Job Training Partnership Act, Title III Program; Career Management Accounts

DEPARTMENT OF LABOR

Job Training Partnership Act, Title III Program; Career

Management Accounts

AGENCY: Employment and Training Administration, Labor.

ACTION: Notice of availability of funds and solicitation for grant

application (SGA).

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SUMMARY: The U.S. Department of Labor (DOL), Employment and Training

Administration (ETA), announces a demonstration program to provide

dislocated workers with re-employment and retraining services through

individual career management accounts. The demonstration program will

be funded with Secretary's National Reserve funds appropriated through

Title III of the Job Training Partnership Act (JTPA). This notice

describes the process that eligible entities must use to apply for

demonstration funds, the subject area for which applications will be

accepted for funding, how grantees are to be selected, and the

responsibilities of grantees. It is anticipated that up to $3 million

will be available for funding the demonstration projects covered by

this solicitation. Everything needed to apply is contained in this

announcement.

DATES: Applications for grant awards will be accepted commencing

November 28, 1994. The closing date for receipt of applications will be

January 20, 1995, at 2:00 p.m. (Eastern Time) at the address below.

ADDRESSES: Applications shall be mailed to: U.S. Department of Labor,

Employment and Training Administration, Division of Acquisition and

Assistance, Attention: Mr. Willie E. Harris, Reference: SGA/DAA 94-22,

200 Constitution Avenue, NW., Room S-4203, Washington, DC 20210.

FOR FURTHER INFORMATION CONTACT: Mr. Willie E. Harris, Division of

Acquisition and Assistance, Telephone: (202) 219-8706 (this is not a

toll-free number).

SUPPLEMENTARY INFORMATION: This announcement consists of four parts.

Part I describes the authorities and purpose of the demonstration

program and identifies demonstration policy and topics. Part II

describes the application process and provides detailed guidelines for

use in applying for demonstration grants. There is no separate

application package. Part III includes the statement of work for the

demonstration projects. Part IV identifies and defines the selection

criteria which will be used in reviewing and evaluating applications.

Part V describes the reporting requirements.

Part I. Background

A. Authorities

Section 324 of the Job Training Partnership Act authorizes the use

of funds reserved under Part B of Title III for demonstration programs

of up to three years in length. Under section 324, the Secretary is

required to conduct or provide for an evaluation of the success of each

demonstration program.

B. Purpose of the Demonstration

Projects funded through this solicitation are to provide

reemployment and retraining services--as described in sections 314(c),

314(d) and 314(e) of JTPA--to dislocated workers through the use of

individual career management accounts. The goals of career management

accounts are to:

--Increase customer choice;

--Allow maximum flexibility in customizing services, and service

delivery, to the needs of the individual dislocated worker;

--Expand the resources and sources of assistance which are available to

the individual dislocated worker.

The purpose of this demonstration is to determine if career management

accounts are an administratively feasible approach for achieving these

goals.

C. Demonstration Policy

1. Awards

DOL will select three to five applicants to conduct demonstrations

of the use of career management accounts. It is anticipated that

individual grant awards will be up to a maximum of $1,000,000 each.

2. Evaluation

Each grantee must establish a process whereby eligible dislocated

workers are referred, after an assessment of individual needs, to a

treatment group which will be served through the use of career

management accounts. As described in Sections III.F and III.G of this

solicitation, project designs will be expected to address both

quantitative and qualitative measures of participant outcomes,

including customer satisfaction.

Under a separate announcement, DOL will select and fund separate

evaluation contractors to: (1) provide technical assistance to selected

grantees in establishing appropriate data collection methods and

processes; and (2) conduct an independent evaluation of the outcomes,

impacts and benefits of the demonstration projects. Grantees will be

expected to make available participant records and access to personnel,

as specified by the evaluation contractor.

In addition, DOL will establish, for each demonstration project

site, an oversight group made up of federal, State and substate staff.

3. Eligible Participants

Workers eligible for assistance under these demonstration grants

are those individuals who are ``eligible dislocated workers'' in

accordance with Section 301(a) or Section 314(h) of the Job Training

Partnership Act (JTPA).

4. Allowable Activities

Grant funds awarded under this demonstration may be used to provide

the services described in JTPA Section 314(c), Section 314(d) and

Section 314(e). These services are more fully described in the statute.

