TAA Technical Assistance and Outreach Partnership Grants & WDQI

DEPARTMENT OF LABOR

Employment and Training Administration

American Recovery and Reinvestment Act of 2009; Notice of Availability of Funds
and Solicitation for Grant Applications for Trade Adjustment Assistance Technical
Assistance and Outreach Partnership Grants

AGENCY: Employment and Training Administration (ETA)

ACTION: Notice of Solicitation for Grant Applications (SGA)

Funding Opportunity Number: SGA/DFA PY 09-06

Catalog of Federal Domestic Assistance (CFDA) Number: 17.260

SUMMARY: The Department of Labor (DOL, or the Department) announces the
availability of approximately $1.2 million in grant funds authorized by the American
Recovery and Reinvestment Act of 2009 (the Recovery Act) from the dislocated workers
assistance national reserve to provide technical assistance and outreach to dislocated
workers impacted by foreign trade. Proposed projects must be developed and
implemented through strategic partnerships.

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This SGA or solicitation provides background information on the grant
opportunity and critical elements required of projects funded under this grant. It also
describes the application submission requirements, the process that eligible applicants
must use to apply for funds covered by this solicitation, and how grantees will be
selected. The eligible applicants for this SGA are National Employer Associations,
National Labor Union Organizations, other Labor Union Affiliates, Non-profit
Organizations and National Associations with connections to the Trade Adjustment
Assistance for Workers (TAA) program or TAA-certified workers. Additional specific
eligibility guidance is included in Section III.A under “Eligibility Information.”

DATES: The closing date for receipt of applications under this announcement is
[INSERT DATE THIRTY (30) DAYS FROM THE DATE OF PUBLICATION IN THE
FEDERAL REGISTER]. Applications must be received no later than 4 p.m. (Eastern
Time), or submitted electronically by the deadline and in accordance with the instructions
in Section IV. C. of this solicitation.

ADDRESS: Mailed applications must be addressed to the U.S. Department of Labor,
Employment and Training Administration, Division of Federal Assistance, Attention:
James Stockton, Grant Officer, Reference SGA/DFA PY-09-06, 200 Constitution
Avenue, N.W., Room N4716, Washington, D.C. 20210.
For complete “Application and Submission Information” please refer to Section
IV of the solicitation.

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FOR FURTHER INFORMATION CONTACT: Rahel Bizuayene, Grants
Management Specialist, Division of Federal Assistance, at (202)-693-3256 (this is not a
toll-free number). Applicants should e-mail all technical questions to
[email protected] and must specifically reference SGA/DFA PY 09-06, and
along with question(s), include a contact name, fax and phone number.

SUPPLEMENTARY INFORMATION:

Background

Summary:
The Department of Labor (DOL or the Department) announces the availability of
approximately $1.2 million in grant funds authorized by the American Recovery and
Reinvestment Act of 2009 (the Recovery Act) from the dislocated workers assistance
national reserve to provide technical assistance and outreach to dislocated workers
impacted by foreign trade. Proposed projects must be developed and implemented
through strategic partnerships.

This SGA or solicitation provides background information on the grant opportunity and
describes the critical elements required of projects funded under this grant. It also
describes the application submission requirements, the process that eligible applicants
must use to apply for funds covered by this solicitation, and how grantees will be
selected. The eligible applicants for this SGA are National Employer Associations,
National Labor Union Organizations, other Labor Union Affiliates, Non-profit

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Organizations and National Associations with connections to the TAA program or TAAcertified workers. Additional specific eligibility guidance is included in Section III.A
under “Eligibility Information.”

Supplementary Information:
The Department’s Employment and Training Administration (ETA is responsible
for administering programs to assist dislocated workers under the Workforce Investment
Act of 1998 (WIA). This includes workers dislocated because of foreign trade and who
are therefore potentially eligible for benefits under the TAA program authorized by the
Trade Act of 1974, as amended, a partner in the WIA One-stop delivery system. The
Recovery Act expanded the TAA program to help trade-affected workers in the services
sector of the economy as well as even greater numbers of workers in the manufacturing
sector who have lost their jobs or who are threatened with job losses. The TAA program
makes available to these dislocated workers a variety of benefits either before or after
their job loss, including employment and case management services, job training, income
support, job search and relocation allowances, a tax credit to help pay the costs of health
insurance, and a wage supplement to certain reemployed trade-affected workers 50 years
of age and older. Under WIA, individuals are able to access services tailored to their
employment and training needs through the One-stop delivery system, such as:
assessment of skills and interests, job development, job placement, counseling, training,
and supportive services to enable individuals who need such assistance to participate in
training for reemployment or to find new employment without enrolling in a training
program. While these services may also be available to trade-affected workers through

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WIA-funded staff, the Recovery Act expanded the TAA program to include additional
funding to provide such employment and case management services to this pool of
dislocated workers.
The ETA is seeking to better assess State needs and to gauge effective practices
that assist workers in specific trade industry sectors in an effort to address high
unemployment levels as a result of trade competition, and also to heighten public
awareness of services, training, and other benefits available through the TAA program.
The Secretary of Labor has made it a priority to “Ensure Good Jobs for Everyone” and to
“Help Protect Middle-class and Working Family Incomes.” Therefore, the intent of this
SGA is for grantees to provide additional technical assistance and outreach to the
dislocated worker populations hardest hit by foreign trade to ensure that workers receive
the benefits of the TAA program to achieve this reemployment goal.
The Recovery Act expanded the TAA program to include trade-affected workers
in the services sector of the economy. The broadened pool of dislocated workers eligible
for TAA under the Recovery Act amendments presents new and unique service delivery
challenges for states. For example, identifying and serving service sector workers who
work remotely when those workers are not localized in or near the state in which the
trade affected employer is based To better understand the specific TAA challenges,
grantees should identify service delivery issues from the industries they intend to target
and address how these challenges can be met in order to better serve TAA workers.
Applicants for this SGA should determine which manufacturing or services industry or
industries will be the focus for this grant. DOL is particularly interested in projects
which target the steady increase in unemployment in hard-hit industries, such as the

