Welfare-to-Work Competitive Grants

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

Administration (ETA) announces the third round of competitive grants

under the Welfare-to-Work (WtW) grant program. The WtW program assists

States and local communities to provide the transitional employment

assistance needed to move hard-to-employ recipients of Temporary

Assistance for Needy Families (TANF), and certain noncustodial parents,

who have experienced or have characteristics associated with long-term

welfare dependence, into lasting unsubsidized jobs. This announcement

describes the conditions under which applications will be received

under the (WtW) Competitive Grants program and how DOL/ETA will

determine which applications it will fund. Please note that substantive

changes have been made to this solicitation from previous WtW

competitive grant solicitations. Read this Announcement carefully. In

this round, the Department of Labor is placing a high priority on

funding applications targeted to specific populations who face

particular challenges in moving from welfare to work: noncustodial

parents, individuals with disabilities, individuals who require

substance abuse treatment, victims of domestic violence and individuals

with limited English proficiency. Applications targeting these high

priority populations may be eligible for bonus points. Applications for

other WtW projects will also be considered, but will not be eligible

for the bonus points associated with serving a high priority

population. This announcement includes all of the information and forms

needed to apply for WtW competitive grants.

DATES: The closing date for receipt of applications under this

announcement is April 30, 1999. For the funding cycle covered by this

announcement, complete applications must be received at the address

below no later than 2 p.m. EST (Eastern Standard Time). Except as

provided below, grant applications received after this date and time

will not be considered. Applications which are not accepted for this

announcement must be resubmitted to be considered for future

announcements.

ADDRESSES: U.S. Department of Labor, Employment and Training

Administration, Division of Federal Assistance, Attention: Ms. Mamie D.

Williams, SGA/DFA 99-003, 200 Constitution Avenue, NW, Room S4203,

Washington, D.C. 20210.

FOR FURTHER INFORMATION CONTACT: Questions should be faxed to Ms. Mamie

D. Williams, Grant Management Specialist, Division of Federal

Assistance, Fax: (202) 219-8739. This is not a toll-free number.

Questions may also be sent via electronic mail to ``disgu-

[email protected].'' All inquiries sent via fax or e-mail should include

the SGA number (DFA 99-003) and a contact name and phone number. This

announcement is also being published on the Internet on the Employment

and Training Administration's Welfare-to-Work Home Page at http://

wtw.doleta.gov. Commonly asked questions and answers with regard to the

WtW competitive grants and the WtW program in general, and copies of

the Interim Final Rule governing the Welfare-to-Work program, including

activities conducted under the competitive grants, are also available

on the WtW Home Page. Award notifications will be also published on the

WtW Home Page.

SUPPLEMENTARY INFORMATION:

I. Authority

Section 403(a)(5)(B) of Title IV of the Social Security Act.

Regulations governing the WtW program are at 20 CFR Part 645, published

at 62 FR 61588 (November 18, 1997).

II. Submission of Applications

Four copies of the application must be submitted, one of which must

contain an original signature. Proposals must be submitted by the

applicant only. All applications must be single-spaced, and on single-

sided, numbered pages. A font size of at least 12 point is required.

Section I of the application must include the following required

elements: (1) Application Cover Sheet; (2) Project Financial Plan,

including the SF-424, (3) ETA Form 9070, Project Synopsis Form, and (4)

Evidence of State and local consultation. Section I will not count

against the application page limits. Failure to include all elements

required in this section will result in disqualification of the

application. Applications will not be reviewed if appropriate State and

PIC/political subdivision certifications (or evidence of efforts to

consult, as described in Section IV below) are not included. No

additional information or materials will be accepted by the Department

of Labor after the closing date, unless such additional material is

specifically requested by the Grant Officer.

Section II of the application, the project narrative, shall not

exceed twenty (20) pages for the Government Requirements/Statement of

Work section, as described below in the ``Required Content for WtW

Competitive Grant Applications--Fiscal Year 1999,'' plus an additional

ten (10) pages for Attachments, to include no information that is

critical to the review of the proposal. Letters of support for a

proposal should NOT be submitted and will count against the page

limits.

Acceptable Methods of Submission

Applications may be hand-delivered or mailed. Hand-delivered

applications must be received at the address identified above by the

date and time specified. Overnight mail deliveries will be treated as

hand-deliveries. Mailed applications that arrive after the closing date

will be accepted if they are post-marked at least five (5) days prior

to the closing date. Applications submitted via overnight mail that

arrive after the closing date will be accepted if they are post-marked

at least two (2) days prior to the closing date. Otherwise, late

applications will not be accepted. Telegraphed and/or faxed

applications will not be accepted.

Applications may be withdrawn by written notice or telegram

(including mailgram), or in person if the representative's identity is

made known, and the representative signs a receipt for the application.

OMB Approval of Paperwork Burden

According to the Paperwork Reduction Act of 1995, no persons are

required to respond to a collection of information unless such

collection displays a valid OMB control number. The valid OMB control

number for this information collection is 1205-0399, expiration 7/99.

The time required to complete this information collection is estimated

to average twenty (20) hours per response, including the time to review

the instructions, search existing data resources, gather data needed,

and complete and review the information. Comments concerning this

burden estimate or any other aspect of this collection of information,

including suggestions for reducing this burden, to the U.S. Department

of Labor, Office of Job Training Programs, Room N4459, Washington, DC

20210 (Paperwork Reduction Project 1205-0399).

[[Page 4011]]

Comments may be reflected in the development of future solicitations.

Catalog of Federal Domestic Assistance Number

The Welfare-to-Work program is listed in the Catalog of Federal

Domestic Assistance at No. 17.253, ``Employment and Training

Assistance--Welfare-to-Work Grants to States & Local Entities for Hard-

to-Employ Welfare Recipient Programs.''

