Career Pathways SGA

U.S. DEPARTMENT OF LABOR
Employment and Training Administration
Notice of Availability of Funds and Solicitation for Grant Applications (SGA) for Career
Pathways Innovation Fund Grants Program

AGENCY: Employment and Training Administration, Labor

ANNOUNCEMENT TYPE: Notice of Solicitation for Grant Applications (SGA)
Funding Opportunity Number: SGA/DFA-PY-10-06
Catalog of Federal Domestic Assistance (CFDA) Number: 17.269

KEY DATES: The closing date for receipt of applications under this announcement is
[INSERT DATE 30 DAYS AFTER DATE OF PUBLICATION IN FEDERAL REGISTER].
Applications must be received no later than 4 p.m. Eastern Time. A pre-recorded Webinar will
be on-line (http://www.workforce3one.org) and accessible for viewing on [insert date 14 days
after date of publication in Federal Register], and will be available for viewing anytime after
that date. While a review of this webinar is encouraged it is not mandatory that applicants
view this recording.

1

SUMMARY: The U.S. Department of Labor (DOL or the Department) announces the
availability of up to $122 million in grant funds to be awarded under the Career Pathways
Innovation Fund (CPIF) Solicitation for Grant Applications (SGA, or Solicitation). Based on
statutory requirements, at least $65 million of the total designated funds will be reserved for
projects that focus on the health care sector. Four types of entities are eligible to apply as
lead grantees: Local Workforce Investment Boards (LWIBs), individual community and
technical colleges, community college districts, and state community college systems. For
the total amount of funds available through this SGA, DOL intends to fund approximately 40
to 50 grants ranging from $1 million to $5 million. In addition, DOL intends to reserve
funding of approximately $6.25 million of the total appropriation to award additional
funding to support grantee efforts to conduct a third-party evaluation of the grant activities.

ADDRESSES: Mailed applications must be addressed to the U.S. Department of Labor,
Employment and Training Administration, Division of Federal Assistance, Attention: Donna
Kelly, Grant Officer, Reference SGA/DFA PY 10-06, 200 Constitution Avenue, NW, Room
N4716, Washington, DC 20210. For complete application and submission information,
including online application instructions, please refer to Section IV.

SUPPLEMENTARY INFORMATION: This solicitation consists of nine (9) sections:
Section I provides a description of this funding opportunity.
Section II provides award information.
2

Section III provides eligibility information.
Section IV provides information on the application and submission process.
Section V describes the criteria against which applications will be reviewed and
explains the proposal review process.
Section VI describes award administration information.
Section VII provides agency contacts.
Section VIII provides additional resources of interest to applicants.
Section IX provides other information.

I. Funding Opportunity Description
A. Overview and Goals of the Grant Program
Competitive grants funded through this CPIF SGA will continue DOL’s support for
community colleges, with a particular focus on career pathway programs implemented by
community colleges in partnership with other organizations in the community. This
program replaces the Community-Based Job Training Grants.
Career pathway programs are clear sequences of coursework and credentials that help
individuals of varying skill levels earn credentials valued by employers, enter rewarding
careers in in-demand and emerging industries and occupations, and advance to increasingly
higher levels of education and employment. As noted in the recent report Funding Career
Pathways and Bridge Programs, “Ideally, career pathways are not a separate program, but a
framework for weaving together adult education, training, and college programs that are
currently separated into silos and connecting those services to employers’ workforce needs”
3

(CLASP, May 2010). According to the Bureau of Labor Statistics, one third of all job
openings and nearly half of all new jobs that will be created between 2008 and 2018 will
require a postsecondary degree or credential. Career pathways are an approach to linking
and coordinating education and training services in ways that enable students to attain such
credentials, and which support students in obtaining employment.
The grants awarded under this Solicitation will support successful applicants in
developing and implementing career pathway programs in partnership with employers and
other relevant organizations in the community. The overarching goals for projects funded
under this SGA are to: 1) increase the number of individuals who earn credentials that
enable them to compete for employment in in-demand and emerging industries and
occupations; 2) lead to employment for program participants; 3) articulate and ease academic
and employment transitions, through the implementation of articulation agreements and
other activities, for students of different skill levels and at varying academic levels, including
students with low English or basic skills proficiency; 4) establish multiple entry and exit
points for students along the post-secondary education continuum; and, 5) create systemic
change that will last beyond the grant period by establishing partnerships, agreements,
processes, and programs that better connect the education, training, workforce, and
supportive services necessary to achieve the preceding four goals, including strengthening
the role of the public workforce system in career pathway programs.
The Department expects that applicants for grants under this SGA will use evidence
in the design of program strategies, such as evaluation studies indicating successful
outcomes for similar programs. Evidence-based designs are essential to direct limited
4

federal resources toward strategies that have demonstrated positive education, training, and
employment outcomes for participants. If no rigorous evidence exists or an applicant is
proposing a new or innovative strategy, the applicant must make as strong a case as possible
using related research, theories, or strong logic that the proposed strategy would produce
positive impacts. In addition, the Department will help to expand the body of research that
is available on career pathways by awarding approximately $6.25 million of funding to
grantees that submit a strong evaluation plan for a third party to examine whether the
implementation of the career pathway programs funded through the grant are successful
and what types of impacts they have on program participants.
The Department is particularly interested in supporting broad-based partnerships of
institutions that will collaborate to develop career pathway programs and implement
systemic change across a number of institutions, adopting the career pathway models on a
larger scale. Ultimately, the partner organizations should integrate successful career
pathway strategies and activities into their day-to-day operations.
Finally, the Department will ensure that deliverables resulting from projects
developed with these funds are available to the public. This means that curricula, course
materials, teacher guides, and other products developed with grant funds will be considered
grant deliverables and provided to the Department before completion of the grant period of
performance.

B. Critical Elements of Successful Grant Applications
1. Required Types of Career Pathway Programs
5

To ensure that the goals described in Section I.A are met, successful applicants to this
SGA must propose projects that develop and/or enhance, and ultimately implement, at
minimum, career pathway program types (ii) and (iii) defined below.
In addition to the two required types of career pathways programs, DOL encourages
applicants to propose projects that include additional types of career pathway programs, as
appropriate for the targeted industries and occupations and populations to be served.
For each type of career pathway program targeted by a given project, the Department
expects that at least one group of participants will complete the associated education and
training activities, including receiving the associated credential, within the grant period.
There are at least four types of career pathway programs that applicants may choose
to include as project components:

i. Secondary education (such as high schools, alternative high schools, Job Corps
programs, career academies, and secondary career technical education programs) to
postsecondary education (such as occupational certificate programs offered by community
colleges, Registered Apprenticeship programs, associates degree programs, and bachelors
degree programs).

ii. Pre-college “bridge” programs that provide low-skilled adults with “on-ramps”
(entry points) to postsecondary education and training. This type of career pathway
program is a required project component under this SGA. These are generally accelerated or
contextualized programs that integrate adult basic education (including, as appropriate,
6

English as a Second Language) with occupational skills training and result in credit-bearing
certificates and degrees that are valued by employers and can be applied toward additional
education or training. Programs should include access to comprehensive academic advising
and support services for all participants.

iii. Postsecondary education for individuals to upgrade their skills and attain
industry-recognized credentials that are in-demand in the local labor market. This type of
career pathway program is a required project component under this SGA. Postsecondary
education could include occupational certificate programs offered by community colleges,
Registered Apprenticeship programs, associates degree programs, and bachelors degree
programs. Programs should include access to comprehensive academic advising and
support services for all participants, and should concurrently advance student gains in
academic and workplace skills.

iv. Community college postsecondary education to 4-year colleges and universities,
including programs to ease transfer planning and degree completion by minimizing the need
to repeat prior coursework.

2. Required Critical Elements
In addition to including the two required types of career pathway programs as
described above, applicants must incorporate each of the five critical elements described

7

below into their proposed strategies. Applicants should note that strategies discussed here
are not all-inclusive and applicants may identify other strategies as appropriate.
The five required critical elements are:

i. Evidence-Based Program Development and Implementation Strategies
Applicants must include strategies and techniques that have demonstrated
effectiveness for delivering, scheduling, and/or sequencing education and training courses
that result in the attainment of industry-recognized credentials. These credentials must lead
to progressively higher-level credentials or degrees, and may include “stackable” credentials
of value in the labor market.
In incorporating this critical element into proposals, applicants could include the
following practices, which have shown promising outcomes in research, including studies
listed in Attachment B:
•

Strategies to accelerate educational and career advancement for individual

participants, regardless of their skills at the point of entry;
•

Development and implementation of articulation agreements governing the

transfer of academic credits between cooperating institutions. These formal agreements can
help to minimize the need for students to repeat previously-completed coursework;
•

Instructional strategies that make work a central context for learning

(contextualized learning) and help students attain work readiness skills. This may include,
as appropriate for the individual, integrating occupational skills training with adult
education services;
8

•

“Cohort” learning strategies that are designed to enable project participants to

pursue coursework with the same classmates over a fixed period of time. Cohort groups can
foster shared knowledge and a sense of continuity that helps to assure that each individual is
able to complete the requirements of a training program within a specific timeframe; and/or,
•

Strategies to address the needs of working adults by accommodating student work

schedules through techniques such as flexible and non-semester-based scheduling,
alternative class times and locations, and/or the innovative use of technology (such as
distance education).

ii. Assessments and Services to Support Students in Completing Training and
Transitioning from One Step of a Career Pathway to the Next
Applicants must include assessments and services to support students in progressing
as quickly as possible through the proposed career pathway programs.
Accordingly, applicants should include strategies to provide initial assessments of
academic skill levels, aptitudes, abilities, and supportive service needs of participants, as
well as appropriate mechanisms to award credit for prior learning.
Applicants should also include academic advising, career coaching, and individual
career development planning. To support these program functions, applicants should
include a graphic display of the career pathways they are building (see Section IV.B Part
III.4), which can be used by counselors, workers and students to visualize and understand
the career pathways available to them, and the entry and exit points and credentials along
the way.
9

Applicants should include wrap-around support services, particularly at critical
points of transition. Supportive services should be organized to meet the particular needs of
adults, and may include childcare, transportation, and other supports necessary to enable
individuals to participate in education and training.

iii. Substantive Involvement of Employers in the Development and Implementation
of Career Pathway Programs
To maximize the employment prospects for program participants, successful
applicants must align their career pathway programs with the skill needs of industries
important to the local labor market, which may include industry clusters with a regional
concentration of businesses linked by common workforce needs. Applicants must consult
with employers to determine the skill requirements for employment or career progression in
in-demand occupations. Employers should also play a critical role in providing worksite
training and hiring program participants.

iv. Strong Partnerships between Eligible Institutions, Employers and Industry
Organizations, and Other Relevant Organizations/Stakeholders within the Community
In order to better integrate and coordinate the provision of education, training, and
supportive services, successful applicants must implement their projects through close
partnerships with other organizations in the community. As described in detail in Section
III.A and III.B of this SGA, eligible institutions must apply as part of a partnership that

10

includes, at a minimum, the public workforce system, a community or technical college, and
employers.
Strong partnerships between the relevant organizations will encourage tighter
coordination in the provision of services (such as adult basic education, developmental
education, skills development, and other postsecondary education systems), ultimately
leading to more seamless transitions and stronger support systems for program participants.
Applicants must propose projects that provide the public workforce system with a
strong role in career pathway programs. Additional discussion of the potential roles for the
public workforce system can be found in Section III.B.1.

v. Effective Mechanisms for Implementing Systemic Changes that Last Beyond the
Grant Period
The Department seeks to promote the more widespread adoption of career pathway
models, including the systemic changes necessary to better align the goals and funding
streams of organizations that provide education, training, workforce development, and
supportive services. In order to work toward this goal, applicants must include strategies
and activities that will allow them to identify the successful project components that should
be sustained, as well as identify funding and organizational policies that will enable the
continued operation of those project components beyond the grant period.

C. Industry and Occupational Focus Areas

11

As stated in Section I.A of this SGA, DOL intends to fund projects that increase the
number of individuals who earn credentials that enable them to compete for employment in
in-demand and emerging industries and occupations (see Section VI.B.4.ii for the definition
of “credential”), and which lead to employment for program participants in such industries
and occupations. Consistent with these credentialing and employment goals, this SGA
requires applicants to provide strong rationale for the industries and occupations targeted by
their projects. This rationale must include sound evidence, based on credible local labor
market information, that the targeted industries and occupations will yield opportunities for
program participants to obtain employment in good jobs or advance in their careers (see
Section V.A.1 of the SGA Evaluation Criteria).
As specified in Section II.A, at least $65 million of the total designated funds under
this SGA will be reserved for projects that focus on the health care sector. For the remaining
funds, DOL is interested in funding projects focused on other in-demand and emerging
industries and occupations, which may include: advanced manufacturing, information
technology (IT), law enforcement, wireless and broadband deployment, transportation and
warehousing, biotechnology, and other industries and occupations for which the applicant
can provide the evidence described above.
For background information on the health care sector and other in-demand and
emerging industries and occupations, refer to Section VIII.D.

D. Proposed Activities
i. Allowable Activities
12

Applicants may only propose activities that directly support: (1) development,
enhancement, and implementation of career pathway programs; and, (2) the provision of
education and training to workers in those career pathway programs. A community or
technical college, as defined in Section III.A.2, must be the primary training provider through
the grant. Within the framework of goals and critical elements in this SGA, a broad range of
activities are allowable and applicants must propose budgets commensurate with their
proposed project design. Applicants should refer to Section VI.B.1 of the SGA for a list of
relevant OMB Circulars (codified at 2 CFR) and DOL regulations (codified at 20 and 29 CFR)
that prescribe cost principles, administrative, and other requirements that apply to this
Solicitation.
Within these parameters, successful applicants to this SGA may use grant funds to
pay for activities that directly support (1) the development, enhancement, and
implementation of career pathway programs, such as:
•

Developing and/or delivering new curricula. Curriculum development in

isolation is not encouraged, and is only appropriate if new curriculum is essential to support
direct education/training activities provided through this grant and is necessary to achieve
the training and employment outcomes proposed for the grant;
•

Leasing space that is used for education and training and related activities;

•

Developing and implementing articulation agreements with universities and other

educational partners;
•

Designing contextualized learning, distance learning, and internship programs;

•

Incorporating Science, Technology, Engineering, and Math (STEM) skills into
13

education/training activities;
•

Accrediting employer- and/or industry-recognized credentials;

•

Designing interim and stackable credentials to accelerate and increase credential

attainment, or adjusting curricula into shorter pieces that are linked to both specific
occupations and a postsecondary degree (this may also be known as “chunking”);
•

Developing adequate numbers of qualified instructors, such as through train-the-

trainer and professional development activities;
•

Developing and disseminating career awareness information; and,

•

Performing other appropriate program development activities, such as using

subject matter experts from industry, education, and other areas to assist in curriculum
design.