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automotive industry, and other sectors of the economy with large numbers of workers
covered by TAA certifications (TAA-certified workers), workers in services sector
industries who work at one or more remote or fixed locations, and workers who face
issues about how TAA eligibility and program requirements interact with benefits
available to them through their employers, such as severance packages.
The Department expects that grant funds will be used to provide outreach and
direct technical assistance to trade-affected workers and their representatives on the new
provisions of the TAA program. Grantees will work with union representatives, state and
local officials, company officials, and union and non-union workers to help them to better
understand the TAA program. This includes educating the public, and in particular,
trade-affected dislocated worker populations in targeted industries who may not
understand the TAA petition process and benefit eligibility requirements and/or what it
means to be covered by a TAA certification. Further, grant funds may be used to help
train those filing petitions to submit more complete and accurate petition information to
the ETA. This is essential in helping the Department ensure timely and efficient TAA
petition processing. Authorized petitioners include groups of workers, employers, unions
and other duly authorized worker representatives, and WIA One-stop delivery system and
state workforce agency staff. Successful applicants must be able to demonstrate a unique
connection to a large number of workers or other authorized petitioners representing
trade-affected populations in the targeted industries, and also have the ability to connect
with dislocated workers in these targeted industries. Where possible, the ETA
encourages applicants to partner with other workforce development programs in addition
to the state agency operating the TAA program and/or the WIA One-stop delivery system

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and fully describe how the project intends to incorporate these linkages in its service
delivery strategy and overall project plan.

Grantees will be expected to describe outcomes and measures by which to
determine the success of the project and will be required to report “best practices” or
lessons learned as a result of grant activities. Outcomes may include such things as
educational materials used to inform employers, union representatives or other worker
representatives of the interaction between severance packages and eligibility for TAA
benefits, or demonstrated strategies for identifying and serving service sector workers
who work remotely and therefore may be more difficult to identify and serve than
workers who physically report to a single location. Best practices and/or developed
materials must be replicable and serve as a model for the TAA program and similar
programs for dislocated workers such as WIA.

I. Funding Opportunity Description
Competitive grants under this SGA will fund one (1) to four (4) projects for a
combined total amount of $1.2 million to:
A. Provide direct training or technical assistance to ensure complete and accurate
TAA petition information submissions by petitioners, which is the first step for
workers to obtain TAA benefits. Direct training or technical assistance means
educating the public, union representatives, state and local officials, company
officials, and/or workers on eligibility criteria and the petition filing process,

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including providing information to union and company officials so they can help
TAA-eligible workers apply for and receive the benefits to which they are entitled.
B. Improve the service delivery of Rapid Response activities under the WIA to tradeaffected workers, assist states to better identify early threats of worker layoffs, and
help the state agency operating the TAA program and/or the WIA One-stop delivery
system quickly identify workers covered by certified TAA petitions.
C. Help identify and address specific challenges to TAA-certified workers in targeted
industries, such as issues related to the interaction of certain employee severance
packages with TAA eligibility and program benefits or challenges states have in
effectively providing outreach to workers of services sector firms who work remotely,
along with any other identified challenges.
D. Establish partnerships with states to develop services and/or service delivery
strategies, including the use of National Emergency Grants, for more effective
employment and case management in states with large numbers of TAA
certifications, in particular manufacturing industries such as automobile
manufacturing, or service sector industries that were not covered by the TAA
program before enactment of the Recovery Act.
E. Develop and propose outcomes and measures by which to determine the success
of the grantee’s efforts and report on any “best practices” developed or lessons
learned as a result of the grant project. Best practices must be replicable and serve as
a model for the TAA program and similar programs for dislocated workers such as
WIA.

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II. Award Information
A. Award Amount
ETA has approximately $1.2 million available under this competition and expects to fund
approximately one (1) to four (4) grants. Individual grant amounts will not exceed $1.2
million. Any grant application with a proposed value greater than $1.2 million will be
deemed non-responsive and will not be considered. ETA reserves the right to fund
applicants at an amount different from the amount proposed in the applicant’s budget
based on the availability of funds.

B. Period of Performance: The period of grant performance will be up to 18 months
from the date of execution of the grant documents. This performance period includes all
necessary implementation and start-up activities. Applicants should plan to fully expend
grant funds during the period of performance while ensuring full transparency and
accountability for all expenditures.

III. Eligibility Information
A. Eligible Organizations: Eligible applicants under this SGA must demonstrate the
capacity to successfully perform the activities specified in Section I of this SGA. Further,
the ETA believes that by establishing strong partnerships grantees will ensure that the
specific targeted dislocated worker populations are reached for this grant. For this
solicitation, the ETA recognizes that National Employer Associations, National Labor
Union Organizations or other Union Affiliates, and Non-profit Organizations or National
Associations with direct relations to trade-affected populations may be uniquely qualified

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and may have the established networks to reach specific labor pools in these targeted
industries. The ETA is particularly interested in organizations that can communicate
directly with large numbers of workers in the different sectors of the economy on which
their applications focus. Eligibility is restricted to the following types of entities under
this solicitation:
•

National Employer Associations;

•

National Labor Union Organizations;

•

Other Labor Union Affiliates;

•

Non-profit Organizations and National Associations with connections to the TAA

program or trade-affected workers.
Strategic Partnerships. To be eligible for funding under this solicitation,
applicants must demonstrate that the proposed project will be planned and operated
through effective strategic partnerships with other organizations that have established
connections to trade-affected populations. The strategic partnership(s) must include the
state agency operating the TAA program and/or the WIA One-stop delivery system. In
addition, the strategic partnership(s) may include at one or more entity(ies) from the
following three categories:
•

Non-profit Organizations, such as Community Organizations which have

direct access to the targeted population;
•

Public and Private Employers and Industry-related Organizations;

•

Labor Organizations, including but not limited to Labor Unions and

Labor-Management Organizations representing the interests of workers in the
chosen sectors or industries.