III. Program Scope and Funding

Competitive grant projects will be expected to achieve the purpose

of all WtW grants:

To provide transitional assistance which moves welfare recipients

into unsubsidized employment providing good career potential for

achieving economic self-sufficiency.

This transitional assistance is to be provided through a ``work

first'' service strategy in which recipients are engaged in employment-

based activities. Grant funds may be used to provide needed basic and/

or vocational skills training as a post-employment service in

conjunction with either subsidized or unsubsidized employment. This

flexibility, established in the Regulations, reflects the basic ``work

first'' philosophy of the WtW legislation, and recognizes the critical

importance of continuous skills acquisition and lifelong learning to

economic self-sufficiency.

All competitive grant projects are expected to be integral parts of

a comprehensive strategy for moving eligible individuals into

unsubsidized employment in a local, community-based context. Projects

should develop and implement innovative approaches that enhance a

community's ability to move eligible individuals into self-sustaining

employment, create upward mobility paths and higher earnings potential

for WtW participants, and achieve sustainable improvements in the

community's service infrastructure for assisting welfare recipients.

All applications will be reviewed under the criteria set forth in

Part VII of this announcement, including the effectiveness of the

proposal in moving TANF recipients who are least job ready into

unsubsidized employment, in moving such recipients into unsubsidized

employment in labor markets that have a shortage of low-skill jobs, and

in expanding the base of knowledge about programs aimed at moving TANF

recipients into long-term unsubsidized employment.

Targeted Populations

Within the overall WtW competition, the Department seeks

applications that target one of five high priority populations--(1)

noncustodial parents; (2) individuals with disabilities; (3)

individuals requiring substance abuse treatment; (4) victims of

domestic violence or (5) individuals with limited English proficiency.

Applications that identify one (and only one) of these target

populations on the Project Synopsis Form (ETA Form 9070, Appendix B)

will be reviewed separately by a panel of appropriate subject matter

experts. Applications that target more than one of the high priority

populations will be considered as general applications. It is important

to note that the eligibility criteria and the proposed outcomes for

projects for these targeted populations are the same as for the WtW

program overall--to place hard-to-employ individuals in unsubsidized

employment leading to economic self-sufficiency.

Projects serving high priority populations must respond to the same

requirements as all other WtW competitive grant proposals, as described

in ``Required Content for WtW Competitive Grant Applications--Fiscal

Year 1999'' below. In addition, these applications will be required to

describe: the specific services to be provided that address the unique

characteristics of the targeted population; the specific partner

organizations who have experience serving the targeted population or

who will be key to the recruitment of the population into the project;

and the prevalence of the targeted population within the eligible WtW

population in the local area(s) to be served by the project.

Other Areas of Interest

In addition to proposing innovative strategies for moving welfare

recipients into lasting unsubsidized employment and for providing

services to the targeted populations described above, applicants are

encouraged to consider the following in designing responsive service

strategies for the eligible population in their local area.

Strategies that focus on serving public and assisted

housing residents;

Development of responsive transportation and child care

service systems;

Integration of work and learning strategies to develop

skills that promote employment, retention and career development;

Creation of job opportunities (including self-employment)

that allow for flexibility to address work and family needs while

providing income levels that are adequate for self-sufficiency;

Proactive strategies to involve employers in design of

service strategies and implementation of the project;

Strategies that focus on family-based assistance and that

are integrated with children systems (e.g., Child Care, Head Start)

that can assist the full family unit;

Activities to help women access nontraditional

occupations; and

Strategies that reflect effective integration with both

the workforce development (e.g., One-Stop) and welfare systems.

In identifying those Other Areas of Interest addressed by the

proposal on the Project Synopsis form (Required format can be found in

Appendix B), please indicate the page number on which relevant text

relating to this interest area can be found in the proposal narrative.

The Department is also interested in receiving applications to

implement projects that are coordinated with community saturation

strategies (in which comprehensive services are available to assist all

of the eligible residents in a defined community). The Department

expects that these applications would be submitted from communities in

which there are concentrations of eligible hard-to-employ individuals,

there is a reasonable opportunity to provide employment for all such

individuals, and there are established partnerships which can

contribute a significant level of resources to implement the strategy.

A definition of ``community saturation strategy'' is provided in

Appendix A.

Funding Availability

Approximately $240 million is available for Federal grant

assistance through this announcement. Of the funds available in this

round of competitive grants, the Department aims to distribute

approximately 70 percent for projects to serve cities with large

concentrations of poverty and 30 percent for projects to serve rural

areas. Definitions for ``cities with large concentrations of poverty''

and ``rural area'' can be found in Appendix A of this announcement.

Applications to serve rural areas should be targeted to serve eligible

residents from subareas that represent concentrations of poverty.

Further, as indicated under the Criteria section of this solicitation,

applicants are strongly encouraged to present innovative strategies to

address the needs of areas with concentrations of poverty. Each

application must indicate

[[Page 4012]]

on the required Project Synopsis Form either a rural or an urban focus

for its project services.

It is expected that most grant awards will be between $1 million

and $5 million. Furthermore, it is expected that most grants will serve

a minimum of 100 eligible participants. Applications that are outside

of this range must provide a brief explanation of how the project will

have substantial community impact (especially for those below $1

million and/or fewer than 100 participants), or how project services

will be provided on a local level and targeted to the specific needs of

the defined target group (especially for those applications over $5

million).

Award Period

It is expected that the planned performance period for most

projects will be between 18 and 30 months. Grant funds are not

available for expenditure for longer than three years. No obligation or

commitment of funds will be allowed beyond the grant period of

performance. Any unspent grant funds must be returned to the Federal

government.

