[Federal Register: May 29, 1997 (Volume 62, Number 103)] [Notices] [Page 29120-29125] From the Federal Register Online via GPO Access [wais.access.gpo.gov] [DOCID:fr29my97-64] ======================================================================= ----------------------------------------------------------------------- DEPARTMENT OF LABOR Employment and Training Administration DEPARTMENT OF EDUCATION Office of Vocational and Adult Education School-to-Work Opportunities Act; State and Territory Implementation Grants AGENCIES: Department of Labor and Department of Education. ACTION: Notice Inviting Applications for New Awards for Fiscal Year (FY) 1997 for School-to-Work Opportunities State and Territory Implementation Grants (State and Territory Implementation Grants). ----------------------------------------------------------------------- SUMMARY: The Departments of Labor and Education jointly invite applications for new awards in FY 1997, as authorized under section 212 of the School-to-Work Opportunities Act of 1994 (the Act). These State Implementation Grants will enable States and Territories to carry out their plans for statewide and jurisdiction-wide School-to-Work Opportunities partnership systems, offering young Americans access to programs designed to prepare them for a first job in high-skill, high- wage careers, and for achievement in further postsecondary education and training. DATES: In order to ensure review and processing of applications recommended for award prior to the expiration of FY 1997 appropriations, applications must be submitted by May 31, 1998. (FY 1997 appropriations expire in September of 1998.) SUPPLEMENTARY INFORMATION: Background The Departments of Labor and Education are reserving funds appropriated for FY 1997 under the Act (Pub. L. 103-329) for awarding State and Territory Implementation Grants authorized under section 212 of the Act. This notice contains the selection criteria and describes the review and [[Page 29121]] technical assistance process that will be used in evaluating applications submitted in response to this year's solicitation. Invitation for Application for New Awards Purpose of Program: Funds awarded under this solicitation will serve as ``venture capital'' to allow States and Territories to build comprehensive partnerships. These partnerships, including teachers, parents, students, schools, businesses, and alternative education providers will provide all youth with high-quality education that integrates classroom learning, hands-on work-based learning, and connecting activities, prepares them for success in high-skill, high wage careers, and helps them make the transition to further postsecondary education and training. Eligible Applicants: All States, including the District of Columbia and Puerto Rico, that did not receive a State Implementation Grant in FY 1994, FY 1995, or FY 1996, are eligible for Implementation Grants under this solicitation. This solicitation also applies to all seven Territories listed in section 212(b) of the Act. In accordance with the School-to-Work Opportunities Act, the Governor must submit the application on behalf of the State or Territory. Deadline for Transmittal of Applications: May 31, 1998. Further details on the application deadline are included in the application package which will be mailed to each eligible applicant. Telefacsimile (FAX) applications will not be honored. Availability of Applications: Application packages will be mailed directly to both the State and Territorial Governors and School-to-Work Development Grant contacts in each eligible State and Territory. These applications will be sent by overnight mail within one day of the publication of this notice in the Federal Register. Any other party interested in receiving a copy of the application package should contact: The National School-to-Work Office, 400 Virginia Avenue, S.W., Room 210, Washington, D.C. 20024. Telephone: (202) 401-6222. This is not a toll-free number. Available Funds: Approximately $56 million for States, DC and Puerto Rico; and $2 million for Territories (funding for the first twelve-month period). Estimated Range of Awards: The Departments expect the minimum award to be approximately $1.5 million and the maximum award to be approximately $10 million for States. For the Territories, the minimum award is anticipated to be approximately $200,000 and the maximum award to be approximately $475,000. The Departments wish to emphasize that, in accordance with sections 212, 213, 214, and 216 of the Act, the actual amount of each award made under this process will depend on such factors as the scope and quality of the plan and application, the number of projected participants in programs operating within each State or Territory School-to-Work Opportunities system, and the total youth population. Therefore, the Departments strongly encourage all applicants to consider these factors, and the estimated average grant award amount, in deciding the amount of funds to request. State applicants are discouraged from requesting significantly more funds than States with similar numbers of school-age youth received last year without a strong programmatic basis for doing so. (Information on previous years' State