Job Training Partnership Act: Title III National Reserve Grants Application Procedures

SUMMARY: The Employment and Training Administration of the U.S.

Department of Labor (Department or DOL) is announcing policies and

procedures for accessing funds to implement programs, pursuant to

sections 323(a), 323(b), 325, 325A and 326 of the Job Training

Partnership Act (the Act or JTPA). Applications prepared and submitted

pursuant to these guidelines and received at the address below will be

considered. These guidelines supersede guidelines for National Reserve

Account grants previously published in the Federal Register on February

7, 1992, July 9, 1992, and July 19, 1993. Grant awards will be made

only to the extent that funds remain available.

DATES: The grant policies and procedures described in these guidelines

shall be effective immediately, and shall remain in effect until

further notice. Funds are available for obligation by the Secretary of

Labor (the Secretary) under Sections 302(a)(2) and 323 of the JTPA.

Applications will be accepted on an ongoing basis as the need for funds

arises at the State and local level. Applicants are strongly encouraged

to submit fully documented applications as early as possible following

notice of the dislocation event.

ADDRESSES: An original plus one copy of the application must be mailed

or hand delivered to: Office of Grants and Contracts Management,

Division of Acquisition and Assistance, Employment and Training

Administration, U.S. Department of Labor, Room S-4203, 200 Constitution

Avenue, NW, Washington, DC 20210; Attention: James C. DeLuca, Grant

Officer. The application must be paginated and unbound. A copy of the

application must simultaneously be mailed or delivered to the

appropriate Regional Office(s) of the Employment and Training

Administration. [A list of the Regional Offices is provided in Appendix

A.] Emergency applications may be sent to the Grant Officer by

electronic transmission (FAX No.: 202/219-8739) with a hard copy

followup within one day of the transmission, but the Department prefers

that an applicant use an overnight mail service.

FOR FURTHER INFORMATION CONTACT: Ms. Shirley M. Smith, Chief, Division

of Program Implementation, Office of Worker Retaining and Adjustment

Programs. Telephone: 202/219-5577. (This is not a toll free number).

Application packages and instructions and technical assistance on

application requirements are available from Regional Offices of the

Employment and Training Administration (see Appendix A) and from the

Office of Worker Retraining and Adjustment Programs, Employment and

Training Administration, U.S. Department of Labor, Room N-5426, 200

Constitution Avenue, NW., Washington, DC 20210.

SUPPLEMENTARY INFORMATION: The Department announces the availability of

funds for grants to provide training, adjustment assistance, and

employment services for dislocated workers, as defined in Sections

301(a), 314(h)(1), 325 (a) and (e), 325A (b) and (f), and 326(a)(1) of

JTPA.

The application procedures, selection criteria, and approval

process contained in this notice are issued pursuant to the JTPA

regulations at 20 CFR 631.61.

This program announcement consists of five parts and five

appendices:

Part I provides background and basic DOL policies and emphases

for discretionary grants under sections 323, 325, 325A and 326 of the

Act;

Part II describes specific program and administrative

requirements that will apply to all grant awards;

Part III describes basic grant application submission

requirements and the criteria that will be used to evaluate

applications for funding;

Part IV describes responsibilities for oversight and

performance management of awarded grants; and

Part V describes the circumstances requiring and approval

criteria for grant modification requests.

The appendices include directories of ETA Regional Offices and State

Offices, copies of required assurances and certifications, and

definitions of key terms.

Copies of complete application packages and instructions are

available from ETA Regional Offices (see Appendix A) and State

Dislocated Worker Units (see Appendix C).

The JTPA Title III program is listed in the Catalogue of Federal

Domestic Assistance at No. 17-246 ``Employment and Training

Assistance--Dislocated Workers (JTPA Title III Programs).''

Signed in Washington, DC on this 19th day of September, 1996.

Timothy M. Barnicle,

Assistant Secretary of Labor.

Part I

A. Background

The guidelines for the submission, award and management of JTPA

Title III National Reserve Account (NRA) grants are designed and

intended to foster efficient and responsive disbursement, and effective

use of NRA funds. A primary objective of these guidelines is to

establish a process which results in timely assistance to eligible

dislocation events while supporting accomplishment of the quality

service principles which have been defined by DOL for its customers.

These principles are:

Early intervention and contact with affected workers;

Effective planning which mobilizes a full range of services

and resources;

Flexible, individualized service approaches which are tailored

to the needs of the workers and circumstances of the dislocation event;

and

Service-delivery that achieves quality outcomes for the

affected workers.

To ensure that NRA grant awards achieve these service principles, the

NRA guidelines were developed by a Federal- State-local workgroup of

representatives from each of the partner organizations involved in the

implementation and management of NRA projects. The workgroup focused on

developing guidelines which reflect the key principles of quality

management: strategic planning, customer-driven quality, strong

processes and continuous improvement, and management by facts/

information.

B. DOL Policies and Emphases

1. DOL is establishing four primary objectives regarding the use of

NRA funds:

Effective use and integration of NRA funds with other

available resources (e.g., Title III formula, Pell grants, Trade

Adjustment Assistance);

Targeting resources to need;

Providing quality services and achieving quality outcomes for

customers;

Timely submission and processing of applications and

implementation of services.

To support these objectives, DOL is committing to a 45 (calendar) day

turnaround between the receipt of a complete application and a funding

decision by the Secretary. The review and approval process presumes an

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active review role by the State JTPA entity, including the Dislocated

Worker Unit (DWU), to ensure the submission of complete and responsive

applications. DOL expects that the State will not require more than 15

(calendar) days following its receipt of a complete application to

review and transmit that application to the Grant Officer and the ETA

Regional Office.

2. DOL is implementing two policies designed to support more

flexible funding of projects and more timely delivery of services to

eligible workers:

a. Grant Officer authority to approve, in appropriate cases, the

use of grant funds to pay for pre-award costs of reemployment and

retraining services specifically identified in the grant award document

that were or are being provided to members of the eligible target

group; and

b. Incremental or phased funding where appropriate.

These policies are intended to support a quality-based approach to

the design and delivery of services to eligible dislocated workers.

Quality improvements in services and outcomes achieved for dislocated

workers are an important goal of NRA grant projects. The

appropriateness of these funding options will be evaluated on a case-

by-case basis.

In general, authorization of pre-award costs will only occur in

exceptional circumstances where: (1) It was necessary for the State or

substate to provide previously committed funds to serve the immediate

needs of the eligible target group prior to the date of the grant

award; and (2) it can be demonstrated that the needed action was due to

an unanticipated or unusual circumstance and not as a result of

untimely planning or submission of the funding request. Funds awarded

in one Program Year cannot be used to pay for the costs of services

incurred in a prior Program Year.

3. DOL expects that applications for NRA grant funds will flow from

effective rapid response and early intervention activities, a

significant State and local project planning effort, and will ensure an

integration of all available resources (e.g., formula, discretionary,

other public and private) to support the project plan. Applicants are

required to provide rapid response-type, early intervention services in

conjunction with any dislocation event for which NRA grant assistance

is provided.

4. Application requirements are focused more on the use of quality

participant service and management processes, and less on detailed

operational planning decisions.

Applicants are expected to use NRA grant funds to implement

innovative projects which achieve high quality services and outcomes

for the dislocated workers who are served. Customer satisfaction

measurement and continuous improvement will be required elements in

each NRA grant project.

In summary, the guidelines provide more flexibility, but increase

expectations regarding the linkage between discretionary grants and:

rapid response and project planning activities; the mobilization and

use of all available resources; and the implementation of quality

service strategies and management processes.

Part II

Under Section 322(a), the Secretary has the responsibility to

target resources efficiently to areas of most need, to encourage a

rapid response to economic dislocations, and to promote the effective

use of funds. In addition, Title III national reserve funds should

provide a model for promoting higher quality services and outcomes in

all dislocated worker programs.

A. Policies and Requirements Governing the Use of Title III National

Reserve (NRA) Funds

1. All projects and activities funded shall be subject to the Act,

the JTPA regulations, the requirements contained in the application

instructions, and the Grant Officer's award document(s) and any

subsequent grant amendment(s).

2. Grant applications should be an outgrowth of an effective early

intervention process. Applications for NRA funds should be the result

of a planning process which has been activated through State rapid

response and, as appropriate, an early intervention assistance process

that may include the use of formula funds to initiate basic

readjustment, retraining and supportive services. In cases where

formula funds have been used to provide services (excluding rapid

response, which is the State's responsibility) to the eligible target

group prior to the date of grant award and the availability of formula

funds in the State is limited, the Grant Officer may authorize the use

of grant funds to pay for the costs of these services.

3. National reserve funds should supplement and expand the State

and substate capability to respond effectively to dislocation events.

NRA projects should generally be funded from multiple sources; and NRA

funds should be used both to serve more dislocated workers and to

achieve higher quality services and outcomes than may be possible

through the formula funded program alone. States and substate areas are

expected to make maximum use of funds provided for the purpose of

serving eligible dislocated workers. Requests for NRA funds, therefore,

will be evaluated in terms of the policy delineated in Training and

Employment Guidance Letter (TEGL) 7-95, and any subsequent

modifications thereto, regarding intertitle transfers of funds under

JTPA, as authorized by the FY 1996 Omnibus Appropriations Act.