Within the parameters described above, successful applicants to this SGA may use
grant funds to pay for activities that directly support (2) the provision of education and
training to eligible participants, such as:
•

Performing initial assessments of skill levels, aptitudes, abilities, competencies,

and supportive service needs;
•

Performing prior learning assessments that result in college credit;

•

Providing case management services;

•

Providing supportive services or payments for supportive services that enable

individuals to participate in education and training activities (see Section IV.E.8 for specific
requirements related to supportive services);
14

•

Providing basic skills training, such as adult basic education, English as a Second

Language (ESL), and job readiness training. As existing training is readily available,
development of basic skills training in isolation is not encouraged, and is only appropriate if
existing basic skills training does not meet the needs of the target populations to be served;
•

Providing classroom occupational training;

•

Providing on-the-job training activities that lead to permanent employment (see

Section IV.E.7 for specific requirements related to on-the-job training);
•

Developing and implementing Registered Apprenticeship and pre-apprenticeship

programs, or collaboration with existing programs;
•

Providing contextualized learning;

•

Providing distance learning;

•

Developing and operating internship programs (see Section IV.E.6 for specific

requirements related to internship programs);
•

Providing customized training for particular employers or groups of employers, as

defined in WIA section 663.715;
•

Providing training in STEM skills to targeted populations and demographic

groups, such as women;
•

Conducting job development activities;

•

Providing job search assistance, and career coaching;

•

Providing job placement assistance; and

•

Implementing job-retention strategies, such as placing job-retention specialists at

15

work sites to assist participants who have entered unsubsidized employment by providing
counseling, or coordinating with external services that promote job retention, such as
transportation or child care provided through leveraged resources. Applicants should note
that projects funded under this SGA may not use grant funds to provide supportive services
(such as transportation and child care) to participants who are no longer enrolled in grantfunded training.
Allowable costs related to the above activities include, but are not limited to: costs of
faculty/instructors, including salaries and fringe benefits; in-house training staff; support
staff such as lab or teaching assistants; costs of staff providing assessment, case management,
placement, and other services; classroom space; and books, materials, and supplies used in
the training course, including specialized equipment. Grants funded under this SGA may
produce tangible products and deliverables, such as updates to existing curriculum.
Curriculum development, modification, or expansion is only appropriate if new curriculum
is essential to support direct education/training activities provided through this grant and is
necessary to support grant activities. As stated in Section II.B, Period of Performance,
curriculum development should be completed within the first year of the grant, as it is the
Department’s intent that education and training activities begin no later than October 1,
2012.
As with all costs charged to the grant, the costs of equipment must meet the standards
in the applicable Federal cost principles, including that the costs are reasonable and
necessary to achieve grant outcomes. While grant funds may be used to purchase
appropriate equipment that is used for training and education activities provided through
16

the proposed project, applicants are strongly encouraged to use leveraged resources to
support these costs to maximize the use of their grant funds. For additional information on
costs related to equipment purchases and curriculum development, please see Section II.B.

ii. Characteristics of Training Activities
All projects must incorporate training activities that:
•

Address skills and competencies demanded by the targeted industries and

occupations;
•

Support participants’ advancement on an articulated career ladder and/or career

lattice, or other defined career pathway;
•

Result in industry-recognized credentials (see definition of credential in Section

VI.B.4.ii) that indicate a level of mastery and competence in a given field or function, where
such a credential exists. The credential(s) awarded to participants must be based on the type
of training provided through the grant and the requirements of the targeted occupation, and
should be selected based on consultations with employers, which may include regional
industry clusters, as well as labor organizations if appropriate. It is allowable and
encouraged to award multiple credentials along the career pathway;
•

Take place at times and locations that are convenient and easily accessible for the

targeted populations;
•

As appropriate, integrate occupational training with basic skills training to ensure

that participants have the foundational skills necessary to obtain and retain employment;
and,
17

•

As appropriate, integrate training activities with supportive services to ensure that

participants have the necessary support to overcome barriers to employment.

II. Award Information
A. Award Amount
Under this SGA, DOL intends to award up to approximately $122 million in grant
funds to eligible institutions as described in Section III.A. Based on statutory requirements,
at least $65 million of the total designated funds will be reserved for projects that focus on
the health care sector. Organizations that received a grant through previous CommunityBased Job Training (CBJT) SGAs may submit proposals for funding through this SGA, but
may only propose projects that focus on different industries and occupations than they
targeted through their previous grants that were funded through a CBJT SGA. DOL does
not intend to award grants to sustain projects previously funded under CBJT SGAs.
For the total amount of funds available through this SGA, DOL intends to fund
approximately 40 to 50 grants ranging from $1 million to $5 million. These ranges do not
preclude DOL from funding grants at a lower amount than requested based on the type and
number of quality submissions, however, DOL does not expect to fund any project for less
than $1 million. DOL will consider requests for greater than $5 million non–responsive, and
such applications will not be considered for funding. Within the funding ranges specified
above, applicants are encouraged to submit proposals for quality projects at a funding level
that is appropriate to the project.

18

Applicants that submit an evaluation plan may request additional funding to conduct
the evaluation, which may exceed the $5 million maximum funding amount specified above.
The maximum amount of supplementary evaluation funding that applicants can request
depends on the type of evaluation proposed, as defined in the following parameters:
•

For applicants proposing a random assignment evaluation, supplementary

evaluation funding cannot exceed 20% of the funding amount requested in the primary Cost
Proposal (i.e. the funds that will be used to implement the program development and
education/training activities in the Technical Proposal).
•

For applicants proposing to implement an evaluation using a study methodology

other than random assignment, supplementary evaluation funding may not exceed 10% of
the funding amount requested in the primary Cost Proposal (i.e. the funds that will be used
to implement the program development and education/training activities in the Technical
Proposal).
This additional request for funding must be included with the applicant’s submission
package, but in a supplementary attachment that is separate and apart from the applicant’s
technical proposal, as explained in Section V.B. This additional request will be reviewed
separately from the main application. Applications that combine the main application
documentation with the supplementary documentation will be found non-responsive and will
not be reviewed.
In the event additional funds become available, ETA reserves the right to use such
funds to select additional grantees from applications submitted in response to this solicitation.

19

B. Period of Performance
DOL expects to make awards by June 30, 2011. The period of grant performance for
these awards will be up to 36 months from the date of execution of the grant documents for
program development and direct education and training activities provided through the
grant. This performance period includes all necessary grant activities for program
development and direct education and training activities provided through the grant
including: the development and implementation of career pathways models; the completion
of education/training activities and the award of employer- or industry-recognized
credentials for at least one group of participants in each type of career pathway targeted by
the grant; placement activities for at least one cohort of participants for each career pathway
targeted through the grant; and participant follow-up for employment and credential
outcomes. DOL also expects that the grant start date will be July 1, 2011, and start-up
activities, such as hiring appropriate program staff and specialized equipment purchases,
will begin immediately upon award. The Department also expects that at least some
participants will begin education and training activities no later than January, 2012. The
Department strongly encourages grantees to develop their project work plans and timelines
accordingly. In addition, the Department intends that all grantees complete appropriate
equipment purchases within the first year of the grant. Further, applicants should plan to
fully expend grant funds during the period of performance, while ensuring full transparency
and accountability for all expenditures. Therefore, applicants are encouraged to carefully
consider their ability to spend the level of funding requested within the 3 year timeframe of
these grants.
20

Grantees who are awarded additional funds to conduct an evaluation of their career
pathways program will have an additional year in their period of performance. During this
year they must use grant funds solely for activities related to the evaluation, and will not be
permitted to use grant funds for any activities related to program development and direct
education and training activities provided through the grant.

III. Eligibility Information
A. Eligible Applicants
In order to be eligible for consideration under this solicitation, the lead applicant must
be an eligible institution, as defined in this paragraph, and must submit an application in
partnership with the required partners identified in Section III.B. Applicants must specify
their applicant type in the Abstract, as described in Section IV.B Part III.1. Eligible
institutions are: (1) Local Workforce Investment Boards, which partner with one or more
community or technical college(s) where education/training activities will occur under the
grant; (2) community or technical colleges; (3) community college districts; and, (4) State
community college systems. Requirements for each of these lead applicant types are
provided below.

1. Local Workforce Investment Boards
Under this category, eligible applicants are legal entities that represent the local
workforce investment system as follows:
•

A Local Workforce Investment Board (LWIB), as established under Section 117 of
21

the Workforce Investment Act of 1998 (WIA) (Pub. L. 105–220), that has been incorporated;
or,
•

In areas where the LWIB is not incorporated, the legal entity that serves as the

fiscal agent for the Local Workforce Investment Board. To apply under this category, this
entity must provide, as an attachment to their application, a letter from the chair of the Local
Workforce Investment Board that: affirms that the applicant is the legal entity that serves as
the fiscal agent for the LWIB, confirms that the applicant is submitting the application on
behalf of the LWIB, and includes the applicant’s legal name and Federal Tax Identification
Number.
To apply under this category, the Local Workforce Investment Board must specify, in
their Abstract, one or more community or technical college(s) (as defined in Section III.A.2)
where education/training activities will occur under the grant.

2. Community or Technical Colleges
Applicants under this category are institutions of higher education as defined in
Section 101(a) of the Higher Education Act of 1965 (20 U.S.C. 1001) which offer programs that
can be completed in not more than 2 years. These "institutions of higher education" include
public and other nonprofit educational institutions. Private for-profit educational
institutions are not eligible to apply.
Eligible institutions under this category must be accredited, as of the closing date of
this SGA, by an accrediting agency or association that has been recognized by the U.S.
Department of Education. A database of institutions that are accredited by bodies
22

recognized by the U.S. Department of Education can be found at
http://ope.ed.gov/accreditation/. Applicants are strongly encouraged to check this
website, as the Department will reference this database in determining an applicant’s
accreditation to ensure eligibility. If an applicant under the Community or Technical College
category is not shown by this database to have active accreditation status, the applicant must
provide additional verifiable documentation, in an attachment, which demonstrates that the
applicant’s institution is accredited as of the closing date of this SGA. If an applicant does
not have active accreditation status as of the closing date of this SGA (for example, if the
institution has been denied accreditation or candidacy), the application will be found nonresponsive and will not be reviewed.
In determining eligibility, the Department will also use the IPEDS Data Center
(http://nces.ed.gov/ipeds/datacenter/) to evaluate if an applicant is a public or private
nonprofit educational institution, and if the institution offers programs that can be
completed in not more than 2 years. Applicants are strongly encouraged to check this
website as well.
Institutions of higher education that meet the requirements stated above may include
2-year and 4-year colleges and universities, Historically Black Colleges and Universities,
Tribal Colleges and Universities, and Hispanic Serving Institutions, among others.

3. Community College Districts
Applicants under this category are community college districts established by the
State as a separate entity, or governed by a community education board, for the purpose of
23

carrying out a common objective on behalf of a group of community or technical colleges.
The community college district must serve as the programmatic and fiscal agent for the
grant, having ultimate responsibility for implementing the grant’s statement of work,
meeting all fiscal and administrative requirements as required by the grant, and ensuring the
grant adheres to all other requirements of the grant agreement. The applicant must specify,
in the Abstract, one or more community or technical colleges within the district where
education/training activities will occur under the grant.

4. State Community College Systems
Applicants under this category are the agencies primarily responsible for the State
supervision of a unified statewide system of community and technical colleges. The State
community college system must serve as the programmatic and fiscal agent for the grant,
having ultimate responsibility for implementing the grant’s statement of work, meeting all
fiscal and administrative requirements as required by the grant, and ensuring the grant
adheres to all other requirements of the grant agreement. State system applications must
specify, in the Abstract, one or more community college(s) within the State where
education/training activities will occur under the grant.

B. Required Partners and their Roles
All eligible lead applicants must meet the requirements of one of the categories of
eligible institutions defined in Section III.A of this SGA, and must submit an application on
behalf of a partnership that includes at least one organization from each of the following
24

partner categories: (1) the public workforce investment system, such as Local Workforce
Investment Boards and their One-Stop systems; (2) community or technical colleges; and (3)
public and/or private employers. A lead applicant under category (1) or (2) need not have
an additional partner in its own category to satisfy the partnership requirement. However,
lead applicants are encouraged to include more than one representative of the required and
suggested partners.
By including all of these types of organizations in a comprehensive partnership,
applicants can ensure they are maximizing available resources and organizational expertise
for each project, and that individual participants within the project have the support they
need to successfully complete training, overcome barriers to employment, and obtain jobs
and advance along career ladders. These partners can contribute a wide array of knowledge
and activities to each project, and must work together to leverage each other’s expertise and
resources.
Each partner category is defined below:

1. The Public Workforce Investment System, such as Local Workforce Investment Boards
and their One-Stop Systems
DOL requires that LWIBs and/or their One-Stop Systems serve as partners in the
proposed project. DOL is interested in projects that include substantive roles for the public
workforce investment system in developing and implementing career pathway programs.
Therefore, either the LWIB or their One-Stop System must serve as a partner in the
applicant’s overall strategy and project work plan (applicants may also choose to partner
25

with both the LWIB and the One-Stop System). In addition, DOL strongly encourages
applicants to leverage, where possible, WIA training, core, and/or intensive services
provided through the public workforce system. The public workforce system must provide
core and/or intensive services, funded with either grant funds or leveraged resources, to
support the proposed project. Its role may include but is not limited to the following
activities: (1) understanding and analyzing the need for education/training and
employment in the local area; (2) identifying targeted industries, occupations, hiring needs,
and populations to be served; (3) connecting the applicant to relevant sources of data,
including the workforce investment board’s strategic plan, Bureau of Labor Statistics (BLS)
reports, and other relevant state tools or reports; (4) leading or supporting the employer
engagement component of a career pathway program; (5) assessing potential participants for
the career pathways program; (6) identifying and referring candidates for education/training
in the career pathways program; (7) job development services, including connecting and
placing participants with employers that have job openings; (8) collecting, tracking, and
reporting participant performance data to DOL; and, (9) coordinating strategies, resources,
and programs across organizations, including providing information on potential eligibility
for Pell Grants and other financial aid. This could involve making referrals for participants
in the CPIF program, if eligible, who are in need of supportive services in order to overcome
barriers to education/training and employment and ensure successful outcomes.

2. Community or Technical Colleges, as Defined in Section III.A.2
DOL requires that community or technical colleges serve as partners in the proposed
26

project. DOL is particularly interested in applications that include multiple community or
technical colleges as partners in the project. Applicants that apply under the Community or
Technical College category will satisfy the partnership requirement for this category.