In addition, funds may be used to cover the costs of developing and

implementing processes or mechanisms by which an individual worker can

manage his/her ``career account'' and access payments for the costs of

reemployment and retraining services at qualified providers. Funds may

also be used to cover administrative costs, including the costs

associated with establishing coordination with the unemployment

compensation system, as described at Section 314(f).

5. Cost Limitations

Demonstration grants are not subject to the cost limitations for

formula-funded Title III grants at Section 315 of the JTPA. However,

any offeror proposing administrative costs that exceed 15 percent of

the budget or needs-related payments and supportive services that

exceed 25 percent of the funds requested in the application shall

provide a narrative justification.

D. Demonstration Topic

DOL is soliciting applications for demonstrations of the

feasibility of establishing career management accounts for individual

workers. Career management accounts are funding commitments, which can

be accessed by eligible individuals, to pay for the cost of training

and other career or employment transition services allowable under the

grant. The career management account is intended to provide maximum

flexibility to the individual worker in selecting the types, timing and

sources of career and employment transition assistance. The account is

tied to the individual worker. However, to optimize the use of

resources available from other funding sources, the account should

provide the means to accept credits or deposits from multiple sources.

Part II. Application Process

A. Eligible Applicants

Eligible applicants for demonstration projects funded under this

announcement are States and Title III substate grantees. States and

substate grantees are defined at Section 301 of the Act. An application

from a State agency shall be submitted by the Governor. An application

from a substate grantee shall include written comments from the

Governor. An application from a state should include comments, or a

letter of support, from each substate area in which the Career

Management Account System is to be implemented.

To adequately test the career management account concept,

applicants must be able to serve at least 200 individuals during the

grant period of performance. It is expected that funds under this grant

will provide no more than 50% of the funding support for the career

management accounts. Other public and private funds, including JTPA

Title III formula funds, should be used to provide the additional

funding support.

DOL expects that, in such cases where more than one eligible entity

(e.g., State and SSG, two or more adjacent SSGs) wishes to apply for a

grant to serve the same target population, applicants will establish

appropriate linkages and submit a single application under a single

proposed administrative entity.

B. Submission of Proposals

An original and three (3) copies of the proposal shall be

submitted. The proposal shall consist of two (2) separate and distinct

parts--Part I, the Financial Proposal, and Part II, the Technical

Proposal.

1. Financial Proposal. The Financial Proposal, Part I, shall

contain the SF-424, ``Application for Federal Assistance'' (Appendix

No. 1), and SF 424-A, ``Budget'' (Appendix No. 2). The Federal Domestic

Assistance Catalog number is 17.246. The budget shall include on

separate pages: a cost analysis of the budget, identifying in detail

the amount of each budget line item attributable to each of the Title

III cost categories at Section 314 of JTPA for funds requested through

this grant; and an identification of the amount of each budget line

item which will be covered by other funds, and the sources of those

funds (including employer funds, in-kind resources, secured and

unsecured loans, grants, and other forms of assistance, public and

private).

Federal funds cannot be used to support training which an employer

is in a position to, and would otherwise, provide. Federal funds may

not be used for acquisition of production equipment. The only type of

equipment that may be acquired with Federal funds is equipment

necessary for the operation of the grant. Grant funds may cover only

those costs which are appropriate and reasonable. In the instance of a

purchase, the cost of the equipment is to be prorated over the

projected life of the equipment to determine the cost to the grant.

Awardee must receive prior approval from the Department of Labor/

Employment and Training Administration's Property 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 OMB Circulars A-102 and A-110. This includes the

purchase of ADP equipment. The request must be directed through your

GOTR and must include a detailed description and cost of the items to

be acquired.

Applicants may budget limited amounts of grant funds to work with

technical expert(s) to provide advice and develop more complete project

plans.

2. Technical Proposal. The technical proposal, Part II, shall

demonstrate the offeror's capabilities in accordance with the Statement

of Work in Section III. NO COST DATA OR REFERENCE TO PRICE SHALL BE

INCLUDED IN THE TECHNICAL PROPOSAL.

3. Page Count Limit. Applications are to be limited to 30 single-

side pages, single-spaced. The technical proposal should include a 2 to

3 page executive summary.