Grantees will be expected to make a maximum effort to assist each

eligible participant to apply and qualify for available sources of

student financial assistance, consistent with the provisions of

Sec. 627.220 of the JTPA Regulations. It is important to note that

student financial assistance not only provides more resources to the

program, but also provides more resources, and expands the options, to

the participant.

When an employer or other entity offers a tuition payment or

tuition reimbursement program for the eligible workers, the grantee

and/or project operator shall work with the employer/entity to

establish an appropriate process for accessing the funds to pay for the

costs of worker training.

4. NRA funded projects should support the key ETA service goals and

be designed around principles that have been shown to be effective in

achieving positive outcomes for dislocated workers (e.g., transition

service centers, mechanisms for active employer and worker input in

design and operation of the project, methods of continuous improvement

based on customer feedback).

5. The NRA grant process should recognize and provide a means for

responding to the fluidity of dislocation events. The Secretary may use

an incremental funding approach to respond to dislocation events as

determined by need. Incremental funding of a grant can be at the

request of the applicant or at the discretion of the Secretary.

B. Eligible Circumstances for Use of NRA Funds

Services of the type described in JTPA section 314 may be provided

with national reserve funds in the following circumstances:

Plant closures and substantial layoffs within a State when the

workers are not expected to return to their previous industry or

occupation of employment;

Dislocations resulting from natural disasters and other

devastating events;

Plant closures and substantial layoffs that occur on a multi-

state basis;

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Substantial layoffs resulting from federal government actions;

Provision of additional financial assistance to programs and

activities being operated by State and substate grantees under Part A

of Title III of JTPA, where economic conditions have sufficiently

changed to warrant an increase in the area's formula allocation.

C. Participant Eligibility

Individuals who meet the eligibility criteria defined in sections

301(a), 314(h)(1), 325(a) and (e), 325A(b) and (f), or 326(a)(1) of

JTPA, as amended by the Defense Authorization Act of 1995), shall be

eligible for assistance through national reserve grants.

D. Allowable Activities and Services

NRA funds may be used to provide services of the type described in

sections 314 and 325A(f) of the Act.

E. Required Services

Each project funded with national reserve funds--except

applications for DISASTER projects and ADDITIONAL FINANCIAL ASSISTANCE

(AFA)--must provide the following activities and services prior to or

in conjunction with project implementation:

1. Contact with employers and employee representatives affected by

a dislocation or potential dislocation of individuals, preferably not

later than 2 business days after notification of such dislocation.

2. Establishment of a mechanism for involving representatives of

the affected workers, the employer and the community in planning the

project.

3. Collection of information on affected individuals to determine

the approximate number of such individuals in need of assistance and

interested in receiving services. Such information should include items

such as age ranges, education and skills, job tenure, and wage ranges

to allow preliminary assessments of likelihood to seek and obtain

employment in the local labor market.

4. As appropriate, arranging for orientation sessions, counseling

services, and early intervention services for affected individuals.

These services must be provided as a condition for award of the

grant. These services should be provided by, under the direction of, or

in collaboration with the State through its Dislocated Worker Unit.

F. Performance Outcomes

Each NRA grant project will be expected to achieve the end-of-

project performance goals which are established by ETA for the

applicable program year. For PY 1996, the performance goals are:

1. Entered Employment Rate = 75.0%

2. Wage Replacement Rate for Entered Employments = 90.0%

Note: The ``wage replacement rate'' is defined in Appendix E.

3. Customer satisfaction rating of ``extremely'' or ``very satisfied''

with the services received = 70.0%

Note: Each grantee will be required to establish or use a system

of customer satisfaction measurement and continuous improvement in

conjunction with the NRA project. The project-related costs of

operating this system are chargeable to the grant under the

``Administration'' cost category.

G. Administrative Requirements

1. General

Grantee organizations will be subject to the JTPA law, regulations,

these guidelines, the terms and conditions of the grant and any

subsequent modifications, to applicable Federal laws (including

provisions in appropriations law), and any applicable requirements

listed below--

a. State and local Governments (except for JTPA State grant

recipients that receive national reserve grant funds under the JTPA

State Grant Agreement ``block grant'')--OMB Circular A-87 (cost

principles), and 29 CFR part 97 (Uniform Administrative Requirements

for Grants with State and Local Governments).

b. Non-Profit Organizations--OMB Circulars A-122 (Cost Principles)

and 29 CFR Part 95 (Administrative Requirements).

c. Educational Institutions--OMB Circulars A-21 (Cost Principles)

and 29 CFR Part 95 (Administrative Requirements).

d. Profit Making Commercial Firms--Federal Acquisition Regulation

(FAR)--48 CFR Part 31 (Cost Principles), and 29 CFR Part 95

(Administrative Requirements). In addition, the audit requirements at

20 CFR 627.480 shall apply to commercial recipients.

2. Financial Management

a. Cost limitations under section 315 of JTPA and 20 CFR 631.14

apply to national reserve grants, except where justification for

adjusting these limitations is included in the grant application, or

subsequent grant modification requests, and approved by the Grant

Officer.

b. The limitation on administrative costs shall apply to the grant

award, exclusive of funds expended for needs-related payments. This

limitation applies to the total expenditures for program administration

including any funds reserved by the State where it is the applicant but

not the project operator. Any costs associated with administering a

system of needs-related payments shall be separately identified in the

application budget and justified. The Grant Officer may approve

additional costs for the administration of needs-related payments,

based on information provided by the applicant. For National Reserve

Account grants, cost limitations will be based on actual end-of-project

expenditures.

c. NRA grant applicants should not automatically budget 15 percent

of the award amount toward administration. All proposed costs in the

budget must be reflected as either direct charges to specific budget

line items or an indirect cost. The amount planned to be used for

administration and the specific purposes for which it will be used must

be specified in the budget.

d. If an indirect cost is used, a copy of the most recent approval

document from the cognizant federal agency shall be included in the

application.

e. Profits or fees are not an allowable expense for grantee

organizations. Profits or fees are allowable for profit organizations

which are subrecipients or project operators, subject to the provisions

of Sec. 627.420(e)(3) of the JTPA Regulations. However, no profits or

fees will be allowed if the subrecipient or service provider is the

employer, or a division or subsidiary of the employer, of the

dislocated workers.

f. National reserve grant funds which have been expended for

training prior to certification of Trade Adjustment Assistance (TAA)

eligibility do not have to be reimbursed when TAA funds become

available to cover the balance of the training. The source of funds

used to pay these costs will be the decision of the grantee, in

conformance with provisions of the Trade Act.

g. Unless otherwise waived by the Grant Officer, national reserve

grant funds cannot be used to pay for the full cost of furniture or

equipment that has a useful life which is longer than the grant period.

Other funds should be used, as needed, for such purchases and an

appropriate usage/depreciation charge should be applied to the grant.

3. Audit

Grantee organizations shall be responsible for complying with the

audit requirements defined in Sec. 627.480 of the JTPA Regulations (as

published in the September 2, 1994, Federal Register).

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4. Reporting Requirements

a. The grantee will be required to comply with two reporting

requirements related to each NRA grant project:

(1) Applicants should contact the appropriate Regional Office of

the Employment and Training Administration (see Appendix A) for

currently applicable reporting requirements.

One signed original and one copy of applicable reports shall be

provided to: U.S. Department of Labor, ETA, Office of the Comptroller,

Division of Accounting, Room C-5325, 200 Constitution Ave., NW,

Washington, DC 20210.

One copy shall also be provided to the ETA Regional Office, ATTN:

Regional Administrator.

(2) The grantee shall provide information required on the

Standardized Program Information Record (SPIR) (OMB No. 1205-0321).

b. The grantee will be requested to provide the following

additional performance information to the Grant Officer and to the

Regional Office:

(1) One copy each of its periodic performance management reports on

the project, consistent with the performance management procedures

which are described in the approved grant.

These reports should be provided no later than 30 days after the

end of the report period.

At a minimum, the grantee's performance management procedures will

be expected to address how the grantee will measure progress and manage

performance against the project's objectives as defined in the approved

Implementation Schedule and the Cumulative Quarterly Expenditure Plan.

(2) An End-of-Project Report providing a summary analysis of the

accomplishments of the project in relation to its goals, strengths and

weaknesses in project design and implementation, and suggestions for

improvements in the NRA grants management process. This report should

be provided no later than 90 days after the end date of the project.

H. State Review

1. Responsibility

Where the applicant is an entity other than the State JTPA

administrative entity, the State, in its role of managing the use of

Title III resources in the State to provide services to eligible

dislocated workers, will be expected to provide comments on the

application. The JTPA Liaison shall submit with each application for

NRA grant funds a letter providing his/her comments on the application.

The applicant will submit the application to the State JTPA

administrative entity for review (see Appendix B: List of State JTPA

Liaisons and Appendix C: List of State Dislocated Worker Units). In the

case of a non- State entity submitting an application for a multi-State

project, the applicant will submit the application to the State JTPA

administrative entity in each state in which the project will operate.