Implementation award amounts is contained in the application package.) Actual award amounts will be determined during negotiations with the Department of Labor's Grants Office; see note below on compressed four-year funding period for States. Estimated Average Size of Awards: $3.4 million for State awards, $ 285,000 for Territories. Estimated Number of Awards: Up to 15 State awards and 7 Territory awards. Note: The Departments are not bound by any estimates in this notice. Project Period of Performance: Up to 4 years (4 twelve-month grant periods). Note: States funded in previous Implementation Grant rounds were funded for up to five years. However, the Departments expect that the last appropriation for the School-to-Work Opportunities Act will be for FY 2000, which would provide for only four years of funding under this solicitation. It is anticipated that, subject to appropriations and grantee progress and expenditures, States funded under this solicitation in 1997 will receive the total amount they would have received through a five-year grant, but will receive it during a compressed, four-year period. Territories will likely receive no more than level funding in each of four years, due to the fact that the Act limits the amount to be used for awards to the Territories to not more than \1/2\ of one percent of each year's total School-to-Work appropriation. Both State and Territory awards are subject to appropriations and the grantee's progress toward its stated objectives. Applicable Regulations: 29 CFR Parts 33, 93, 95, 96, 97, 98. The selection criteria and definition published in this notice, as well as the instructions contained in the application package and the eligibility and other requirements specified in the Act, apply to this competition. For Additional Information Contact: Ms. Laura Cesario, U.S. Department of Labor, Employment and Training Administration, Division of Acquisition and Assistance, 200 Constitution Avenue, N.W., Room S- 4203, Washington, D.C. 20210. Telephone: (202) 219-7300, extension 111 (this is not a toll-free number). Individuals who use a telecommunications device for the deaf (TDD) may call the Federal Information Relay Service (FIRS) at 1-800-877-8339 between 8 a.m. and 8 p.m., Eastern time, Monday through Friday. [Reference: SGA# DAA--97-015.] Implementation Grant Competition Definition All definitions in the Act apply to School-to-Work Opportunities systems funded under this and future State and Territory Implementation Grant selection processes. Since the Act does not contain a definition of the term ``administrative costs'' as used in section 217 of the Act, the Departments will apply the following definition to this and future selection processes for State and Territory Implementation Grants: The term ``administrative costs'' means the activities of a State or local partnership that are necessary for the proper and efficient performance of its duties under the School-to-Work Opportunities Act and that are not directly related to the provision of services to participants or otherwise allocable to the system's allowable activities listed in section 215(b)(4) and section 215(c) of the Act. Administrative costs may be either personnel costs or non-personnel costs, and direct or indirect. Costs of administration shall include, but not be limited, to: (A) Costs of salaries, wages, and related costs of the grantee's staff engaged in: (1) Overall system management, system coordination, and general administrative functions; (2) Preparing program plans, budgets, and schedules, as well as applicable amendments; (3) Monitoring of local initiatives, pilot projects, subrecipients, and related systems and processes; (4) Procurement activities, including the award of specific subgrants, contracts, and purchase orders; (5) Developing systems and procedures, including management information systems, for assuring compliance with the requirements under the Act; (6) Preparing reports and other documents related to the Act; and [[Page 29122]] (7) Coordinating the resolution of audit findings. (B) Costs for goods and services required for administration of the system; (C) Costs of system-wide management functions; and (D) Travel costs incurred for official business in carrying out grant management or administrative activities. Note on Administrative Cost Cap: In accordance with section 215(b)(6) of the Act, a local partnership receiving a subgrant from State Implementation Grant funds awarded under this solicitation may use no more than 10 percent of that subgrant for administrative costs associated with carrying out the School-to-Work program activities in one fiscal year. A 10 percent cap on administrative costs applies to both State Implementation grantees and all State- funded local partnerships. This same cap applies to Territory Implementation grantees and their local partnerships. Review Process and Selection Criteria Territory Review Process In reviewing applications from the Territories, the Departments will utilize the selection criteria, point values, scoring system, and time frames described below for States. It is anticipated that the technical assistance and review process will also parallel that outlined for States. However, given