IV. Eligible Grant Applicants

Private Industry Councils (PICs), political subdivisions of the

State, and private entities (as defined in Appendix A) are eligible to

receive grant funds under this announcement. Eligible private entities

include community development corporations, community action agencies,

community-based and faith-based organizations, disability community

organizations, public and private colleges and universities, and other

qualified organizations. Private entities include both non-profit and

for-profit organizations but do not include individuals.

Entities other than a PIC or a political subdivision of the State

must submit an application for competitive grant funds in conjunction

with the PIC(s) or political subdivision(s) for the area in which the

project is to operate. The term ``in conjunction with'' shall mean that

the application must include a signed certification by both the

applicant and either the appropriate PIC(s) or political subdivision(s)

indicating that:

1. The applicant has consulted with the appropriate PIC(s)/

political subdivision(s) during the development of the application; and

2. The activities proposed in the application are consistent with,

and will be coordinated with, the WtW efforts of the PIC(s)/political

subdivision(s).

If the applicant is unable to obtain the certification, it will be

required to include information describing the efforts which were

undertaken to consult with the PIC(s)/political subdivision(s) and

indicating that the PIC(s)/political subdivision(s) were provided a

sufficient opportunity to cooperate in the development of the project

plan and to review and comment on the application prior to its

submission to the Department of Labor. ``Sufficient opportunity for

PIC/political subdivision review and comment'' shall mean at least 30

calendar days.

The certification, or evidence of efforts to consult, must be with

either each PIC or each political subdivision in the service area in

which the proposed project is to operate. These certifications must be

included in Section I of the grant application, and will not count

against the established page limitations. For the purposes of this

portion of the application, applicants must demonstrate, through

written documentation such as registered mail receipt, that project

applications were shared with the PIC/political subdivision in a timely

manner. Certifications or evidence of efforts to consult must be

included with the application. The Department of Labor will not accept

additional information after the closing date.

State-level Consultation

All applicants for competitive grants, including PICs and political

subdivisions, must submit their applications to the Governor or, at the

discretion of the Governor, to the designated State administrative

entity for the WtW program, for review and comment prior to submission

of the application to the Department. For private entities, State

review must be subsequent to review by the PIC or political

subdivision.

When submitted to the Department, the application must include any

comments from the Governor or his/her designee or must include

information indicating that the Governor was provided a sufficient

opportunity for review and comment prior to submission to the

Department. ``Sufficient opportunity for State review and comment''

shall mean at least 15 calendar days. For the purposes of this portion

of the application, information indicating that the Governor was

provided opportunity for review must be demonstrated by written

documentation, such as registered mail receipt, that project

applications were submitted to the Governor or his/her designee in a

timely manner. Certifications or evidence of efforts to consult must be

included with the application. The Department of Labor will not accept

additional information after the closing date.

Applicants for Multiple Community or National Projects

Consideration will be given to applications which propose multi-

community or national strategies to move welfare recipients into long-

term unsubsidized employment leading to economic self-sufficiency. For

example, an applicant may design a nationwide project to create jobs

for welfare recipients in a particular industry. Applications which

propose multi-community or national strategies must meet all of the

application requirements contained in this Announcement. Specifically,

private entities proposing such projects must include the signed

certification from the applicable PIC or political subdivision of each

local area in which the project will operate or other evidence

indicating the efforts undertaken to obtain the required consultation

as described above. Such applications must also demonstrate the

required consultation with the Governors of the States in which the

project will operate. Applications proposing national projects must

comply with all statutory and regulatory requirements and will be rated

under the same evaluation criteria as other applications. Applicants

should be aware that the extent of local collaboration demonstrated in

a national project will be considered as an important factor in the

overall strength of the proposal. Applications targeting one of the

high priority populations may also propose a multi-site project.

Lobbying Disclosure Act of 1995

Entities described in section 501(c)(4) of the Internal Revenue

Code that engage in lobbying activities are not eligible to receive

funds under this announcement. The Lobbying Disclosure Act of 1995, 2

U.S.C. 1601 et seq., prohibits the award of Federal funds to these

entities if they engage in lobbying activities.

V. Program and Administrative Requirements

Participant Eligibility and Funding Expenditures

Each project will be required to meet the targeting provisions

described at 20 CFR 645.211-645.213. [Note: The WtW Regulations are

available at the WtW Internet web site at http://wtw.doleta.gov.] These

provisions dictate that a minimum of 70 percent of the funds in each

WtW competitive grant must be used to serve hard-to-employ individuals

as described in Sec.

[[Page 4013]]

645.212. Furthermore, no more than 30 percent of the funds in each

grant may be used to serve individuals with characteristics predictive

of long-term welfare dependence, as described in Sec. 645.213.

Allowable Uses of Funds

Competitive grant funds shall be spent only for those activities

identified in the WtW Regulations, at 20 CFR Part 645.220 and set forth

below; for appropriate administrative costs; and for information

technology costs in accordance with 20 CFR 645.235(c)(3).

WtW Allowable Activities Are:

(a) Job readiness activities financed through job vouchers or

through contracts with public or private providers.

(b) Employment activities which consist of any of the following:

(1) Community service programs; (2) Work experience programs; (3) Job

creation through public or private sector employment wage subsidies;

and (4) On-the-job training.

(c) Job placement services financed through job vouchers or through

contracts with public or private providers subject to the payment

requirements at Sec. 645.230(a)(3).

(d) Post-employment services financed through job vouchers or

through contracts with public or private providers, which are provided

after an individual is placed in one of the employment activities

listed in paragraph (b) above, or in any other subsidized or

unsubsidized job. Post-employment services include, but are not limited

to, such services as: (1) Basic educational skills training; (2)

Occupational skills training; (3) English as a second language

training; and (4) Mentoring.