C. Hand-Delivered Proposals

Proposals should be mailed at least five (5) days prior to the

closing date. However, if proposals are hand-delivered, they must be

received at the designated place by 2 p.m., Eastern Time by January 20,

1995. All overnight mail will be considered to be hand-delivered and

must be received at the designated place by the specified time and

closing date. Telegraphed and/or faxed proposals will not be honored.

Failure to adhere to the above instructions will be a basis for a

determination of nonresponsiveness.

D. Late Proposals

Any proposal received at the office designated in the solicitation

after the exact time specified for receipt will not be considered

unless it is received before award is made and it--

(1) Was sent by the U.S. Postal Service registered or certified

mail not later than the fifth calendar day before the date specified

for receipt of the application (e.g., an offer submitted in response to

a solicitation requiring receipt of applications by the 20th of the

month must have been mailed by the 15th); or

(2) Was sent by U.S. Postal Service Express Mail Next Day Service--

Post Office to Addressee, not later than 5 p.m. at the place of mailing

two working days prior to the date specified for receipt of proposals.

The term ``working days'' excludes weekends and U.S. Federal holidays.

The only acceptable evidence to establish the date of mailing of a

late proposal sent either by the U.S. Postal Service registered or

certified mail is the U.S. postmark both on the envelope or wrapper and

on the original receipt from the U.S. Postal Service. Both postmarks

must show a legible date or the proposal shall be processed as if

mailed late. ``Postmark'' 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 and

affixed by employees of the U.S. Postal Service on the date of mailing.

Therefore, applicants should request the postal clerk to place a

legible hand cancellation ``bull's eye'' postmark on both the receipt

and the envelope or wrapper.

The only acceptable evidence to establish the date of mailing of a

late proposal sent by ``Express Mail Next Day Service--Post Office to

Addressee'' is the date entered by the post office receiving clerk on

the ``Express Mail Next Day Service--Post Office to Addressee'' label

and the postmark on both the envelope and wrapper and on the original

receipt from the U.S. Postal Service. ``Postmark'' has the same meaning

as defined above. Therefore, applicants should request the postal clerk

to place a legible hand cancellation ``bull's eye'' postmark on both

the receipt and the envelope or wrapper.

E. Withdrawal of Proposals

Proposals may be withdrawn by written notice or telegram (including

mailgram) received at any time before award. Proposals may be withdrawn

in person or by an applicant or an authorized representative thereof,

if the representative's identity is made known and the representative

signs a receipt for the proposal before an award.

F. Period of Performance

The period of performance will be from the date of grant execution

through June 30, 1997.

G. Funding

DOL has set aside up to $3 million to be disbursed, contingent upon

resources being available for this purpose. It is expected that grant

awards will be up to a maximum of $1 million each.

H. Option to Extend

Based on the availability of funds, effective program operation and

the needs of the Department, options for annual funding of up to two

(2) additional years for project operation may be provided.

Part III. Government's Requirement/Statement of Work Solicitation

Specifications

Each application must include in the appropriate section(s): (1)

Information that indicates adherence to the provisions described in

Part I of this announcement; (2) information that responds to the

requirements in this part; and (3) other information the offeror

believes will address the selection criteria identified in Part III.

Each application should follow the format outlined here:

A. Target Group

A description of the process to be used to identify participants to

be served through this demonstration project from among the total

number of eligible individuals. A description of the criteria and

process for selecting individuals to be served through Career

Management Accounts from the total number of eligible dislocated

workers. For the purpose of this demonstration, participants should be

selected from those eligible individuals who are in need of more

intensive assistance, including education and training services.

B. Components of the Career Management Account System

An identification of the major elements of the career management

account system and a description of how the system works in terms of

the individual worker getting access to the reemployment and retraining

services which that individual needs. Specifically:

How will the reemployment and retraining service needs of

the individual worker be determined?

What information will be available to the worker to

identify and evaluate alternative reemployment opportunities? How will

this information be developed? How will the worker be able to access

this information?

What services will be covered by the career management

account?

How will qualified providers, which can be used by

participants with career management account funds, be determined?

What information will be available to the worker to

identify and evaluate optional providers of services and training? How

will this information be developed?

How will the worker be able to access this information?