such unique factors as the geography, government, demographics, educational systems, and economies of the Territories, and the special considerations that may affect School-to-Work design and implementation plans for these areas, the specific types and frequency of technical assistance offered will be determined by the federal review teams. The Territory review process will be managed by staff of the New York and San Francisco Regional Offices of the Departments of Education and Labor. State Review Process The Act anticipates that all States with comprehensive system plans will receive Implementation Grants through this voluntary initiative. However, in the first three rounds, limited resources and the large pool of States eligible to apply made it necessary to use a more competitive process to prioritize funding decisions, identifying those States most ready to begin implementing their systems. To date, 37 States have received implementation awards. The 1997 appropriation will allow the Departments to finance the remaining 15 States, as those States submit applications which address appropriately the provisions of the Act and this Notice, and demonstrate readiness to implement quality school-to-work systems. Based on the fact that adequate funds are now available to fund all States, the Departments have modified the State Implementation Grant review process. This will enable the Departments to meet the legislative intent that all interested States with comprehensive plans receive funding, and to provide States with adequate time to implement their systems prior to the Act's expiration in 2001. This year's process will be more flexible, while maintaining the rigor of prior rounds, and is designed to help all States make the transition from development to implementation. As discussed below, the Departments will provide technical assistance prior to and during the review, and will apply the selection criteria given below in evaluating State applications. * Ongoing assistance. The approach for this solicitation will facilitate better communication with potential applicants during the period when applications are being accepted, and in later steps. In this round, each applicant will be assigned a technical assistance/ review team, composed of the federal Grant Officer's Technical Representative, staff of the Departments of Education and Labor, and National School-to-Work Office staff. This team is responsible for providing and coordinating technical assistance for the State. Technical assistance efforts will focus on helping the applicants address any outstanding issues and finalize their plans. This same federal team will continue to work with the State throughout the review. Applicants will be able to discuss proposed application contents and share draft materials with the federal team prior to submitting the application. When the application is formally submitted for review, communications will continue. A two-phase review process will be used, as in previous rounds. During the first phase of the review, the team will be able to request additional documentation from the State to support sections that were not adequately addressed in the original submission, or travel to the site for strategic planning and problem-solving sessions, if necessary. After all criteria are met on paper, the review team will conduct a second-phase, on-site review to verify its findings. In the event that the site visit raises new concerns, the team will continue working with the State to address them. However, the Departments anticipate that the level of exchange and assistance available prior to the visit will do much to preempt this possibility. If the site visit confirms that the State is ready to implement, the team will make a funding recommendation to the School-to-Work Steering Committee and the Department of Labor Grants Office for approval. The review team will also participate in final negotiations with the State, led by the Department of Labor's Grants Office. * Review process. The selection criteria, point system and the process used to evaluate State Plans will be the same as previous years. As mentioned above, the first-phase evaluation of written applications will be followed by a second-phase, on-site review to confirm the applicant's readiness to implement. The Departments will base final funding decisions on information obtained during the application review and site visits, and are also interested in such factors as replicability, sustainability, innovation, and geographic balance and diversity of program approaches. * Rating system to pinpoint areas needing additional work. In order to isolate areas needing improvement before an application can be deemed acceptable, panelists will rate applications using the selection criteria and associated point values, and will then assign a rating of ``satisfactory'' or ``unsatisfactory'' to each major section, such as Comprehensive Statewide System, Participation of All Students, and Management Plan, based on the number of points received. The minimum ``satisfactory'' score will be approximately 70% of the total available points for that section. The State can then submit supporting materials in areas that lacked