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By including these types of organizations in a comprehensive partnership, applicants can
ensure that they are maximizing available resources and organizational expertise for the
project, and that individual participants in the project have all of the support that they
need to successfully meet the goals of the grant. These partners can contribute a wide
array of knowledge and help develop activities for the project, and should work in
collaboration to ensure appropriate leveraged resources.
B. Cost Sharing: Although cost sharing or matching funds are not required as a
condition for this grant, leveraged resources are strongly encouraged and can increase the
applicant’s score in Section V. A., the evaluation criteria.
C. Veterans Priority: The Jobs for Veterans Act (Public Law 107-288) requires
priority of service to veterans and spouses of certain veterans for the receipt of
employment, training, and placement services in any job training program directly
funded, in whole or in part, by DOL. The regulations implementing this priority of
service can be found at 20 CFR part 1010. In circumstances where a grant recipient must
choose between two qualified candidates for a service, one of whom is a veteran or
eligible spouse, the veterans priority of service provisions require that the grant recipient
give the veteran or eligible spouse priority of service by first providing him or her that
service. To obtain priority of service a veteran or spouse must meet the program’s
eligibility requirements. Grantees must comply with DOL guidance on veterans’
priority. ETA’s Training and Employment Guidance Letter (TEGL) No. 10-09 (issued
November 10, 2009) provides guidance on implementing priority of service for veterans
and eligible spouses in all qualified job training programs funded in whole or in part by

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DOL. TEGL No. 10-09 is available at
http://wdr.doleta.gov/directives/corr_doc.cfm?DOCN=2816.

IV. Application and Submission Information
A. How to Obtain an Application Package: This SGA contains all of the
information and links to forms needed to apply for grant funding.
B. Content and Form of Application Submission: The proposal consists of three
separate and distinct parts – (1) the cost proposal, (2) the technical proposal, and (3)
attachments to the technical proposal. Applications that do not contain all of the three
parts or that fail to adhere to the instructions in this section will be considered nonresponsive and will not be considered. It is the applicant’s responsibility to ensure that
the funding amount requested is consistent across all parts and sub-parts of the
application.
(1) The Cost Proposal. The Cost Proposal must include the following four items:
•

The Standard Form (SF) 424, “Application for Federal Assistance” (available

at http://www07.grants.gov/agencies/forms_repository_information.jsp and
http://www.doleta.gov/grants/find_grants.cfm). The SF-424 must clearly identify the
applicant and be signed by an individual with authority to enter into a grant agreement.
Upon confirmation of an award, the individual signing the SF-424 on behalf of the
applicant will be considered the authorized representative of the applicant.
•

Applicants must supply their D-U-N-S® number in item 5 on the SF-424. All

applicants for Federal grant and funding opportunities are required to have a Data

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Universal Numbering System (D-U-N-S®) number. See Office of Management and
Budget (OMB) Notice of Final Policy Issuance, 68 FR 38402, June 27, 2003. The
D-U-N-S® number is a nine-digit identification number that uniquely identifies business
entities. Obtaining a D-U-N-S® number is easy and there is no charge. To obtain a
D-U-N-S® number, applicants can access this website:
http://www.dunandbradstreet.com or call 1-866-705-5711.
•

The SF-424A Budget Information Form is available at:

http://www07.grants.gov/agencies/forms_repository_information.jsp and
http://www.doleta.gov/grants/find_grants.cfm. In preparing the Budget Information
Form, the applicant must provide a concise narrative explanation to support the request,
explained in detail below.
Budget Narrative: The budget narrative must provide a description of costs associated
with each line item on the SF-424A. It should also include any leveraged resources
provided to support grant activities; however, no leveraged resources should be shown on
the SF-424 and SF-424A. In addition, the applicant should address precisely how the
administrative costs support the project goals. The entire Federal grant amount requested
should be included on both the SF-424 and SF-424A. Applicants that fail to provide an
SF-424, SF-424A, a D-U-N-S® number, and a budget narrative will be removed from
consideration prior to the technical review process.
•

Applicants are also encouraged, but not required, to submit OMB Survey

N. 1890-0014: Survey on Ensuring Equal Opportunity for Applicants, which can be
found under the Grants.gov, Tips and Resources from Grantors, Department of Labor

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section at http://www07.grants.gov/applicants/tips_resources_from_grantors.jsp#13 (also
referred to as Faith Based EEO Survey PDF Form).
(2) The Technical Proposal. The Technical Proposal must demonstrate the
applicant’s capability to implement the grant project in accordance with the provisions of
this solicitation. The guidelines for the content of the Technical Proposal are provided in
Section V. A. of this solicitation. The Technical Proposal is limited to 20 double-spaced
single-sided pages with 12 point text font and 1 inch margins. Any materials beyond the
20-page limit will not be read. Applicants should number the pages of the Technical
Proposal beginning with page number 1. Applicants that do not provide a Technical
Proposal in their application will be considered non-responsive and the application will
not be considered.
Applications may be submitted electronically on Grants.gov or in hardcopy by
mail or hand delivery. These processes are described in further detail below in Section
IV. C.
(3) Attachments to the Technical Proposal. In addition to the 20-page Technical
Proposal, the applicant must submit attachments to the technical proposal, which include
a one-page abstract and a letter of commitment from each project partner. Each letter of
commitment must be signed by the respective partner and should describe its roles and
responsibilities. The abstract, not to exceed one page, must summarize the proposed
project and include applicant name, project title, a description of the area and population
to be served, the funding level requested, and a brief description of the grant outcomes.
Applicants should not send letters of commitment separately to ETA because letters are
tracked through a different system and will not be attached to the application for review.

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The ETA will not accept or review general letters of support submitted by organizations
or individuals.
These additional materials (commitment letters and abstract) do not count against
the 20-page limit for the Technical Proposal, but may not exceed 15 pages. Any
additional materials beyond the 15-page limit will not be read.