The State's review and comments should include:

A determination that the application is complete and

responsive to the guidelines (a completeness review checklist is

included in Appendix G);

An assessment of the responsiveness of the project plan to the

dislocation event;

A verification that the applicant has the ability to

satisfactorily undertake the proposed project;

A certification that available State and local resources are

inadequate to meet the requirements of the proposed project; and

A certification that the required services identified in

Section II.C have been or are being provided.

The State's review and determination letter must be included in the

application package.

Note: This requirement shall not apply to applications submitted

by eligible Native American grantees.

2. Timing

The State should, and is strongly urged to complete the review and

forward the application to the Grant Officer, with a copy to the

appropriate Regional Office, within 15 calendar days after receiving a

complete application.

I. Secretary's Rights Reserved

1. The Secretary reserves the right to distribute a portion of

national reserve funds in a manner other than that provided by this

notice, consistent with the JTPA, and taking into consideration special

circumstances and unique needs which may arise. This may include the

funding of projects through a separate competitive grant process.

2. The Secretary also reserves the right to fund individual

projects on an incremental basis where the Department determines that

such an action would result in the most effective use of available

resources.

3. If the Department receives an insufficient number of

applications which are of acceptable quality, and which meet the

guidelines and selection criteria contained in this notice, to fully

and effectively use the funds in the national reserve account, the

Department will take whatever action it deems necessary and

appropriate, consistent with the Act and the regulations. Unobligated

funds remaining when the Secretary's obligational authority expires

will be returned to the Treasury.

Part III

A. Types of Grant Applications for NRA Funds

There are four types of applications which may be submitted for

Title III NRA funds:

A standard or REGULAR application;

An application for a DISASTER assistance project;

An application for a MULTI-STATE project where the applicant

is not a State entity;

An application for ADDITIONAL FINANCIAL ASSISTANCE (AFA).

A REGULAR or MULTI-STATE application may be submitted to operate a

project in accordance with Section 323, Section 325 (Defense

Conversion), Section 325A (Defense Diversification), Section 326 of the

Act (Clean Air Employment Transition Assistance), or for NAFTA-impacted

workers. AFA projects may only be operated in accordance with Section

323; and DISASTER projects may only be operated in accordance with

Sections 323 and 324.

B. Eligible Applicants for NRA Grants

Eligible applicants for NRA grants include States, Title III

substate grantees, employers, representatives of employees, Native

American tribal entities eligible to receive JTPA grant funds pursuant

to section 401 of JTPA, and other entities which are certified by the

State(s) as qualified project operators. Eligibility of specific types

of entities for the various types of NRA grants is more completely

described in the grant application package.

C. Grant Application Submission Requirements

To be considered for funding, an application will need to include

the information identified in this section. Specific requirements for

each type of application are fully described in the application package

available through ETA Regional Offices and State Dislocated Worker

Units.

If an applicant plans to operate a project through more than one

project operator (see definitions in Appendix E), each project operator

shall be identified and a separate Budget and Implementation Schedule

provided. Where appropriate, description of separate target groups and

service

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processes for each project operator shall also be provided. In all

cases, the applicant must also include a summary Budget and

Implementation Schedule for the entire project.

1. State's Review and Comment Letter.--A letter from the State

consistent with the provisions of Section II.H.

2. Transmittal Letter.--A letter requesting national reserve funds

on behalf of the applicant, signed by the Governor (or his/her

authorized JTPA signatory official), or by the applicant's authorized

signatory must accompany the application. [Note: Where the applicant is

the State, the Review and Comment and Transmittal requirements may be

covered in one letter.]

3. Standard Form (SF 424).--Each application must include a

completed SF 424, Application for Federal Domestic Assistance

(Catalogue No. 17.246) with an original signature by the authorized

signatory.

4. Assurances and Certifications.--Each application must include an

original signed copy, by the authorized signatory, of the ``Assurances

and Certifications for National Reserve Grants'' [See Appendix D]. Non-

State grantees will be required to complete additional assurances and

certifications, where applicable.

5. Synopsis of the Project.--Each application must include a

completed ``Project Synopsis,'' which identifies the applicant, the

target group, the amount of requested funds, the number of planned

participants, and the primary occupations targeted for training and job

placement.

6. Project Narrative.--The narrative portion of the application,

excluding attachments, should not exceed thirty (30) double-spaced

pages, typewritten on one side of the paper only, and paginated. The

narrative must specifically address each of the elements listed below.

Use of tables and charts to summarize relevant data and information is

strongly encouraged. However, the applicant must provide sufficient

narrative interpretations of data summarized in any tables and charts

to support the need for the project and the effectiveness of the

planned service strategy.

The project narrative shall include:

a. Required Services. A description of the specific actions which

have been completed regarding the required services described in

section II.E of these guidelines.

If all required services have not been completed at the time of

submitting the application, a timetable for completing them must be

included in the application.

b. Analysis of Target Group. (1) A description of how the number of

affected workers which are expected to participate in the program was

determined.

(2) Where layoffs have occurred more than 4 months prior to the

submittal of the application to the State (or DOL if the State is the

project operator), the application shall describe the methods which are

being and will be used to maintain continuing contact with the workers.

(3) Identify if all or part of the dislocation is potentially

trade-impacted. Indicate the status of any NAFTA and/or TAA petitions

which have been filed or planned to be filed in conjunction with this

dislocation.

(4) If the proposed target group includes workers dislocated as a

result of the relocation of a company facility or the transfer of a

company operation to another location, the city and State to which the

relocation or transfer is being made shall be identified.

Note: This information will not be used to evaluate the

application, but is being requested to help the Department enforce

section 141(c) of the Act.

c. Analysis of Labor Market Conditions. A brief description of

local labor market conditions, including any other job markets in which

job placement is an appropriate option for the affected workers. The

description must address current and expected labor supply and demand

relationships as they relate to the reemployment and wage recovery

potential for the target group of workers.

d. Description of Client Service Process. A description of the

client service process to be used for effective training and job

placement of the population to be served.

e. Needs-Related Payments. A description of how the estimate of the

funds required for needs-related payments to the participants to be

served through the project was developed. The description should

include an identification of the estimated number of participants who

will need or be eligible for needs- related payments, and the

applicant's policies for payment of needs-related payments.

f. Relocation/Out-of-Area Job Search Assistance. If relocation and/

or out-of-area job search assistance are to be provided, a description

of the circumstances that make these appropriate services for the

target group.

g. Management Process. A description of the core management process

and procedures to be used by the project operator in implementing the

project and in managing and controlling project performance and

expenditures.

h. Coordination and Linkages. (1) For States and Title III substate

grantee applicants, a description only of coordination relationships

which go beyond those that are described in the Title III State or

substate plan.

(2) For other applicants, a signed statement from the State

Dislocated Worker Unit and/or the applicable Title III substate grantee

that the level of coordination relationships which have been, or are

being developed is adequate.

(i) Financial and Management Capabilities. For applicants who are

neither the State nor a Title III substate grantee, a description of

financial and management capabilities of the applicant.

7. Implementation Plan.--The application shall include the

following implementation information:

a. An identification of activities, timeframes and responsibilities

for implementing the project in a timely manner after award. The

activities must include organization and opening of service facilities,

staffing, and the execution of agreements with key service providers.

b. A quarterly implementation schedule showing the number of

participants, enrollments in training, participants receiving needs-

related payments, terminations, and entered employments.

8. Project Budget.--The application must include a budget for all

costs required to implement the project design effectively, as

described in the preceding sections.

a. Cost Classification. Costs must be classified under the

following cost categories: Administration, Basic Readjustment Services,

Retraining, Supportive Services and Needs-Related Payments, as defined

in 20 CFR 631.13.

b. Budget Forms. The application shall include the following

completed budget information:

(1) Project Line Item Budget, which shall reflect the total costs

required to implement the project design that are to be paid with NRA

grant funds.

(2) Service Plan Matrix, which shall identify the specific

activities and services in the project design and the planned funding

sources for each.

(3) Planned Cumulative Quarterly Expenditures of NRA Grant Funds,

which shall provide a quarterly expenditure plan for the use of NRA

grant funds, identified by cost category.

Collectively, these budget forms present a total cost picture to

implement the project and indicate how NRA funds

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will be integrated with other available sources of funds.

c. Use of Grant Funds for Pre-Award Costs. If the applicant is

requesting approval from the Grant Officer for use of grant funds to

pay for costs of providing services to the target group which have been

incurred prior to issuance of the Notice of Obligation (NOO), the

applicant shall submit two sets of the required budget forms: one which

includes requested pre-award costs, and one which does not include

these costs. The applicant must provide a detailed explanation of why

grant funds are needed to cover these costs. If the Grant Officer

approves the request, such costs will be specifically identified in the

grant award document. If the applicant does not request and the Grant

Officer does not approve the use of grant funds for such costs, then

grant funds cannot be used to pay for any such costs.

d. Justification for Requested NRA Funds. The applicant must

provide information which justifies the level of requested NRA funds in

relation to other available Title III funds in the State. The

information must include an identification of available formula and NRA

funds, actual obligations and expenditures, and the projected need for

unexpended funds. Available Title III funds in the State shall include

funds allotted by formula at the beginning of the Program Year plus any

carryover funds from previous PYs. Available Title III funds shall

include any Title III funds which have been transferred to other Titles

under the provisions of TEGL 7-95, and any subsequent modifications

thereto, and which remain unexpended.

e. Justification for Project Design Performance. The applicant must

provide information which compares the planned design and performance

for the project with performance information for the formula program

for the most recently completed Program Year in the substate area, or

State if appropriate, in which the project is to be implemented. If the

planned performance for this project varies from the related experience

on the formula program by more than ten percent (10%), the applicant

must provide an explanation, including supporting documentation, of the

factors which are causing the differences in performance. Performance

factors to be addressed must include: cost per participant, entered

employment rate, cost per entered employment, average wage at

placement, average duration of participation, and maximum amounts of

needs-related payments which can be paid to an individual participant.

