U.S. DEPARTMENT OF LABOR
Employment and Training Administration
Notice of Availability of Funds and Solicitation for Grant Applications for Face Forward 2 - Intermediary and Community Grants
Announcement Type: Initial
Funding Opportunity Number: SGA/DFA PY-13-09
Catalog of Federal Domestic Assistance (CFDA) Number: 17.270
Key Dates: The closing date for receipt of applications under this announcement is [insert date 60 days after date of publication of the one page notice in the Federal Register]. Applications must be received no later than 4:00:00 p.m. Eastern Time.
Addresses: Mailed applications must be addressed to the U.S. Department of Labor, Employment and Training Administration, Office of Grants Management, Attention: Latifa Jeter, Grant Officer, Reference SGA/DFA PY 13-09, 200 Constitution Avenue, NW, Room N4716, Washington, DC 20210. For complete application and submission information, including online application instructions, please refer to Section IV.
Executive Summary:
The Face Forward 2 - Intermediary and Community grants will offer organizations the opportunity to develop programs that address the employment barriers of court involved youth while helping these youth develop the employment skills needed to obtain good jobs. These grants will help participants move forward into the future by combining the most promising workforce and juvenile justice strategies available. These grants will systematically improve the workforce outcomes of court-involved youth who will obtain industry-recognized credentials that prepare them for jobs in demand industries using career pathways.
The core project components for these grants include: case management, mentoring, educational interventions, service-learning, occupational training in demand industries which lead to industry-recognized credentials, workforce activities that lead to employment, follow-up activities, and expungement and diversion. The expungement and diversion components will be provided through the juvenile justice system (JJS) and non-profit legal services organizations.
Grantees or sub-grantees of intermediary organizations must collaborate with the local components of the JJS to ensure court-involved youth receive referrals into programs as a means of diverting the youth’s juvenile charge(s), and collaborate with non-profit legal services organizations to provide legal services that assist program participants with expungement.
The Employment and Training Administration (ETA) plans to award four intermediary organization grants of $5 million each and approximately 16 community organization grants of up to $1.5 million each, totaling approximately $44 million, to provide services to court-involved youth between the ages of 14 to 24 that have been involved in the JJS and never convicted in the adult criminal system. Applicants may only submit one application in response to this solicitation. Applicants must choose between submitting an intermediary or community grant application.
A. Program Purpose
All Federal workforce and training investments are designed to equip job seekers with skills that increase their ability to find work and earn higher wages, by meeting the skill requirements of actual jobs that employers either are filling now or anticipate filling in the future. These Face Forward 2 - Intermediary and Community grants will build on existing promising practices to assist youth participants, such as earning industry-recognized credentials in demand occupations and sectors, providing on-the-job training (OJT) and work-based learning opportunities, and strengthening industry and employer connections to ensure that the training program directly aligns with the skills and credentials needed to secure employment. Successful grantees will use real-time labor market information to make the best choices about training in demand sectors and occupations. Grantees will share this labor market information with youth participants, so they understand what it takes to get hired and earn enough to thrive in their communities as productive citizens throughout their lifetimes.
Intermediary grantees (through their sub-grantees) and community grantees
must implement these eight core components: 1) case management, 2) mentoring, 3) educational interventions, 4) service-learning, 5) occupational training in demand industries which lead to industry-recognized credentials, 6) workforce activities that lead to employment, 7) follow-up services, and 8) expungement and diversion services (collaborating with non-profit legal services providers). These components will move participants onto and upward along career pathways in growth industries in their communities. Of these required core components, grantees must provide all participants the following five mandatory components: case management, workforce activities that lead to employment, occupational training leading to industry-recognized credentials, follow-up services, and expungement and diversion services. Grantees also should offer mentoring, educational interventions, and service-learning as needed. Each participant enrolled in these projects does not necessarily have to participate in all eight project components, but grantees must offer all eight project components to all participants.
We are requiring grantees to provide the expungement and diversion component to all participants because there is some evidence that these two strategies are particularly effective in serving youth who have had transgressions with the law. To deliver this particular component, intermediary grantees (through their sub-grantees) and community grantees must collaborate with non-profit legal services providers to assist participants with expungement actions, and be designated by the JJS as a diversion program.
Intermediary grantees (through their sub-grantees) and community grantees must develop an integrated approach to recruiting participants and providing the skilled employees needed in their workforce area. Grantees should include information from the American Job Centers (AJC), Workforce Investment Boards (WIBs) and employers to develop their training programs as well as consider co-enrollment in the AJC to provide a greater array of services for their participants.
Employers are critical collaborators in the development of training programs.
Most importantly, employers define the skills needed for their positions and provide work-based learning opportunities including vocational training, internships and apprenticeships, and ultimately, permanent jobs as key collaborators. Employers play a primary role in determining the sectors around which to build the career pathways for program participants and to confirm the skills and credentials required for the occupations chosen. Employers also play a role in program curriculum design and instruction.