How will the amount of funds in an individual's career

management account be determined?

How are funds in the career management account accessed?

What is the time period in which the account is available

to an individual (i.e. is there an established expiration date at the

time of issuance)?

How will a participant's continuing participation in the

program be monitored? At what point(s) will termination occur?

C. Use of Existing Services and Resources

An identification of the specific sources and amounts of other

funds which will be used, in addition to funds provided through this

grant, to implement the project. The application must include

information on the non-JTPA resources committed to this project,

including employer funds, secured and unsecured loans, grants, and

other forms of assistance, public and private. The application shall

also describe the relationship of this project to the ongoing

assistance to dislocated workers through the formula-funded JTPA Title

III program(s) in the service area.

D. Coordination and Linkages

A description of the consultation with relevant parties in

developing the project design and of the role of these parties in

implementing the project. Required consultation shall include: State

JTPA Dislocated Worker Unit, Substate Title III grantee(s) and

administrative entity(ies), organized labor, and local organizations in

the project service area providing education, training and supportive

services.

E. Participant Services

A description of the services to be available and/or provided to

participants. The services supported with funds under this grant must

be allowable under Section 314 of the Act. This description should

include a participant service flowchart indicating the sequence in the

participant service process and the criteria/decision points which are

used to determine the appropriateness of specific services for

individual participants.

F. Outcomes

A description of the project outcomes and of the specific measures,

and planned achievement levels, that will be used to determine the

success of the project. These outcomes and measures should include, but

are not limited to:

The number of participants projected: to be enrolled in

services, to successfully complete services through the project, and to

be placed into jobs;

Measurable effects of the services provided to project

participants as indicated by gains in individuals' skills,

competencies, or other outcomes;

Average wages of participants prior to and at completion

of project;

Customer satisfaction with the new job compared to the job

from which they were dislocated;

Other measures of customer satisfaction that relate to

both the outcomes attained and the service process; and

Any additional measurable, performance-based outcomes that

are relevant to the proposed intervention and which may be readily

assessed during the period of performance of the project.

[Note: An explanation of how such additional measures are

relevant to the purpose of the demonstration program shall be

included in the application.]

The applicant shall include in its proposal Program Year 1993

performance data on these measures, to the extent feasible, for its

regular JTPA Title III program.

The proposal shall also describe how outcomes achieved by

individuals using career management accounts will be compared to

outcomes achieved by individuals receiving assistance through the

existing JTPA Title III program service process.

G. Customer feedback

Provide a description of the process and procedures to be used to

obtain feedback from individuals--both those served through the project

and those served through the regular JTPA Title III program--on the

responsiveness and effectiveness of the services provided. The

description should include an identification of the types of

information to be obtained, the method(s) and frequency of data

collection, and how the information will be used in implementing and

managing the project. It is expected that grantees may employ focus

groups and surveys, in addition to other methods, to collect feedback

information.

H. Replicability

Provide a description of the applicant's plans for continuing or

replicating the project.

I. Definitions

Unless otherwise indicated in this announcement, definitions of

terms used herein shall be those definitions found in the Job Training

Partnership Act, as amended, particularly at Section 4 and Section 301.

Part IV. Evaluation Criteria

Prospective offerors are advised that the selection of grantee(s)

for award is to be made after careful evaluation of proposals by a

panel of specialists selected by DOL. Panelists will evaluate the

proposals for acceptability with emphasis on the various factors

enumerated below. The panel results are advisory in nature and not

binding on the Grant Officer. Evaluations will be made on the basis of

both what the proposed offeror intends to do during the grant period,

and on the usefulness of the demonstration after the end of the grant

period.

A. Technical Evaluation (75 points)

Services and Target Group. The responsiveness of the services to be

provided, including the degree to which the services appear to meet the

needs of the target population. The degree to which the services to be

provided and the process for selecting eligible individuals to be

served through individual career management accounts are appropriate to

the objectives of this demonstration. (20 points)

Career Management Account System Design. The completeness of the

description of career management system. The extent to which the system

creates more flexibility and individual choice for the individual

worker. The extensiveness/scope of the service provider network. (30

points)

Coordination and Linkages; Utilization of Resources. The extent to

which the project will be integrated with other existing public and

private resources, and is supported by appropriate State and local

organizations. Extent to which project design clearly leverages funds

from non-JTPA sources. (15 points)

Evaluation and replicability. The completeness of the description

of the methods which will be used to determine the performance of the

project, including assessments of customer satisfaction. The likelihood

that the approach may be applicable to the full range of dislocated

worker programs across the country. (10 points)

B. Cost Evaluation (25 points)

The cost effectiveness of the project as indicated by the

relationship of proposed costs to number of participants to be served,

the range of services to be provided and the planned outcomes.