C. Submission Process, Date, Times, and Addresses: The closing date for receipt
of applications under this announcement is [INSERT DATE THIRTY (30) DAYS
FROM THE DATE OF PUBLICATION IN THE FEDERAL REGISTER]. Applications
must be received at the address below no later than 4 p.m. (Eastern Time). Applications
sent by e-mail, telegram, or facsimile (FAX) will not be accepted.
Applicants submitting proposals in hardcopy must submit an application
including an original signed SF-424 and one (1) ‘‘copy-ready’’ version of all other
materials required in Section IV.B. above, free of bindings, staples or protruding tabs to
ease in the reproduction of the proposal by DOL. Applicants submitting proposals in
hard copy also must provide an identical electronic copy of the proposal on compact disc
(CD).
Applications that do not meet the conditions set forth in this notice will not be
considered. No exceptions to the mailing and delivery requirements set forth in this
notice will be granted.
Mailed applications must be addressed to the U.S. Department of Labor,
Employment and Training Administration, Division of Federal Assistance, Attention:
James Stockton, Grant Officer, Reference SGA/DFA, PY 09-06, 200 Constitution

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Avenue, NW, Room N4716, Washington, D.C. 20210. Applicants are advised that mail
delivery in the Washington area may be delayed due to mail decontamination procedures.
Hand-delivered proposals will be received at the above address. All professional
overnight delivery service will be considered to be hand-delivered and must be received
at the designated place by the specified closing date and time.
Applicants may apply online through Grants.gov (http://www.grants.gov),
however, due to the expected increase in system activity, applicants are encouraged to
use an alternate method to submit grant applications during this heightened period of
demand. While not mandatory, DOL encourages the submission of applications thru
professional overnight delivery service.
Applications that are submitted through Grants.gov must be successfully
submitted at http://www.grants.gov no later than 4 p.m. (Eastern Time) on [INSERT
DATE THIRY (30) DAYS AFTER PUBLICATION IN FEDERAL REGISTER], 2010,
and then subsequently validated by Grants.gov. The submission and validation process is
described in more detail below. The process can be complicated and time-consuming.
Applicants are strongly advised to initiate the process as soon as possible and to plan for
time to resolve technical problems, if necessary.
The ETA strongly recommends that before the applicant begins to write the
proposal, applicants should immediately initiate and complete the “Get Registered”
registration steps at http://www.grants.gov/applicants/get_registered.jsp. These steps
may take multiple days or weeks to complete, and this time should be factored into plans
for electronic submission in order to avoid unexpected delays that could result in the
rejection of an application. It is strongly recommended that applicants use the

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“Organization Registration Checklist” at
http://www.grants.gov/assets/Organization_Steps_Complete_Registration.pdf to ensure
the registration process is complete.
Within two business days of application submission, Grants.gov will send the
applicant two email messages to provide the status of application progress through the
system. The first email, almost immediate, will confirm receipt of the application by
Grants.gov. The second email will indicate the application has either been successfully
validated or has been rejected due to errors. Only applications that have been
successfully submitted by the deadline and subsequently successfully validated will be
considered. It is the sole responsibility of the applicant to ensure a timely submission.
While it is not required that an application be successfully validated before the deadline
for submission, it is prudent to reserve time before the deadline in case it is necessary to
resubmit an application that has not been successfully validated. Therefore, sufficient
time should be allotted for submission (two business days) and, if applicable, subsequent
time to address errors and receive validation upon resubmission (an additional two
business days for each ensuing submission). It is important to note that if sufficient time
is not allotted and a rejection notice is received after the due date and time, the
application will not be considered.
To ensure consideration, the components of the application must be saved as
either .doc, .xls or .pdf files. If submitted in any other format, the applicant bears the risk
that compatibility or other issues may limit the ETA’s ability to consider the application.
The ETA will attempt to open the document but will not take any additional measures in

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the event of issues with opening. In such cases, the non-conforming application will not
be considered for funding.
Applicants are strongly advised to use the plethora of tools and documents,
including FAQs, which are available on the “Applicant Resources” page at
http://www.grants.gov/applicants/app_help_reso.jsp#faqs. To receive updated
information about critical issues, new tips for users and other time sensitive updates as
information is available, applicants may subscribe to “Grants.gov Updates” at
http://www.grants.gov/applicants/email_subscription_signup.jsp.
If applicants encounter a problem with Grants.gov and do not find an answer in
any of the other resources, call 1-800-518-4726 to speak to a Customer Support
Representative or email “[email protected].”
Late Applications: For applications submitted on Grants.gov, only applications
that have been successfully submitted no later than 4 p.m. (Eastern Time) on the closing
date and subsequently successfully validated will be considered.
Any application received after the exact date and time specified for receipt at the
office designated in this notice will not be considered, unless it is received before awards
are made, it was properly addressed, and it was: (a) sent by U.S. Postal Service mail,
postmarked not later than the fifth calendar day before the date specified for receipt of
applications (e.g., an application required to be received by the 20th of the month must be
postmarked by the 15th of that month); or (b) sent by professional overnight delivery
service to the addressee not later than one working day prior to the date specified for
receipt of applications. Applicants take a significant risk by waiting to the last day to
submit by Grants.gov. ‘‘Postmarked’’ means a printed, stamped or otherwise placed

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impression (exclusive of a postage meter machine impression) that is readily identifiable,
without further action, as having been supplied or affixed on the date of mailing by an
employee of the U.S. Postal Service. Therefore, applicants should request the postal
clerk to place a legible hand cancellation ‘‘bull’s eye’’ postmark on both the receipt and
the package. Failure to adhere to the above instructions will be a basis for a
determination of non-responsiveness. Evidence of timely submission by a professional
overnight delivery service must be demonstrated by equally reliable evidence created by
the delivery service provider indicating the time and place of receipt.
D. Intergovernmental Review: This funding opportunity is not subject to
Executive Order 12372, “Intergovernmental Review of Federal Programs.”
E. Funding Restrictions: Determinations of allowable costs will be made in
accordance with the applicable Federal cost principles. Disallowed costs are those
charges to a grant that the grantor agency or its representative determines not to be
allowed in accordance with the applicable Federal cost principles or other conditions
contained in the grant. Successful and unsuccessful applicants will not be entitled to
reimbursement of pre-award costs.
1. Indirect Costs: As specified in OMB Circular Cost Principles, indirect costs
are those that have been incurred for common or joint objectives and cannot be readily
identified with a particular final cost objective. In order to use grant funds for indirect
costs incurred, the applicant must obtain an Indirect Cost Rate Agreement with its
cognizant agency either before or shortly after grant award.
An indirect cost rate (ICR) is required when an organization operates under more
than one grant or other activity whether Federally-assisted or not. Organizations must