(e) Job retention services and support services which are provided

after an individual is placed in a job readiness activity, as specified

in paragraph (a) above, in one of the employment activities, as

specified in paragraph (b) above, or in any other subsidized or

unsubsidized job. These services can be provided with WtW funds only if

they are not otherwise available to the participant. Job retention and

support services include, but are not limited to, such services as: (1)

Transportation assistance; (2) Substance abuse treatment (except that

WtW funds may not be used to provide medical treatment); (3) Child care

assistance; (4) Emergency or short-term housing assistance; and (5)

Other supportive services.

(f) Individual development accounts which are established in

accordance with section 404(h) of the Act.

(g) Intake, assessment, eligibility determination, development of

an individualized service strategy, and case management may be

incorporated in the design of any of the allowable activities listed in

paragraphs (a) through (f) above.

Administrative Costs

Allowable costs and the 15 percent limitation on administrative

costs for WtW competitive grants are defined in the WtW Regulations at

20 CFR 645.235. All proposed costs must be reflected as either a direct

charge to specific budget line items, or as an indirect cost. Direct

and indirect administrative costs are allowable, but combined, these

costs cannot exceed 15 percent of the total grant. The administrative

costs negotiated in the final grant document may be below fifteen

percent.

Only costs which result from applying a federally-approved indirect

cost rate may be entered on the ``indirect cost'' line item of the

budget. If an indirect cost rate is used, the applicant must include

documentation from the cognizant Federal agency which includes the

approved rate, the cost base against which it is applied, and the

approval date.

All applicants will be expected to justify proposed costs (see Item

1B, Project Financial Plan, in the ``Required Content for WtW

Competitive Grants Applications--Fiscal Year 1999''). Profits are not

an allowable use of grant funds.

Use of Federal Funds

Federal funds cannot be used to support activities which would be

provided in the absence of those funds. Grant funds may cover only

those costs which are appropriate and reasonable. Federal grant funds

may only be used to acquire equipment which is necessary for the

operation of the grant. The grantee must receive prior approval from

the DOL/ETA Grant Officer for the purchase and/or lease of any property

and/or equipment with a per unit acquisition cost of $5,000 or more,

and a useful life of more than one year as defined in the ``Uniform

Administrative Requirements for Grants and Cooperative Agreements to

State and Local Governments'', codified at 29 CFR Part 97 (also known

as the ``Common Rule''), and ``Grants and Agreements with Institutes of

Higher Education, Hospitals and Other Non-Profit Organizations,''

codified at 29 CFR Part 95 (also known as OMB Circular A-110). This

restriction includes the purchase of Automated Data Processing (ADP)

equipment. A request for such prior approval may be included in the

grant application or submitted after the grant award. Requests

submitted after the grant award must be directed through the Grant

Officer Technical Representative (GOTR) and must include a detailed

description and cost of the items to be acquired.

Grant funds also may not be used to cover any project-related costs

incurred prior to the effective date of the grant award. In making a

grant award, DOL/ETA has no obligation to provide any future additional

funding in connection with the grant award.

Pursuant to 20 CFR Part 645.235(c)(3), the costs of information

technology--computer hardware and software--needed for tracking or

monitoring under a WtW grant are not subject to the fifteen percent

limitation on administrative costs.

Year 2000 Compliance

Any information technology purchased in whole or in part with WtW

funds, which is used for a period of time that goes beyond December 31,

1999, must be ``year 2000 compliant.'' This means that such information

technology shall accurately process date/time data (including, but not

limited to, calculating, comparing and sequencing) from, into and

between the twentieth and twenty-first centuries, the years 1999 and

2000, and leap year calculations. Furthermore, ``year 2000 compliant''

information technology, when used in combination with other information

technology, shall accurately process date/time data if the other

information technology properly exchanges date/time with it.

Assurances and Certifications

The following assurances and certifications must be included as

part of each grant application: Debarment & Suspension Certification.

Other assurances and certifications will be required as part of

each executed grant agreement, but do not need to be submitted as part

of a WtW Competitive grant application: Assurances/Non-Construction

Programs; Certification Regarding Lobbying; Drug Free Workplace

Certification; Certification of Non-delinquency; and Non-discrimination

and Equal Opportunity Requirements.

Departmental Oversight

The Department reserves the right to conduct oversight and both

programmatic and financial monitoring activities for all competitive

grants

[[Page 4014]]

awarded under the WtW grants program.

Department of Health and Human Services Evaluation of the Welfare-to-

Work Program

Competitive grant projects will participate in the evaluation of

the WtW grant program by the U.S. Department of Health and Human

Services (DHHS), as described in Title IV, section 413(j)(1) of the

Social Security Act. The goal of the DHHS evaluation is to expand the

base of knowledge about programs aimed at moving the least job-ready

welfare recipients into unsubsidized employment. The Department of

Health and Human Services has selected Mathematica Policy Research as

the evaluation contractor for this project. The evaluator will collect

program and administrative data to determine the range of WtW project

designs and the employment outcomes for all WtW grantees, consistent

with section 413(j)(1)(C) of the Social Security Act. In addition, the

evaluator, in cooperation with DHHS, will select certain sites at which

to qualitatively study the implementation of the WtW program and other

sites where net impact and cost effectiveness of the program will be

examined quantitatively. For more information concerning Mathematica's

evaluation of the WtW grants program, visit their website at http://

www.mathematica-mpr.com.