Applicants are advised that discussions may be necessary in order

to clarify any inconsistencies in their applications. Applications may

be rejected where the information required is not provided in

sufficient detail to permit adequate assessment of the proposal. The

final decision on the award will be based on what is most advantageous

to the Federal Government as determined by the ETA Grant Officer.

Part V. Reporting Requirements

A. Dislocated Worker Special Project Reports as required by the

grant award documents.

B. Quarterly Financial Reports.

C. Quarterly Progress Reports.

D. Final Project Report including an assessment of project

performance.

Appendices

No. 1--Application for Federal Assistance (Standard Form 424)

No. 2--Non-Construction Budget Form (Standard Form 424A)

No. 3--Financial Status Report Form (Standard Form 269)

Signed at Washington, D.C., this 18th day of November, 1994.

Janice E. Perry

Grant/Contracting Officer.

Application for Federal Assistance

1. Type of Submission:

Application

{time} Construction

{time} Non-Construction

Preapplication

{time} Construction

{time} Non-Construction

2. Date Submitted------------------------------------------------------

3. Date Received by State----------------------------------------------

4. Date Received by Federal Agency-------------------------------------

Applicant Identifier---------------------------------------------------

State Application Identifier-------------------------------------------

Federal Identifier-----------------------------------------------------

5. Applicant Information:

Legal Name:------------------------------------------------------------

Organizational Unit:---------------------------------------------------

Address----------------------------------------------------------------

(give city, county, state, and zip code):

Name and telephone number of the person to be contacted on

matters involving this

application:-----------------------------------------------------------

(give area code)

6. Employer Identification Number (EIN):

7. Type of Applicant:

(enter appropriate letter in box) {time}

A. State

B. County

C. Municipal

D. Township

E. Interstate

F. Intermunicipal

G. Special District

H. Independent School Dist.

I. State Controlled Institution of Higher Learning

J. Private University

K. Indian Tribe

L. Individual

M. Profit Organization

N. Other (Specify): __________________

8. Type of Application:

{time} New

{time} Continuation

{time} Revision

If Revision, enter appropriate letter(s) in box(es): {time}

A. Increase Award

B. Decrease Award

C. Increase Duration

D. Decrease Duration

Other (specify):

9. Name of Federal Agency:

----------------------------------------------------------------------

10. Catalog of Federal Domestic Assistance Number:

11. Descriptive Title of Applicants Project:

Title:-----------------------------------------------------------------

12. Areas Affected by Project------------------------------------------

(cities, counties, states, etc.):

13. Proposed Project:

14. Congressional Districts of:

Start Date-------------------------------------------------------------

Ending Date------------------------------------------------------------

a. Applicant-----------------------------------------------------------

b. Project-------------------------------------------------------------

15. Estimated Funding:

a. Federal

$.00

b. Applicant

$.00

c. State

$.00

d. Local

$.00

e. Other

$.00

f. Program Income

$.00

g. Total

$.00

16. Is Application Subject to Review by State Executive Order

12372 Process?

a. Yes. This preapplication/application was made available to

the State Executive Order 12372 Process for Review on:

Date---------------------------------------------------------------

b. No.

{time} Program is Not Covered by E.O. 12372

{time} Or Program has not Been Selected by State for Review

17. Is the Applicant Delinquent on any Federal Debt?

{time} Yes If ``Yes.'' attach an explanation

{time} No

18. To the best of my knowledge and belief. All data in this

application/preapplication are true and correct, the document has

been duly authorized by the governing body of the Applicant and the

Applicant will comply with the attached assurances if the assistance

is awarded

a. Typed Name of Authorized

Representative---------------------------------------------------------

b. Title---------------------------------------------------------------

c. Telephone number----------------------------------------------------

d. Signature of Authorized

Representative---------------------------------------------------------

a. Date Signed---------------------------------------------------------

Previous Editions Not Usable.