3. Public and/or Private Employers
DOL requires that employers serve as partners in the proposed project. These
organizations should be actively engaged in the project and may contribute to many aspects
of grant activities, such as defining the program strategy and goals, identifying necessary
skills and competencies, providing resources to support education/training (such as
equipment, instructors, funding, internships, access to laboratory facilities, or other workbased learning activities or situations), and where appropriate, hiring qualified program
participants. DOL encourages applicants to focus on employers that are significant in the
regional economy and belong to growing or emerging industries, including regional
industry clusters.

C. Suggested Partners
In addition to the required partners, DOL strongly encourages applicants to include
other partners to further assist the project. Other partner organizations can offer additional
resources and expertise such as assistance with the development and implementation of
Registered Apprenticeship and pre-apprenticeship programs; contextualized learning;
internship programs; basic skills training, such as adult basic education, English as a Second
Language (ESL), and job readiness training; initial assessment of participant skill levels,

27

aptitudes, abilities, competencies, and supportive service needs; career counseling; case
management services; and comprehensive retention strategies.
These organizations could include, but are not limited to:
i. The education and training community, including secondary schools, other
community and technical colleges, four-year colleges and universities, apprenticeship
programs, adult education providers, technical and vocational training institutions, and
other education and training entities;
ii. Nonprofit organizations, such as community or faith-based organizations, or
intermediaries, that have direct access to the target populations and often have demonstrated
experience in serving these populations;
iii. Labor organizations;
iv. State Apprenticeship Agencies (SAAs) or the Department of Labor’s Office of
Apprenticeship (OA), in those states where OA is the registration agency for registered
apprenticeship programs. Applicants who wish to include apprenticeship as a partner
should note that the DOL Office of Apprenticeship is the registration agency for
apprenticeship programs in 25 States and is available to partner in states with any grantee
who requests to do so;
v. Local veterans’ agencies and local veterans service organizations;
vi. Economic Development organizations;
vii. Industry employer associations that represent member companies within an
industry or sector; and,
viii. Organizations that have received funding from other Federal agencies, such as
28

the Departments of Education, Health and Human Services, or Housing and Urban
Development, to develop related training and education, or to provide other services to
individuals. For example, the Department of Health and Human Services/Office of the
National Coordinator for Health IT has made grants for curriculum and training for
individuals interested in pursuing careers in health informatics. Applicants proposing a
career pathway in this field are encouraged to partner with these grantees in order to avoid
duplication of effort.

D. Other Eligibility Criteria
Eligible institutions may submit only one application in response to this SGA as the
lead applicant. Applicants that submit more than one application as the lead applicant will
be found non-responsive and none of their applications will be reviewed. However, eligible
institutions may submit an application as a lead applicant, and also serve as a partner in
applications in which they are not designated the lead applicant.

E. Cost Sharing or Matching
Cost sharing or matching funds are not required as a condition for application, but
leveraging other resources is strongly encouraged.

F. Eligible Participants

29

Applicants must propose projects that serve only individuals who are at least 17 years
of age and fall within one of the following two categories: unemployed workers and
incumbent workers.
Within these two categories, applicants may serve a wide variety of individuals,
including individuals with barriers to employment, such as limited English proficiency; youth
17 years of age and older who have dropped out of school and are seeking employment;
persons with disabilities; and ex-offenders. In-school high school students and other students
enrolled in secondary education programs are not eligible participants under this SGA.
Applicants may propose projects with program development activities that may benefit
individuals younger than 17 years of age; however, grant funds may not be used to directly
provide education/training or other grant-funded services, such as tuition costs or faculty
salaries, to serve individuals younger than 17 years of age. Applicants are encouraged to use
leveraged resources to serve any individuals younger than 17 years of age.
The two categories of eligible participants are defined as follows:

1. Unemployed Workers
For the purposes of this SGA, DOL defines “unemployed worker” as an individual who
is without a job and who wants and is available to work. This can include the long-term
unemployed (individuals who have been unemployed for six months or more).

2. Incumbent Workers

30

For the purpose of this SGA, this term refers to individuals who are employed but need
training to secure full-time employment, advance in their careers, or retain their current
occupations. This can include low-income individuals; dislocated workers who have received
a notice of termination or lay-off from employment; and individuals with barriers to
employment progression, such as individuals with limited English proficiency.

G. Veterans Priority for Participants
The Jobs for Veterans Act (Public Law 107-288) requires grantees to provide priority of
service for 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 DOL. TEGL No. 10-09 is available at
http://wdr.doleta.gov/directives/corr_doc.cfm?DOCN=2816.

31

H. Other Grant Specifications
1. Grant Recipient Training
Grant recipients are required to participate in all DOL training activities related to
orientation, financial management and reporting, performance reporting, product
dissemination, and other technical assistance training as appropriate during the life of the
grant. These trainings may occur via conference calls, through virtual events such as
webinars, and in-person meetings. Applicants should budget for two staff members to each
attend two in-person training events during the life of the grant, one in Washington, D.C. and
the other in the location of the ETA regional office that will manage the grant. Applicants
should visit the following link to see which ETA regional office manages grants in its state:
http://www.doleta.gov/regions/.

2. Required Disclaimer for Grant Deliverables
The grantee must include the following language on all Work developed in whole or in
part with grant funds, including its incorporation in the License (as described in Section
IV.E.4): “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 linked sites and
including, but not limited to, accuracy of the information or its completeness, timeliness,
usefulness, adequacy, continued availability, or ownership.”
32

3. Transparency
The Department is committed to conducting a transparent grant award process and
publicizing information about program outcomes. Applicants are advised their application
and information related to its review and evaluation (whether or not the application is
successful) may be made publicly available, either fully or partially. In addition, information
about grant progress and results may also be made publicly available.

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
Proposals submitted in response this SGA must consist of three separate and distinct
parts: (I) a cost proposal; (II) a technical proposal; and (III) 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 non-responsive and will not be reviewed. It is
the applicant’s responsibility to ensure that the funding amount requested is consistent
across all parts and sub-parts of the application.

33

Part I. The Cost Proposal.
The Cost Proposal must include the following items:
•

SF-424, “Application for Federal Assistance” (available at

http://www07.grants.gov/agencies/forms_repository_information.jsp). The SF-424 must
clearly identify the applicant and must 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 shall be considered the authorized representative of the applicant.
All applicants for Federal grant and funding opportunities are required to have a Data
Universal Numbering System (D-U-N-S®) number, and must supply their D-U-N-S®
Number on the SF-424. The D-U-N-S® Number is a nine-digit identification number that
uniquely identifies business entities. If you do not have a D-U-N-S® Number, you can get
one for free through the Dun &Bradstreet website:
http://fedgov.dnb.com/webform/displayHomePage.do.
•

The SF-424A Budget Information Form (available at

http://www07.grants.gov/agencies/forms_repository_information.jsp). In preparing the
Budget Information Form, the applicant must provide a concise narrative explanation to
support the budget 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 a description of
leveraged resources provided (as applicable) to support grant activities.

34

•

Note that the entire Federal grant amount requested (not just one year) must be

included on the SF-424 and SF-424A and budget narrative. No leveraged resources should
be shown on the SF-424 and SF-424A. The amount listed on the SF-424, SF-424A and budget
narrative must be the same. Please note, the funding amount included on the SF-424 will be
considered the official funding amount requested if any inconsistencies are found.
Applications that fail to provide an SF-424 including D-U-N-S® Number, SF-424A, and a
budget narrative will be considered non-responsive and not reviewed.
•

Regardless of the method of application submission, all applicants must register

with the Federal Central Contractor Registry (CCR) before submitting an application. Stepby-step instructions for registering with CCR can be found at
http://www.grants.gov/applicants/org_step2.jsp. An awardee must maintain an active
CCR registration with current information at all times during which it has an active Federal
award or an application under consideration. To remain registered in the CCR database
after the initial registration, the applicant is required to review and update on an annual
basis from the date of initial registration or subsequent updates its information in the CCR
database to ensure it is current, accurate and complete. For purposes of this paragraph, the
applicant is the entity that meets the eligibility criteria and has the legal authority to apply
and to receive the award. Failure to register with the CCR before application submission
will result in your application being found non-responsive and not being reviewed.

35

Part II. 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 of this SGA. The Technical
Proposal, which includes the Project Work Plan, is limited to 25 double-spaced single-sided
8.5 x 11 inch pages with 12 point text font and 1 inch margins. Any materials beyond the
specified page limit will not be read. Applicants should number the Technical Proposal
beginning with page number 1. Applications that do not include Part II, the Technical
Proposal, will be considered non-responsive and not reviewed.

Part III. Attachments to the Technical Proposal.
In addition to the Technical Proposal, the applicant must submit the required
attachments described below. The additional materials (two-page abstract; commitment
letter; organizational chart; graphic display of career pathway; and letter from the LWIB
chair, if applicable) do not count against the 25-page limit for the Technical Proposal, but
may not exceed 12 pages. Any additional materials beyond the 12-page limit will not be
read. Applicants that choose to propose a program evaluation component must submit the
supplementary materials described below in attachment 6. These materials include a
Program Evaluation Plan, which must not exceed 10 pages, but does not count against the
25-page limit of the Technical Proposal or the 12-page limit of the other 5 attachments.

36

Applications that do not include the required attachments will be considered nonresponsive and will not be reviewed.
The required attachments must be affixed as separate, clearly identified appendices to
the application. Additional materials such as resumes or general letters of support or
commitment will not be considered. Applicants should not send documents separately to
DOL, because documents received separately will be tracked through a different system and
will not be attached to the application for review. DOL will not accept general letters of
support submitted by organizations or individuals that are not partners in the proposed
project and that do not directly identify the specific commitment or roles of the project
partners. Support letters of this nature will not be considered in the evaluation review
process.

1. Abstract
The applicant must provide an Abstract, which must not exceed two pages and must
include the following sections: (1) summary of the proposed project, including applicant
name; (2) applicant type, as defined in Section III.A (Local Workforce Investment Board,
Community or Technical College, Community College District, or State Community College
System); (3) targeted industry(ies) and occupations; (4) project title; (5) key partners; (6)
community or technical college(s) that will provide training; (7) identification of the county
or counties to be served, including whether the county(ies) are located in urban, suburban, or
rural areas; (8) target populations to be served; (9) projected training and placement
outcomes as referenced in Section V.A.3.i; and (10) funding level requested. Because DOL
37

will rely on information provided in the Abstract to verify applicant eligibility, failure to
provide this information in the Abstract may have an impact on selection as a grantee.

2. Letter of Commitment
The applicant must submit one letter of commitment that is co-signed by all required
partners and other partners, as appropriate, that describes the roles and responsibilities of
each partner. Electronic signatures are permissible in the letter of commitment.
Applicants who include an apprenticeship program or state apprenticeship agency as
a partner should note that the DOL Office of Apprenticeship is the registration agency for
apprenticeship programs in 25 States. In the other 25 States, the District of Columbia, and
U.S. Territories, the registration agency is a recognized State Apprenticeship Agency that has
responsibility for registering apprenticeship programs and providing technical assistance for
registered apprenticeship programs. In the 25 States where DOL’s Office of Apprenticeship
is the registration agency, a signature is not required in the letter of commitment from the
DOL Office of Apprenticeship. A signature is required in the letter of commitment where
the registration agency is a recognized State Apprenticeship Agency. Applicants should visit
the DOL Office of Apprenticeship’s Web site (http://www.doleta.gov/oa/stateoffices.cfm
and http://www.doleta.gov/oa/stateagencies.cfm) to identify the appropriate State
apprenticeship director representative.

3. Organizational Chart

38

The applicant must provide an organizational chart that identifies all relevant
leadership, program, administrative, and advisory positions (including positions within
partner organizations).

4. Graphic Display of the Proposed Career Pathway(s)
The applicant must submit a graphic displaying each component of the proposed
career pathway program. This visual documentation will help to depict in very simple terms
how an individual can enter and advance within a specific career, roadmaps of the specific
courses needed to advance along the career pathway, services available to support students,
and credentials that participants will earn upon completion. This documentation will assist
in depicting the proposed career pathway, and can also be updated during the grant period
for use by career counselors, instructors, students and workers to show the multiple entry
and exit points along the career pathway, and the points where credential attainment is
expected.

5. Letter from the Chair of the LWIB (if applicable)
Applicants applying as the legal entity that serves as the fiscal agent for the LWIB
must provide a letter from the chair of the LWIB, as specified in Section III.A.1.

6. Supplementary Materials for Applications Proposing a Program Evaluation Component
Applicants that choose to respond to the bonus-point criteria in Section V.B must
include a Program Evaluation Plan, as described Section V.B.1.a. The Program Evaluation
39

Plan does not count against the 25-page limit for the Technical Proposal or the 12-page limit
for other attachments, but must not exceed 10 pages.
Applicants that choose to respond to the bonus-point portion of the competition and
choose to request specific funding for the evaluation component must also include a
Supplementary Cost Proposal (as described in Section V.B.1.b), which is separate and apart
from the main Cost Proposal, and includes all costs related to the evaluation.