9. Description of State's Administrative Responsibilities.--The

application shall include an identification of the individual(s) within

the State administrative entity who will be responsible for the

oversight activities, as described in Part IV of these guidelines.

The State is expected to perform the following core

responsibilities related to each NRA project for which the State is the

grantee:

Maintain participant and financial information and submit

required reports;

Ensure compliance of project operations with applicable

statutory and regulatory requirements;

Carry out the required project site visits;

Provide needed technical assistance to the project

operator(s).

If the State is performing only these core responsibilities in

conjunction with the project, it may receive no more than 1.5% of the

approved grant funds, up to a maximum amount of $25,000.

If the State is performing more than the core administrative

responsibilities and/or wants to request more than $25,000 in NRA grant

funds for State-level administration, it must include in the

application:

a. A detailed description of the additional administrative

responsibilities to be performed and a timetable for undertaking and

completing them;

b. A line-item budget identifying the costs of the State-level

administrative responsibilities;

c. An explanation of why these responsibilities are more

appropriately performed at the State level instead of by the project

operator;

d. A certification that State formula funds are not available to

cover the costs;

e. A signed letter from the project operator(s) commenting on the

proposed plan for performing project administrative functions.

10. Review and Comment.--Each application shall include

documentation of the following review and comment requirements:

a. Substate Grantees. The application must include letters from the

Governor (or his/her designated signatory official for JTPA) and each

appropriate JTPA Title III substate grantee indicating that they have

been provided an opportunity to review and comment on the application.

Each letter shall provide a description of funding, services and/or

assistance to be provided to the project.

b. Labor Organizations. Each application where a substantial number

(20% or more) of the affected workers are represented by a labor

organization(s) must provide documentation of full consultation with

each appropriate local labor organization in the development of the

project design.

Each application shall describe the procedure which has been or

will be used to consult with any labor organization which represents a

substantial number of the workers employed in the local labor market in

occupations in which participants are being trained through the

proposed project.

D. Application Review Criteria

1. Overall Considerations. To be considered, the application must

demonstrate that the proposed project meets the purpose of and is

consistent with the Act and regulations; and provides all the

information required by these guidelines. Applications which are not

complete in accordance with the requirements defined in these

guidelines will not be evaluated for funding until all required

information and documentation is provided.

2. Specific Evaluation Criteria. The following specific criteria

shall apply to the evaluation of complete applications:

a. Target Group. The extent to which the application identifies an

eligible target group and provides a reasonable estimate of the portion

of the total eligible group to be assisted through the project, based

on available information.

b. Need for NRA Funds. The extent to which an effort has been made

to access other available federal, State and local resources to finance

the project and the request for NRA funds is supported by available

information on resources and resource utilization.

c. Management Plan. Extent to which an adequate process and plan is

in effect to deliver the required services, and the applicant has

described appropriate management processes to guide and control project

implementation.

d. Participant Service Plan. Extent to which the described

participant service process is responsive to the dislocation

circumstances and the ETA customer service principles; and the

Implementation Plan provides a timely response to the dislocation(s).

e. Reasonableness of Proposed Costs. Extent to which proposed cost

items relate to the service plan and that cost levels are appropriate

given experience on other projects in the same service area, or on

information provided in the application.

These criteria will be used to develop a recommendation on each

application regarding fundability (YES/NO),

[[Page 50394]]

funding level, and funding method (e.g., full funding, incremental

funding, incremental release of funds).

Part IV

A. Performance Management/Oversight Requirements

There will be a minimum of two onsite reviews of each NRA grant

project: one within 90 days after grant award; a second at

approximately the midpoint of the grant period or six months after the

project begins enrolling participants (whichever comes first).

Additional onsite reviews may be conducted based on the complexity,

duration and/or performance of the project, and/or recommendations from

either of the two required reviews.

1. 90-Day Review

The purpose of this review is to verify that the required services

have been or are being provided; the implementation actions regarding

facilities, staffing, and project operator agreements have been

completed; and that the core management and participant service

processes are being planned and implemented appropriately.

This review must be completed no later than the end of the 4th

month following grant award.

2. Midpoint Review

The purpose of this review is to assess the effectiveness of the

participant service process and the core service elements of outreach,

recruitment, eligibility; assessment and service planning; referral to

services; and job development. This review will also analyze the

approach to collecting and using customer feedback information.

Although both the 90 day and the midpoint reviews will, as a matter

of course, look at compliance issues, the focus is on ensuring that

critical elements are in place to be able to accomplish the project's

objectives and effectively use the grant funds which have been awarded.

B. Performance/Oversight Responsibilities

The States and ETA Regional Offices will have primary

responsibility for the onsite reviews in cases where the project

operator is an entity other than the State. The Regional Office will be

responsible for the onsite reviews of all projects in which the grantee

is a non-JTPA entity, or in which the State is the project operator.

In cases in which the State is the grantee but not the project

operator, the State will have the primary responsibility for conducting

the 90 day review. The midpoint review of such projects will be jointly

conducted by the State and the Regional Office. National Office staff

will participate in midpoint reviews of selected large and/or complex

projects.

For both 90 day and midpoint reviews, a summary report from the

site review shall be submitted to the Title III Program Office, ATTN:

Chief of the Division of Program Implementation and to the ETA Regional

Administrator, no later than 30 (calendar) days after the review is

completed.

A copy of the report shall be provided to the State and to the

grantee (if other than the State) for follow-up.

C. State Administration

States are expected to perform the following core responsibilities

related to NRA projects in which the State is the grantee:

Maintenance of participant and financial information and

submission of required reports;

Ensure compliance of project operations with applicable

statutory and regulatory requirements;

Provide needed technical assistance.

If this is the limit of the State's role on the project, the State is

playing a ``pass-through'' administrative role and is subject to the

following limit on the State's share of administrative costs which can

be charged to the project: 1.5% of the grant award up to a maximum of

$25,000. As described in section III.C.9 of these guidelines, the State

may request a higher amount for State administration, but must provide

a detailed justification.

Part V

A. Circumstances Requiring a Grant Modification Request

In general, a grant modification request will be required when

circumstances change to the extent that:

Actual end-of-project performance is expected to vary by more

than 15% from plan regarding: total participants, participants to be

enrolled in training, or expenditures for retraining;

Actual end-of-project expenditures will be less than the

award, or the amount of the award will be insufficient to

satisfactorily complete the project;

The project objectives cannot be accomplished in the approved

grant period;

There is a need to redefine the eligible target group for the

project.

Modification requests to reduce the performance measures in the

approved grant (i.e., entered employment rate, wage replacement rate,

customer satisfaction rating) to be consistent with actual performance

will not be approved.

Non-State grantees will also be required to comply with applicable

OMB Circular requirements regarding grant modifications, where

applicable.

B. Review and Approval of Grant Modification Requests

Requests for grant modifications will be considered consistent with

the general purposes of the national reserve account, the selection

criteria for national reserve projects, and the purposes of the

original grant award. Modifications which request changes in the

approved grant budget that comprise 25% or more of the grant award, or

which significantly change the project design will be reviewed on the

same basis as a new application, except that Assistant Secretary rather

than Secretary approval will be required.

Grant modification requests should not be submitted later than 90

days prior to the expiration date of the grant. A request to deobligate

or reprogram grant funds should be submitted no later than 120 days

prior to the expiration date of the grant.

The Grant Officer will advise the State, or grantee if not the

State, in writing of any approval or disapproval of the requested grant

modifications within 30 (calendar) days of receipt of a complete grant

modification request. Such notification will occur within 45 (calendar)

days for modifications requiring Assistant Secretary approval.

[[Page 50395]]

Appendix A.--Directory of Regional Offices of the Employment and

Training Administration

Regional Offices of the Employment and Training Administration

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

Region (States served) Contact information

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

Region I (Connecticut, Maine, U.S. Dept. of Labor/Employment &

Massachusetts, New Hampshire, Training Admin., JFK Federal

Rhode Island, Vermont)--Robert J. Building, Room E-350, Boston,

Semler, Regional Administrator. Massachusetts 02203, (617) 565-

3630.

Region II (New York, New Jersey, U.S. Dept. of Labor/Employment &

Puerto Rico, Virgin Islands)-- Training Admin., 201 Varick Street,

Albert Garizio, Acting Regional Room 755, New York, New York 10014,

Administrator. (212) 337-2139.