Intermediary Grant Applicants
Intermediary organizations must competitively select local sub-grantees to operate the program in a minimum of three high-poverty, high-crime communities in at least two states. Applicants must not hold competitions, or select local sub-grantees or sites, before submitting their proposals. The Department will not award any additional points to applicants that identify local sub-grantees and sites in their proposals.
When selecting sub-grantees, grantees must follow their own requirements in conducting an open and free competition to the maximum extent possible. The manner of selection of sub-grantees for this project will depend on whether the grantee has local offices or affiliates. For the purpose of this solicitation, affiliate is defined as an organization that is associated or attached to a parent organization. An affiliate organization has a membership under the parent organization and may pay dues, fees, receive contracts or subgrants, or be directly governed by the parent organization. Grantees with less than 20 local offices or affiliates must conduct an open and free competition to select sub-grantees and sites from among interested applicants that are not affiliated with the grantee.
However, grantees with 20 or more local offices or affiliates have the option of limiting the competition among only their affiliates. Based on outcomes of previous grants, DOL finds that the greater familiarity between the grantee and its affiliates likely will outweigh whatever inefficiencies come with not requiring an entirely open and free competition for those grantees with at least 20 local offices or affiliates.
Allowable Use of Grant Funds
Allowable activities related to the eight components include, but are not limited to the following, and may be performed in multiple categories of services:
Case Management
Assistance with the development of Individual Career Plans (ICP) for participants and career guidance and development including applying for post-secondary education and financial aid;
Assistance with obtaining supportive services, such as transportation stipends, childcare, dependent care, or emergency assistance payments;
Payment for legal services related to the purposes of this grant, which include: securing a driver’s license, expunging criminal records, creating and/or modifying child support orders, helping parents in obtaining and retaining custody of their children, and helping victims of domestic violence by obtaining protective and restraining orders;
Referrals to the following services:
Housing programs that provide temporary or permanent housing;
Mental health treatment services;
Vocational rehabilitation services needed to assist persons with disabilities;
Parenting classes and services to assist with successful family reunification;
Substance abuse treatment services; and
Child support services.
NOTE: Grantees may not directly provide assistance with substance abuse treatment, housing services, or mental health treatment services. Such assistance may be provided only through referrals.
Mentoring Individuals and Groups
Individual mentoring including matching services; and
Group mentoring models such as Job Clubs that provide assistance, networking, and peer support for job seekers.
Educational Interventions
Alternative secondary school services and career awareness classes that develop lifelong career pathways;
Language instruction programs and services, and information in appropriate languages for participants with limited English proficiency;
Basic skills instruction and remedial education; and
Tutoring and/or preparation for state high school equivalency test.
Service-Learning
Supplies and tools for service learning projects;
Transportation of participants to the service site(s);
Software for tracking participant progress in service learning projects; and,
Coordination with service site(s) and organizations working with participants.
Training that leads to industry-recognized credentials in the state or local area
Vocational skills training;
Work-based learning opportunitites including internships and job shadowing;
Wages in an OJT framework; and
Apprenticeships.
Workforce activities that lead to employment
Job placement;
Development of cognitive and soft skills that participants will need to succeed in future jobs and that support one or more workplace competencies;
Paid and unpaid work experiences including community service activities that offer the returning citizen the opportunity to reunite with and be embraced by his or her community;
Payment of stipends to participants based on their performance in the program to recognize achievements/milestones;
Payment of employment and retention bonuses to participants based on progress reached in the employment, education, and/or training components of the grant program;
Assistance in addressing work-related problems that arise, such as conflict and anger management; and
Coordination with employers, local workforce agencies, and educational institutions where participants have been placed.
Follow-up services
Tracking of progress made by participants in employment and training after program exit; and
Assisting participants in planning and implementing next steps that lead to upward mobility.
Expungement and diversion services
Legal services that directly support the delivery of expungement and diversion services including:
Assistance in filing documents with the juvenile justice court system to divert charges; and
Assistance in completing and filing documents to request expungement of reords from the juvenile justice court as well as correcting juvenile records.
B. Program Authority
Grant funding for this program is authorized by the Section 171, Pilot and Demonstration Projects, of WIA (as amended), Public Law 105-220; 29 U.S.C. 2916.
Funding will be provided in the form of a grant. ETA plans to award 4 Intermediary grants of $5 million each and approximately 16 Community grants of up to $1.5 million each, totaling approximately $44 million.
Awards made under this announcement are subject to the availability of Federal funds. In the event that additional funds become available, ETA reserves the right to use those funds to select additional grantees from the applications submitted in response to this solicitation.
In addition, in the event that applicants respond to more than one DOL/ETA solicitation during Program Year (PY) 2013, DOL reserves the right to only award one grant per applicant, based on the resources and needs of the community to be served, geographic diversity, and the best interests of the government.