C. Submission Date, Times, Process and Addresses
The closing date for receipt of applications under this announcement is [INSERT
DATE 30 DAYS AFTER DATE OF PUBLICATION IN FEDERAL REGISTER].
Applications may be submitted electronically on http://www.grants.gov or in hard-copy by
mail or hand delivery (including overnight delivery). Hard-copy applications must be
received at the address below no later than 4 p.m. Eastern Time. Applications submitted on
grants.gov must also be successfully submitted (as described 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 hard-copy must submit an original signed
application (including the SF-424) and one (1) ‘‘copy-ready’’ version free of bindings, staples
or protruding tabs to ease in the reproduction of the proposal by DOL. Applicants
submitting proposals in hard copy are also required to provide an identical electronic copy
of the proposal on compact disc (CD). If discrepancies between the hard copy submission
and CD copy are identified, the application on the CD will be considered the official

40

applicant submission for evaluation purposes. Failure to provide identical applications in
hardcopy and CD format may have an impact on the overall evaluation.
If an application is physically submitted by both hard-copy and through
http://www.grants.gov, a letter must accompany the hard-copy application stating which
application to review. If no letter accompanies the hard-copy, we will review the copy
submitted through http://www.grants.gov. Applications that do not meet the conditions
set forth in this notice will be considered non-responsive. No exceptions to the mailing and
delivery requirements set forth in this notice will be granted. Further, documents submitted
separately from the application, before or after the deadline, will not be accepted as part of
the application.
Mailed applications must be addressed to the U.S. Department of Labor, Employment
and Training Administration, Division of Federal Assistance, Attention: Donna Kelly, Grant
Officer, Reference SGA/DFA PY 10-06, 200 Constitution Avenue, NW, Room N4716,
Washington, DC 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 overnight mail will be considered to be hand-delivered
and must be received at the designated place by the specified closing date and time.
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 the closing date 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

41

strongly advised to initiate the process as soon as possible and to plan for time to resolve
technical problems if necessary.
The Department 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. Applicants
should read through the registration process carefully before registering. These steps may
take as much as four 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. The site also contains registration checklists to help you walk through the
process. The Department strongly recommends that applicants download the “Organization
Registration Checklist” at
http://www.grants.gov/assets/Organization_Steps_Complete_Registration.pdf and
prepare the information requested before beginning the registration process. Reviewing and
assembling required information before beginning the registration process will alleviate last
minute searches for required information and save time.
As described above, applicants must have a D–U–N–S® Number and must register
with the Federal Central Contractor Registry (CCR).
The next step in the registration process is creating a username and password with
Grants.gov to become an Authorized Organizational Representative (AOR). AORs will need
to know the D-U-N-S® Number of the organization for which they will be submitting
applications to complete this process. To read more detailed instructions for creating a
profile on Grants.gov visit: http://www.grants.gov/applicants/org_step3.jsp.
42

After creating a profile on Grants.gov, the E-Biz point of Contact (E-Biz POC) - a
representative from your organization who is the contact listed for CCR – will receive an
email to grant the AOR permission to submit applications on behalf of their organization.
The E-Biz POC will then log in to Grants.gov and approve an applicant as the AOR, thereby
giving him or her permission to submit applications. To learn more about AOR
Authorization visit: http://www.grants.gov/applicants/org_step5.jsp, or to track AOR
status visit: http://www.grants.gov/applicants/org_step6.jsp.
An application submitted through Grants.gov constitutes a submission as an
electronically signed application. The registration and account creation with Grants.gov,
with E-Biz POC approval, establishes an AOR. When you submit the application through
Grants.gov, the name of your AOR on file will be inserted into the signature line of the
application. Applicants must register the individual who is able to make legally binding
commitments for the applicant organization as the AOR; this step is often missed and it is
crucial for valid submissions.
When a registered applicant submits an application with Grants.gov, an electronic
time stamp is generated within the system when the application is successfully received by
Grants.gov. Within two business days of application submission, Grants.gov will send the
applicant two email messages to provide the status of the application’s progress through the
system. The first email, sent almost immediately, will contain a tracking number and 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
43

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, additional 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 .doc, .xls
or .pdf files. If submitted in any other format, the applicant bears the risk that compatibility
or other issues will prevent us from considering the application. DOL will attempt to open
the document but will not take any additional measures in the event of problems with
opening. In such cases, the non-conforming application will not be considered for funding.
We strongly advise applicants to use the various tools and documents, including
FAQs, which are available on the “Applicant Resources” page at
http://www.grants.gov/applicants/resources.jsp.
DOL encourages new prospective applicants to view the online tutorial, “Grant
Applications 101: A Plain English Guide to ETA Competitive Grants,” available through
Workforce3One at: http://www.workforce3one.org/page/grants_toolkit.

44

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]”. The Contact Center is open 24 hours a day, seven days a week.
It is closed on federal holidays.
Late Applications: For applications submitted on Grants.gov, only applications that
have been successfully submitted no later than 4:00 p.m. Eastern Time on the closing date
and then successfully validated will be considered. Applicants take a significant risk by
waiting to the last day to submit by Grants.gov.
Any hard-copy 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 before the date specified for receipt of
applications. ‘‘Postmarked’’ means a printed, stamped or otherwise placed impression
(exclusive of a postage meter machine impression) that is readily identifiable, without
further action, as having been supplied 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
45

legible hand cancellation ‘‘bull’s eye’’ postmark on both the receipt and the package. Failure
to adhere to these instructions will be a basis for a determination that the application was not
filed timely and will not be considered. 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
All proposal costs must be necessary and reasonable and in accordance with Federal
guidelines. 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.
Applicants, whether successful or not, will not be entitled to reimbursement of preaward 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
46

final cost objective. 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 use the ICR supplied by the Federal 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 Federal
Cognizant 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. However, they
must be 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 Federal Cognizant agency, as specified above.

3. Salary and Bonus Limitations

47

Under Public Law 109-234, none of the funds appropriated in Public Law 109-149 or
prior Acts under the heading “Employment and Training Administration” that are available
for expenditure on or after June 15, 2006, may 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, except as provided for in section 101 of Public Law
109-149. Public Laws 111-8 and 111-117 contain the same limitation on funds appropriated
under each of these Laws. This limitation applies to grants funded under this SGA. The
salary and bonus limitation does not apply to vendors providing goods and services as
defined in OMB Circular A-133 (codified at 29 CFR Parts 96 and 99). See Training and
Employment Guidance Letter number 5-06 for further clarification:
http://wdr.doleta.gov/directives/corr_doc.cfm?DOCN=2262.

4. Intellectual Property Rights
In order to further the goal of career training and education and encourage innovation
in the development of new learning materials, as a condition of the receipt of a Career
Pathways Innovation Fund Grant (“Grant”), the Grantee will be required to license to the
public (not including the Federal Government) all work created with the support of the grant
(“Work”) under a Creative Commons Attribution 3.0 License (“License”). This License
allows subsequent users to copy, distribute, transmit and adapt the copyrighted work and
requires such users to attribute the work in the manner specified by the Grantee. Notice of
the License shall be affixed to the Work. For more information on this License, please visit
http://creativecommons.org/licenses/by/3.0.
48

Separate from the Creative Commons license to the public, the 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 products developed through a subcontract under the grant; and
ii) any rights of copyright to which the grantee, 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.
The grantee may not use federal funds to pay any royalty or license fee for use of a
copyrighted work, or the cost of acquiring by purchase a copyright in a work, where the
Department has a license or rights of free use in such work.

5. Tuition and Other Costs of Training
Organizations that receive grants through this SGA may use grant funds to pay for
the costs of tuition, as well as other training related expenses, associated with the specific
education and training activities provided through these grants to individuals who are at
least 17 years of age. Organizations may pay for these tuition and other training-related
expenses directly, or may provide scholarships to pay for these costs. Scholarships may
only cover tuition and training-related costs. Grantees should ensure that their use of grant
funds to pay for the costs of tuition and other training related expenses are in accordance
with applicable Federal cost principles codified at 2 CFR and specific organizational policies.
Applicants should note that, as specified in Section III.F, they may not use grant funds to pay
49

for tuition and other costs of training for participants who are under the age of 17. Payments
directly to help support their training, such as stipends for the purposes of wage replacement
or incentives to participant in training, are not allowable costs under these grants.
DOL strongly encourages applicants to leverage other resources to cover the tuition
costs for the students trained with grant funds. Possible sources of leveraged resources for
tuition include, but are not limited to, Pell Grants, student loans, and employer tuition
reimbursement.

6. Paid Work Experience and Paid Internships
Organizations that receive grants through this SGA may not use grant funds to pay
for the wages of participants except as specified in this subsection. Grantees may use grant
funds to pay wages to participants in only two specific activities: paid work experience and
paid internships. Under the WIA regulations, work experience is defined as a planned,
structured learning experience that takes place in a workplace for a limited period of time.
Work experience may be paid or unpaid, as appropriate. Internships are listed as an
allowable activity in the WIA Regulations. Additional information on work experience and
internships, both paid and unpaid, is available under the WIA regulations under the
Intensive Services section at 20 CFR 663.200(a) and (b). Under WIA, labor standards apply
in any work experience where an employee/employer relationship, as defined by the Fair
Labor Standards Act (FLSA), exists. For more information on the FLSA, applicants may visit
http://www.dol.gov/whd/.
A work experience or internship supports training, but is not a training activity under
50

WIA. Therefore, applicants should describe how the internship is connected to and supports
the education and training activities included in the grant. Because there is no formal
definition for internship programs in WIA, grantees have flexibility in the design and
implementation of these programs; however the internship must meet the following
parameters:
•

Provide an individual with monitored or supervised work or service experience in

his or her expected career field where the individual has intentional learning goals and
reflects actively on what he or she is learning throughout the experience. These learning
goals can include: academic learning, career development, and skill development;
•

Are part of structured programs where the grantee established the criteria for

determining who will participate in these programs;
•

Are for a set period of time that is generally limited in duration;

•

Support the attainment of credentials in the individual’s expected career field

(where such credentials exist);
•

Relate to training provided through the grant, and help participants prepare for

the employment opportunities on which the grant focuses; and
•

May or may not carry an offer of regular employment upon successful completion

of the internship.

7. On-the-Job Training
For grants with ETA, On-the-Job Training (OJT) is a specific term defined at WIA
section 101(31). OJT is provided under a contract with an employer in the public, private51

nonprofit, or private sector. Through the OJT contract, occupational training is provided for
the grant participant in exchange for the reimbursement to the employer of up to 50 percent
of the wage rate to compensate for the employer’s extraordinary costs of training the
individual. The employer pays wages to the participant. The WIA regulations specifically
prohibit grant funds form being spent on payment of wages of incumbent employees per
section 667.264. For complete information on specific WIA parameters for OJT, please refer
to WIA regulations 20 CFR 663.700 – 663.710, as well as 20 CFR 663.730. Applicants should
note that should their application be accepted, their proposal will become their statement of
work, and if they include the term “On-the-Job Training” or OJT in their proposal and/or
budget they will be required to follow the parameters for OJT included in the WIA
regulations. All the WIA OJT regulations apply to grants funded through this SGA, except
under 20 CFR 663.705(c), where the grantee will have the ability to identify other appropriate
purposes for the OJT, rather than the local WIB (except where the grantee is the local WIB).

8. Use of Funds for Supportive Services
Supportive services for adults and dislocated workers are defined at WIA Sections
101(46) and 134(e)(2). They include services such as transportation, child care, dependent
care, and housing that are necessary to enable an individual to participate in education and
training activities funded through this grant. Further, under WIA Section 134(e)(3),
supportive services can include needs-related payments (NRPs) that are necessary to enable
individuals to participate in training activities funded through this grant. Supportive
services activities may include, but are not limited to, provision of the actual supportive
52

service (i.e. childcare); providing participants with a voucher for the service (i.e. public
transportation cards or tokens); or providing a stipend directly to the participant. Applicants
should note that where stipends for supportive services are provided, the stipend amount
must be for costs of a specific supportive service (i.e. childcare), rather than simply based on
an unidentified need.
For the purposes of this SGA, grantees may use up to 10% of grant funds to provide
supportive services only to individuals who are participating in education and training
activities provided through the grant when: 1) they are unable to obtain such services
through other programs, and 2) such services are necessary to enable individuals to
participate in education and training activities under the grant. Grantees may establish
limits on the provision of supportive services or provide their subrecipients with the
authority to establish such limits, including a maximum amount of funding and maximum
length of time for supportive services to be available to participants. Grantees must ensure
that their use of grant funds on supportive services is consistent with their organization’s
established written policy on the provision of supportive services and relevant WIA
regulations. Additionally, ETA encourages grantees to leverage other sources of funding for
supportive services, including WIA Adult formula funds.
WIA regulations 663.800, 663.805, 663.810, 663.825(a)(2) and 663.840 do not apply to
these grants.
F. Other Submission Requirements

53

Withdrawal of Applications: Applications may be withdrawn by written notice to the
Grant Officer at any time before an award is made.

V. Application Review Information
A. Evaluation Criteria
This section identifies and describes the criteria that will be used to evaluate grant
proposals. The evaluation criteria are described below:
Criterion

Points

1.

Statement of Need

30

2.

Work Plan and Project Management

45

Measurement / Evaluation of
Progress and Outcomes
TOTAL
3.

25
100

1. Statement of Need (30 points)
Applicants must fully demonstrate the need for the Federal investment in the
proposed activities. Points for this section will be based on the following sub-criteria:

i. Targeted Populations to Be Served Through the Grant (10 points)
Scoring under this sub-criterion will be based on the extent to which the applicant
fully addresses the following two factors:
•

Factor 1 – The applicant fully identifies and describes the targeted population(s) to

be served through the grant. In addressing this factor, the applicant must use accurate and
54

up-to-date sources of data to estimate the number of unemployed and/or incumbent
workers who need updated skills; this data must also include the unemployment rate and
announced lay-offs in the area. If there are no announced layoffs, the applicant should state
this. The applicant must also provide comprehensive information on demographics,
education, skill level, and potential barriers to participating in training and employment for
the specific populations that will be targeted through the proposed project (unemployed
workers and/or incumbent workers).
•

Factor 2 – The applicant uses the data described above in Factor 1 (and other

relevant data, as applicable) to clearly and fully demonstrate the need among the targeted
populations for the education, training, and other services included in the proposed project.

ii. Targeted Industries and Occupations (10 points)
Scoring under this sub-criterion will be based on the extent to which the applicant
fully addresses the following three factors:
•

Factor 1 – The applicant fully identifies the in-demand or emerging industries and

occupations targeted by the proposed project.
•

Factor 2 – The applicant provides strong evidence, based on credible local labor

market information, that the targeted industries and occupations will yield opportunities for
program participants to obtain employment in good jobs or advance in their careers. In
addressing this factor, the applicant must provide data and analysis of both current and
projected employment opportunities for each targeted industry and occupation. This must
include data on current and expected job openings, through approximately July 1, 2014, with
55

the employers who will be partners in the grant, as well as other employers who may hire
program participants. The applicant must identify specific employers that are expected to
hire grant participants within the period of performance. The applicant must also provide
longer-term projections for openings in the targeted industries and occupations in the next 5
– 10 years.
•

Factor 3 – The applicant fully demonstrates a strong understanding of the job

knowledge, skills, abilities, and credentials required to work in the targeted industries and
occupations, and identifies which industries or occupations will be targeted by each
component of the proposed career pathway program.

iii. Description of Need for Career Pathway Programs (10 points)
Scoring under this sub-criterion will be based on the extent to which the applicant
fully addresses the following two factors:
•

Factor 1 – The applicant clearly identifies and describes each type of career

pathway program included in the proposed project. In addressing this factor, the applicant
must include the two required types of career pathway programs (as defined in Section I.B.1
and reiterated below), and may also include additional types of career pathway programs.
As specified in Section I.B.1, the two required types of career pathway programs are: (a) a
career pathway that provides pre-college “bridge” programs leading to credit-awarding
postsecondary education for low-skill adults; and, (b) a career pathway that provides
postsecondary education for individuals, such as unemployed individuals or dislocated
workers, to upgrade their skills and attain industry-recognized credentials.

56

•

Factor 2 – The applicant clearly and fully demonstrates the need for the

development or enhancement of each type of proposed career pathway program, based on
gaps in current education and training offerings in the community. In addressing this factor,
the applicant must provide a brief inventory of education and training resources available in
the community for the targeted industries and occupations. Based on this inventory, the
applicant must demonstrate that the specific types of career pathways that the applicant
proposes to target do not currently exist, or that the existing types need to be substantially
modified or enhanced.