Region III (Delaware, District of U.S. Dept. of Labor/Employment &

Columbia, Maryland, Pennsylvania, Training Admin., 3535 Market

Virginia, West Virginia)--Edwin Street, Room 13300, Philadelphia,

G. Strong, Regional Administrator. Pennsylvania 19104, (215) 596-6336.

Region IV (Alabama, Florida, U.S. Dept. of Labor/Employment &

Georgia, Kentucky, Mississippi, Training Admin., 1371 Peachtree

North Carolina, South Carolina, Street, NE; Room 400, Atlanta,

Tennessee)--Toussiant L. Hayes, Georgia 30367, (404) 347-4411.

Regional Administrator.

Region V (Illinois, Indiana, U.S. Dept. of Labor/Employment &

Michigan, Minnesota, Ohio, Training Admin., 230 South Dearborn

Wisconsin) Joseph Juarez, Street, Room 628, Chicago, Illinois

Regional Administrator. 60604, (312) 353-0313.

Region VI (Arkansas, Louisiana, U.S. Dept. of Labor/Employment &

New Mexico, Oklahoma, Texas)-- Training Admin., 525 Griffin

Donald A. Balcer, Regional Street, Room 317, Dallas, Texas

Administrator. 75202, (214) 767-8263.

Region VII (Iowa, Kansas, U.S. Dept. of Labor/Employment &

Missouri, Nebraska)--William H. Training Admin., 1100 Main Street,

Hood, Regional Administrator. Suite 1050, Kansas City, Missouri

64105, (816) 426-3796.

Region VIII (Colorado, Montana, U.S. Dept. of Labor/Employment &

North Dakota, South Dakota, Utah, Training Admin., 1999 Broadway

Wyoming)--Peter E. Rell, Regional Street, Suite 1780, Denver,

Administrator. Colorado 80202-5716, (303) 391-

5740.

Region IX (Arizona, California, U.S. Dept. of Labor/Employment &

Hawaii, Nevada, Pacific Training Admin., 71 Stevenson

Territories)--Armando Quiroz, Street, Suite 830, San Francisco,

Regional Administrator. California 94105, (415) 975-4612.

Region X (Alaska, Idaho, Oregon, U.S. Dept. of Labor/Employment &

Washington)--Bill Janes, Regional Training Admin., 1111 Third Avenue,

Administrator. Suite 900, Seattle, Washington

98101-3212, (206) 553-7700.

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

Appendix B.--Directory of State JTPA Liaisons

State JTPA Liaisons

(As of 4/1/96)

ALABAMA

Robert E. Lunsford, Director, Alabama Department of Economic and

Community Affairs, P.O. Box 5690, Montgomery, Alabama 36103-5690,

Telephone: 334-242-5893, FAX: 334-242-5855,

ALASKA

Jeff Smith, Director, Division of Community and Rural Development,

Alaska Department of Community and Regional Affairs, 333 West 4th

Avenue, Suite 220, Anchorage, Alaska 99501-2341, Telephone: 907-269-

4607, FAX: 907-269-4520

ARIZONA

Bill Hernandez, Assistant Director, Division of Employment and

Rehabilitation Services, 1789 West Jefferson; P.O. Box 6123, Suite

901A, Phoenix, Arizona 85005, Telephone: 602-542-4910, FAX: 602-542-

2273

ARKANSAS

Sharon Robinette, Administrator, Office of Employment & Training

Services, Arkansas Employment Security Department, P.O. Box 2981,

Little Rock, Arkansas 72203, Telephone: 501-682-5227, FAX: 501-682-3144

CALIFORNIA

Victoria L. Bradshaw, Director, Employment Development Department, 800

Capitol Mall, MIC 69, P.O. Box 826880, Sacramento, California 94280-

0001, Telephone: 916-654-8210, FAX: 916-657-5294

COLORADO

Vickey Ricketts, Executive Director, Governor's Job Training Office,

720 South Colorado Boulevard, Suite 550, Denver, Colorado 80222,

Telephone: 303-758-5020, FAX: 303-758-5578

CONNECTICUT

John E. Saunders, Deputy Commissioner, Connecticut State Department of

Labor, 200 Folly Brook Boulevard, Wethersfield, Connecticut 06109,

Telephone: 203-566-4280, FAX: 203-566-1520

DELAWARE

Louis A. Masci, Administrator, Employment and Training, Delaware

Department of Labor, University Plaza, P.O. Box 9499, Newark, Delaware

19714-9499, Telephone: 302-368-6810, FAX: 302-368-6995

FLORIDA

Doug Jamerson, Secretary, Department of Labor and Employment Security,

2012 Capital Circle, Southeast, Suite 303, Hartman Building,

Tallahassee, Florida 32399-2152, Telephone: 904-922-7021, FAX: 904-488-

8930

GEORGIA

David B. Poythress, Commissioner, Georgia Department of Labor, Sussex

Place, 148 International Boulevard, N.E., Room 600, Atlanta, Georgia

30303, Telephone: 404-656-3011, FAX: 404-656-2683

HAWAII

Lorraine H. Akiba, Director, Department of Labor and Industrial

Relations, 830 Punchbowl Street, Room 321, Honolulu, Hawaii 96813,

Telephone: 808-586-8844, FAX: 808-586-9099

IDAHO

Roger B. Madsen, Director, Idaho Department of Employment, 317 Maine

Street, Boise, Idaho 83735-0001, Telephone: 208-334-6110, FAX: 208-334-

6430

ILLINOIS

Herbert D. Dennis, Manager, JTPA Programs Division, Department of

Commerce and Community Affairs, 620 East Adams, 6th Floor, Springfield,

Illinois 62701, Telephone: 217-785-6006, FAX: 217-785-6454

INDIANA

Timothy C. Joyce, Commissioner, Indiana Department of Workforce

Development, Indiana Government Center South, SE302, 10 North Senate

Avenue, Indianapolis, Indiana 46204-2277, Telephone: 317-233-5661, FAX:

317-233-4793

[[Page 50396]]

IOWA

Cynthia P. Eisenhauer, Director, Workforce Development Department, 1000

E. Grand, Des Moines, Iowa 50319, Telephone: 515-281-5365, FAX: 515-

281-4698

KANSAS

Wayne L. Franklin, Secretary, Kansas Department of Human Resources, 401

S.W. Topeka Boulevard, Topeka, Kansas 66603-3182, Telephone: 913-296-

7474, FAX: 913-296-0179

KENTUCKY

Jill K. Day, Staff Assistant, Office of Training and Reemployment,

Workforce Development Cabinet, 275 East Main Street, 2-West, Frankfort,

Kentucky 40621, Telephone: 502-564-5360, FAX: 502-564-7452

LOUISIANA

Calvin E. Beale, Assistant Secretary, Louisiana Department of Labor,

P.O. Box 94094, Baton Rouge, Louisiana 70804-9094, Telephone: 504-342-

7693, FAX: 504-342-7960

MAINE

Valerie Landry, Commissioner, Maine Department of Labor, 20 Union

Street; P.O. Box 309, Augusta, Maine 04330, Telephone: 207-287-3788,

FAX: 207-287-5292

MARYLAND

Sheila Tolliver, Assistant Secretary, Department of Labor, Licensing

and Regulations, 1100 North Eutaw Street, Room 600, Baltimore, Maryland

21201, Telephone: 410-767-2400, FAX: 410-767-2986

MASSACHUSETTS

Nils L. Nordberg, Commissioner, Department of Employment and Training,

Charles F. Hurley Building, Government Center, 19 Staniford Street,

Boston, Massachusetts 02114, Telephone: 617-727-6600, FAX: 617-727-0315

MICHIGAN

Douglas E. Stites, Chief Operating Officer and Vice President for

Workforce Development, Michigan Jobs Commission, 201 North Washington

Square, Lansing, Michigan 48913, Telephone: 517-373-6227, FAX: 517-373-

0314

MINNESOTA

Byron Lee Zuidema, Assistant Commissioner, Community Based Services,

Minnesota Department of Economic Security, 390 North Robert Street, 1st

Floor, St. Paul, Minnesota 55101, Telephone: 612-296-3700, FAX: 612-

296-0994

MISSISSIPPI

Jean Denson, Director, Employment Training Division, Mississippi

Department of Economic and Community Development, 301 West Pearl

Street, Jackson, Mississippi 39203-3089, Telephone: 601-949-2234, FAX:

601-949-2291

MISSOURI

Julie Gibson, Director, Division of Job Development and Training,

Department of Economic Development, P.O. Box 1087, Jefferson City,

Missouri 65102-1087, Telephone: 314-751-4750, FAX: 314-751-6765,

MONTANA

Ingrid Danielson, Bureau Chief, State Job Training Bureau, Montana

Department of Labor and Industry, P.O. Box 1728, Helena, Montana 59624,

Telephone: 406-444-4500, FAX: 406-444-3037

NEBRASKA

Dan Dolan, Commissioner, Department of Labor, P.O. Box 94600, 550 South

16th Street, Lincoln, Nebraska 68509-4600, Telephone: 402-471-9000,

FAX: 402-471-2318

NEVADA

Roger Dremner, Executive Director, State Job Training Office, Capitol

Complex, 400 West King, Carson City, Nevada 89710, Telephone: 702-687-

4310, FAX: 702-687-3957

NEW HAMPSHIRE

Ray O. Worden, Executive Director, New Hampshire Job Training

Coordinating Council, 64B Old Suncook Road, Concord, New Hampshire

03301, Telephone: 603-228-9500, FAX: 603-228-8557

NEW JERSEY

Peter Calderone, Commissioner, State of New Jersey Department of Labor,

CN055, Trenton, New Jersey 08629-0055, Telephone: 609-292-2323, FAX:

609-633-9271

NEW MEXICO

Clinton D. Harden, Jr., Secretary, New Mexico Department of Labor, P.O.