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use the ICR supplied by the cognizant agency. If an organization requires a new ICR or
has a pending ICR, the Grant Officer will award a temporary billing rate for 90 days until
a provisional rate can be issued. This rate is based on the fact that an organization has
not established an ICR agreement. Within this 90 day period, the organization must
submit an acceptable indirect cost proposal to their cognizant Federal agency to obtain a
provisional ICR.
2. Administrative Costs: Under this SGA, an entity that receives a grant to carry
out a project or program may not use more than 10 percent of the amount of the grant to
pay administrative costs associated with the program or project. Administrative costs
could be direct or indirect costs, and are defined at 20 CFR 667.220. Administrative
costs do not need to be identified separately from program costs on the SF-424A Budget
Information Form. They should be discussed in the budget narrative and tracked through
the grantee’s accounting system. To claim any administrative costs that are also indirect
costs, the applicant must obtain an Indirect Cost Rate Agreement from its cognizant
Federal agency.
3. Salary and Bonus Limitations: Under Public Law 109-234 and Public Law
111-8, Section 111, none of the funds appropriated in Public Law 111-5 or prior Acts
under the heading “Employment and Training” that are available for expenditure on or
after June 15, 2006, shall be used by a recipient or sub-recipient of such funds to pay the
salary and bonuses of an individual, either as direct costs or indirect costs, at a rate in
excess of Executive Level II. These limitations also apply to grants funded under this
SGA. The salary and bonus limitation does not apply to vendors providing goods and

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services as defined in OMB Circular A-133. See TEGL No. 5-06
at http://wdr.doleta.gov/directives/corr_doc.cfm?DOCN=2262.
4. Intellectual Property Rights: The Federal Government reserves a paid-up,
nonexclusive and irrevocable license to reproduce, publish or otherwise use, and to
authorize others to use for Federal purposes: i) the copyright in all products developed
under the grant, including a subgrant or contract under the grant or subgrant; and ii) any
rights of copyright to which the grantee, subgrantee or a contractor purchases ownership
under an award (including but not limited to curricula, training models, technical
assistance products, and any related materials). Such uses include, but are not limited to,
the right to modify and distribute such products worldwide by any means, electronically
or otherwise. Federal funds may not be used to pay any royalty or licensing fee
associated with such copyrighted material, although they may be used to pay costs for
obtaining a copy which is limited to the developer/seller costs of copying and shipping.
If revenues are generated through selling products developed with grant funds, including
intellectual property, these revenues are program income. Program income is added to
the grant and must be expended for allowable grant activities.
If applicable, the following needs to be on all products developed in whole or in
part with grant funds:
“This workforce solution was funded by a grant awarded by the U.S. Department
of Labor’s Employment and Training Administration. The solution was created by the
grantee and does not necessarily reflect the official position of the U.S. Department of
Labor. The Department of Labor makes no guarantees, warranties, or assurances of any
kind, express or implied, with respect to such information, including any information on

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linked sites and including, but not limited to, accuracy of the information or its
completeness, timeliness, usefulness, adequacy, continued availability, or ownership.
This solution is copyrighted by the institution that created it. Internal use by an
organization and/or personal use by an individual for non-commercial purposes is
permissible. All other uses require the prior authorization of the copyright owner.”
F. Other Submission Requirements: Withdrawal of Applications. Applications
may be withdrawn by written notice at any time before an award is made.

V. Application Review Information
A. Application Criteria Review Information
This section identifies and describes the criteria that will be used to evaluate the
proposals under this grant solicitation. The criteria and respective point values are:

Criterion
Statement of Need
Project Management and Organizational
Capacity
Strategic Partnerships and Work Plan
Outcomes and Deliverables
Bonus – Leveraged Resources

Points
10
25
40
25
5

1. Statement of Need (10 points).
The applicant must fully demonstrate a clear understanding of the Trade Act of
1974, as amended, including the provisions added by the Recovery Act, and describe
how the scope of the project addresses the stated needs. As such, the project needs to
specifically focus on significant worker dislocations in major industries, such as the
automotive industry, and clearly demonstrate how the project will target those

22

industries, identify and target relevant stakeholders, and the scope of the project
proposed. Given the rapidly changing economic conditions, applicants should use the
most current and relevant sources of data available, including TAA certification data,
to demonstrate knowledge of layoffs and conditions facing workers in the automotive
or other manufacturing and/or service industries. The data should be used to support
the intended technical assistance and outreach needs of the trade-affected workers in
the targeted industries.
Points for this section will be based on the applicant’s comprehensive demonstration of
each of the following factors:
a. The applicant must present a clear need for Federal funding of the proposed
project for trade-affected workers in the targeted industries by citing data sources
and describing the pre-analysis that has been conducted to support the need for the
proposed project. (3 points)
b. Based on the statement of need, the applicant must provide a complete
description of the geographic location(s) of the trade-affected populations of the
targeted industries and the rationale behind selecting the specific industry or
industries for the project. (2 points)
c. The proposal must briefly describe the problem(s) or issue(s) being faced by
trade-affected workers in the targeted industries and the states administering the
TAA program for those workers. Examples of specific challenges include, but are
not limited to, issues related to the interaction of certain employee severance
packages with TAA eligibility and program benefits, or challenges states have in
effectively identifying and providing outreach to workers of a services sector firm

23

who work remotely, rather than on the site at a specific facility. The proposal must
also show how the applicant intends to: (1) address the TAA program-related needs
of workers in these industries; (2) increase their awareness of the expanded TAA
program, and its new eligibility criteria and benefits; and (3) work with and enhance
the ability of states to address the identified issue while developing effective service
strategies for the trade-affected workers in the targeted industries. (2 points)
d. The applicant must demonstrate specific knowledge of state unemployment
insurance provisions related to trade readjustment allowance eligibility and health
coverage tax credit eligibility in the states in which these trade-affected workers in
the targeted industries are located. (5 points)
Applicants may draw from a variety of resources to inform this criterion, including
labor market data such as projections, industry data, internal organizational data, and
data on the subject population within the context of the national economy.
2. Project Management and Organizational Capacity (25 points).
The applicant must fully describe its capacity and, if applicable, the capacity of its
partners, to effectively staff the proposed project. The application must also fully
describe the applicant’s fiscal, administrative, and performance management capacity
to implement the key components of the project. Scoring under this criterion will be
based on the extent to which applicants provide evidence of the following:
a. Staff Capacity (5 points). The applicant should provide strong evidence that the
applicant, and if applicable, its partners, will have the staff experience and
capability to implement the proposed project. The description of staff capacity
should include the proposed staffing pattern for the project, including program

