the use of intermediary organizations that connect the two. Demonstrating and researching the features of intermediary relationships that are particularly effective in linking schools and employers will be especially valuable to bringing STW to scale. As one report states: "Employers want a reliable intermediary much more than they want incentives." 5. Research. Anecdotal stories of success and effectiveness are useful, but lack wide scale generalization. Research is needed that empirically demonstrates the benefit of employer participation in STW and those variables likely to contribute to effective employer involvement and employer return on investment. 6. Building employer capacity. There is a need to address industry specific needs as well as to tie STW participation into each industry's evolving skill standards. There are a host of other ways in which to flexibly address employer needs as agents of STW implementation. While the intensity and mix of activities that will lead to scale and sustainability of employer participation is best determined on an industry-by-industry basis, the Departments believe that it is beneficial to all industries involved to coordinate efforts across industries to share lessons learned, discuss common issues and share related products. The Departments expect that successful applicants will coordinate activities and share results. IV. Application Process. Eligible Applicants: Any industry or trade association or a nonprofit organization in partnership groups. Potential applicants however, should note the Departments' priority in supporting industry groups that can demonstrate that they have a strong base of STW participation to build upon, are in growth industries, or have high potential for providing jobs that provide career pathways for new job entrants. High priority industries include: retail trade; manufacturing, transportation and utilities; finance, insurance and real estate; automotive repair; health service; and education, public administration and legal/social services. In preparing the proposal, please use the following headings and respond to the information in each of the following categories. 1. Industry and Project. Identify the industry, sponsoring association (or nonprofit organization) and title of the proposal. Provide information on the number and percentage of industry and mix (large and small) employers that will be represented by this proposal. 2. Project Proposal. Provide a detailed work plan that includes a description of the proposed activities, with accompanying time lines, and the target audiences for these activities. The offeror should demonstrate how the proposed work plan will contribute to bringing STW to scale and how it will lead to sustainability. Indicators demonstrating whether the work plan is likely to help bring STW to scale include: showing the impact/usefulness at the national, state, and local levels and demonstrating an "outreach" effort to enhance this impact. articulating how the planned activities will build linkages between the business and education communities in measurable ways, including and especially through the use of intermediary organizations. connecting to emerging industry recognized skill standards. identifying opportunities/activities/materials for teacher's professional development in the area of employer engagement. identifying innovative approaches to work based learning that can accommodate any student. Indicators showing whether the plan demonstrates sustainability after the federal investment has ended include: providing a realistic plan for institutionalizing the endeavor beyond merely a specific project level. extracting and documenting the common lessons applicable to other interested entities within a targeted industry, occupation or sector. identifying both federal and non-federal funding sources that amplify and outlast the federal investment. describing in business terms how it is a solution to a business problem or address a business need. identifying clear roles for major stakeholder groups such as industry, organized labor, educators, parents and students. 3. Connecting to related initiatives and entities. The offeror should demonstrate how its proposed plan of activities will build upon existing or create new coalitions that maximize business involvement and participation in STW; and/or connect with other entities with similar experiences and interests to identify related products, resources, funding and interests in order to take advantage of activities in the larger arena of STW implementation; and/or involve the public and private sectors in ways that capitalize on, and connect to, existing, infrastructures and overall workforce development systems; and/or connect to existing industry skill standards development efforts, including the work of the emerging Voluntary Partnerships funded by the National Skill Standards Board. 4. Results. The offeror should provide specific and quantifiable outcomes that are anticipated from the proposed plan of activities. In identifying outcomes, the offeror should also explain how it will collect data, document results and use these results in ongoing working relationships with members. 