2. Work Plan and Project Management (45 points)
The applicant must provide an explanation of the proposed career pathway program
and the corresponding education and training strategies (including the evidence on which
those strategies are based), provide a proposed project work plan, and demonstrate the
capacity of the applicant and its partners to manage the project. Points for this section will
be based on the following sub-criteria:

i. Overview of Proposed Strategy and Evidence-Based Design (15 points)
Scoring under this sub-criterion will be based on the extent to which the applicant
fully addresses the following four factors:
•

Factor 1 – The applicant clearly and fully describes the proposed education and

training strategies, including an explanation of how the proposed strategies incorporate each
of the five critical elements defined in Section I.B.2 of the SGA. The description of the
57

proposed education and training strategies must also indicate if the postsecondary
instructors involved in the proposed project will be full time faculty at the participating
educational institutions, or whether it is beneficial or otherwise appropriate for the program
to be implemented by adjunct or other types of faculty.
•

Factor 2 – The applicant provides evidence that the proposed strategies will lead to

improved education and employment outcomes. In addressing this factor, the applicant
must clearly identify the evidence on which the proposed education and training strategies
are based, and explain how the evidence indicates that the proposed strategies will lead to
improved education and employment outcomes. Wherever possible, applicants should
propose strategies that have been proven to have sizeable positive impacts by well-designed
and well-implemented experimental or quasi-experimental studies. For example, an
applicant might cite a random-assignment (i.e., experimental) or comparison group study
demonstrating that the proposed strategy has led to positive education and employment
outcomes. However, the Department recognizes that rigorous evidence is not available for
many education and training strategies or methodologies. If no rigorous evidence exists or
an applicant is proposing a new innovative strategy, the applicant should present a
reasonable series of hypotheses leading to positive education and employment outcomes,
citing related research, theories, or logic to provide evidence that the proposed strategy
would produce positive impacts. For example, a community college applicant might
propose a hypothesis that implementing a new type of curriculum could increase retention.
While there is no rigorous evidence available on the effectiveness of this strategy in a
community college setting, the applicant cites related research on high school students which
58

demonstrates that this type of curriculum seems to improve student learning and
engagement.
•

Factor 3 – The applicant clearly and fully establishes that the proposed strategies

are designed to address the needs of the targeted populations, the needs of the targeted
industries and occupations, and the gaps in current education and training offerings (as
described in the Statement of Need, Section V.A.1). In addressing this factor, the applicant
must include an explanation of how the proposed education and training programs will
provide participants with the knowledge, skills, and abilities required for employment in the
targeted industries and occupations.
•

Factor 4 – The applicant clearly and fully demonstrates that program participants

will attain credentials that enable them to compete for employment in in-demand and
emerging industries and occupations. In addressing this factor, the applicant must clearly
identify the employer- or industry-recognized credential(s) (as defined in Section VI.B.4.ii)
that participants will earn upon completion of each component of the career pathway
program. The applicant should also identify the employer-, industry-, or state-defined
standards associated with the credential.

ii. Project Work Plan (15 points)
The applicant must present a comprehensive project work plan that follows the
format described in this section and aligns to the strategies proposed in response to Section
V.A.2.i of this SGA. Scoring under this sub-criterion will be based on the extent to which the
applicant fully addresses the following four factors:
59

•

Factor 1 – The applicant presents coherent strategies, activities, and deliverables

that demonstrate a complete understanding of all responsibilities and costs required to
implement each phase of the project within the timeframe of the grant.
•

Factor 2 – The applicant includes feasible and reasonable timeframes for

accomplishing all procurement and other necessary grant start-up activities immediately
following the anticipated grant start date of July 1, 2011.
•

Factor 3 – The applicant explains how the costs in the proposed project work plan

align with the proposed budget, and are justified as adequate and reasonable for the
resources requested.
•

Factor 4 – The applicant identifies specific deliverables that support the

implementation and continued operation of the proposed career pathway programs both
during and after the grant period of performance.

In addressing the four factors above, applicants must present the project work plan in
a table (see Attachment A) that is formatted to include each of the following categories:
•

Strategies: The applicant must identify and briefly describe the specific strategies

that will be funded through the grant to operationalize each component of the project;
•

Type(s) of Career Pathways: The applicant must specify which type(s) of career

pathway programs are associated with each strategy;
•

Implementer(s): For each strategy, applications must include the name of the

partner(s) that will be responsible for implementing the strategy and any subrecipient(s), if
known, who may assist the applicant in implementing the strategy;
60

•

Costs: Applicants must provide the sub-total budget dollar amount of grant funds

associated with the strategy that aligns to the cost presented in the budget narrative;
•

Time: The applicant must include the anticipated start date and end date for each

proposed strategy, as well as projected completion dates for key strategy milestones
(including the dates by which: the first participants will be enrolled in the program, any subagreements will be signed, and equipment will be purchased). The timeline provided in the
application will be incorporated into the statement of work as the timeline for the grant; and,
•

Deliverables: The applicant must describe each specific project deliverable that the

applicant will develop to support the implementation of each strategy, including the type of
deliverable, the expected delivery date, the associated industry or occupational focus area,
and the partners involved in its development (such as the partners included in an
articulation agreement). Types of project deliverables may include curriculum, course
materials, articulation agreements, online learning modules, standards on which newlydeveloped credentials are based, or other tangible products developed in whole or in part
with grant funds. These project deliverables must be provided to DOL and can be
distributed to the public (see Section III.H.2 for required disclaimer language and Section
IV.E.4 for intellectual property requirements).

iii. Project Management (10 points)
The applicant must fully describe its capacity and the capacity of its partners to
effectively manage the programmatic, fiscal, and administrative aspects of the proposed

61

investment. Scoring under this sub-criterion will be based on the extent to which the
applicant fully addresses the following four factors:
•

Factor 1 – The applicant demonstrates that the proposed project will be led by a

competent full-time project manager who is hired in the early stages of the project, and will
involve well-qualified fiscal and administrative management staff. In addressing this factor,
the applicant must provide the professional qualifications that it will require of the full-time
project manager, explain why these qualifications are sufficient to ensure proper
management, provide a reasonable timeframe for hiring the project manager if one is not
already identified, and describe plans to assign an interim project manager if required. The
applicant must also explain the professional qualifications that the applicant will require of
the fiscal and administrative management staff; explain why these qualifications are
sufficient to ensure proper performance reporting, fiscal reporting, and procurement; and,
provide a reasonable timeframe for hiring these individuals if they are not already on staff.
•

Factor 2 – The applicant proposes a management structure that enables efficient

and effective communication between project staff and organizations at all levels of the
project. In addressing this factor, the applicant must provide an organizational chart that
identifies all relevant leadership, program, administrative, and advisory positions (including
positions within partner organizations). The organizational chart must be included as an
attachment as described in Section IV.B Part III.3, and does not count against the page limit
for the Technical Proposal.
•

Factor 3 – The applicant clearly and fully explains how the proposed project will

use systems and processes that allow for expedient procurement procedures that comply
62

with Federal, State (if applicable), and other relevant laws and requirements. In addressing
this factor, the applicant must clearly describe its procurement processes, systems, and
procedures, as well those of its partners.
•

Factor 4 – The applicant clearly and fully describes well-defined roles for partners

and subcontractors, and provides a letter of commitment as described in Section IV.B Part
III.2. In addressing this factor, the applicant must provide a complete description of the role
of each partner (including, at minimum, the education, workforce system, and employer
partners) in the design, development, and implementation of the project. This must include
a specific discussion of the substantive expertise and resources that will be contributed by
the employer partners to the project, as well as commitments from employer partners to hire
career pathway program completers. The applicant must also describe the expertise and/or
resources that will be used in the development and implementation of the education and
training content that will be used by the project.

iv. Sustainability (5 points)
Applicants must develop career pathway strategies and programs that are designed to
be sustained after the grant period ends. Scoring under this sub-criterion will be based on
the extent to which the applicant fully addresses the following two factors:
•

Factor 1 – The applicant clearly and fully describes its plans to identify successful

project components. In addressing this criterion, the applicant must clearly describe its plans
and processes to identify the successful project components that should be sustained, such as
using program performance data to highlight successful strategies or programs.
63

•

Factor 2 – The applicant clearly and fully identifies appropriate mechanisms to

sustain successful project components beyond the grant period. In addressing this factor, the
applicant must clearly describe its plans to identify funding and to implement organizational
policies that will enable the continued operation of those project components beyond the
grant period. The applicant must also explain how the proposed project will result in
partnerships, agreements, processes, and programs that are designed to ensure the
sustainability of the career pathway models after the grant’s period of performance.

3. Measurement of Participant Outcomes and Third-Party Review of Deliverables (25 Points)
Applicants must establish targets for participant outcomes, and successful applicants
will collect data on participant characteristics and performance outcomes throughout the
grant period. The Department will use the performance targets described in this section as
goals for the grants. Applicants must demonstrate that they have systems and processes in
place to capture data related to participant outcomes. Applicants must also describe their
plans for conducting third-party review of deliverables developed through the grant. Points
for this section will be awarded based on the following sub-criteria:

i. Participant Outcome Measures (20 points)
The applicant must demonstrate a results-oriented approach to managing and
operating its project by providing projections for all outcome categories relevant to serving
participants (as described below) and providing an estimated cost per participant.
Successful applicants will track these outcome measures throughout the grant period of
64

performance, and the projections provided in the application will serve as outcome goals for
the grant.
Scoring under this sub-criterion will be based on the extent to which the applicant
fully addresses the following five factors:
•

Factor 1 – The applicant provides complete projections for each outcome category

specified below and explains how the projections were developed. Applicants that do not
provide projections for each of these categories will not receive full points for this factor.
•

Factor 2 – The applicant fully demonstrates that its outcome projections are

realistic, achievable, and consistent with the objectives of the project.
•

Factor 3 – The applicant clearly establishes that the outcome projections are

appropriate with respect to the requested level of funding.
•

Factor 4 – The applicant clearly shows that it has systems and processes in place to

effectively collect participant-level data on individuals who receive education/training and
other services provided through the grant. In addressing this factor, the applicant should
take into account that, if it receives a grant, the applicant will be required to collect and
report participant-level data in the following categories: demographic and socioeconomic
characteristics; employment history; services provided; and, outcomes achieved. Participantlevel data will be the basis for reporting against the outcomes listed below, and may be
required for reporting on other employment-related outcomes in the future. DOL will
provide appropriate technical assistance to the grantees in collecting these data, including
the development of a participant tracking system for the grantees to report participant-level
information on all individuals served through the grant. In some cases, collecting the data
65

requested below may require partnerships with state and local workforce investment system
entities.
•

Factor 5 – The applicant clearly and fully demonstrates that its estimated cost-per-

participant is appropriate in relation to the nature of the education/training, the targeted
populations served, and similar education/training in the community(ies).

In addressing the five factors above, the applicant must provide projections for each of
the following outcome categories for all participants served with grant funds:
•

Total participants served;

•

Total number of participants beginning education/training activities;

•

Total number of participants completing education/training activities;

•

Total number of participants who complete education/training activities that

receive a credential;
•

For participants who complete education/training activities that receive a

credential, identify the type(s) of credential to be received and the total number of credentials
to be received for each type identified;
•

Total number of credentials received for all participants. This outcome refers to

participants who complete education/training activities that receive a credential, and any
additional credentials received;
•

Total number of participants who complete education/training activities and who

enter unsubsidized employment. This outcome category includes individuals who are
employed when they begin education/training activities and enter a new position of
66

employment after completion education/training activities, even if the new position is with
the same employer, as long as the individuals use the same competency or competencies
they acquired through education/training activities in their new position;
•

Total number of participants who complete education/training activities and who

are placed into unsubsidized employment who are employed in the first and second quarters
following initial placement; and
•

Total number of participants who complete education/training activities and who

enter training-related unsubsidized employment. This outcome includes individuals who
are employed when they begin education/training and enter a new position of employment
after completion of education/training activities, even if the new position is with the same
employer, as long as the individuals use the competency or competencies they acquired
through education/training in the industry or occupation on which the grant-funded
education/training focused.
•

Total number of participants who complete education/training activities and who

enroll in further education on the same career pathway.

ii. Plan for Third-Party Review of Grant Deliverables (5 points)
As discussed in Section V.A.2.ii, project deliverables (such as curriculum, course
materials, and online learning modules) must be provided to DOL and can be distributed to
the public. Applicants must describe their plan for identifying subject-matter experts and
conducting reviews of the deliverables produced through the grant activity, which they will
use to verify the high quality and usefulness of these products prior to their delivery to DOL.
67

Scoring under this sub-criterion will be based on the extent to which the applicant
fully addresses the following three factors:
•

Factor 1 – The applicant identifies its grant deliverables that are appropriate for

third-party review.
•

Factor 2 – The applicant presents a sound process for identifying subject-matter

experts with appropriate credentials to conduct third-party reviews of grant deliverables.
Subject-matter experts are individuals with demonstrated experience in developing and/or
implementing similar deliverables. These experts could include applicants’ peers, such as
representatives from neighboring education and training providers.
•

Factor 3 – The applicant explains how these third-party reviewers will evaluate the

grant deliverables prior to their delivery to DOL, and explains how funds are allotted in their
budget to cover related costs. Grantees must provide DOL with the results of the review and
the qualifications of the reviewer(s) at the time the deliverable is provided to DOL, prior to
the end of the grant period of performance.

B. Evaluation of Supplementary Materials for Applications Proposing a Program Evaluation
Component
DOL is interested in testing a new approach to evaluating these investments by
rewarding applicants who put forward a solid evaluation plan as part of their application
with 3 bonus points. As described below, applicants have the option to respond to this
portion of the competition. All applicants will be reviewed and rated against the 100-point
scoring criteria in Section V.A. Applicants that submit a Program Evaluation Plan as
68

described in this section may receive 3 bonus points for a total of 103 possible points. In
addition, the Department will consider requests for supplementary funding to implement
the evaluation plan, under the conditions described below in Section V.B.1.b.
The supplementary materials described in this section will be evaluated by the
Department separately from the main Technical Proposal.