VI. Monitoring and Reporting

Monitoring

The Department shall be responsible for ensuring effective

implementation of each competitive grant project in accordance with the

Act, the Regulations, the provisions of this announcement and the

negotiated grant agreement. Applicants should assume that at least one

on-site project review will be conducted by Department staff, or their

designees, at approximately the midpoint of the project performance

period. This review will focus on the project's performance in meeting

the grant's programmatic goals and participant outcomes, complying with

the targeting requirements regarding recipients who are served,

expenditure of grant funds on allowable activities, integration with

other resources and service providers in the local area, and methods

for assessment of the responsiveness and effectiveness of the services

being provided. Grants may be subject to other additional reviews at

the discretion of the Department.

Reporting

Applicants selected as grantees will be required to provide the

following reports:

1. Financial Reporting: The Department of Labor (DOL) issued

financial reporting instructions for competitive grantees on June 24,

1998. Financial reports will be submitted electronically directly to

DOL.

2. Participant Reporting: Participant reporting instructions will

be issued shortly covering the WtW competitive grant program.

Participant reports for each competitive grant will be submitted in

accordance with reporting instructions at a later date.

3. Other Reporting: The Department of Labor may negotiate

additional reporting requirements with individual grantees, where

necessary, for grant management and/or knowledge development purposes,

including quarterly narrative reports.

In addition to required quarterly financial and participant

reporting, some grantees may be asked to provide information to the

appropriate ETA Regional Office during the early implementation phase

of the project for the purpose of project oversight. This information

may include project enrollment levels, participant characteristics, and

emerging implementation issues.

VII. Review and Selection of Applications for Grant Award Review

Process

The Department will screen all applications to determine whether

all required elements are present and clearly identifiable. These

elements are described below in the ``Required Content for WtW

Competitive Grant Applications--Fiscal Year 1999.'' Failure to include

and all required elements in Section I of the grant application will

result in rejection of the application.

Each complete application will be objectively rated by a panel

against the criteria described in this announcement. Applicants are

advised that the panel recommendations to the Grant Officer are

advisory in nature. The Grant Officer may elect to award grants either

with or without discussion with the applicant. In situations where no

discussions occur, an award will be based on the applicant's signature

on the SF424 form (See Appendix B), which constitutes a binding offer.

Those applications that target one of the high priority populations

(noncustodial parents, individuals with disabilities, individuals

requiring substance abuse treatment, victims of domestic violence or

individuals with limited English proficiency) will be reviewed

separately from the general applications.

The Grant Officer will make final award decisions based on what is

most advantageous to the Government, considering factors such as: Panel

findings; the geographic distribution of the competitive applications;

the extent to which the competitive applications reflect a reasonable

distribution of funds across the targeted populations and other areas

of interest identified in this announcement; and the availability of

funds.

Criteria

The criteria, and the weights assigned to each, which will apply to

the review of applications submitted in response to this announcement

are:

1. ``Relative Need for Assistance'' [20 points] which shall

consider the concentration of poverty and long-term welfare dependence

and the lack of employment opportunities in the project service area

(up to 9 points); the extent of gaps in the capacity of the local

infrastructure to effectively address the employment barriers which

characterize the targeted population, including an assessment of

existing WtW competitive and formula funding in the local area (up to 6

points); and the responsiveness of the project design to the other

areas of interest identified in Part III of this announcement (up to 5

points).

2. ``Innovation'' [20 points] which shall consider the extent to

which the project incorporates new and better strategies for moving

welfare recipients into lasting unsubsidized employment leading to

economic self-sufficiency. These strategies can include, but are not

limited to, new and better ways that services can be accessed by

participants in the local community, new and better ways for local

organizations to work together, or the replication of effective

strategies in a new setting.

3. ``Outcomes'' [25 points] which shall consider the quality of the

proposed employment and earnings outcomes (up to 10 points); the extent

to which the proposed plan of services responds to identified needs,

the barriers faced by proposed participants, and the conditions in the

local area as well as the likelihood that the proposed service plan

will result in the proposed outcomes (up to 12 points); and the

reasonableness of the level of investment in relation to the proposed

outcomes (up to 3 points).

4. ``Local Collaboration and Sustainability'' [25 points] which

shall consider the extent to which the project is coordinated with the

WtW formula

[[Page 4015]]

grant and TANF grant activities and supported by the PIC/political

subdivision and local TANF agency (up to 8 points); the extent and

quality of local community partnerships that are involved in and making

substantial contributions of resources to the project (up to 7 points);

involvement of and participation by local employers (up 5 points); and

the extent to which the community and/or the local area has developed

plans and commitments to maintain and expand the capacity to serve the

target population with local resources over a sustained period of time

(up to 5 points).

5. ``Demonstrated Capability'' [10 points] which shall consider the

extent to which the applicant and its partner organizations demonstrate

a history of success in serving a comparable target group, the extent

of use of current or former welfare recipients in the provision of

services, and the extent to which the applicant demonstrates the

ability to effectively execute grant management responsibilities.

For those proposals that are deemed by the Grant Officer to be most

competitive, applicants proposing projects in which the majority of

participants to be served by the project reside in designated

Empowerment Zones and Enterprise Communities (EZ/EC) will be eligible

for 5 bonus points. Applicants must demonstrate that the majority of

participants reside within a federally-designated EZ/EC in order to be

awarded the 5 bonus points, and must indicate the name of the EZ/EC to

be served. The applicant does not necessarily have to be located within

the EZ/EC.

In addition, for those proposals that are deemed by the Grant

Officer to be most competitive, applicants targeting one of five high

priority populations (noncustodial parents, individuals with

disabilities, individuals requiring substance abuse treatment, victims

of domestic violence or individuals with limited English proficiency)

will be eligible for 10 bonus points. Applications must address the

services, partner organizations and need in the local area relative to

service to the targeted population.

Signed at Washington, D.C., this 22nd day of January 1999.