Box 1928, Albuquerque, New Mexico 87103, Telephone: 505-841-8409, FAX:

505-841-8491

NEW YORK

John E. Sweeney, Commissioner, New York State Department of Labor,

State Office Building Campus, Building 12, Room 500, Albany, New York

12240, Telephone: 518-457-2741, FAX: 518-457-6908

NORTH CAROLINA

R. Scott Ralls, Director, Division of Employment and Training,

Department of Commerce, 111 Seaboard Avenue, Raleigh, North Carolina

27604, Telephone: 919-733-6383, FAX: 919-733-6923

NORTH DAKOTA

Gerald P. Balzer, Executive Director, Job Service North Dakota, 1000

East Divide Avenue; P.O. Box 5507, Bismarck, North Dakota 58506-5507,

Telephone: 701-224-2836, FAX: 701-224-4000

OHIO

Evelyn Bissonnette, Director, Job Training Partnership-Ohio, Ohio

Bureau of Employment Services, 145 South Front Street, 4th Floor,

Columbus, Ohio 43216, Telephone: 614-466-3817, FAX: 614-752-6582

OKLAHOMA

Glen E. Robards, Jr., Associate Director, Oklahoma Employment Security

Commission, 2401 North Lincoln, Will Rogers Building, Room 408,

Oklahoma City, Oklahoma 73152, Telephone: 405-557-5329, FAX: 405-557-

1478

OREGON

Jacki Bessler-Perasso, Acting Manager, Business Resources Division,

Oregon Economic Development Department, 255 Capitol Street, N.E., Suite

399, Salem, Oregon 97310-1600, Telephone: 503-373-1995, FAX: 503-581-

5115

PENNSYLVANIA

Alan R. Williamson, Deputy Secretary for Employment Security and Job

Training, Department of Labor and Industry, 7th and Forster Streets,

Room 1700, Harrisburg, Pennsylvania 17120, Telephone: 717-787-3907,

FAX: 717-787-8826

RHODE ISLAND

Robert Palumbo, Associate Director, Department of Employment and

Training, 101 Friendship Street, Providence, Rhode Island 02903-3740,

Telephone: 401-277-3600, FAX: 401-277-2731

SOUTH CAROLINA

Dr. Robert E. David, Executive Director, South Carolina Employment

Security Comm., 1550 Gadsden Street; P.O. Box 1406, Columbia, South

Carolina 29202, Telephone: 803-737-2617, FAX: 803-737-2642

[[Page 50397]]

SOUTH DAKOTA

Craig W. Johnson, Secretary, South Dakota Department of Labor, Kneip

Building, 700 Governor's Drive, Pierre, South Dakota 57501-2277,

Telephone: 605-773-3101, FAX: 605-773-4211

TENNESSEE

Robert L. Morris, II, Assistant Commissioner, Tennessee Department of

Labor, 710 James Robertson Parkway, 4th Floor, Nashville, Tennessee

37243-0658, Telephone: 615-741-6772, FAX: 615-741-3003

TEXAS

Linda Williamson, Deputy Director, Workforce Development Division,

Texas Workforce Commission, 211 East 7th Street, Suite 1000, Austin,

Texas 78701, Telephone: 512-936-0468, FAX: 512-936-0313

UTAH

Gregory B. Gardner, Director, Office of Job Training, 324 South State

Street, Suite 500, Salt Lake City, Utah 84114-7162, Telephone: 801-538-

8750, FAX: 801-359-3928

VERMONT

Robert Ware, Director, Jobs and Training Division, Department of

Employment and Training, 5 Green Mountain Drive; P.O. Box 488,

Montpelier, Vermont 05601-0488, Telephone: 802-828-4300, FAX: 802-828-

4022

VIRGINIA

Ann Y. McGee, Executive Director, Governor's Employment and Training

Department, Theatre Row Building, 730 East Broad Street, 9th Floor,

Richmond, Virginia 23219, Telephone: 804-786-2308, FAX: 804-786-2310

WASHINGTON

Larry A. Malo, Assistant Commissioner, Training and Employment Analysis

Division, Employment Security Department, 605 Woodview Drive, S.E., MS

KG11, Olympia, Washington 98504-5311, Telephone: 206-438-4611, FAX:

206-438-3174

WEST VIRGINIA

Andrew N. Richardson, Commissioner, Bureau of Employment Programs, Job

Training Programs Division, 112 California Avenue, Room 610,

Charleston, West Virginia 25305-0112, Telephone: 304-558-2630, FAX:

304-558-2992

WISCONSIN

June Suhling, Administrator, Division of Jobs, Employment and Training

Services, Wisconsin Department of Industry, Labor and Human Relations,

201 East Washington Avenue, Room 201X, P.O. Box 7972, Madison,

Wisconsin 53707, Telephone: 608-266-2439, FAX: 608-267-2392

WYOMING

Elizabeth A. Nelson, Deputy Director, Department of Employment, P.O.

Box 2760, Casper, Wyoming 82602, Telephone: 307-235-3254, FAX: 307-235-

3278

DISTRICT OF COLUMBIA

F. Alexis Roberson, Acting Director, D.C. Department of Employment

Services, 500 C Street, N.W., Suite 600, Washington, D.C. 20001,

Telephone: 202-724-7185, FAX: 202-724-7112

PUERTO RICO

Cesar Juan Almodovar, Secretary of Labor and President Council for

Occupational Development and Human Resources, 431 Ponce de Leon, 17th

Floor, Hato Rey, Puerto Rico 00918, Telephone: 809-754-5633, FAX: 809-

763-0195

VIRGIN ISLANDS

Lisa Harris-Moorhead, Commissioner, V. I. Department of Labor, 2131

Hospital Street, Christiansted, St. Croix, Virgin Islands 00820,

Telephone: 809-773-1994, FAX: 809-773-1515

AMERICAN SAMOA

Patolo Mageo, Acting Director, Department of Human Resources, American

Samoa Government, Pago Pago, American Samoa 96799, Telephone: 9-1-0288-

011-684-633-5172, FAX: 9-1-0288-011-684-633-1139

GUAM

William Cundiff, Director, Agency for Human Resources Development, P.O.

Box CQ, Agana, Guam 96910, Telephone: 9-1-0288-011-671-475-0751, FAX:

9-1-0288-011-671-477-5022

NORTHERN MARIANAS

Felix Nogis, JTPA Administrator, Office of the Governor, Commonwealth

of the Northern, Mariana Islands, Saipan, MP 96950, Telephone: 9-1-

0288-011-670-664-1700, FAX: 9-1-0288-011-670-322-5096

REPUBLIC OF THE MARSHALL ISLANDS

Evelyn Konou, Minister of Education, P.O. Box 3, Majuro, Republic of

the Marshall Islands 96960, Telephone: 9-1-0288-11-692-9-3345, FAX: 9-

1-0288-11-680-488-1625

REPUBLIC OF PALAU

Josephine Ulengchong, Palau JTPA Director, P.O. Box 100, Koror,

Republic of Palau 96940, Telephone: 9-1-0288-011-680-488-2513, FAX: 9-

1-0288-011-680-488-1725

FEDERATED STATES OF MICRONESIA

Kapilly Capelle, Office of Administrative Services, FSM National

Government, Palikir, Pohnpei, Eastern Caroline Islands 96941,

Telephone: 9-1-0288-011-691-320-2618, FAX: 9-1-0288-011-691-320-5854

Appendix C.--Directory of State Dislocated Worker Units

Dislocated Worker Units

(As of 4/1/96)

ALABAMA

Raymond A. Clenney, Coordinator, Job Training Division, Alabama

Department of Economic and Community Affairs, 401 Adams Avenue; Post

Office Box 5690, Montgomery, Alabama 36103-5690, Telephone: (334) 242-

5893

ALASKA

Carolyn Tuovienen, DWU Coordinator, Division of Community and Rural

Development, Department of Community and Regional Affairs, 333 West 4th

Avenue, Suite 220, Anchorage, Alaska 99501-2341, Telephone: (907) 269-

4658

ARIZONA

Tommy Landa, DWU Coordinator, Job Training Partnership Act, 1789 West

Jefferson, Site Code 920Z, Phoenix, Arizona 85005, Telephone: (602)