1. Content and Form of Supplementary Application Materials
Applicants must provide the supplementary materials described in this section to be
eligible to receive 3 bonus points. Bonus-point applicants that are also requesting additional
grant funds to implement the program evaluation must submit: (a) a Program Evaluation
Plan; and, (b) a Supplementary Cost Proposal. Bonus-point applicants that are not
requesting additional grant funds must only submit a Program Evaluation Plan.
Applicants submitting proposals in hard copy must include these supplementary
materials in their hard copy application, as well as in an electronic format on a CD. The CD
containing this information must be labeled and submitted as an additional CD, separate and
apart from the CD required with the original proposal. Applications that fail to adhere to the
instructions in this section will not be eligible to receive bonus points or additional funding
for a program evaluation and will only be eligible for funding at their base-level funding
request.

a. Program Evaluation Plan

69

All applicants that apply for the 3 bonus points must provide a Program Evaluation
Plan. The Program Evaluation Plan does not count against the 25-page limit for the
Technical Proposal or the 12-page limit for other attachments, but must not exceed 10 pages.
In evaluating the applicant’s plan, the Department will consider the following factors:
•

Factor 1 – The applicant provides a detailed plan for rigorously evaluating the

program, including a complete description of the study methodology, data collection
methods, and information about control or comparison groups (if applicable to the proposed
evaluation). If the applicant is proposing a random assignment methodology, it must fully
explain how its recruitment plan will yield a sufficient number of qualified applicants (both
program and controls) to produce valid estimates, how random assignment will be
performed, and what procedures will be in place to ensure the fidelity of random assignment
(i.e., that all eligible individuals that apply are randomly assigned and that no one who is
randomly assigned to the control group receives services). If the applicant is proposing a
comparison group (quasi-experimental) methodology, it must fully explain the source of the
comparison group and how the comparison group will be drawn from it, including showing
that data on both the comparison group and the program participant group will be from
compatible sources (e.g., based on the same questionnaire). The applicant should also
explain how they will ensure that the anticipated follow-up data will be successfully
collected from participants and the control/comparison group.
•

Factor 2 -- The applicant fully explains how its project retention strategies will

minimize participant attrition and help researchers track those who leave the program before
completion.
70

•

Factor 3 -- The applicant fully explains how funding the proposed program

evaluation will enhance knowledge about effective programs in a way that has the potential
to benefit individuals and communities not directly served by the program.
•

Factor 4 -- The applicant clearly describes its process for procuring the services of a

third-party evaluator, including the levels of capacity and expertise it will require of the
selected organization(s) to conduct rigorous evaluations of education and training programs.

b. Supplementary Cost Proposal
As described in Section II.A, applicants may propose to use extra grant funds from the
approximately $6.25 million reserved for this purpose to conduct evaluations of their grant
programs.
As specified in Section II.A, bonus-point applicants that are requesting supplementary
grant funds must request specific funding for the program evaluation component, and must
provide a Supplementary Cost Proposal as described below.
The Supplementary Cost Proposal must include a supplementary Application form
(SF-424), supplementary budget form (SF-424A), and supplementary budget narrative,
which are all separate and apart from the Cost Proposal submitted in the main application.
The supplementary budget narrative must provide a description of the additional costs
associated with funding the proposed program evaluation component. All costs included in
the supplementary budget narrative must be reasonable and appropriate to the project
timeline and deliverables.

71

C. Review and Selection Process
Applications for grants under this Solicitation will be accepted after the publication of
this announcement and until the closing date. A technical review panel will carefully evaluate
applications against the selection criteria. These criteria are based on the policy goals,
priorities, and emphases set forth in this SGA. Up to 100 points may be awarded to an
application, depending on the quality of the responses to the required information described
in Section V.A. DOL will use ranked scores to determine a competitive range of applications,
giving appropriate consideration to ensure that $65 million of the total designated funds will
be reserved for projects that focus on the health care sector, and will then review via a separate
panel those applications in the competitive range that submitted an evaluation plan for the
bonus points. The scores will be recalculated based on the second panel’s review of those
plans, and where applicable, the accompanying evaluation budgets. The bonus points will
then be added to the original scores. The updated, ranked scores will serve as the primary
basis for final selection of applications for funding, in conjunction with other factors such as
geographic balance; industry representation; the availability of funds; and which proposals are
most advantageous to the government. Award of the approximately $6.25 million to support
evaluations will go to the applications with the highest ranked scores that include a request for
evaluation funding and received the bonus points for their evaluation plan, with consideration
given to the quality and rigor of the proposed evaluation plans. The panel results are advisory
in nature and not binding on the Grant Officer. The Grant Officer may consider any
information that comes to his/her attention. The government may elect to award the grant(s)
with or without discussions with the applicant. Should a grant be awarded without
72

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. Non-selected applicants will be notified by mail or email and may
request a written debriefing on the significant weaknesses of their proposal.
Selection of an organization as a grantee does not constitute approval of the grant
application as submitted. Before the actual grant is awarded, 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 negotiations and decline to fund the application. DOL reserves the right to not fund any
application related to this SGA.

B. Administrative and National Policy Requirements
1. Administrative Program Requirements

73

All grantees will be subject to all applicable Federal laws, regulations, and the
applicable OMB Circulars. The grant(s) awarded under this SGA will be subject to the
following administrative standards and provisions:
i. Non-Profit Organizations – OMB Circular A–122 (Cost Principles), relocated to 2
CFR Part 230, and 29 CFR Part 95 (Administrative Requirements)
ii. Educational Institutions – OMB Circular A–21 (Cost Principles), relocated to 2 CFR
Part 220, and 29 CFR Part 95 (Administrative Requirements).
iii. State, Local and Indian Tribal Governments – OMB Circular A–87 (Cost
Principles), relocated to 2 CFR Part 225, and 29 CFR Part 97 (Administrative Requirements).
iv. Profit Making Commercial Firms – Federal Acquisition Regulation (FAR) – 48 CFR
part 31 (Cost Principles), and 29 CFR Part 95 (Administrative Requirements).
v. All Grant Recipients must comply with the applicable provisions of The Workforce
Investment Act of 1998, Public Law No. 105-220, 112 Stat. 936 (codified as amended at 29
U.S.C. 2801 et seq.) and the applicable provisions of the regulations at 20 CFR 660 et seq.
Note that 20 CFR part 667 (General Fiscal and Administrative Rules) includes unsuccessful
applicant appeal information.
vi. All entities must comply with 29 CFR Part 93 (New Restrictions on Lobbying), 29
CFR Part 94 (Governmentwide Requirements for Drug-Free Workplace (Financial
Assistance)), 29 CFR 95.13 and Part 98 (Governmentwide Debarment and Suspension, and
drug-free workplace requirements), and, where applicable, 29 CFR Part 96 (Audit
Requirements for Grants, Contracts, and Other Agreements) and 29 CFR Part 99 (Audits of
States, Local Governments and Non-Profit Organizations).
74

vii. 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.
viii. 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.
ix. 29 CFR Part 32—Nondiscrimination on the Basis of Handicap in Programs or
Activities Receiving Federal Financial Assistance.
x. 29 CFR Part 35— Nondiscrimination on the Basis of Age in Programs or Activities
Receiving Federal Financial Assistance from the Department of Labor.
xi. 29 CFR Part 36—Nondiscrimination on the Basis of Sex in Education Programs or
Activities Receiving Federal Financial Assistance.
xii. 29 CFR Part 37 – Implementation of the Nondiscrimination and Equal
Opportunity Provisions of the Workforce Investment Act of 1998.
xiii. 29 CFR Parts 29 and 30—Labor Standards for the Registration of Apprenticeship
Programs, and Equal Employment Opportunity in Apprenticeship and Training, as
applicable.

2. Other Legal Requirements:
i. Religious Activities
The Department notes that the Religious Freedom Restoration Act (RFRA), 42 U.S.C.
Section 2000bb, applies to all Federal law and its implementation. If your organization is a
faith-based organization that makes hiring decisions on the basis of religious belief, it may be
75

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 how to request such an exemption.

ii. Lobbying or Fundraising the U.S. Government with Federal Funds
In accordance with Section 18 of the Lobbying Disclosure Act of 1995 (Public Law 10465) (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. No activity, including awareness-raising and advocacy activities, may include
fundraising for, or lobbying of, U.S. Federal, State or Local Governments (see OMB Circular
A-122).

iii. Transparency Act Requirements
Applicants must ensure that it has the necessary processes and systems in place to
comply with the reporting requirements of the Federal Funding Accountability and
Transparency Act of 2006 (Pub. Law 109-282, as amended by section 6202 of Pub. Law 110252) (Transparency Act), as follows:
•

All applicants, except for those excepted from the Transparency Act under sub-

paragraphs 1, 2, and 3 below, must ensure that they have the necessary processes and
systems in place to comply with the subaward and executive total compensation reporting
requirements of the Transparency Act, should they receive funding.
76

•

Upon award, applicants will receive detailed information on the reporting

requirements of the Transparency Act, as described in 2 CFR Part 170, Appendix A, which
can be found at the following website: http://edocket.access.gpo.gov/2010/pdf/201022705.pdf.
The following types of awards are not subject to the Federal Funding Accountability
and Transparency Act:
(1) Federal awards to individuals who apply for or receive Federal awards as
natural persons (i.e., unrelated to any business or non-profit organization he or
she may own or operate in his or her name);
(2) Federal awards to entities that had a gross income, from all sources, of less than
$300,000 in the entities' previous tax year; and
(3) Federal awards, if the required reporting would disclose classified information.

3. Other Administrative Standards and Provisions
Except as specifically provided in this SGA, DOL/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
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’s award does not provide the
justification or basis to sole source the procurement, i.e., avoid competition, unless the

77

activity is regarded as the primary work of an official partner to the application.

4. Special Program Requirements
i. Evaluation
The Department is interested in determining if the activities supported through this
grant program impact workers’ future labor force outcomes and may require the cooperation
of the grantee in an evaluation of overall performance of ETA grants as a condition of award.
By accepting grant funds, grantees must agree to participate in such an evaluation, should
they be selected to participate. Grantees must be prepared to share records on individual
participants, funding, and outcomes, and to provide access to program operating personnel
and participants, as specified by the evaluator(s) under the direction of ETA, including after
the expiration date of the grant. The Department will make available publicly the results of
the program evaluation and supporting aggregate data. Such an evaluation is separate and
apart from the grantee’s responsibility to conduct their own ongoing review and evaluation
of the actions taken to implement the grant program.
For example, pending the availability of Federal evaluation funding, the Department
may conduct a rigorous random-assignment evaluation of the CPIF program. A subset of
grantees may be selected to participate in the evaluation and those that are selected will be
required to participate. The evaluation will use a random assignment design, which
includes a computerized process that will randomly select which of the participants that
grantees deem eligible for the program will receive CPIF services. This process, similar to
drawing names from a hat, is fair and ensures that everyone has the same chance of getting
78

grant-funded services. Those who are not admitted will form a control group and may be
referred to other non-similar services. The grantees will be responsible for obtaining the
consent of applicants to be randomly selected to be in the control group, and for informing
the applicants that they have been selected. The evaluation contractor will work with each
grantee to develop study procedures that minimize any disruption of the grantee’s intake
procedures and program operations. It is expected that the evaluation will not reduce the
total number of participants who are served by the CPIF program. Grantees selected to
participate in this study will be required to cooperate fully with ETA and the evaluation
team in the conduct of the study.

ii. Definition of Credential
A credential is awarded in recognition of an individual’s attainment of measurable
technical or occupational skills necessary to gain employment or advance within an
occupation. These technical or occupational skills are based on standards developed or
endorsed by employers. Certificates awarded by workforce investment boards (WIBs) are
not included in this definition, nor are work readiness certificates because neither of them
document “measureable technical or occupational skills necessary to gain employment or
advance within an occupation.” A variety of different public and private entities issues
credential. Below is a list of types of organizations and institutions that award industryrecognized credentials:
•

A State educational agency or a State agency responsible for administering

vocational and technical education within a state;
79

•

An institution of higher education described in Section 102 of the Higher

Education Act (20 USC 1002) that is qualified to participate in the student financial assistance
programs authorized by title IV of that Act. This includes community colleges, proprietary
schools, and all other institutions of higher education that are eligible to participate in
Federal student financial aid programs;
•

A professional, industry, or employer organization (e.g., National Institute for

Automotive Service Excellence certification, National Institute for Metalworking Skills, Inc.,
Machining Level I credential) or a product manufacturer or developer (e.g., Microsoft
Certified Database Administrator, Certified Novell Engineer, Sun Certified Java
Programmer) using a valid and reliable assessment of an individual’s knowledge, skills, and
abilities;
•

ETA’s Office of Apprenticeship or State Apprenticeship Agency;

•

A public regulatory agency, upon an individual’s fulfillment of educational, work

experience, or skill requirements that are legally necessary for an individual to use an
occupational or professional title or to practice an occupation or profession (e.g., Federal
Aviation Administration aviation mechanic certification, state certified asbestos inspector);
•

A program that has been approved by the Department of Veterans Affairs to offer

education benefits to veterans and other eligible persons;
•

Job Corps centers that issue certificates;

•

An institution of higher education which is formally controlled, or has been

formally sanctioned, or chartered, by the governing body of an Indian tribe or tribes.

80

C. Reporting
Grantees must submit quarterly financial reports, quarterly progress reports, and MIS
data electronically. The grantee is required to provide the reports and documents listed
below:

1. 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 Online Electronic Reporting
System; information and instructions will be provided to grantees.

2. Quarterly Performance Reports
The grantee must submit a quarterly progress report within 45 days after the end of
each calendar year quarter. The report must include quarterly information regarding grant
activities and information on employment outcomes for those individuals who have exited
to date. This reporting will require post-placement follow-up and tracking of all
participants. 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. It must summarize project activities, employment outcomes and other
deliverables, and related results of the project, and should thoroughly document the training
or labor market information approaches used by the grantee. DOL will provide grantees
with formal guidance about the data and other information that is required to be collected
81

and reported on either a regular basis or special request basis. Grantees must agree to meet
DOL reporting requirements.

3. Record Retention
Applicants must be prepared to follow 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 submission of the final grant financial report.

VII. Agency Contacts
For further information about this SGA, please contact Linda Forman, Grants
Management Specialist, Division of Federal Assistance, at (202) 693-3416. Applicants should
e-mail all technical questions to [email protected] and must specifically reference
SGA/DFA PY 10-06, 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. Web-Based Resources
DOL maintains a number of web-based resources that may be of assistance to
applicants. For example, the CareerOneStop portal (http://www.careeronestop.org), which
provides national and state career information on occupations; the Occupational Information

82

Network (O*NET) Online (http://online.onetcenter.org) which provides occupational
competency profiles; and America's Service Locator (http://www.servicelocator.org), which
provides a directory of our nation's One-Stop Career Centers.

B. Industry Competency Models and Career Clusters
DOL supports an Industry Competency Model Initiative to promote an understanding
of the skill sets and competencies that are essential to an educated and skilled workforce. A
competency model is a collection of competencies that, taken together, define successful
performance in a particular work setting. Competency models serve as a starting point for
the design and implementation of workforce and talent development programs. To learn
about the industry-validated models visit the Competency Model Clearinghouse (CMC) at
http://www.careeronestop.org/CompetencyModel. The CMC site also provides tools to
build or customize industry models, as well as tools to build career ladders and career
lattices for specific regional economies.
For example, the Long-term Care, Supports, and Services Competency Model (which
is available at the URL listed in the previous paragraph) contains information on academic
and workplace skills, including the key behaviors that enable workers in these roles to
progress along well-articulated career pathways. This model reframes long-term care as not
just health care by focusing on the different needs of workers in skilled nursing facilities,
assisted living, congregate care, and independent assisted living while including important
core competencies such as person-centered services and cultural sensitivity. This model can

83

be applied to occupations across a variety of related fields within healthcare industry subsectors, and helps to show more complete career pathways across these fields.
Career Clusters and Industry Competency Models both identify foundational and
technical competencies, but their efforts are not duplicative. The Career Clusters link to
specific career pathways in sixteen career cluster areas and place greater emphasis on
elements needed for curriculum performance objectives; measurement criteria; scope and
sequence of courses in a program of study; and development of assessments. Information
about the sixteen career cluster areas can be found by accessing: www.careerclusters.org.