Janice E. Perry,

DOL Grant Officer.

Required Content for WtW Competitive Grant Applications Fiscal 1999

Each application must contain the information and follow the format

outlined in this Part. The application must include: (1) Information

that responds to these requirements; (2) information that indicates

adherence to the provisions described in preceding sections of this

announcement; and (3) any other information the applicant believes will

address the review and selection criteria.

I. Project Summary

A. Application Cover Sheet

Each application shall complete an Application Cover Sheet (as

found in Appendix B) to clearly designate the applicant name,

affiliation and which, if any, of the targeted populations will be

served. This form will help the Department in the processing of

applications and is required.

B. Project Financial Plan

Information provided in this section will be evaluated

predominantly under the ``Outcomes'' criteria.

The financial plan shall describe all costs associated with

implementing the project that are to be covered with grant funds. All

costs should be necessary and reasonable according to the Federal

guidelines set forth in the ``Uniform Administrative Requirements for

Grants and Cooperative Agreements to State and Local Governments,''

codified at 29 CFR Part 97 (also known as the ``Common Rule''), and

``Grants and Agreements with Institutes of Higher Education, Hospitals

and Other Non-Profit Organizations' (also known as OMB Circular A-110),

codified at 29 CFR Part 95.

The financial plan must contain the following parts:

``Application for Federal Assistance'' and ``Budget

Information Sheet'' by line item for all costs required to implement

the project design effectively. Submission of these two completed forms

is required. (See Appendix B for these required forms.)

Note: Although there is no matching requirement for these

grants, the Department strongly encourages the leveraging of

financial and other resources in the implementation of WtW

competitive grant projects. These resources will not, however, be

recorded on the Budget Information Sheet (Appendix B). Leveraged

resources offered by applicants will be evaluated in the selection

criteria under ``Local Collaboration and Sustainability.''

Budget narrative/justification which provides sufficient

information to support the reasonableness of the costs included in the

budget in relation to the service strategy and planned outcomes.

C. Project Synopsis Form--ETA Form 9070

Each application shall provide a project synopsis form (ETA Form

9070) which identifies: the applicant; the type of organization;

applicant contact information; the project service area; whether the

service area is a city with a large concentration of poverty or a rural

area; whether the project is located within an EZ/EC, and if so, which

one; which, if any, of the five high priority populations will be

served--noncustodial parents, individuals with disabilities,

individuals requiring substance abuse treatment, victims of domestic

violence or individuals with limited English proficiency [NOTE:

Applications which target more than one of the targeted populations

will be reviewed as general applications]; the other areas of interest

identified in the announcement which are addressed by the project (with

page numbers where relevant portions of the project narrative can be

found); the amount of grant funds requested; the planned period of

performance; the planned number of WtW-eligible TANF recipients to be

served; the number of noncustodial parents to be served (if

applicable); the significant employment barriers which characterize the

target group; and the planned employment and earnings outcomes. The

required format for this synopsis can be found in Appendix B.

In addition, each application must provide a two-page executive

summary of the grant proposal, describing the significant employment

barriers which characterize the target group, the proposed service

strategy, other significant service organizations involved in the

delivery of services, and the most innovative elements of the proposal.

This section must be limited to no more than two single-spaced, single-

sided pages.

D. Evidence of Required Local and State Consultation

It is the expectation of the Department that, to the extent

possible, all applications will be developed in consultation with the

appropriate PIC/political subdivision and the Governor. Competitive

grant projects should complement the WtW formula program activity,

rather than exist independent of, or in conflict with, that program.

Each application must include the signed certification of the

required consultation with the Governor, or of evidence of efforts to

consult, as described in this announcement. Applications from private

entities must also include the signed certification from the

appropriate PIC(s) or political subdivision(s) or other evidence

indicating the efforts undertaken to obtain the required consultation

as described in this announcement. In areas where an entity other than

the PIC

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has been designated by the Governor and approved by the Secretary to

administer the WtW formula grant, the applicant should also include

evidence of consultation and/or support from that entity. All

certifications or comments provided as part of this requirement must be

included in this section of the grant application and will not be

counted against the established page limits.

Note: All certifications or evidence of efforts to consult must be

included as part of the application. The Department of Labor will

not accept any information received after the closing date.

II. Government Requirements/Statement of Work--Project Narrative

This section of the application should not exceed 20 single-spaced,

numbered pages. The application should include information of the type

described below, as appropriate.

Description of Service Area

Information provided in this section will be evaluated

predominantly under the ``Relative Need'' criteria.

--Identify the specific political and geographic jurisdictions (e.g.,

cities, counties, subsections of cities/counties) which are included in

the service area for the project.

--Identify the percent of the population in the service area that has

income below the poverty level.

--Identify the percent of the population in the service area that is

receiving TANF assistance.

(Note: Child-only TANF cases should be excluded from this number

unless these cases are relevant to the project target group--e.g.

noncustodial parents--Please note that ETA Training and Employment

Guidance Letter (TEGL) No. 6-98 entitled ``Technical Amendment to

Welfare-to-Work (WtW) Eligibility Criteria for Noncustodial

Parents'' and dated 9/21/98, provides further information on

eligibility requirements of noncustodial parents).

--Identify the percent of the TANF population that has received TANF or

AFDC assistance for 30 months or more, or is within 12 months of losing

eligibility for assistance under State or Federal law (Note: Child-only

TANF cases should be excluded from this number unless these cases are

relevant to the project target group--e.g. noncustodial parents).

--Identify the most recent unemployment rate in the service area.