542-2484

ARKANSAS,

Linda Morris, Arkansas Employment Security Department, Post Office Box

2981, Little Rock, Arkansas 72203-2981, Telephone: (501) 682-3137

CALIFORNIA

Robert Hermsmeier, Displaced Worker Services Section Manager, Job

Training Partnership Div., MIC 69, Employment Development Department,

Post Office Box 826880, Sacramento, CA 94280-0001, Telephone: (916)

654-9212

COLORADO

Dick Rautio, Planner, Dislocated Worker Unit, Governor's Job Training

Office, Suite 550, 720 South Colorado

[[Page 50398]]

Boulevard, Denver, Colorado 80222, Telephone: (303) 758-5020

CONNECTICUT

Kathleen Wimer, Title III Coordinator, State Department of Labor, 200

Folly Brook Boulevard, Wethersfield, Connecticut 06109, Telephone:

(203) 566-7550

DELAWARE

Alice Mitchell, Technical Service Manager, Delaware Department of

Labor, Division of Employment and Training, University Plaza; Post

Office Box 9499, Newark, Delaware 19714-9499, Telephone: (302) 368-6913

FLORIDA

Arnell Bryant-Willis, Chief, Bureau of Job Training, Div. of Labor,

Employment and Training, 1320 Executive Center Drive, Atkins Building--

Room 211, Tallahassee, FL 32399-0667, Telephone: (904) 488-9250

GEORGIA

Robert Davis, Chief, Worker Adjustment Section, Georgia Department of

Labor, Sussex Place, 148 International Blvd., NE, Atlanta, Georgia

30303, Telephone: (404) 656-6336

HAWAII

Carol Kanayama, Acting Administrator, Office of Employment and Training

Admin., Department of Labor and Industrial Relations, 830 Punchbowl

Street, Rm. 316, Honolulu, Hawaii 96813, Telephone: (808) 586-9067

IDAHO

Cheryl Brush, Bureau Chief, Planning, Employment and Training Programs,

Department of Employment, 317 Main Street, Boise, Idaho 83735-0001,

Telephone: (208) 334-6303

ILLINOIS

Herbert Dennis, Manager, Job Training Division, Dept. of Commerce and

Community Affairs, 620 East Adams Street, Springfield, Illinois 62701,

Telephone: (217) 785-6006

INDIANA

Sharon K. Langlotz, Director, Dislocated Worker Unit, Indiana

Department of Workforce Development, 10 North Senate Avenue,

Indianapolis, Indiana 46204, Telephone: (317) 232-7371

IOWA

Jeff Nall, Administrator, Division of Workforce Development, Iowa Dept.

of Economic Development, 200 East Grand Avenue, Des Moines, Iowa 50309,

Telephone: (515) 281-9013

KANSAS

Armand Corpolongo, Job Training Director, Department of Human

Resources, Div. of Employment & Trainng, 401 SW Topeka Boulevard,

Topeka, Kansas 66603, Telephone: (913) 296-7876

KENTUCKY

Jill K. Day, Staff Assistant, Office of Training and Reemployment,

Workforce Development Cabinet, 275 East Main, 3 Floor West, Frankfort,

Kentucky 40621, Telephone: (502) 564-5360

LOUISIANA

Dale Miller, Assistant Director, Special Programs Section Office of

Labor, Federal Training Program Div., Post Office Box 94094, Baton

Rouge, LA 70804-9094, Telephone: (504) 342-7637

MAINE

Michael Bourret, Dir. of Workforce Development, Maine Department of

Labor, Bureau of Employment and Training Programs, 20 Union Street,

State House Station 55, Augusta, Maine 04330, Telephone: (207) 287-3377

MARYLAND

Ron Windsor, Office of Employment Training, Dept. of Economic and

Employment Development, 1100 North Eutaw Street, Room 3109, Baltimore,

Maryland 21201, Telephone: (410) 767-2832

MASSACHUSETTS

Suzanne Teegarden, Director, Industrial Services Program, The Schrafft

Center, 529 Main Street, Suite 400, Boston, Massachusetts 02129,

Telephone: (617) 727-8158 -X319

MICHIGAN

James Hover, Workforce Transition Unit, Michigan Jobs Commission, 201

N. Washington Square, Lansing, Michigan 48913, Telephone: (517) 373-

2162

MINNESOTA

Jim Korkki, Director, Dislocated Worker Program, Community-Based

Services, Minnesota Dept. of Economic Security, 390 North Robert

Street, First Floor, St. Paul, Minnesota 55101, Telephone: (612) 296-

6061

MISSISSIPPI

Jean Denson, Director, Employment Training Division, Mississippi Dept.

of Economic and Community Development, 301 West Pearl Street, Jackson,

MS 39203-3089, Telephone: (601) 949-2234

MISSOURI

Julie Gibson, Director, Div. of Job Development and Training,

Department of Economic Development, Post Office Box 1087, Jefferson

City, MO 65102-1087, Telephone: (314) 751-7796

MONTANA

Mary Walsh, DWU Coordinator, State Job Training Bureau, Montana Dept.

of Labor and Industry, Post Office Box 1728, Helena, Montana 59624,

Telephone: (406) 444-4500

NEBRASKA

Edward Kosark, Nebraska Department of Labor, Job Training Program

Division, 550 South 16th Street, Lincoln, Nebraska 68509, Telephone:

(402) 471-9903

NEVADA

Jan Pirozzi, DWU, State Job Training Office, Capitol Complex, 400 West

King St., Suite 108, Carson City, Nevada 89710, Telephone: (702) 687-

4310

NEW HAMPSHIRE

Boby Stevens, DWU Director, New Hampshire Job Training Coordinating

Council, 64-B Old Suncock Road, Concord, New Hampshire 03301,

Telephone: (603) 228-9500 X440

NEW JERSEY

Thomas Drabik, Director, Rapid Response Team, Labor Management

Committee, New Jersey Dept. of Labor, CN 058, Trenton, NJ 08625-0058,

Telephone: 1-800-343-3919

NEW MEXICO

Kent James, Planner/EDWAA Coordinator, Post Office Box 4218, Santa Fe,

NM 87502, Telephone: (505) 827-6866

NEW YORK

Charles Bertolami, Acting DWU Director, NY State Dept. of Labor, State

Office Campus--Bldg. 12, Albany, New York 12240, Telephone: (518) 457-

3101

NORTH CAROLINA

R. Scott Ralls, Director, Div. of Employment and Training, NC

Department of Commerce, 111 Seaboard Avenue, Raleigh, NC 27604,

Telephone: (919) 733-6383

NORTH DAKOTA

James Hirsch, Director, Job Training Division, Job Service North

Dakota, 1000 E. Divide Avenue; Post Office

[[Page 50399]]

Box 5507, Bismarck, ND 58502-5507, Telephone: (701) 328-2843

OREGON

Patricia Grose, DWU Coordinator, Economic Development Dept., 255

Capitol Street, NE; 3rd Floor, Salem, Oregon 97310, Telephone: (503)

373-1995

OHIO

James Turner, Manager, Rapid Response, OJT Ohio, Ohio Bureau of

Employment Services, 145 South Front Street; Post Office Box 1618,

Columbus, OH 43215, Telephone: (614) 466-3817

OKLAHOMA

Joe Glenn, Chief, DWU Unit, Oklahoma Employment Security Commission,

Will Rogers Building, Room 408, 2401 North Lincoln Boulevard, Oklahoma

City, Oklahoma 73105, Telephone: (405) 557-7294

PENNSYLVANIA

John Vogel, Director DWU, Labor & Industry Building, 7th and Forester

Streets; Room 1112E, Harrisburg, PA 17120, Telephone: (717) 787-9282

RHODE ISLAND

Robert Gray, EDWAA Coordinator, Dept. of Employment and Training, 109

Main Street, Pawtucket, RI 02860, Telephone: (401) 277-3450

SOUTH CAROLINA

Maxwell F. Parrott, Jr., Program Coordinator, Manpower Training Unit,

Post Office Box 995, Columbia, SC 29202, Telephone: (803) 737-2601

SOUTH DAKOTA

Mike Ryan, JTPA Administrator, SD Dept. of Labor, Kneip Building, 700

Governors Drive, Pierre, SD. 57501, Telephone: (605) 773-5017

TENNESSEE

Louis Stone, DWU Manager, TN Department of Labor, Gateway Plaza, 710

James Robertson Parkway, 4th Floor, Nashville, TN 37243, Telephone:

(615) 741-1031

TEXAS

Dale Robertson, Manager EDWAA, Work Force Development Div., Texas

Workforce Commission, 211 East 7th Street, Suite 1000, Austin, Texas

78701, Telephone: (512) 936-0474

UTAH

Gary Gardner, DWU Supervisor, Utah Office of Job Training for Economic

Development, 324 South State Street; Suite 500, Salt Lake City, Utah

84114-7162, Telephone: (801) 538-8757

VERMONT

Andrea Tomasi, DWU Coordinator, Dept. of Employment and Training, Post

Office Box 488, Montpelier, Vermont 05602, Telephone: (802) 828-4177

VIRGINIA

Rob Ashby, Virginia Employment Commission, Post Office Box 1358,

Richmond, Virginia 23211, Telephone: (804) 786-3037

WASHINGTON

Larry Malo, Assistant Commissioner, Employment and Training Division,

605 Woodland Square Loop, SE, MS-6000; Post Office Box 9046, Olympia,

WA 98507-9046, Telephone: (206) 438-4611

WEST VIRGINIA

Sherron Higginbotham, Manager, Governor's Administered Programs & DWU,

Bureau of Employment Programs, Job Training Programs Division, 112

California Avenue, Charleston, WV 25305-0112, Telephone: (304) 558-1847

WISCONSIN

Dan Bond, Chief, Dislocated Worker Unit, Division of Jobs, Employment &

Training Services, Dept. of Labor, Industry and Human Relations, 201 E.