C. Workforce3One Resources
DOL encourages applicants to view the information gathered through the conference
calls with Federal agency partners, industry stakeholders, educators, and local practitioners.
The information on resources identified can be found on Workforce3One.org at:
http://www.workforce3one.org/view/2001008333909172195/info.
DOL also encourages applicants to view the online tutorial, “Grant Applications 101:
A Plain English Guide to ETA Competitive Grants,” available through Workforce3One at:
http://www.workforce3one.org/page/grants_toolkit.

D. Background Information on In-Demand and Emerging Industries and Occupations
The following sections provide additional background information on in-demand and
emerging industries and occupations.

84

1. In-Demand and Emerging Industries and Occupations
Fields like health care, advanced manufacturing, information technology (IT), law
enforcement, wireless and broadband deployment, transportation and warehousing, and
biotechnology are in-demand or growing industries in specific regional economies, offering
jobs and solid career paths available because of a lack of well-qualified workers. Many of
these industries and occupations are being transformed by technology and require workers
to have increasingly complex skill requirements in order to build and sustain successful
careers. Career pathway programs are well-suited to helping non-traditional students attain
the credentials required to enter and advance in these and other growing industries.

2. Health Care Sector
The health care industry has grown rapidly and is projected to grow in the future due
to advances in medical knowledge and the increased need for medical services required by
an aging population. Over the next 10 years, health care occupations will account for about
2.7 million jobs. Of the 20 fastest growing occupations, half are within the health care
industry.
Health care providers are employers that contribute significantly to the strength of
regional economies. Although certain medical specialties require many years of training,
most healthcare occupations require less than four years of college. While healthcare
administrators and careers in clinical laboratory sciences generally require a bachelor’s
degree, a majority of technologist and technician occupations, such as radiologic
technologists and emergency medical technicians, require a certificate or an associate degree.
85

The Patient Protection and Affordable Care Act (ACA) (HR 3590) establishes several
opportunities to provide training to low-income individuals opening the gateway to good
jobs through acquired skills that would be transferable to any job market in the nation.
Comprehensive reforms under provisions of the ACA designed to expand access to
healthcare services will require new and updated skill sets for a range of clinical occupations
(including nursing and allied health professionals) and other health information technology
professionals.
The absence of sufficient numbers of qualified workers in this diverse sector threatens
the quality and availability of medical care, and the economic stability and growth potential
of local communities in rural, urban, and suburban areas. Moreover, the growing
complexity of health care delivery, including changing technologies and introduction of
advanced medical devices, will require both incumbent workers and new entrants to
continuously upgrade their skills. Although job opportunities exist for workers without
extensive specialized training, most health care occupations require training leading to a
vocational license, certificate, or degree.
Career pathway programs may also improve recruitment and retention in related
allied health occupations, particularly in hospitals and in medical laboratories away from
patient care settings.

i. Allied Health
The ACA defines the term “allied health professional” as meaning an individual who
graduated with an allied health professions degree or certificate, and is employed as an
86

allied health professional in a health care setting. The Association of Schools of Allied
Health Professionals expands upon its definition to include a cluster of health professions
that covers as many as 100 occupational titles, and employment growth is seen for medical
assistants, respiratory therapists, pharmacy technicians, emergency medical technicians, and
clinical lab technologists working in hospitals, home health care, medical laboratories, and
ambulatory care settings.
Allied health specialties are likely to evolve over the next several years, and
occupations in this complex sub-sector will continue to grow with the rest of the health care
industry. Changes in the way that medical care is provided are producing substantial
demand for technicians who can operate advanced medical equipment. This increasing
demand will involve not only new facilities and services, but more employees needed across
a wide range of occupations requiring varying levels of education and training.
In 2010, in response to public comments solicited in a 2008 Federal Register notice, the
Bureau of Labor Statistics (BLS) added Community Health Workers (CHWs) to the Standard
Occupational Classification (SOC) system. Community health workers, also known as
“promotoras” or “promotores,” assist individuals and communities to adopt healthy
behaviors, particularly in areas where substantial health hazards exist. Occupational growth
for community health workers is also projected as communities seek to build effective
linkages with the health care system to provide health education and information, advocate
for underserved individuals to receive appropriate services, and build the capacity of the
community in addressing health issues.

87

ii. Nursing
Recent trends in the delivery of health care services increasingly rely on highly skilled
nurses working with allied health professionals in supporting clinical roles. Nursing roles
range from primary patient care to case management and directing complex health care
systems. Career pathway programs with articulated credit agreements can ease transitions
for graduates of nursing education and training programs at community colleges, and help
transfer students qualify for entry-level and mid-level nursing positions.
Increasing demand for medical care, rehabilitation, nursing, and long-term care will
broaden the range of healthcare occupations and require varying levels of education and
training. With further education and training, Certified Nursing Assistants (CNAs), direct
support professionals, home health aides, medical assistants, and personal and home care
aides may advance to higher-level positions or transfer to new occupations within healthcare
industry settings. Skill certifications and credentials may include licenses, certificates, and
degrees from accredited nursing programs that lead to the Associate Degree of Nursing
(ADN) or vocational licensure for Licensed Practical Nurses, and positions as CNAs. Career
pathway programs can help individuals develop competencies that are relevant across a
number of occupations enabling incumbent workers to advance from an ADN to the
bachelor’s degree in nursing (BSN).

iii. Health Information Technology
Health information technology (HIT) makes it possible for health care providers to
better manage patient care through secure use and sharing of health information. Health IT
88

includes the use of electronic health records (EHRs) instead of paper medical records to
maintain people's health information. The Health Information Technology for Economic and
Clinical Health (HITECH) Act seeks to improve American health care delivery and patient
care through an unprecedented investment in HIT. The provisions of the HITECH Act are
specifically designed to offer the necessary assistance and technical support to providers,
enable coordination and alignment within and among states, establish connectivity to the
public health community in case of emergencies, and assure the workforce is properly
trained and equipped to be meaningful users of EHRs.
The transition from traditional, paper-based medical files to EHR technologies will
expand career pathways in health information management and technology. HIT jobs will
be created in hospitals, physicians’ offices, home healthcare and outpatient clinics, and
residential care facilities. Career pathway projects can support the health information
workforce by using a variety of learning strategies for individuals who want to specialize in
the management of health information, as well as workers who must use HIT to perform the
duties of their jobs.

IX. Other Information
OMB Information Collection No 1225-0086, Expires November 30, 2012.
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
89

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 about 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 the 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 “Solicitation for Grant Applications” will be used by the
Department of Labor 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.

Signed XXXXX, in Washington, D.C. by:
Donna Kelly

Grant Officer, Employment and Training Administration

90

Billing Code: 4510-FN-P

91

Attachment A: Sample Project Work Plan
Project Work Plan
Priority
1:
Strategy
1.1:

Activities
Develop a virtual
training
environment for
medical record
technicians. The
eligible applicant
will develop
software,
curriculum, faculty
user guides, and
web interface
testing and
maintenance. This
activity will be
supported through
a subcontract to
Organization X to
beta-test software
and provide
technical support.

Implementer(s)

Strategy
1.2:

Costs
$500,000
Strategy
Total:
300,000
Equipment:

Year 1:

$350,000

Year 2:

$100,000

Year 3:

$50,000

Strategy
Total:
Equipment:
Year 1:
Year 2:
Year 3:

Start Date:

Time
May 2011

End Date:

May 2014

Milestones:

Subcontract awarded – May 2011
Equipment purchases complete –
February 2012
Curriculum and user guides
complete – July 2012
Cohorts begin virtual training –
September 2012
Cohorts complete virtual training
– May 2014

$

Start Date:

$
$
$
$

End Date:
Milestones:

$

Start Date:

$
$

End Date:
Milestones:

Deliverables
100 persons
trained using
A virtual
training
environment
that will result
in the training
of 100
persons.

Priority
2:
Activities
Strategy
2.1:

Implementer(s)

Costs
Strategy
Total:
Equipment:
Year 1:

Time

Deliverables

Strategy
2.2:

Year 2:
Year 3:
Strategy
Total:
Equipment:
Year 1:
Year 2:
Year 3:

$
$
$
$
$
$
$

Start Date:
End Date:
Milestones:

93

Attachment B: Annotated List of Resources
Ausburn, Lunna. “Course design elements most valued by adult learners in blended online education environments: an
American perspective.” Educational Media International, Volume 41, Issue 4, pages 327-337. 2004.
This research describes course design elements most valued by adult learners in blended learning environments that combine face-to-face contact
with Web-based learning. It identifies the online course features and the instructional design goals selected as most important by a sample of 67
adults and compares the group rankings with those of various sub-groups based on gender, pre-course technology and self-direction skills and
experiences, and preferred learning strategies as measured by Assessing the Learning Strategies of Adults (ATLAS). The results of the study
support the principles of adult learning, indicating that adults value course designs containing options, personalization, self-direction, variety,
and a learning community.
Baider, Allegra, Vickie Choitz, Amy Ellen Duke-Benfield, Marcie W.M. Foster, Linda Harris, Elizabeth Lower-Basch, Neil Ridley,
Julie Strawn. “Funding Career Pathways and Career Pathway Bridges: A Federal Policy Toolkit for States.” Center for Law
and Social Policy (CLASP). May 2010.
This policy toolkit lays out several core components of career pathway programs based on 7 states who are participating in a career pathway
initiative: Multiple entry points; Innovations in program content and delivery, (e.g., flexible scheduling, contextualization, integration of bridge
programs); Sequence of education and training leading to credentials with value in the labor market; Support services (provided by community
organizations, community colleges, and/or other organizations); and Strong role for employers in pathway development, worksite training, and
contribution of resources.
Bailey, Thomas. “Challenge and Opportunity: Rethinking the Role and Function of Developmental Education in Community
College.” Community College Research Center at Teachers College, Columbia University. November 2008.
Research finds that developmental education as it is now practiced is not very effective in overcoming academic weaknesses, partly because the
majority of students referred to developmental education do not finish. This report recommends implementing a comprehensive approach to
assessment, supporting more rigorous “tracking” research, and streamlining developmental programs and accelerating students' progress
toward engagement in college-level work. “The existing approaches to assessment for developmental placement should be reconsidered and
perhaps replaced with an approach that tries explicitly to determine what a student will need to succeed in college generally rather than one that
aims to identify a somewhat narrow set of skills a student possesses at a given point.”
Chisman, Forrest. “Background and Supporting Evidence for Adult Education for Work.” National Center on Education and the
Economy, Workforce Development Strategies Group. October 2009.
This paper provides specific steps the adult education system can take to develop and implement career pathways systems of learning that move
low-skilled adults through work-oriented adult education programs and onto postsecondary programs. First, it briefly reviews how the basic
skills problem in this country affects our economy and explains why the present response of the adult education system is inadequate to meet
that problem. Second, it presents an overall vision of how a more comprehensive career pathways learning system that meets our nation’s
education and skill needs could be constructed, and the role that an Adult Education for Work system should play in that broader system. And

94

third, it details specific measures that adult education programs can take (through the identification of quality elements) to make that vision a
reality, focusing on seven areas: program design, curriculum and instruction, assessment and credentialing, high-quality teaching, support and
follow-up services to encourage access and retention, connections to the business community, and monitoring and accountability systems.
Eyster, Lauren, Alexandra Stanczyk, Demetra Smith Nightingale, Karin Martinson and John Trutko. “Characteristics of the
Community-Based Job Training Grant (CBJTG) Program.” The Urban Institute Center on Labor, Human Services, and
Population. June 2009.
The evaluation reports that “less than half the grantees (Community-Based Rounds 1-3) were planning to use the funds for collaborating with
partners or developing certifications”. In addition, Technical colleges are more likely than the average grantee to develop a new training
program or expand an existing one and create certifications but are less likely to engage in partnerships and develop a new curriculum. Other
types of grantees, including four-year educational institutions and public workforce investment system organizations, are more likely than
average to collaborate with partners but are less likely to develop a new training program, certifications, or curriculum.
Grubb, W.Norton and Norena Badway. “Linking School-Based and Work-Based Learning: The Implications of LaGuardia’s Coop Seminars for School-to-Work Programs.” National Center for Research in Vocational Education and University of California
at Berkeley. March 1998.
This monograph describes the mandatory cooperative education program at LaGuardia Community College in New York City, and the series of
seminars that integrate school-based and work-based learning. This series of studies examines the history, practice, and quality of cooperative
education (CE) in two-year colleges in regions where career education is firmly ingrained and widespread. One study describes a mandatory
cooperative education program and its series of seminars that integrate school-based and work-based learning to actively explore careers; to
master skills and competencies common to all jobs; and to explore social, ethical, political, and moral themes associated with working. The second
study found that benefits of CE cited by students, employers, and schools were allowing employers to screen and "grow their own" employees,
giving students direct knowledge about the workplace and applications of school-based learning in the workplace; and strengthening schools'
links to employers. A key finding is that work-based components must become central to educational purposes of institutions so that it becomes
as unthinkable to give them up, even in times of scarce resources.
Hollenbeck, Kevin and Wei-Jang Huang. “Net Impact and Benefit-Cost Estimates of the Workforce Development System in
Washington State.” W.E. Upjohn Institute for Employment Research. September 2006.
This study estimates the net impacts and private and social benefits and costs of 11 workforce development programs administered in
Washington State. Six of the programs serve job-ready adults: Workforce Investment Act (WIA) Title I-B Adult programs, WIA Title I-B
Dislocated Worker programs, Community and Technical College Job Preparatory Training, Community and Technical College Worker
Retraining, Private Career Schools, and Apprenticeships. The net impact analyses were conducted using a non-experimental methodology. A
variety of estimation techniques was used to calculate net impacts including block matching, comparison of means, regression-adjusted
comparison of means, and difference-indifference comparison of means. We estimated short-term net impacts that examined outcomes for
individuals who exited from the education or training programs (or from the Labor Exchange) in the fiscal year 2003/2004 and longer-term
impacts for individuals who exited in the fiscal year 2001/2002.