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management and administrative staff, and program staff experience involved in
each local project. The applicant must demonstrate that the role(s) and time
commitment for the proposed staff are sufficient to ensure proper direction,
management, implementation, and timely completion of the project.
b. Fiscal, Administrative, and Performance Management Capacity (10 points). The
application must provide strong evidence that the applicant, and if applicable, its
partners, have the fiscal, administrative, and performance management capacity to
effectively administer the grant. Discussion of this capacity should include:
(i) A full description of the applicant’s capacity, including its systems,
processes, and administrative controls that will enable it to comply with Federal
rules and regulations related to the grant’s fiscal and administrative
requirements; (3 points) and
(ii) A full description of the applicant’s capacity, including its systems and
processes that will support the grantee’s activities and ability to develop a “best
practices” report. The applicant may cite relationships with the state agency
operating the TAA program and/or the WIA One-stop delivery system along
with other public workforce systems, as appropriate. (7 points)
c. Applicant’s Experience (10 points). The applicant must demonstrate its
experience leading or participating significantly in a comprehensive partnership,
and the demonstrated experience of the applicant, its required partners, and if
applicable, its local affiliates, coalition members, or other established partners, in
implementing outreach, technical assistance, and/or best practices initiatives of
similar focus, size, and scope. It is important that the applicant relate its

25

experience with the TAA program and identify any interactions with the tradeaffected dislocated worker populations. The discussion should include:
i. Specific examples of the applicant’s experience in leading or participating
significantly in a partnership that included a wide range of stakeholders,
including a description of the programmatic goals of the project, and a
demonstration of the results achieved by that project. (5 points)
ii. Specific examples of the applicant’s or its partners’ knowledge, experience
and interaction with the TAA program and TAA-certified workers, and its
experience working with state, local, union, employer, or other One-stop
delivery system partners. (5 points)
3. Strategic Partnerships and Work Plan (40 points).
This criterion is the heart of the proposal, and a successful score in this section will
require the applicant to provide a clear explanation of the planned strategy, its strategic
use of partnerships, what industries the proposal targets, and how the plan will be
implemented. The applicant must provide a detailed description of its plan to do all of
the following:
i. Ensure that eligible petitioners are equipped to submit TAA petitions that contain
complete and accurate information, which is the first step for workers to obtain TAA
benefits, either through direct training or technical assistance. In part, this means
educating workers, union representatives, state and local officials, and company
officials on eligibility criteria, and the petition filing process, including providing
information to union and company officials so they can help TAA-eligible workers
with the next steps toward receiving benefits.

26

ii. Improve the service delivery of Rapid Response activities under the WIA to tradeaffected workers, assist states to better identify early threats of worker layoffs, and
help the state agency operating the TAA program and/or WIA One-stop delivery
system quickly identify workers covered by certified TAA petitions.
iii. Help identify and address specific challenges to TAA-certified workers in the
targeted industries such as issues related to the interaction of certain employee
severance packages with TAA eligibility and program benefits or challenges states
have in effectively providing outreach to workers of a services sector firm who work
remotely along with other identifiable challenges.
iv. Establish partnerships with states to develop services and/or service delivery
strategies, including the use of National Emergency Grants, for more effective
employment and case management in states with large numbers of TAA certifications
in industries that were not covered by the TAA program before enactment of the
Recovery Act.
Points for this criterion will be awarded for the following factors.
a. Strategy (10 points)
The applicant must provide a cohesive strategy for convening and aligning partners
to achieve the project goals as described above. The applicant should fully
demonstrate the following:
i. Describe the specific roles of the applicant and project partners at all levels,
including the services, expertise, and activities that partners will contribute to the
goals of the grant. (4 points)

27

ii. Describe the overall strategy for identifying the challenges workers in targeted
industries face in obtaining TAA program benefits and efforts to meet those
challenges to make TAA program benefits available to them. (3 points)
iii. Describe any unique qualifications or established networks that allow the
applicant to reach specific labor pools and their authorized representatives in these
targeted industries. Explain the organization’s capabilities to provide more direct
outreach and technical support to a greater number of services sector and
manufacturing industry workers through its partnerships. (3 points)
b. Work Plan (30 points)
i. The Work Plan must include a timeline of planned activities and milestones,
with an explanatory narrative (5 points). The applicant should fully
demonstrate the following:
•

A coherent plan that demonstrates the applicant’s complete

comprehension of all the activities and responsibilities required to implement
each phase of the project and achieve projected outcomes;
•

The demonstrated feasibility and reasonableness of the timeline for

accomplishing all necessary implementation activities;
ii. The Work Plan must include a table detailing the planned activities required
to implement each phase of the project. For each activity, include the start date,
end date, project partner(s) with primary responsibility for the activity, and key
tasks associated with each activity. At key project milestones, list the target
dates and associated outcomes. (5 points)

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iii. The applicant must demonstrate that the outreach and technical assistance
activities it proposes, as generally described in the Supplementary Information
section of this SGA, will help trade-affected workers become more aware of the
new provisions of the TAA program and better educated on how to petition for
TAA certification and apply for TAA program benefits and services after
obtaining that certification. Further, successful applicants must demonstrate
how these efforts will help improve the quality of TAA petitions received by the
ETA. (10 points)
iv. The applicant must demonstrate the ability to identify various challenges
related to providing TAA program benefits across the states with targeted
industries and present a plan to overcome those challenges. This section may
include a discussion of case management and related assessment/counseling
services available to TAA-certified workers under the WIA as it relates to the
provision of such services funded by the TAA program. (5 points)
(v) The Work Plan must demonstrate the methodology by which successful
project outcomes will be measured and/or goals completed. This also includes
describing research and fact finding methods to describe best practices and
lessons learned from the project. (5 points)
4. Outcomes and Deliverables (25 points).
Applicants will be evaluated on a full demonstration of the following:
A. A description of the anticipated outcomes, including how the applicant intends to
measure outcomes. (2 points)