Washington Avenue, Post Office Box 7972, Madison, Wisconsin 53707,

Telephone: (608) 266-0745

WYOMING

Brian Clark, Coordinator, Job Training Program, Dept. of Employment,

100 West Midwest, Post Office Box 2760, Casper, Wyoming 82602,

Telephone: (307) 235-3601

PUERTO RICO

Ardin Teron, President, Technological--Occupational Education Council,

431 Ponce de Leon, 16th Floor, Hato Rey, PR 00918, Telephone: (809)

754-5633

VIRGIN ISLANDS

Malcolm McGregor, DWU Coordinator, V.I. Department of Labor, 2131

Hospital Street, Christiansted, St. Croix, V.I. 00820, Telephone: (809)

773-1994

DISTRICT OF COLUMBIA

Shirley Arnett, DWU Chief, 1000 U Street, N.W., Suite 331, Washington,

DC 20001, Telephone: (202) 673-4434

Appendix D.--Assurances and Certifications

Assurances and Certifications for JTPA Title III National Reserve

Grants

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

assures that:

1. Use of funds provided through this grant will be in accordance

with the Act, applicable regulations, the application and any

amendments thereto as approved by the Grant Officer, and shall be

consistent with the executed award document signed by the Grant

Officer.

2. Services under this grant will be provided only to eligible

dislocated workers.

3. Services will not be denied on the basis of residence to

eligible dislocated workers.

4. The project design will reflect full consultation with each

local labor organization(s) representing 20% or more of the workers

affected by the layoff(s) covered by this grant.

5. The project will provide activities and services which are

supported with funds reserved by the Secretary pursuant to

Sec. 302(a)(2) and Sec. 322(a)(3) of the Job Training Partnership Act.

6. The project will operate in accordance with the General

Administrative Provisions of the Act, as described in Title I, Parts C

and D, and section 312(e) of the Act; 20 CFR Part 627 of the

Regulations; and 20 CFR Part 631, Sec. 631.13, Sec. 631.15,

Sec. 631.16, Sec. 631.17, Sec. 631.31, Sec. 631.37, and Subpart G.

7. The project will maintain accurate and timely participant and

fiscal records, and will submit complete, accurate and timely reports

as specified by the Grant Officer.

8. Except as described in the application and as approved by the

Grant Officer, projects administered by State or Title III substate

grantees will adhere to all policies and procedures identified in the

approved State Title III Plan, and applicable Title III substate plan.

9. Retraining will only occur in occupations with a demand for

workers.

10. By signing these Assurances and Certifications, the applicant

is assuring compliance with the provisions of each of the following:

a. Assurances--Non-Construction Programs (SF 424B);

b. Debarment, Suspension, Ineligibility and Voluntary Exclusion--

Primary Covered and Lower Tier Transactions (29 CFR Part 98);

c. Certification Regarding Lobbying (29 CFR Part 93);

d. Certification Regarding Drug-Free Workplace (29 CFR Part 98);

e. Certification of Release of Information;

f. Compliance with Nondiscrimination and Equal Opportunity

Requirements of JTPA (29 CFR Part 34).

[[Page 50400]]

11. Each contract for on-the-job training will comply with the

provisions at Sec. 627.240 of the Regulations.

12. It will conduct at least once annually a comprehensive review

and verification of financial management, procurement systems,

participant data, and subrecipient monitoring procedures and systems

for the project operator.

13. Funds awarded under this grant will not supplant available

resources, and will be coordinated with all resources available to

provide assistance to the target group.

14. It will provide effective administration and oversight of the

funds awarded through this grant; and that it will review expenditures

and enrollment data against the planned levels for the project and

notify the Grant Officer expeditiously of any potential over- or

underexpenditure of grant funds.

15. It will compile and maintain information on project

implementation on a monthly basis, and shall provide such information

to the Department as requested.

16. It will develop and implement a system for collecting

information from participants regarding satisfaction with outcomes and

the service process, and for using that information in a continuous

improvement process regarding project design and operation.

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

Signature of Authorized Signatory

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

Date

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

Name

Appendix E.--Definitions of Key Terms

Definitions of Key Terms

1. Family, for purposes of establishing eligibility for needs-

related payments, means two or more persons related by blood, marriage,

or decree of court who are living in a single residence, and are

included in one of the following categories:

A husband, wife and dependent children;

A parent or guardian and dependent children;

A husband and wife.

2. Family income means income as defined by the Department of

Health and Human Services in connection with the annual poverty

guidelines. Items which should not be included in computing family

income are:

unemployment compensation

child support and public assistance (including Aid to Families

with Dependent Children, Supplemental Security Income, Emergency

Assistance money payments, and non-federally funded General Assistance

or General Relief payments)

foster child care payments

educational financial assistance received under Title IV of

the Higher Education Act

needs-based scholarship assistance

income earned while on active military duty.

In addition, when a Federal statute specifically provides that

income or payments received under such statute shall be excluded in

determining eligibility for and the level of benefits received under

any other federal statute, such income shall be excluded.

With the exception of the above, and any other exclusions which can

be determined appropriate, family income to be used in determining

eligibility for needs-related payments shall be all income actually

received from all sources by all members of the family for the six-

month period prior to application, annualized. When computing family

income, income of a spouse and other family members is counted for the

portion of the six-month period, prior to application that the person

was actually a member of the family.

3. High performance workplace activities are activities designed to

increase the productivity of workers and the efficiency of work

processes. They include, but are not limited to: analyzing and

restructuring (``reengineering'') work processes to strip down

processes and work procedures to the most essential parts; acquisition

and installation of flexible, multi-purpose, usually computer-based

equipment; development and installation of self-control performance

management procedures; worker participation in designing new work

procedures and methods, including evaluation and selection of new

technologies and equipment to be used in the workplace; development of

worker skills in self-control systems and procedures, decision-making,

working in team-based environment; development of worker competence in

using new technologies, including an active role by worker

representatives in evaluating and selecting training methodologies and

materials.

4. Obsolete skills, for purposes of establishing eligibility for

skills upgrading, means skills or skill levels that would not allow the

individual worker to meet current hiring requirements for the

occupation in the local labor market, or a labor market to which the

individual is willing to relocate. Examples of reasons for ``obsolete

skills'' include: skills that are based on individual employer

requirements and are not transferrable to other workplaces; skills that

are satisfactory in low technology work environments, but are

inadequate to meet hiring criteria or for successful job performance in

similar occupations within the current local labor market.

5. Project Operator is an entity which receives an award from the

grantee to operate a full service program for all or part of the target

group covered by the grant. Project operators may be defined on the

basis of geographical service areas or specific segments of the target

population, but shall not be considered to be individual service

offices or locations, or providers of specific services (e.g.,

occupational skills training). In general, project operators would

qualify as ``subrecipients'' as defined at 20 CFR 626.5 of the JTPA

Regulations.

6. State, for the purposes of these grant application guidelines,

shall mean the 50 States of the United States, as represented by the

State JTPA agency under the Governor/Secretary Agreement and the JTPA

Agreement, block grants. ``State'' shall also include the following

grant eligible territories and legal jurisdictions: District of

Columbia, Commonwealth of Puerto Rico, Virgin Islands, Guam, American

Samoa, Commonwealth of Northern Marianas, Republic of the Marshall

Islands, Federated States of Micronesia, and Republic of Palau, as

represented by the State JTPA agency under the Governor/Secretary and

the JTPA Grant Agreements, ``block grant''.

7. Substate area means that geographic area in a State designated

by the Governor pursuant to his/her authority under section 312 of

JTPA.

8. Substate grantee means that agency or organization selected to

administer programs under agreement among the Governor, the local

elected official or officials of the applicable substate area, and the

private industry council or councils of such area, as provided in

section 312 of JTPA.

9. Substantial layoff, for the purpose of eligibility of a layoff

for assistance with national reserve account funds, is any reduction-

in-force which is not the result of a plant closure and which results

in an employment loss at any single site of employment during any 30

period for at least 33% of the employees (who work 20 or more hours per

week) or at least 50 employees (who work 20 or more hours per week).

10. Wage replacement rate for entered employments is the number

which represents the average, for all project participants, of the

ratio of the

[[Page 50401]]

placement wage to the dislocation wage for each participant.

[GRAPHIC] [TIFF OMITTED] TN25SE96.006

[FR Doc. 96-24535 Filed 9-24-96; 8:45 am]

BILLING CODE 4510-30-U