Standard Form 424 (REV 4-88)

Prescribed by OMB Circular A-102

Instructions for the SF 424

This is a standard form used by applicants as a required

facesheet for preapplications and applications submitted for Federal

assistance. It will be used by Federal agencies to obtain applicant

certification that States which have established a review and

comment procedure in response to Executive Order 12372 and have

selected the program to be included in their process, have been

given an opportunity to review the applicant's submission.

Item No. and Entry

1. Self-explanatory.

2. Date application submitted to Federal agency (or State if

applicable) & applicant's control number (if applicable).

3. State use only (if applicable).

4. If this application is to continue or revise an existing

award, enter present Federal identifier number. If for a new

project, leave blank.

5. Legal name of applicant, name of primary organizational unit

which will undertake the assistance activity, complete address of

the applicant, and name and telephone number of the person to

contact on matters related to this application.

6. Enter Employer Identification Number (EIN) as assigned by the

Internal Revenue Service.

7. Enter the appropriate letter in the space provided.

8. Check appropriate box and enter appropriate letter(s) in the

space(s) provided:

--``New'' means a new assistance award.

--``Continuation'' means an extension for an additional funding/

budget period for a project with a projected completion date.

--``Revision'' means any change in the Federal Government's

financial obligation or contingent liability from an existing

obligation.

9. Name of Federal agency from which assistance is being

requested with this application.

10. Use the Catalog of Federal Domestic Assistance number and

title of the program under which assistance is requested.

11. Enter a brief descriptive title of the project. If more than

one program is involved, you should append an explanation on a

separate sheet. If appropriate (e.g., construction or real property

projects), attach a map showing project location. For

preapplications, use a separate sheet to provide a summary

description of this project.

12. List only the largest political entities affected (e.g.,

State, counties, cities).

13. Self-explanatory.

14. List the applicant's Congressional District and any

District(s) affected by the program or project.

15. Amount requested or to be contributed during the first

funding/budget period by each contributor. Value of in-kind

contributions should be included on appropriate lines as applicable.

If the action will result in a dollar change to an existing award,

indicate only the amount of the change. For decreases, enclose the

amounts in parentheses. If both basic and supplemental amounts are

included, show breakdown on an attached sheet. For multiple program

funding, use totals and show breakdown using same categories as item

15.

16. Applicants should contact the State Single Point of Contact

(SPOC) for Federal Executive Order 12372 to determine whether the

application is subject to the State intergovernmental review

process.

17. This question applies to the applicant organization, not the

person who signs as the authorized representative. Categories of

debt include delinquent audit disallowances, loans and taxes.

18. To be signed by the authorized representative of the

applicant. A copy of the governing body's authorization for you to

sign this application as official representative must be on file in

the applicant's office. (Certain Federal agencies may require that

this authorization be submitted as part of the application.)

Part II--Budget Information

Section A--Budget Summary by Categories

------------------------------------------------------------------------

(A) (B) (C)

------------------------------------------------------------------------

1. Personnel.......................................

2. Fringe Benefits (Rate %)........................

3. Travel..........................................

4. Equipment.......................................

5. Supplies........................................

6. Contractual.....................................

7. Other...........................................

8. Total, Direct Cost (Lines 1 through 7)..........

9. Indirect Cost (Rate %)..........................

10. Training Cost/Stipends.........................

11. Total Funds Requested (Lines 8 through 10).....

------------------------------------------------------------------------

Section B--Cost Sharing/Match Summary (if appropriate)

------------------------------------------------------------------------

(A) (B) (C)

------------------------------------------------------------------------

1. Cash Contribution...............................

2. In-Kind Contribution............................

3. Total Cost Sharing/Match (Rate %)...............

------------------------------------------------------------------------

Note: Use Column A to record funds requested for the initial period of

performance (i.e. 12 months, 18 months, etc.); column B to record

changes to Column A (i.e. requests for additional funds or line item

changes; and Column C to record the totals (A plus B).

(Instructions on Back of Form)

[FR Doc. 94-29143 Filed 11-25-94; 8:45 am]

BILLING CODE 4510-30-M