29

B. The extent to which the project outcomes are realistic and consistent with the
objectives of the project and the needs of workers in the target industries. (2 points)
C. How project outcomes will result in capacity building to enable workers in the
targeted industries to seek and more effectively benefit from the receipt of TAA. (8
points)
D. What percentage of workers in the targeted industries will benefit from technical
assistance and outreach and how these efforts will effectively serve as a model for
states. (3 points)
E. The ability of the applicant to achieve the stated outcomes within the period of
performance. (5 points)
F. How the applicant intends to identify issues and challenges and use outcome
information to identify lessons learned and make best practices available to a wide
range of stakeholders. (5 points)
5. Leveraged Resources (5 bonus points)
Applicants may describe any funds and/or other resources that will be leveraged to
support grant activities and how these resources will be used to contribute to the
proposed outcomes for the project as described in Section V. A. 4. of this solicitation.
This includes funds and other resources leveraged from businesses, labor organizations,
education and training providers, and/or Federal, state, and local government programs.
Applicants will be awarded bonus points on the extent to which they fully demonstrate
the amount of leveraged resources provided, the type(s) of leveraged resources
provided, the strength of commitment to provide these resources, the breadth and depth

30

of the resources provided, and how well the resources support the proposed grant
activities and outcomes.
B. Review and Selection Process
Applications for grants under this solicitation will be accepted after the
publication of this announcement until the closing date. A technical review panel will
make careful evaluation of applications against the criteria. These criteria are based on
the policy goals, priorities, and emphases set forth in this SGA. Up to 105 points may be
awarded to an application, based on the required information described in Section V. A.
The ranked scores will serve as the primary basis for selection of applications for
funding, in conjunction with other factors such as the availability of funds and which
proposals are most advantageous to the government. The panel results are advisory in
nature and not binding on the Grant Officer, and the Grant Officer may consider any
information that comes to his/her attention. The ETA may elect to award the grant(s)
with or without discussions with the applicants. Should a grant be awarded without
discussions, the award will be based on the applicant’s signature on the SF-424, including
electronic signature via E-Authentication on http://www.grants.gov,
which constitutes a binding offer by the applicant.

VI. Award Administration Information
A. Award Notices: All award notifications will be posted on the ETA Homepage
(http://www.doleta.gov). Applicants selected for award will be contacted directly before
the grant’s execution and non-selected applicants will be notified by mail.

31

Selection of an organization as a grantee does not constitute approval of the grant
application as submitted. Before the actual grant is awarded, DOL/ETA may enter into
negotiations about such items as program components, staffing and funding levels, and
administrative systems in place to support grant implementation. If the negotiations do
not result in a mutually acceptable submission, the Grant Officer reserves the right to
terminate the negotiation and decline to fund the application.
B. Administrative and National Policy Requirements
1. Administrative Program Requirements: All grantees will be subject to all
applicable Federal laws, regulations, and the applicable OMB Circulars. The following
statutory and administrative standards and provisions may be applicable to the grants
awarded under this SGA:
a. Non-Profit Organizations –OMB Circulars A–122 (Cost Principles) and 29
CFR part 95 (Administrative Requirements).
b. Educational Institutions – OMB Circulars A–21 (Cost Principles) and 29 CFR
part 95 (Administrative Requirements).
c. State and Local Governments – OMB Circulars A–87 (Cost Principles) and 29
CFR part 97 (Administrative Requirements).
d. Profit Making Commercial Firms – Federal Acquisition Regulation (FAR) –
48 CFR part 31 (Cost Principles), and 29 CFR part 95 (Administrative Requirements).
e. All entities must comply with 29 CFR parts 93 (new restrictions on lobbying)
and 98 (debarment, suspension and drug-free workplace requirements), and, where
applicable, 29 CFR parts 96 (audit requirements) and 99.

32

f. 29 CFR part 2, subpart D—Equal Treatment in Department of Labor Programs
for Religious Organizations, Protection of Religious Liberty of Department of Labor
Social Service Providers and Beneficiaries.
g. 29 CFR part 31—Nondiscrimination in Federally Assisted Programs of the
Department of Labor—Effectuation of Title VI of the Civil Rights Act of 1964.
h. 29 CFR part 32—Nondiscrimination on the Basis of Handicap in Programs
and Activities Receiving or Benefiting from Federal Financial Assistance.
i. 29 CFR part 33—Enforcement of Nondiscrimination on the Basis of Handicap
in Programs or Activities Conducted by the Department of Labor.
j. 29 CFR part 35— Nondiscrimination on the Basis of Age in Programs or
Activities Receiving Federal Financial Assistance from the Department of Labor.
k. 29 CFR part 36—Nondiscrimination on the Basis of Sex in Education
Programs or Activities Receiving Federal Financial Assistance.
l. The American Recovery and Reinvestment Act of 2009, Pub. L. No. 111-5,
123 Stat. 115, Division A, Title VIII and Division B, Title I, Subtitle I (February 17,
2009).
m. The Trade Act of 1974, Pub. L. No. 93-618, as amended (codified at 19
U.S.C.§ 2271 et seq.).
n. The Workforce Investment Act of 1998, Pub. L. No. 105-220, 112 Stat. 939
(codified as amended at 29 U.S.C. § 2801 et seq.) and 20 CFR part 667 (General Fiscal
and Administrative Rules).
o. 29 CFR part 29 & 30—Apprenticeship Equal Employment Opportunity in
Apprenticeship and Training.