Applicants must not exceed an $8,000 cost-per-participant for the duration of this grant, which includes administrative, planning, and follow-up costs. The cost per participant is calculated by dividing the total DOL grant award by the number of participants to be enrolled. Grantees will be held accountable for the number of participants identified to be served in their application. If the number of participants identified by the applicant is greater than the DOL minimum identified in the solicitation, the applicant must serve the number of participants identified in the application. The following examples demonstrate the DOL minimum number of participants that must be served with these funds:
Community organizations submitting applications requesting the maximum $1,500,000 must serve at least 188 participants.
Intermediary organizations submitting applications requesting the maximum $5,000,000 must ensure that their sub-grantees cumulatively serve at least 625 participants.
B. Period of Performance
DOL will fund these grants for a 39-month period of performance. This period includes all necessary implementation and start-up activities. Currently, the anticipated start date is 07/01/2014.
The period of performance must include the following:
A planning period of up to six months (applicants that do not use the entire planning period must add the unused time to program operations);
A program operation period of at least 24 months; and
A minimum of nine months of follow-up services provided to each participant.
To ensure grantees are prepared to begin program operations, the following milestones must be achieved during the planning period:
Hire core program staff, including the Project Director/Manager, Fiscal Director/Manager and other key positions;
Develop and implement the selection of training programs that will lead to industry-recognized credentials in demand industries in their local area; and
Initiate recruitment and outreach efforts for the enrollment of participants.
The Federal Project Officer (FPO) will evaluate the completion of these milestones within the grant’s planning phase. DOL may subject grantees who do not meet these milestones to corrective action.
III. Eligibility Information
A. Eligible Applicants
Community Grant Applicants
Eligible applicants include any community or faith-based organization with 501(c)3 non-profit status (including women’s and minority organizations), unit of state or local government, or any Indian and Native American entity eligible for grants under WIA Section 166, that are located in areas with high-poverty and high-crime rates.
Intermediary Grant Applicants
Eligible applicants include any community or faith-based organization with 501(c)3 non-profit status or any Indian and Native American entity eligible for grants under WIA Section 166. Intermediary applicants must ensure that their sub-grantees are located in areas with high-poverty and high-crime rates. Organizations that received a grant as a result of DOL competition SGA/DFA PY 10-09, SGA/DFA PY 11-09 and SGA/DFA PY 12-03 are not eligible to apply for this solicitation.
For the purpose of this SGA, high-poverty and high-crime rates are defined below:
High-poverty rate: communities with poverty rates of at least 30 percent (applicants must use American Community Survey (ACS) data to show the average poverty rate of the various Census Tracts included in their target community). For more information, see Section IV.B.3.
High-crime rate: communities with felony crime rates within the targeted area that are higher than the felony crime rate in one or more adjoining communities (applicants must provide the strategy for determining the high-crime rate). For more information, see Section IV.B.3.
Cost sharing or matching funds are not required for this program and will not affect the scoring of an application However, applicants must provide a description in the Budget Narrative of how Federal, state, local, or private funding will be leveraged and are currently leveraged (if applicable) to provide support services that are not directly funded by the grant, such as mental health and substance abuse treatment services, and housing. More information on leveraged resources can be found in Section IV.B.2. Applications that include any form of cost sharing or match will not receive additional consideration under the review. Cost sharing or matching funds are not application screening criteria.
C. Other Information
1. Application Screening Criteria
Applications that contain any of the following deficiencies will be found non-responsive and will not be reviewed. The deficiencies are:
Failure to satisfy the deadline requirements referenced in Section IV.C.;
Exceeding the ceiling amount of $1,500,000 or $5,000,000, as applicable referenced in Section II.A;
Exceeding the cost per participant of $8,000 as referenced in Section II.A;
Failure to include: signed SF-424 including D-U-N-S® (DUNS) Number, a project budget including a SF-424A and budget narrative, and a project narrative, referenced in Section IV.B.
Failure to register with SAM and maintain an active account referenced in Section IV.B;
Failure to include signed and dated Letters of Commitment or MOUs from required collaborations as referenced in Section IV.B.3.d for applicants applying for community grants;
Failure to include required information as an attachment referenced in Section IV.B:
abstract
chart documenting past grant performance
chart documenting timeliness of reports
previous grantor contact information
2. Number of Applications To Be Submitted
An organization may only submit one application. Multiple applications from an organization are not allowed. If multiple applications are submitted, only the most recent application received will be reviewed. If the last application is disqualified for any reason, we will not review any previous applications. Applicants may submit an application as either an intermediary organization or community organization, as defined in Section III. A. Eligible Applicants.
A single community grant application may be submitted to serve multiple sites; however, each site must meet the definition of high-poverty and high-crime rates provided in this SGA. Intermediary organizations must ensure that all subgrantees are located in high-poverty and high-crime communities.