--Describe the significant deficiencies in the local area

infrastructure that represent significant barriers to moving eligible

recipients into permanent employment in an efficient manner (e.g., lack

of transportation, labor market with a shortage of low-skill jobs,

shortage of employers with appropriate employment opportunities,

remoteness from health facilities, limited number of social and support

service agencies).

Summary of Strategy for Use of WtW Formula and Existing Competitive

Grant Funds in the Local Area

Information provided in this section will be evaluated

predominantly under the ``Local Collaboration and Sustainability'' and

``Relative Need'' criteria.

--Identify the substate service area covered by the WtW formula and

existing competitive grants.

--Describe the allocation of formula and existing competitive grant

funds among the allowable activities.

--Identify the significant local and community organizations involved

and their roles in providing assistance through the formula and

existing competitive grants.

--Describe how the proposed competitive grant project will supplement

and enhance the capacity of the WtW formula and existing competitive

grant activities to effectively serve eligible recipients in the local

area who have significant employment barriers.

--In cases where the applicant cannot obtain information regarding the

formula grant because the State has not submitted a complete WtW

Formula Grant Plan, the application should so indicate. Absence of this

information, in and of itself, will not penalize the applicant.

Analysis of Target Group

Information provided in this section will be evaluated

predominantly under the ``Relative Need'' criteria.

--Describe the individuals targeted for assistance through this

project, including any noncustodial parents (See reference above to

TEGL 6-98, dated 9/21/98 concerning eligibility determination for

noncustodial parents), individuals with disabilities, individuals

requiring substance abuse treatment, victims of domestic violence,

individuals with limited English proficiency, and public and assisted

housing residents.

--Describe the significant employment barriers which characterize this

target group, including the process for identifying those participants

who are least job ready.

Note: An adequate analysis of employment barriers of the target

group will be a critical factor in evaluating the need for grant

assistance and the appropriateness of the proposed plan of services.

Analysis of Employment Opportunities

Information provided in this section will be evaluated

predominantly under the ``Relative Need'' criteria.

--Identify the types of occupations in the local area which are being

targeted as appropriate employment opportunities for the target group

of this project.

--Describe the justification for the selection of the occupations in

terms of their availability and the adequacy of expected placement wage

and post-placement earnings potential to achieve self-sufficiency.

Service Strategy

Information provided in this section will be evaluated

predominantly under the ``Innovation'' and ``Outcomes'' criteria.

--Identify the specific job readiness, placement (in both subsidized

and unsubsidized employment), post-employment, job retention and/or

support services to be provided with competitive grant funds as well as

services to be leveraged from other sources.

--Describe the rationale for planned enrollments in activities in terms

of the employment barriers, infrastructure deficiencies and employment

opportunities previously identified above.

--Describe what individual support services, such as mentoring and case

management, will be used to maintain participants in the program.

Service Process

Information provided in this section will be evaluated

predominantly under the ``Innovation'' and ``Outcomes'' criteria.

--Describe the comprehensive service process that will be available to

participants, and identify the organizations which will be involved in

providing specific services/activities. [A process flowchart and/or

service matrix may be used to provide this description.] The

description should specify what elements of the service strategy are

already available in the community, whether through the WtW formula

program, the TANF program or from other sources, as well as the

elements or services that will be funded through the WtW competitive

grant award.

--Describe the specific methods which will be used by the grantee and

the local TANF agency to coordinate and work jointly in providing the

following services: Outreach,

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recruitment, and referral of appropriate recipients for assistance

through the project; assessment of skills and identification of

specific employment barriers; counseling and case management; and

support services.

--Applicants are strongly encouraged to develop good linkages to the

local TANF agency in the development of their proposal. Although not

required, applicants are encouraged to consult with and, where

possible, to share their proposals with the local TANF agency to

incorporate that agency's perspective into their proposed service

process.

--Where vouchers for services are to be used, describe the process by

which vouchers will be distributed and redeemed (in compliance with 20

CFR Sec. 645.230(a)(3)), including who will be eligible, how amounts of

vouchers will be determined, and how the grantee will ensure that

quality services are being provided.

Integration of Resources

Information provided in this section will be evaluated

predominantly under the ``Local Collaboration and Sustainability''

criteria.

--Identify specific financial and other resources and organizational/

service provider capabilities which are being contributed to provide

the full range of assistance to the identified target group for the

project. At a minimum, describe the coordination and contributions of

local JTPA service providers, local TANF providers, and local housing

and transportation authorities. In developing their plans, applicants

are encouraged to be mindful of their obligations not to interfere with

collective bargaining rights or agreements or to displace employees.

[Note: There is no matching or cost sharing requirement for WtW

competitive grants.]

--Describe the process that will be used to maintain and expand the

service structure in the local area and engage new partners after

receipt of WtW competitive grant funds.

--Describe how the project will develop a sustainable capacity in the

local community to effectively move welfare recipients into permanent

jobs and to foster the long-term self-sufficiency of the target

population. It is expected that project services will provide

assistance oriented towards long-term solutions. It is also expected

that the need for grant funds to provide this assistance will diminish

over time, specifically in the latter stages of the grant performance

period.

Employer Support

Information provided in this section will be evaluated

predominantly under the ``Local Collaboration and Sustainability''

criteria.

--Describe the specific responsibilities and approaches for developing

relationships with and support of area employers to generate a

sufficient number of unsubsidized employment opportunities for the

target group. Specifically describe how employers will be encouraged to

customize employment opportunities to meet work-related needs (e.g.,

child care, flexible work schedules) of recipients.

--Identify the employers in the local area who have made commitments to

the project and describe the types of commitments made (e.g., number

and types of jobs, contribution of employer resources for post-hire

support services and/or training).

Planned Outcomes

Information provided in this section will be evaluated

predominantly under the ``Outcomes'' criteria.