33

p. 29 CFR part 37—Implementation of the Nondiscrimination and Equal
Opportunity Provisions of the Workforce Investment Act of 1998.
q. The Religious Freedom Restoration Act (RFRA), 42 U.S.C. sec.
2000bb, applies to all Federal law and its implementation. If your organization is a faithbased organization that makes hiring decisions on the basis of religious belief, it may be
entitled to receive Federal financial assistance under Title I of the Workforce Investment
Act and maintain that hiring practice even though Section 188 of the Workforce
Investment Act contains a general ban on religious discrimination in employment. If you
are awarded a grant, you will be provided with information on such an exemption upon
request.
r. Ensuring the Health and Safety of Participants Under WIA Section 181(a)(4)-Health and safety standards established under Federal and state law otherwise applicable
to working conditions of employees are equally applicable to working conditions of
participants engaged in providing technical assistance and other activities. Applicants
that are awarded grants through this SGA are reminded that these health and safety
standards apply to participants in these grants.
s. In accordance with Section 18 of the Lobbying Disclosure Act of 1995 (Pub. L.
104-65) (2 U.S.C. 1611) non-profit entities incorporated under Internal Revenue Service
Code section 501(c) (4) that engage in lobbying activities are not eligible to receive
Federal funds and grants.
Except as specifically provided in this SGA, the ETA’s acceptance of a proposal and an
award of Federal funds to sponsor any programs(s) does not provide a waiver of any
grant requirements and/or procedures. For example, the OMB Circulars require that an

34

entity’s procurement procedures must ensure that all procurement transactions are
conducted, as much as practical, to provide open and free competition. If a proposal
identifies a specific entity to provide services, the DOL/ETA’s award does not provide
the justification or basis to sole source the procurement, i.e., avoid competition, unless
the activity is regarded as the primary work of a partner named in the application.
2. The following American Recovery and Reinvestment Act of 2009 (P.L. 111-5)
provisions apply to grants awarded under this SGA:
Prospective applicants are advised that, if they receive an award, they must
comply with all requirements of the American Recovery and Reinvestment Act of 2009 .
Applicants are advised to review the Act and implementing OMB guidance in the
development of their proposals. Requirements include, but are not limited to:
a. Adherence to all grant clauses and conditions as they relate to Recovery Act
activity.
b. Prohibition on expenditure of funds for activities at any casino or other
gambling establishment, aquarium, zoo, golf course or swimming pool.
c. Compliance with the requirements to obtain a D-U-N-S® number and register
with the Central Contractor Registry (CCR). ETA has issued additional guidance related
to theses reports which can be found in the TEGL No. 29-08, dated June 10, 2009.
d. Submission of required reports in accordance with Section 1512 of the
Recovery Act. These reports will be due quarterly within 10 days of the end of the
reporting period and are in addition to the ETA-required reports addressed in Section
VI.C of this SGA. The ETA will issue additional guidance related to these reports and
their submission requirements shortly.

35

Implementing OMB guidance may be found at www.recovery.gov.
C. Reporting: Quarterly financial reports, quarterly progress reports, and MIS
data will be submitted by the grantee electronically. The grantee is required to provide
the reports and documents listed below:
•

Quarterly Financial Reports. A Quarterly Financial Status Report (ETA 9130)

is required until such time as all funds have been expended or the grant period has
expired. Quarterly reports are due 45 days after the end of each calendar year quarter.
Grantees must use DOL’s On-Line Electronic Reporting System. Information and
instructions on using the system will be provided to grantees.
•

Quarterly Performance Reports. The grantee must submit a quarterly progress

report within 45 days after the end of each calendar year quarter. In order to submit these
quarterly reports, grantees will be expected to track participant-level data on the
individuals who are involved in training and other services provided through the grant
and report on participant status in a variety of fields and outcome categories, as well as
provide narrative information on the status of the grant. The last quarterly progress
report that grantees submit will serve as the grant’s Final Performance Report. This
report should provide both quarterly and cumulative information on the grant’s activities.
It must summarize project activities, project outcomes, and other deliverables. DOL will
provide grantees with formal guidance on the data and other information that is required
to be collected and reported on either a regular basis or special request basis. Grantees
must agree to meet DOL reporting requirements.

36

•

Record Retention. Applicants should be aware of Federal guidelines on

record retention, which require grantees to maintain all records pertaining to grant
activities for a period of not less than three years from the time of final grant close-out.

VII. Agency Contacts
For further information regarding this SGA, please contact Rahel Bizuayene,
Grants Management Specialist, Division of Federal Assistance, at (202)-693-3256 (this is
not a toll-free number). Applicants should e-mail all technical questions to
[email protected] and must specifically reference SGA/DFA PY 09-06, and
along with question(s), include a contact name, fax and phone number. This
announcement is being made available on the ETA Web site at
http://www.doleta.gov/grants and at http://www.grants.gov.

VIII. Additional Resources of Interest to Applicants
A. Other Web-Based Resources
DOL maintains a number of web-based resources that may be of assistance to
applicants. America's Service Locator (http://www.servicelocator.org) provides a
directory of our nation's One-Stop Career Centers.

IX. Other Information

OMB Information Collection No. 1225-0086, Expires November 30, 2012.

37

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. Public reporting burden for this collection of information is estimated to
average 20 hours per response, including time for reviewing instructions, searching
existing data sources, gathering and maintaining the data needed, and completing and
reviewing the collection of information. Send comments regarding the burden estimated
or any other aspect of this collection of information, including suggestions for reducing
this burden, to the U.S. Department of Labor, to the attention of Darrin A. King,
Departmental Clearance Officer, 200 Constitution Avenue NW, Room N1301,
Washington, DC 20210. Comments may also be emailed to
[email protected] . PLEASE DO NOT RETURN THE COMPLETED
APPLICATION TO THIS ADDRESS. SEND IT TO THE SPONSORING AGENCY
AS SPECIFIED IN THIS SOLICITATION.

This information is being collected for the purpose of awarding a grant. The information
collected through this SGA will be used by DOL to ensure that grants are awarded to the
applicant best suited to perform the functions of the grant. Submission of this
information is required in order for the applicant to be considered for award of this grant.
Unless otherwise specifically noted in this announcement, information submitted in the
application is not considered to be confidential.

Signed at Washington, D.C., this ______ day of ______, 2010
_______________________________

38

James Stockton
Employment and Training Administration
Billing Code 4510-FN-P

39