3. Eligible Participants
Individuals are eligible to participate in programs funded through this SGA if she/he:
is at least age 14 years and not older than 24 years of age on the date of enrollment;
is currently involved or has been involved with the JJS, which includes:
under the supervision of the JJS, either in out-of-home placements,on probation, or on parole; or
under an alternative sentence by the juvenile justice system; or
under a diversion program as an alternative to juvenile prosecution by the JJS;
has never been convicted as an adult under Federal or state law; and
currently resides in (or resided in before confinement in a correctional facility) the community to be served.
Exceptions: Up to 10 percent of participants may be those at risk of becoming involved in the JJS. For the purpose of determining eligibility under these grants, indicators of high risk of involvement in the JJS includes youth from grades 8 through 12, who are at-risk of dropping out of school. Participants must exhibit one or more of the following:
poor school attendance;
low grade point average;
low standardized test scores as defined by local school district;
retention in the 8th, 9th, 10th, or 11th grades as appropriate;
discipline problems or suspension from school;
special education placement; and
low reading and math skills.
Note: Grantees have the discretion to enroll individuals convicted of violent offenses. However, the grantee must have a clear and consistent written enrollment policy that addresses how enrollment of program applicants will be treated. Grantees may choose to have a more rigorous risk assessment for violent offenders and should note this where it will be factored into enrollment eligibility.
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.
This SGA, found at www.Grants.gov and http://www.doleta.gov/grants/find_grants.cfm, contains all of the information and links to forms needed to apply for grant funding.
B. Content and Form of Application Submission
Applications submitted in response to this SGA must consist of four separate and distinct parts: (1) the SF-424 “Application for Federal Assistance;” (2) Project Budget; (3) Project Narrative; and (4) attachments to the Project Narrative. It is the applicant’s responsibility to ensure that the funding amount requested is consistent across all parts and sub-parts of the application.
Applicants must complete the SF-424, “Application for Federal Assistance” (available at http://www.grants.gov/web/grants/forms/sf-424-family.html#sortby=1). 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. As stated in block 21 of the SF-424 form, signature of the authorized representative on the SF-424 certifies that the organization is in compliance with the Assurances and Certifications form SF-424B (available at http://www.grants.gov/web/grants/forms/sf-424-family.html#sortby=1). The SF-424B is not required to be submitted with the application.
In addition, the applicant’s signature in block 21 of the SF-424 form constitutes assurance by the applicant of the following in accordance with 29 CFR 37.20:
As a condition to the award of financial assistance from the Department of Labor under Title I of WIA, the grant applicant assures that it will comply fully with the nondiscrimination and equal opportunity provisions of the following laws: Section 188 of the Workforce Investment Act of 1998 (WIA), which prohibits discrimination against all individuals in the United States on the basis of race, color, religion, sex, national origin, age, disability, political affiliation or belief, and against beneficiaries on the basis of either citizenship/status as a lawfully admitted immigrant authorized to work in the United States or participation in any WIA Title I—financially assisted program or activity; Title VI of the Civil Rights Act of 1964, as amended, which prohibits discrimination on the bases of race, color and national origin; Section 504 of the Rehabilitation Act of 1973, as amended, which prohibits discrimination against qualified individuals with disabilities; The Age Discrimination Act of 1975, as amended, which prohibits discrimination on the basis of age; and Title IX of the Education Amendments of 1972, as amended, which prohibits discrimination on the basis of sex in educational programs. The grant applicant also assures that it will comply with 29 CFR parts 37 and all other regulations implementing the laws listed above. This assurance applies to the grant applicant's operation of the WIA Title I-financially assisted program or activity, and to all agreements the grant applicant makes to carry out the WIA Title I-financially assisted program or activity. The grant applicant understands that the United States has the right to seek judicial enforcement of this assurance.
All applicants for Federal grant and funding opportunities are required to have a Data Universal Numbering System (DUNS) number, and must supply their DUNS Number on the SF-424. The DUNS Number is a nine-digit identification number that uniquely identifies business entities. If you do not have a DUNS Number, you can get one for free through the D&B website: http://fedgov.dnb.com/webform/displayHomePage.do. As authorized under 2 CFR 25, grant recipients authorized to make subawards must be aware of the following requirements related to DUNS Numbers:
1. Grantees must notify potential sub-grantees that no entity may receive a sub-award from you unless the entity has provided its DUNS number to you.
2. Grantees may not make a sub-award to an entity unless the entity has provided its DUNS number to you.
Applicants must register with the System for Award Management (SAM) before submitting an application. Instructions for registering with SAM can be found at https://sam.gov. An awardee must maintain an active SAM 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 SAM database after the initial registration, the applicant is required to review and update the registration at least every 12 months from the date of initial registration or subsequently updates its information in the SAM 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.
Applicants must complete the SF-424A Budget Information Form (available at http://www.grants.gov/web/grants/forms/sf-424-family.html#sortby=1 ). 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.