sufficient detail. After a minimum total score of 70 points has been reached, the State will receive a site visit, with the selection criteria again being applied. * Longer period to submit applications. In previous rounds, States generally had less than two months to submit applications. In this round, States will be able to file an application at any time during a period of approximately twelve months. This will allow for the provision of any necessary technical assistance prior to and during the review, while ensuring that all awards are obligated before the 1997 appropriations expire in September, 1998. A recommendation to approve or disapprove funding will be made to the Secretaries of Education and Labor for every State that submits an application by May 31, 1998, and receives a site visit. If a State submits an application, receives a site visit, and is not initially [[Page 29123]] approved for funding, the review team will continue to work with the State during the review period to bring the plan to an acceptable level. However, final recommendations for all applications for the FY 1997 funding cycle will be made by August 1, 1998, to ensure that the Department of Labor's Grants Office has adequate time to process awards and obligate funds. Selection Criterion 1: Comprehensive Statewide or Territory-wide System Points: 35. Considerations: In applying this criterion, reviewers will consider-- (a) 20 points. The extent to which the State or Territory has designed a comprehensive Statewide or Territorywide School-to-Work Opportunities plan that-- (1) Includes effective strategies for integrating school-based and work-based learning, integrating academic and vocational education, and establishing linkages between secondary and postsecondary education; (2) Is likely to produce systemic change in the way youth are educated and prepared for work and for further education, across all geographic areas of the State or Territory, including urban and rural areas, within a reasonable period of time; (3) Includes strategic plans for effectively aligning other Statewide or Territorywide priorities, such as education reform, economic development, and workforce development into a comprehensive system that includes the School-to-Work Opportunities system and supports its implementation at all levels--State, regional and local; (4) Ensures that all students, including school dropouts, will have a range of options, including options for higher education, additional training and employment in high-skill, high-wage jobs; and (5) Ensures coordination and integration with existing local education and training programs and resources, including those School- to-Work Opportunities systems established through local partnership grants and Urban/Rural Opportunities grants funded under Title III of the School-to-Work Opportunities Act, and related Federal, State, and local programs. (b) 15 points. The extent to which the State or Territory plan demonstrates the capability of the State or Territory to achieve the statutory requirements and to effectively put in place the system components in Title I of the School-to-Work Opportunities Act, including-- (1) The work-based learning component that includes the statutory mandatory activities and that contributes to the transformation of workplaces into active learning components of the education system through an array of learning experiences, such as mentoring, job- shadowing, unpaid work experiences, school-sponsored enterprises, supported work experiences, and paid work experiences; (2) The school-based learning component that will provide students, as well as school dropouts, with high level academic skills consistent with academic standards that the State or Territory establishes for all students, including, where applicable, standards established under the Goals 2000: Educate America Act; (3) A connecting activities component to provide a functional link between school and work activities and employers and educators for both students and school dropouts; and (4) A plan for an effective process for assessing students' skills and knowledge required in career majors, and the process for issuing portable skill certificates that are benchmarked to high quality standards such as those the State or Territory establishes under the Goals 2000: Educate America Act, and for periodically assessing and collecting information on youth outcomes, as well as a realistic strategy and timetable for implementing the process. Selection Criterion 2: Commitment of Employers and Other Interested Parties Points: 15. Considerations: In applying this criterion, reviewers will consider the following: (a) The extent to which the State or Territory has obtained the active involvement of employers and other interested parties listed in section 213(d)(5) of the Act, such as locally elected officials, secondary schools and postsecondary educational institutions (or related agencies), business associations, industrial extension centers, employees, labor organizations or associations of such organizations, teachers, related services personnel, students, parents, community- based organizations, rehabilitation agencies and organizations, registered apprenticeship