5. Capability. The offeror should demonstrate the capability of the organization and the key staff assigned to undertake the work plan, including examples of prior related efforts that demonstrate success in providing outreach and capacity building of member firms. V. Application Submittal. Applicants must submit an original and three (3) copies of their proposal. The applications shall be divided into two distinct parts: Part I - which contains Standard Form (SF) 424, "Application for Federal Assistance," (Appendix A) and "Budget Information Sheet," (Appendix B). All copies of the SF 424 MUST have original signatures of the designated fiscal agent. Applicants shall indicate on the SF-424 the organization's IRS status. The Catalog of Federal Domestic Assistance number is 17.249. In addition, the budget shall include--on a separate page(s)--a detailed cost break-out of each line item on the Budget Information Sheet. Part II shall contain the program narrative that demonstrates the applicant's plan and capabilities in accordance with the evaluation criteria contained in this notice. Applicants must describe their plan in light of each of the Evaluation Criteria. No cost data or reference to price shall be included in this part of the application. Applicants MUST limit the program narrative section to no more than 30 double-spaced pages, on one side only. This includes any attachments. Applications that fail to meet the page limitation requirement will not be considered. VI. Late Applications. Any application received after the exact date and time specified for receipt at the office designated in this notice will not be considered, unless it is received before awards are made and it - (a) Was sent by registered or certified mail not later than the fifth calendar day before the date specified for receipt of applications (e.g., an application submitted in response to a solicitation requiring receipt of applications by the 20th of the month must have been mailed/post marked by the 15th of that month); or (b) Was sent by the U.S. Postal Service Express Mail Next Day Service to addresses not later than 5:00 P.M. at the place of mailing two working days prior to the date specified for receipt of applications. The term "working days" excludes weekends and Federal holidays. The term "post marked" means 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 an employee of the U.S. Postal Service. VII. Hand Delivered Proposals. It is preferred that applications be mailed at least five days prior to the closing date. To be considered for funding, hand-delivered applications must be received by 4:00 P.M., (Eastern Time), on the closing date. TELEGRAPHED AND/OR FAXED APPLICATIONS WILL NOT BE HONORED. Failure to adhere to the above instructions will be a basis for a determination of nonresponsiveness. Overnight express mail from carriers other than the U.S. Postal Service will be considered hand-delivered applications and MUST BE RECEIVED by the above specified date and time. VIII. Funding Availability and Period of Performance. The Departments expect to make up to 5 awards with a maximum total investment for these projects of $6 million. The period of performance will be for 24 months from the date the grant is awarded. The Departments may, at their option, provide additional funds for a third year at a lower level of funding, depending upon fund availability and performance of the awardee. IX. Review Process. 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 grants 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. EVALUATION CRITERIA 1. The extent to which the organization represents a critical mass of employers within a growth industry . (25 Points) . Is this the lead organization for the industry ? . Is this a growth industry? . Is this an industry in which there is already significant participation in work place experiences for teachers and/or students? . Does the industry offer jobs that provide pathways to high wage careers? . Is the industry and/or lead organization currently involved in the development and use of skill standards within education and training systems? 2. The extent to which the proposed plan will leverage the infrastructure of a national industry or trade association in order to reach a critical mass of employers who will participate in and benefit from STW. ( 25 Points) . Is the plan specific as to the activities proposed and how these activities will result in broad employer participation? . Does the proposal clearly demonstrate how the activities proposed will bring employer participation in STW systems to scale? . Does the plan clearly demonstrate how the organization plans to build upon existing venues for reaching member firms? . Are the outcomes proposed specific and realistic? 3. The extent to which the proposal addresses the system- building elements of STW. (25 Points) . Is it clear how other critical stakeholders will be involved at the State and local levels? . Does the proposal address how the activities will connect with State and local STW system initiatives? . Does the proposal include how this project will relate to other industry associations and business coalitions? . Does the proposal address the activities that connect employers with schools at the local level and how these activities will be accomplished? . Does the proposal address how the activities will connect and leverage other national initiatives which promote industry involvement in the development and use of skill standards? 4. The extent to which the proposed plan is likely to produce sustainable employer engagement in STW after the federal investment has ended. (25 Points) . Is there evidence of non-grant funding that amplifies the federal investment and that is likely to contribute to sustaining the project's impact? . Is the proposal specific as to the business needs and problems that the proposed activities are designed to address? X. Reporting Requirements. Applicants selected as grantees will be required to provide the following information: A. To facilitate exchange of information, the Departments expect to convene grantees for meetings of approximately one-day duration on a quarterly basis. It is anticipated that half the meetings will be in Washington, D.C., and the remaining at locations to be determined. B. Semi-annual progress reports in a format to be determined. C. Standard Form 269, Financial Status Report Form, on a quarterly basis. D. Final Project Report. Signed at Washington, D.C., this 2nd day of December 1997. Janice E. Perry Grant Officer Appendices Appendix A: Application for Federal Assistance, SF Form 424 Appendix B: Budget Information Sheet