Use the following guidance for preparing the budget narrative:
Personnel – List all staff positions by title (both current and proposed). Give the annual salary of each position, the percentage of each position’s time devoted to the project, the amount of each position’s salary funded by the grant and the total personnel cost for the period of performance.
Fringe Benefits – Provide a breakdown of the amounts and percentages that comprise fringe benefit costs such as health insurance, FICA, retirement, etc.
Travel – Specify the purpose, mileage, per diem, estimated number of in-state and out-of-state trips and other costs for each type of travel.
Equipment – Identify each item of equipment to be purchased which has an estimated acquisition cost of $5,000 or more per unit and a useful lifetime of more than one year. List the quantity and unit cost per item. Items with a unit cost of less than $5,000 are supplies. In general, ETA does not permit the purchase of equipment during the last funded year of the grant.
Supplies – Supplies include all tangible personal property other than “equipment.” The detailed budget should identify categories of supplies (e.g. office supplies). List the quantity and unit cost per item.
Contractual – Identify each proposed contract and specify its purpose and estimated cost. If applicable, identify any sub-recipient agreements, including purpose and estimated costs.
Construction – Construction costs are not allowed and this line must be left as zero. Minor alterations to adjust an existing space for grant activities (such as a classroom alteration) may be allowable. DOL does not consider this as construction and the costs must be shown on other appropriate lines such as Contractual.
Other – List each item in sufficient detail for DOL to determine whether the costs are reasonable or allowable. List any item, such as stipends or incentives, not covered elsewhere here.
Indirect Charges – If indirect charges are included in the budget, include the approved indirect cost rate with a copy of the Indirect Cost Rate Agreement, a description of the base used to calculate indirect costs and total cost of the base, and the total indirect charges requested. See Section IV.B.4. and Section IV.E.1. for more information.
Note that the entire Federal grant amount requested (not just one year) must be included on the SF-424, SF-424A, and budget narrative.
No leveraged resources should be shown on the SF-424 and SF-424A. Leveraged resources should be described in the budget narrative. The requested Federal grant 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.
The following instructions provide all of the information needed to complete the Project Narrative. Applicants should carefully read and consider each section, and include all required information in their Project Narrative. The Project Narrative will be evaluated using the evaluation criteria identified in Section V.A. Applicants should use the same section headers identified below for each section, and include all required information in their Project Narrative. The Project Narrative will be evaluated using the evaluation criteria identified in Section V.A. Applicants should use the following section headers for the Narrative:
Statement of Need
Community grant applicants must identify the geographic area in which the project will be located. Intermediary grant applicants must identify the geographic coverage area of their organization. All applicants must identify the number of court-involved youth they propose to serve.
In addition, community grant applicants must respond to the items listed below. Intermediary grant applicants must require this information of the applicants in their sub-grantees competition and must submit a description of how they will ensure that these requirements are met in response to this solicitation.
Describe the need for the selected training programs in your state(s) and/or local area(s) and identify the source of this information, such as WIBs or labor market projections.
Indicate the number of court-involved youth in the target area in the previous year.
Demonstrate that the target area is a high-poverty area by providing the most recent statistical data from the U.S. Census Bureau, ACS, and showing that the poverty rate of the target community is at least 30 percent. The U.S. Census Bureau now has ACS data available at the Census Tract level which can be found at http://www.census.gov. Applicants must provide an ACS data table that shows the poverty rate for the various Census Tracts included in their target community. If planning to serve a community across more than one Census Tract, individual tracts within the proposed target community may have poverty rates of less than 30 percent; however, the overall community to be served must have an average poverty rate across all included Census Tracts of at least 30 percent.
Demonstrate that the target area is in a high-crime area by providing statistical data that shows that the felony crime rate of the target area is as high or higher than the felony crime rate of one or more of the adjoining communities. Applicants must describe the strategy and source for determining the high-crime rate, such as, but not limited to, using the felony crime rate of the closest police precinct that overlaps the target community as compared to the felony crime rate of the closest police precinct to the adjoining community. Where possible, applicants should use data at the neighborhood level rather than the county level in addressing the need for the project.
NOTE: The number of participants expected to be served must be less than or equal to the number of court-involved youth in the target area in the previous year. Intermediary organizations must require this of their sub-grantees.
b. Approach
Intermediary and community grant applicants must describe their strategies for achieving their goals along with the overarching workplan to implement this grant; describe their current program model and how services will meet the goals of this project; describe how they will address external barriers to meeting their stated goals and how the strength of the proposed strategies will ensure that the stated goals are met.
Community grant applicants must also describe which services will be directly provided by the grantee and which services will be contracted or provided by program collaborators. Applicants must also describe their integrated strategy for providing these services.
Intermediary grant applicants must require sub-grantee applicants to provide information on how their participant services will be provided: direct, contracted or by collaborating organizations and describe how they will ensure an effective integrated strategy for providing these services.