agencies, local vocational educational agencies, vocational student organizations, State or regional cooperative education associations, and human service agencies, as well as State legislators or Territorial representatives. (b) Whether the State plan demonstrates an effective and convincing strategy for continuing the involvement of employers and other interested parties in the Statewide or Territorywide system, such as the parties listed in section 213(d)(5) of the Act, as well as State legislators or Territorial representatives. (c) The extent to which the State or Territory plan proposes to include private sector representatives as joint partners with educators in the oversight and governance of the overall School-to-Work Opportunities system. (d) The extent to which the State or Territory has developed strategies to provide a range of opportunities for employers to participate in the design and implementation of the School-to-Work Opportunities system, including membership on councils and partnerships; assistance in setting standards, designing curricula and determining outcomes; providing worksite experience for teachers; helping to recruit other employers; and providing worksite learning activities for students, such as mentoring, job shadowing, unpaid work experiences, supported work experiences, and paid work experiences. Selection Criterion 3: Participation of All Students Points: 15. Considerations: In applying this criterion, reviewers will refer to the definition of the term ``all students'' in section 4(2) of the Act, and consider the following: (a) The extent to which the State or Territory will implement effective strategies and systems to-- (1) Provide all students with equal access to the full range of program components specified in sections 102 through 104 of the Act and related activities such as recruitment, enrollment and placement activities; and (2) Ensure that all youth have meaningful opportunities to participate in School-to-Work Opportunities programs. (b) Whether the plan identifies potential barriers to the participation of any students or out-of-school youth, and the degree to which the plan proposes effective ways of overcoming these barriers. (c) The degree to which the State or Territory has developed realistic goals and methods for assisting young women to participate in School-to-Work Opportunities programs leading to employment in high- performance, high-paying jobs, including nontraditional jobs and has developed realistic goals to ensure an environment free from racial and sexual harassment. (d) The feasibility and effectiveness of the State or Territory's strategy for [[Page 29124]] serving youth from rural communities with low population densities. (e) The State or Territory's methods for ensuring safe and healthy work environments for youth, including strategies for encouraging schools and alternative education providers to provide youth with general awareness training in occupational safety and health as part of the school-based learning component, and for encouraging employers to provide risk-specific training as part of the work-based learning component. Note: Experience with the FY 1994, FY 1995 and FY 1996 School- to-Work Opportunities State Implementation Grant applications has shown that many applicants do not give adequate attention to designing systems that will serve school dropouts and systems that will serve students with disabilities. Therefore, the Departments would like to remind applicants that reviewers will consider whether an application includes strategies to specifically identify the barriers to participation of dropouts and students with disabilities and proposes specific methods for effectively overcoming such barriers and for integrating academic and vocational learning, integrating work-based learning and school-based learning, and linking secondary and postsecondary education for dropouts and students with disabilities. Applicants are reminded that JTPA Title II funds may be used to design and provide services to youth who meet the appropriate JTPA eligibility criteria. Selection Criterion 4: Stimulating and Supporting Local School-to-Work Opportunities Systems Points: 15. Considerations: In applying this criterion, reviewers will consider the following: (a) The effectiveness of the State or Territory's plan for ensuring that local partnerships include employers, representatives of local educational agencies and local postsecondary educational institutions (including representatives of area vocational education schools, where applicable), local educators (such as teachers, counselors, or administrators), representatives of labor organizations or nonmanagerial employee representatives, and students, and others such as those included in section 4(11)(B) of the Act. (b) The extent to which the State or Territory assists local entities to form and sustain effective local partnerships serving communities in all parts of the State. (c) Whether the plan includes an effective strategy for addressing the specific labor market needs of localities that will be implementing School-to-Work Opportunities systems. (d) The effectiveness of the State or Territory's strategy for building the capacity of local