--Identify and justify planned performance for the comprehensive

service strategy on the following measures: Number of participants to

be placed into unsubsidized employment; average earnings at placement

in unsubsidized employment; expected average earnings one year after

placement in unsubsidized employment; and cost per placement in

unsubsidized employment.

The application may include other measures and planned performance

levels as deemed appropriate by the applicant. If these are included,

the applicant should briefly describe their relevance to the project.

Implementation Plan

Information provided in this section will be evaluated

predominantly under the ``Outcomes'' and ``Innovation'' criteria.

--Identify the critical activities, time frames and responsibilities

for effectively implementing the project within the first 60 days after

the award of the grant.

--Include an implementation schedule showing the number of

participants, enrollments in allowable activities, placements in

unsubsidized employment and terminations over the life of the grant.

Project Management Plan

Information provided in this section will be evaluated

predominantly under the ``Demonstrated Capability'' and ``Innovation''

criteria.

Applicants must be able to document that they have systems capable

of satisfying the administrative and grant management requirements for

WtW grants as defined in 20 CFR Part 645.

--Include a project organizational chart which identifies the

organizations, and staff, with key management responsibilities and the

specific responsibilities of each organization;

--Describe the specific experience of the applicant and other key

organizations involved in the project in serving individuals with

significant barriers to employment. The information should include at a

minimum specific projects or grants, a comparison of the

characteristics of individuals served to the target group for this

project, and the employment outcomes which were achieved. In addition,

applicants should provide the names and addresses of their last three

grantors, public and/or private, from which applicants received

funding. The Department of Labor reserves the right to contact any or

all of these funding organizations or to request additional information

from the applicant regarding past performance as part of a

responsibility review process, or if the Department is concerned about

the applicants' financial responsibility or capability to manage grant

funds.

--As appropriate, describe how current or former welfare recipients

will be used to provide services.

--Describe the procedures which will be used to obtain feedback from

participants and other appropriate parties on the responsiveness and

effectiveness of the services provided.

--Applicants are advised that the Department of Labor may use

information included in proposals to document the nature of the WtW

applicant pool, as well as the range and depth of perceived service

needs in the WtW population.

Innovation

Information provided in this section will be evaluated

predominantly under the ``Innovation'' criteria.

Recipients of WtW competitive grants are expected to use creativity

and innovation to help eligible individuals obtain long-term

unsubsidized employment and economic self-sufficiency. The application

should describe how the proposed approach represents an innovative

method for

[[Page 4018]]

achieving the employment objectives of the project. Proposed strategies

should represent an improvement over, or a variation on, approaches

that have traditionally been used in the project service area to assist

welfare recipients and other low-income unemployed individuals.

Grant recipients are also expected to share knowledge which they

develop through the use of innovative approaches. Applicants should

describe how they will report lessons learned in the course of the

grant implementation, and further, describe their plans for

disseminating the knowledge they have gained.

Additional Requirements for Community Saturation Projects

Information provided in this section will be evaluated

predominantly under the ``Outcomes'' and ``Innovation'' criteria.

--Describe why a project employing a saturation strategy is appropriate

for the project service area and target group.

--Describe the feasibility of a saturation strategy for the project

service area and target group (e.g., based on available employment

opportunities).

--Identify the local partners who will be involved in implementing the

saturation strategy, the services to be provided and the dollar value

of the contribution from each.

Additional Requirements for Projects Targeting High Priority

Populations

Information provided in this section will be evaluated

predominantly under the ``Relative Need'' and ``Local Collaboration and

Sustainability'' criteria.

For those projects targeting services to noncustodial parents,

individuals with disabilities, individuals requiring substance abuse

treatment, victims of domestic violence or individuals with limited

English proficiency:

--Describe the specific services to be provided that address the unique

characteristics of the targeted population;

--Describe the specific partner organizations who have experience

serving the targeted population or who will be key to the recruitment

of the population into the project; and

--Describe the prevalence of the targeted population within the

eligible WtW population in the local area(s) to be served by the

project.

Appendix A: Definitions of Key Terms

City with Large Concentration of Poverty--Any county that

contains an urban center of more than 50,000 people with a poverty

rate of greater than 7.5 percent.

Community Saturation Strategy--Projects that propose to serve

100 percent of the WtW eligible population within a designated

service area, i.e., the community is completely ``saturated'' with

services.

Private Entity--Any organization, public or private, which is

neither a PIC nor a political subdivision of a State.

Private Industry Council (PIC)--from Sec. 645.120 of the WtW

Regulations--A Private Industry Council established under Section

102 of the Job Training Partnership Act, which performs the

functions authorized at Section 103 of the JTPA.

Political Subdivision--A unit of general purpose local

government, as provided for in State laws and/or Constitution, which

has the power to levy taxes and spend funds and which also has

general corporate and police powers.

Rural Area--(1) Any county that does not contain an urban center

of more than 50,000 people, and where at least 50 percent of the

geographical area of the county has a population density of less

than 100 persons per square mile; or (2) in counties where there is

an urban center, a rural area within the county that constitutes, or

is part of, a distinct rural labor market.

Individual with a disability--A person with a physical or mental

impairment as defined in Section 3 of the Americans with

Disabilities Act of 1990 (42 U.S.C. 12102).

Appendix B: Required Forms

(1) Application Cover Sheet

(2) Application for Federal Assistance (Standard Form 424)

Note: In completing the Standard Form 424, the applicant should

indicate in Item 11 of the form whether the project is to operate in

a city with a large concentration of poverty or in a rural area;

identify the EC/EZ included in the project service area, if

applicable; and identify any of the areas of interest identified in

the announcement which are addressed by the project.

(3) Budget Information Sheet

(4) Project Synopsis Form

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