Eight Core Program Components
Projects funded under these grants must include each of the eight core project components described below. Of these required core components, all participants must receive a minimum of the following five mandatory components: case management, occupational training in demand industries which lead to industry-recognized credentials, workforce activities that lead to employment, follow-up services, and expungement and diversion. Mentoring, educational interventions, and service-learning should be offered to participants as needed. Each participant enrolled in these projects does not necessarily have to participate in each of these other project components, but all eight project components must be offered by all grantees and sub-grantees.
Intermediary grant applicants must describe how they will ensure that their sub-grantees provide all of the eight core components and that each participant receive the five mandatory components. Community grant applicants must respond directly to each of the following:
i. Case Management
Case management services must begin at the time of enrollment and be provided throughout the participant’s participation in the program, including the follow-up period. Grantees will assist each participant in developing an Individual Career Plan (ICP) that includes strategies for upward mobility on career pathways and success in the workplace. The development of the ICPs must begin within 30 days of enrollment and include steps to improve the participants’ employability that extend through the follow-up period.
Specifically, community grant applicants must:
Identify and provide justification for the ratio of case managers to participants and how the case managers will act as advocates for program participants, including the frequency of their interactions.
Describe how case managers will work with JJC staff in serving participants and in linking them to supportive services, such as: transportation assistance, housing assistance, mental health services, substance abuse treatment services, legal aid services, and organizations that assist with family reunification.
Describe how case managers will screen and select participants for expungement services; and how the progress and outcome of expungementservices will be monitored.
Describe how case managers will collaborate with the JJS to record the progress of the participant and completion of the program to divert the charge(s).
Describe how case managers will validate that the participant’s charge(s) have been successfully diverted or record the reason the charge(s) were not diverted.
Describe how case managers will coordinate with other agencies and organizations to ensure that participants receive counseling in financial literacy; counseling about their civil rights, including civil rights issues related to criminal records and employment; assistance applying for jobs and Federal benefits such as Pell Grants, Food Stamps, Supplemental Nutrition Assistance Program, childcare, Medicaid, and, if the person has a disability, the right to free and appropriate education and reasonable work accommodations.
Describe how case management services will bridge active program participation and the follow-up period to ensure adequate tracking of post-program outcomes and retention success for participants within the period of performance of the grant.
Describe how participants will be assisted in developing career goals, understanding career pathway options, and developing an ICP. Describe how the mentoring and training received by the participants fits into the ICPs and ensures that each participant is focused on achieving his or her goals. An ICP must be developed within 30 days of enrollment for each participant and must reflect the individual needs and career goals of the participant. This will include goals related to personal issues, such as counseling, substance abuse treatment, housing, and child custody/support issues that can affect workplace success, as well as goals related directly to workforce development, such as continuing education, vocational training, and employment placement. The ICP is a living document and should be reviewed and updated regularly throughout the follow-up period for each participant.
ii. Mentoring
Grantees may provide mentoring in coordination with the JJS staff and, as necessary, with other juvenile justice offices. Mentoring resources may be available in the targeted community through Second Chance Act mentoring grants from the Department of Justice. Many types of organizations can provide mentors, such as faith- and community-based organizations, business firms, and college clubs. This component may include one-on-one mentoring, group mentoring (including job clubs), and/or service-based mentoring; however, we encourage the use of one-on-one mentoring and mentoring in small groups. One example of a group mentoring model is the “Job Club” model. Job clubs are group-based job search assistance, networking, and peer support groups. Job clubs are often run by volunteers, including job seekers and program participants. DOL supports the work of job clubs, which may go by other names such as career ministries, networking groups, and more, through an online Community of Practice. To learn more, visit www.dol.gov/jobclubs.
Participants must be matched with appropriate mentors who will be primarily responsible for offering support and guidance to participants in the community and the workplace. For the purposes of this grant, mentoring is defined as a relationship over a prolonged period of time (at a minimum 6 months) between two or more people where caring volunteer mentors assist participants in successfully and permanently reentering their communities by providing consistent support, guidance, and encouragement that helps participants in developing positive social relationships and achieving program outcomes such as job retention, family reunification, and reduced recidivism.
The Department requires that grantees use evidence-based models of mentoring to design their programs. As with all mentoring programs, it is recommended that programs provide rigorous screening, training, and match support for mentors and frequent contact with participants as the match progresses. Applicants must describe their mentoring program, using as a guide the following list that summarizes the commonly-recognized best practices for operating an effective mentoring program: 1) targeted recruitment and thorough screening of appropriate mentors and mentees; 2) customized training for mentors and mentees; 3) sound matching, monitoring, supervision, and retention procedures; 4) closure procedures that leave all participants satisfied; 5) process and outcome evaluation;
6) skilled and committed staff; and 7) stable funding.