partnerships to design and implement local School-to-Work Opportunities systems that meet the requirements of the Act. (e) The extent to which the State or Territory will provide a variety of assistance to local partnerships, as well as the effectiveness of the strategies proposed for providing this assistance, including such services as: developing model curricula and innovative instructional methodologies, such as creative strategies for meeting the needs of school dropouts; expanding and improving career and academic counseling services; and assisting localities in the use of technology-based instructional techniques. (f) The effectiveness of the State or Territory's strategy for providing staff development to teachers, employers, mentors, counselors, related services personnel, and others who are critical to successful implementation of School-to-Work Opportunities systems for all youth, such as staff in alternative learning environments. (g) The ability of the State or Territory to provide constructive assistance to local partnerships in identifying critical and emerging industries and occupational clusters. Selection Criterion 5: Resources Points: 10. Considerations: In applying this criterion, reviewers will consider the following: (a) The amount and variety of other Federal, State, and local resources the State or Territory will commit to implementing its School-to-Work Opportunities plan, as well as the specific use of these funds, including funds for JTPA Summer and Year-Round Youth programs and Perkins Act programs. (b) The feasibility and effectiveness of the State or Territory's long-term strategy for using other resources, including private sector resources, to maintain the statewide system or territory-wide system when Federal resources under the School-to-Work Opportunities Act are no longer available. (c) The extent to which the State or Territory is able to limit administrative costs in order to maximize the funds spent on the delivery of services to youth, as required in section 214(b)(3)(B) of the Act, while ensuring the efficient administration of the School-to- Work Opportunities system. Criterion 6: Management Plan Points: 10. Considerations: In applying this criterion, reviewers will consider the following: (a) The adequacy of the management structure that the State or Territory proposes for the School-to-Work Opportunities system. (b) The extent to which the State or Territory's management plan anticipates barriers to implementation and proposes effective methods for addressing barriers as they arise. (c) Whether the application includes an evaluation plan containing feasible, measurable goals for the School-to-Work-Opportunities system, based on performance measures contained in section 402(a) of the Act. (d) The extent to which the evaluation plan includes an effective method for collecting information relevant to the State's progress in meeting its goals, and is likely to assist the State or Territory to meet its School-to-Work Opportunities system objectives, to gauge the success of the system in achieving those objectives, to continuously improve the system's effectiveness, and to contribute to the review of results across all States and Territories. (e) Whether the plan includes a feasible workplan for the School- to-Work Opportunities system that includes major planned objectives over a four-year period. Additional Priority Points As required by section 214(a)(1) and (a)(2) of the Act, the Departments will give priority to applications that demonstrate the highest level of concurrence among State or Territorial partners with the State or Territory's plan, and to applications that require paid, high quality work-based learning experiences as an integral part of the School-to-Work Opportunities system by assigning additional points-- above the 100 points described in the criteria--as follows: (a) Highest Levels of Concurrence--5 Points Up to 5 points will be awarded to applications that can fully demonstrate that each of the State or Territorial partners listed in section 213(b)(4) of the Act concurs with the State or Territory School-to-Work Opportunities plan, and that the State or Territorial partners' concurrence is backed by a commitment of time and resources to implement the plan. [[Page 29125]] (b) Paid, High-quality Work-based Learning--10 Points Up to 10 points will be awarded to applications that demonstrate that the State or Territory-- (1) Has developed effective plans for requiring, to the maximum extent feasible, paid, high-quality work experience as an integral part of the State or Territory's School-to-Work Opportunities system, and for offering the paid, high-quality work experiences to the largest number of participating students and school dropouts as is feasible; and (2) Has established methods for ensuring consistently high quality work-based learning experiences across the State or Territory. Program Authority: 20 U.S.C. 6101 et seq. Dated: May 20, 1997. Raymond J. Uhalde, Acting Assistant Secretary for Employment and Training, Department of Labor. Patricia W. McNeil, Assistant Secretary for Vocational and Adult Education, Department of Education. [FR Doc. 97-13966 Filed 5-28-97; 8:45 am] BILLING CODE 4510-30-P