95

Institute for a Competitive Workforce and the National Career Pathways Network. “Thriving in Challenging Times: Connecting
Education to Economic Development through Career Pathways.” October 2009.
This report highlights the growing importance of business engagement in education and successful models that create relevant, challenging
learning environments with the potential to significantly increase American employers' access to high-quality employees. The report notes four
key conditions needed for the success of career pathway models, including the agreement among employers, college administrators, and
accreditation groups within a region on curriculum that matches their career ladders. The report provides multiple case studies that
demonstrate an involvement on the part of employers and community organizations with a commitment to collaboration between secondary and
postsecondary educators.
Jenkins, Davis, Matthew Zeidenberg and Gregory Kienzl. “Building Bridges to Postsecondary Training for Low-Skill Adults:
Outcomes of Washington State’s I-BEST Program.” Community College Research Center (CCRC) Brief. May 2009.
The CCRC study compared the educational outcomes over a two-year tracking period of I-BEST students with those of other basic skills
students. The study found that students participating in I-BEST achieved better educational outcomes than did other basic skills students,
including those who enrolled in at least one non-I-BEST workforce course. I-BEST students were more likely than others to: Continue into
credit-bearing coursework; Earn credits that count toward a college credential; Earn occupational certificates; and Make point gains on basic
skills tests. On all the outcomes examined, I-BEST students did moderately or substantially better than non-I-BEST basic skills students in
general.
Jenkins, Davis and Christopher Spence. “The Career Pathways How-To Guide.” Workforce Strategy Center. October 2006.
This "how-to" guide describes a number of characteristics of successful career pathways programs, including clear linkages between remedial,
academic and occupational programs within educational institutions; easy articulation of credits across institutions; "Wrap-around" supportive
services; and "Bridge" programs.
Klein-Collins, Rebecca. “Building Blocks for Building Skills: An Inventory of Adult Learning Models and Innovations.” Council
for Adult & Experiential Learning (CAEL). 2006.
CAEL’s Building Blocks’ research, developed during WIRED, identifies the need for regional partnerships to focus on the merits of delivering
accelerated and online learning programs, including “bridge” efforts to create logical sequences of content leading to articulated career ladders.
Emphasis was placed on the assessment of prior learning leading to career readiness credentials, on-the-job learning (apprenticeships) and,
transitional jobs. The overarching goal was to engage employers in developing regional economic development strategies focused on sectoral
approaches. Emphasis also was placed on data sharing through formative and summative evaluations.
Klein-Collins, Rebecca. Council for Adult & Experiential Learning (CAEL). “Fueling the Race to Postsecondary Success: A 48Institution Study of Prior Learning Assessment and Adult Student Outcomes.” March 2010.
This is a report that looks at Prior Learning Assessment (PLA) and Adult Student Outcomes. The Summary of Findings is as follows: The data
from 62,475 students at the 48 postsecondary institutions in our study show that PLA students had better academic outcomes, particularly in

96

terms of graduation rates and persistence, than other adult students. Many PLA students also shortened the time required to earn a degree,
depending on the number of PLA credits earned.
Linderman, Donna. “Early Outcomes Report for City University of New York (CUNY) Accelerated Study in Associate Programs
(ASAP).” The City University of New York (CUNY) and NYC Center for Economic Opportunity. November 2009.
The ASAP program is designed to help students earn their Associate’s degree as quickly as possible, with a target of 50 percent of students
graduating within three years. In fall 2007 ASAP began with a pilot cohort of 1,132 students who were deemed fully skills proficient in reading,
writing, and math. Having just completed its second year ASAP is well on its way to realizing its ambitious goals of graduating at least 50
percent of its original 2007 cohort within three years. As of August 2009, a total of 341 ASAP students from the original cohort have graduated
with an Associate’s degree, representing a 30.1 percent 2-year graduation rate. A comparison group of similar students from fall 2006 had a 2year graduation rate of 11.4 percent. An additional 325 students are currently on track to graduate by September 2010, which would result in
3-year graduation rate of nearly 60 percent. Fall 2006 comparison group students had a 3-year graduation rate of 24 percent.
Lucas, Marva and Nancy McCormick. “Redesigning Mathematics Curriculum for Underprepared Students.” The Journal of
Effective Teaching. September 2007.
Middle Tennessee State University published a report to examine the results of the pilot year of its redesign initiative for two mathematics
general education courses. The courses, which counted for credit, were designed to accommodate the needs of underprepared students. These new
courses replaced a course sequence that required underprepared students to take non-credit developmental courses before enrolling in general
education. The new courses included enhanced use of technology and smaller class sizes. Hypothesis testing using z-test statistics showed that
there was no significant difference between the pass rate in the newly designed courses and the (non-credit) developmental courses used in
previous years, suggesting that underprepared students could learn more material in the same amount of time. Also, there was no statistically
significant difference between the pass rate of underprepared students in the specially designed courses and students in the standard general
education course that taught similar material.
Maguire, Sheila, Joshua Freely, Carol Clymer, Maureen Conway and Deena Schwartz. “Tuning In to Local Labor Markets:
Findings From the Sectoral Employment Impact Study.” Private/Public Ventures. July 2010.
This study found that participants in sector-focused education and training programs were more likely to work, earned significantly higher
wages, and were more likely to work in jobs with benefits than control group members. The study also found that successful sector-focused
programs require strong organizational capacity and adaptability among the involved workforce organizations; strong links to local employers
that result in an understanding of the targeted occupations and connections to jobs; job readiness and basic skills training linked to occupational
training; recruitment screening and intake processes that result in a good match between the applicant, the program, and the target occupation;
and individualized supportive services to encourage training completion and success in the workplace.
Matus-Grossman, Lisa and Susan Tinsley Gooden. “Opening Doors to Earning Credentials: Impressions of Community College
Access and Retention from Low-Wage Workers.” Manpower Demonstration Research Corporation (MDRC). November 2001.

97

This paper presents impressions from Opening Doors to Earning Credentials, a qualitative study that examines access and retention issues for
low-wage working parents. The researchers were able to make a series of recommendations based on the feedback they received from students to
better serve their needs given their financial and time constraints. Findings include: 1) Students are very interested in short-term certification
programs and believe they could reduce work hours for a long period of time due to lost wages. Intensive, short-term education or training
options may be more attractive for them. These demonstrations could include certification programs with employers or trade associations that
use flexible modularized classes, the integration of basic academic and technical skills, and the opportunity to earn credit toward an AA degree,
or beyond. These training programs could be offered along with support services that could be delivered through community-based
organizations. 2) Students support distance learning that allows working parents more flexibility in when they attend classes and reduce
transportation barriers.
National Fund for Workforce Solutions. “The Principles of the National Fund for Workforce Solutions and Their Implications
for Public Policy.” November 2009.
The National Fund for Workforce Solutions is an approach to workforce development designed to meet the needs of 21st-century workers,
employers, and regional economies. It is built upon a set of principles that are grounded in over a decade of innovation, research, and evaluation.
This policy brief summarizes these principles and their policy implications in order to inform efforts to reform the U.S. workforce development
system. The recommendations include Building Public-Private Regional Funding Collaboratives; Organizing Workforce Partnerships Around
Dual Customer Sector Strategies; Building and Promoting Career Pathways; and Facilitating Results-Orientated Coordination Across
Workforce Programs and Systems.
Perin, Dolores. “Curriculum and Pedagogy To Integrate Occupational and Academic Instruction in the Community College:
Implications for Faculty Development.” CCRC Brief Number 8. March 2000.
This document describes a case study of seven community colleges that used curriculum and pedagogy to integrate academic and occupational
education. Integration is accomplished by linking or clustering courses, infusing academic instruction into occupational education or vice versa,
or adding components such as authentic assessment, career exploration, and work-based learning to traditional career-related education. An
unanticipated finding was that only a small number of community colleges (at least in the four states targeted) actually offered courses that
integrated academic and occupational curriculum. Benefits of integrated instruction included: (1) increased student motivation; (2) a greater
sense of mutual support and community through linked courses; (3) interactions with different faculty offset the problem of increased faculty
workload; (4) faculty improved their teaching skills and their awareness of other disciplines; and (5) integrated instruction may stimulate an
updating of curriculum and help local employers to form relationships with the college. Obstacles included: (1) faculty resistance to change, or to
academic-occupational integration in particular; (2) increased faculty workload; (3) a perception that integrated instruction reduced educational
quality; (4) conflict in the standards or perceptions of faculty members in linked-course models; (5) questionable transferability of integrated
courses.
Prosio, Tony. “From Hidden Costs to High Returns: Unlocking the Potential of the Lower-Wage Workforce.” Insight Center for
Community Economic Development. Summer 2010.

98

This business brief summarizes groundbreaking research, which found that these pioneering companies are benefiting financially by investing
efforts and resources in employee development for their lower-wage workers and rewarding their growth with significant earnings increases.
These forward-thinking employers see workforce development as key to maintaining a competitive edge. They view their lower-wage workers as a
valuable asset: a means of continually improving quality and a potential talent pool for higher level positions.
Pusser, Brian and John Levin. “Re-imaging Community Colleges in the 21st Century: A Student-Centered Approach to Higher
Education.” The Center for American Progress. December 2009.
Community colleges’ multiple missions make it difficult to comprehend the institutions in their totality, and they also challenge the institutions’
overall effectiveness. A review of the research on these institutions suggests that few synergies have emerged between colleges’ key domains of
developmental education, vocational training, and transfer for baccalaureate attainment. Several researchers recommend that community
colleges act as pivotal institutions in a career ladder linking secondary, postsecondary, and regional job training programs into a single,
progressive, coherent, and sequential system with no redundant or competing parts. This is meant to maximize the effectiveness of community
college vocational and occupational education. They stress the importance of institutional connections to local employers and regional job
markets, and the need to integrate the academic and occupational curricula into programs in order to provide students with the broad set of skills
and knowledge needed in the world of work.
Rezin, Andrew A., and N.L. McCaslin. “Comparing the Impact of Traditional and Cooperative Apprenticeship Programs on
Graduates’ Industry Success.” 2002.
This study compared the outcomes of cooperative apprenticeship program graduates with those of traditional programs to identify if learning
gains from these programs justified expansion of the models. Although nearly 95% of all graduates sampled were employed full-time, graduates
from cooperative apprenticeship programs outperformed traditional program graduates in several areas, including higher minimum and
maximum salaries, and reported current employment in jobs directly related to their program compared to traditional program graduates. The
study concludes that cooperative apprenticeship programs provided improved outcomes and supports education / industry partnership efforts as
a method to improve educational outcomes.
Scrivener, Susan and Michael J. Weiss. “More Guidance, Better Results? Three Year Effects of an Enhanced Student Services
Program at Two Community Colleges.” MDRC’s Opening Doors Project. August 2009.
As part of MDRC’s multisite Opening Doors demonstration, Lorain County Community College and Owens Community College in Ohio ran a
program that provided enhanced student services and a modest stipend to low-income students. This study’s findings include the following: the
program improved academic outcomes during the second semester that students were in the study; and after students in the Opening Doors
program received their two semesters of enhanced counseling services, the program continued to have a positive effect on registration rates in the
semester that followed. The program did not, however, meaningfully affect academic outcomes in subsequent semesters.
Scrivener, Susan Dan Bloom, Allen LeBlanc, Christina Paxson, Cecilia Elena Rouse, and Colleen Sommo. “A Good Start:
Two_year Effects of a Freshman Community Learning Program at Kingsborough Community College.” MDRC’s Opening
Doors Project. March 2008.

99

As part of MDRC’s multisite Opening Doors demonstration, Kingsborough Community College in Brooklyn, New York — a large, urban
college with a diverse student population that includes many immigrants — operated a learning community program. The program placed
freshmen in groups of up to 25 who took three classes together during their first semester. Using a rigorous research design, MDRC assigned
1,534 freshmen, at random, either to a program group that was eligible for the learning community or to a control group that received the
college’s standard courses and services. Analyses in this report show that the program improved some educational outcomes for students while
they were in the program, but the impact did not persist. Initially the program did not change the rate at which students reenrolled. In the last
semester of the report’s two-year follow-up period, however, slightly more program group members than control group members attended
college.
Shifting Gears Project. The Joyce Foundation.
Compilation of policy papers on data collection by the Shifting Gears project funded by the Joyce Foundation, dating from 2003 - 2010. An
overview of the project: States seeking to increase the number of young adults and workers obtaining valuable postsecondary credentials can help
achieve that goal by collecting data on student success. States can use the data to identify student achievement gaps and leaks in the
educational pipeline, improve education and training programs, identify transition issues, and evaluate the effectiveness of state education and
workforce development strategies as a whole.
Tinto, Vincent. “Classrooms as Communities: Exploring the Educational Character of Student Persistence.” The Journal of
Higher Education. November 1997.
This study examined the experiences of students enrolled for one year in the Coordinated Studies Program (CSP) at Seattle Central Community
College. CSP required students to enroll together in a series of courses that crossed disciplines but dealt with the same theme, and the program
emphasized cooperative learning activities. The study had both a qualitative component and a quantitative analysis that compared survey results
and institutional outcomes between a sample of CSP students and students sampled from comparison classes at the college. Descriptive statistics
showed that CSP students had significantly higher rates of persistence, and a multivariate analysis that controlled for student attributes and
behaviors found that participation in CSP was an independent predictor of persistence into the second year of college. The qualitative case study
suggested that CSP helped persistence by creating supportive peer groups, bridging the academic-social divide, and giving students a voice in
the learning process.
Washington State Board for Community and Technical Colleges. “Building Pathways to Success for Low-Skill Adult Students:
Lessons for Community College Policy and Practice from a Longitudinal Student Tracking Study (The “Tipping Point”
Research).” April 2005.
This study of students in the Washington State Community and Technical College system finds evidence that attending college for at least one
year and earning a credential provides a substantial boost in earnings for adults with a high school diploma or less who enter higher education
through a community college. These findings are consistent with studies that have used nationally representative samples of community college
students. Short-term training and adult basic skills education by itself may help individuals get into the labor market, but usually does not help
them advance beyond low-paying jobs. Only individuals who took basic skills courses concurrently with vocational training enjoyed a
significant benefit in average rates of employment and quarterly earnings.

100

Weiss, Michael, Mary Visher, and Heather Washington, with Jed Teres and Emily Schneider. “Learning Communities for
Students In Developmental Reading: An Impact Study at Hillsborough Community College.” MDRC’s Opening Doors Project.
June 2010.
This report presents results from a rigorous random assignment study of a basic learning community program at Hillsborough Community
College in Tampa Bay, Florida. Hillsborough’s learning communities co-enrolled groups of around 20 students into a developmental reading
course and a “college success” course. Three cohorts of students (fall 2007, spring 2008, and fall 2008) participated in the study, for a total of
1,071. The findings show that overall (for the full study sample), Hillsborough’s learning communities program did not have a meaningful
impact on students’ academic success. Corresponding to the maturation of the learning communities program, evidence suggests that the
program had positive impacts on some educational outcomes for the third (fall 2008) cohort of students.

101