Specifically, community grant applicants must:
Describe the strategy for mentor recruitment. If appropriate, describe how other organizations may be involved in recruiting mentors for this project;
Describe the method or tool used for matching mentors to participants;
Describe how the mentor will engage with the participant(s) including frequency of interactions, type of contact, and method of interaction;
Discuss the quality and comprehensiveness of the training to be provided to mentors and the strategy for support and supervision of mentors; and
Discuss the applicants’ level of experience in operating mentoring programs.
iii. Educational Interventions
Applicants must describe the educational components to be offered, including the types of educational interventions and/or support, as well as identify the organizations that will provide these services.
Specifically, community grant applicants must:
Describe how all of the following educational services will be provided, including how the applicant will address the varying academic levels of participants, which includes participants ages 17 and under, to improve their reading and math skills and obtain a high school diploma or other alternative diploma options; and to help older participants ages 18 and above obtain a state-recognized high school diploma equivalency certification:
high school diploma or other state-recognized educational credential;
credit retrieval/compilation of credits from high schools and correctional facilities;
reading and math remediation;
tutoring; and
language instruction for those with Limited English Proficiency (LEP).
Describe how the educational services above fit into the ICP and are integrated into the training and workforce development components of the program.
Describe the strategy for engaging participants in setting educational goals and how it fits within the participant’s ICP.
iv. Service-Learning
The service-learning component of these projects provides participants the opportunity to give something back to their communities through community service to make up for past transgressions. Service-learning actively engages participants in meaningful and personally relevant service activities. Effective service learning is an integral part of the learning process. Service-learning helps to develop workplace skills (i.e. soft skills) and positive behaviors, such as leadership, time management, teamwork, and respect for authority and for fellow participants. These projects hold promise for reducing the recidivism rate of juvenile offenders by improving their vocational and educational skills and long-term prospects in the labor market and by increasing their attachment to their community and their sense of community responsibility.
Specifically, community grant applicants must:
Describe the length of time the applicant will request youth to commit to service-learning activities;
Describe the service-learning activities that will engage youth in meaningful ways;
Describe how vocational skills will be integrated into the service-learning project; and
Describe how the development of leadership and soft skills will be supported.
v. Occupational Training in Demand Industries which Lead to Industry-Recognized Credentials
Applicants must develop training programs that lead to industry-recognized credentials for demand industries located in their state or local areas.Implementing this component will require collaborations with Registered Apprenticeship programs, job training programs, vocational training programs, and/or community and four-year colleges. Grantees must include employers in the selection and development of the training programs, Employers are able to assist grantees in curculum development, as well as, developing training programs that provide portable credentials across employers. All industry-recognized credentials must be attained by the end of the grant. Specifically, community grant applicants must:
Describe the process and resources used to identify the selected training program(s) and the justification for the selection of the training programs.
Describe how employers will participate in the selection and development of the training programs from program development, implementation, and ultimately, hiring participants.
Describe how the training program will be implemented, including the type of instruction, when classes will be conducted, and any additional details about the curriculum and training materials and identify the type(s) and duration of the training programs offered that lead to credentials for in-demand industries.
Identify the types of credentials that will be attained by participants as a result of completing the training.
vi. Workforce Activities that Lead to Employment
Workforce development programs must assist participants in developing their career goals and understanding career pathway options as one component of their larger participation in the grant project.
Specifically, community grant applicants must:
Describe how the applicant will deliver the workforce development component, which includes: paid and/or unpaid full- or part-time work experience; summer job employment, OJT; internships which allow participants to interact with professionals in their fields of interest; vocational and occupational training opportunities; career exploration; placement into apprenticeships; and unsubsidized full- or part-time employment. OJT is distinguished from other types of workplace training, including customized training, by several factors: 1) participants are hired (or employed) and earn wages from employers during training; 2) it is based on an individualized training plan that reflects the results of an individual skills assessment and an analysis of job requirements; 3) training is conducted in the work setting under the direction of one or more of the employer’s supervisory personnel; and 4) the employer is paid a reimbursement to cover the extraordinary costs of the training. Grantees are responsible for complying with all applicable laws, including the Fair Labor Standards Act. For guidance on unpaid internships, please see: http://www.dol.gov/whd/.
Describe how the applicant will work with employers to ensure that training and other services result in employment for participants.
vii. Follow-Up Services
Follow-up services must be provided for a minimum of nine months for each participant and must be completed by the end of the performance period of the grant. Applicants should use evidence-based or evidence informed practices to support participants in successfully interacting in their community.
Specifically, community grant applicants must:
Describe the follow-up services that will be provided. Follow-up services may include: regular contact with participants to ensure retention in employment and/or school; assistance in addressing work-related or school-related problems; assistance in securing better paying jobs or career development; further education; referrals to peer support groups; mentoring; and tracking progress made by participants in employment and/or education after training.
Describe the efforts that will be made to ensure follow-up services are provided to participants for a minimum of nine months during the grant performance period.
Describe the frequency and intervals of contact with participants during the follow-up component of the program.
viii. Expungement and Diversion Services
Given the number of youth with a juvenile record and the increasing availability of those records, expungement—or the elimination of information held by courts or law enforcement agencies connecting an individual with juvenile justice involvement—has increasingly been considered an important vehicle for mitigating the myriad of negative consequences that flow from a delinquency adjudication. The important role that expungement can play in the reentry process has elevated the need for legal assistance in navigating the often complicated process of obtaining expungement for juveniles.
Specifically, community grant applicants must describe:
Their state or local laws and/or regulations for expungement;
How the applicants program will address these laws and/or requirements;
How the applicant will screen and identify participants that are appropriate for expungement; and
How the applicant will track and assess the progress of the participant working with the legal service provider to submit the best possible request for expungement to the juvenile court authorities.
Diversion is “an attempt to divert, or channel out, youthful offenders from the juvenile justice system” (Bynum and Thompson, 1996). The opportunity for diversion occurs at the state or local pre-sentencing juvenile court division, which include: juvenile court judges, assistant district attorneys, and sometimes, pre-sentencing case workers.
The concept of diversion is based on the labeling theory that contends that processing certain youth through the juvenile justice system may do more harm than good, because it inadvertently stigmatizes and ostracizes them for having committed relatively minor acts that may have been more appropriately handled outside the formal system (Lundman, 1993).
Specifically, regarding diversion, community grant applicants must describe:
Their state or local area’s requirements to be designated as a diversion program;
How their program of services including supportive services supports their state or local area’s requirement for a diversion program;
How they will identify and engage with juvenile justice authorities to ensure those authorities refer diversion candidates to their programs; and
How they will track and assess the progress of the participant to ensure they meet the criteria for diversion as prescribed by the referring juvenile court authority.
c. Outcomes
All applicants must identify and provide measurable results, or outcomes, that will result from the project and meet DOL’s outcome goals stated below. and describe how the anticipated outcomes are likely to be achieved and are likely to benefit the identified participants.
Community grant applicants must describe how external barriers to meeting they will meet the stated goals will be addressed.
Intermediary grant applicants must describe the extent to which they will provide assistance to sub-grantees to address external barriers to in meeting their stated goals; and the strength of the strategies described to ensure that the stated goals are met.
Measure |
Definition |
Goal |
Enrollment Rate |
The enrollment rate is defined as the number of participants enrolled in the program divided by the enrollment goal. The enrollment goal is expected to be met by the end of the second full year of the grant period of performance (by September 16, 2016). |
The goal for this measure is 100%. |
Entered Employment Rate |
The entered employment rate is defined as the unduplicated count of youth who were ages 18 and above and out-of-school at enrollment that are placed into long-term occupational skills training, post-secondary opportunities, the military or unsubsidized employment. |
The goal for this measure is 60%. |
Employment Retention Rate |
The employment retention rate is defined as the unduplicated count of youth who were ages 18 and above and out-of-school who are placed into long-term occupational skills training, post-secondary opportunities, the military, or unsubsidized employment and remain in this placement for a 3 month period after placement. |
The goal for this measure is 50%. |
Recidivism Rate |
The recidivism rate is defined as the percentage of youth who, prior to enrollment in the program, had been adjudicated for a criminal offense (but not just a status offense) by Juvenile Court and who were enrolled while in a correctional or detention facility or who were enrolled in the program within 3 months after their release from a correctional facility or detention or being placed on probation who have been convicted of a new criminal offense in either the juvenile or adult systems within 12 months of their release from a juvenile correctional facility or placement on probation. |
The goal for this measure is 20% or below. |
Entered Occupational Training Rate |
The entered occupational training rate is defined as the percentage of participants who have been enrolled in the program and enter into occupational training. |
The goal for this measure is 60%. |
Industry-Recognized Certificate/Degree Rate |
The industry-recognized certificate/degree participation rate is defined as the percentage of enrolled participants in degree- or industry-recognized certificate-awarding programs. |
The goal for this measure is 60%. |
Attainment Rate |
The attainment rate is defined as the percentage of youth 17 years of age and below who achieve a high school diploma or State High School Diploma Equivalency of all youth 17 years of age and below who entered the project without a diploma or State High School Diploma Equivalency. (This rate will not include youth who are still active in high school or in State High School Diploma Equivalency preparation since such youth are still pursuing a diploma or State High School Diploma Equivalency.) |
The goal for this measure is 50% of those enrolled in degree and/or certificate awarding programs. |
School Retention Rate |
The school retention rate is defined as the number of participants 17 years of age and younger who were in school at enrollment who remained in school for at least one year after enrollment plus the number of youth who returned to school after enrollment who remained in school for at least one year. |
The goal for this measure is 60%. |
Mentoring Rate |
The mentoring rate is defined as the percentage of participants who are receiving mentoring services either as active participants or while in follow-up status for at least 6 months. |
The goal for this measure is 60%. |
Diversion Target |
The number of participants with at least one case closed without adjudication of the total participants enrolled as diversion candidates. |
The goal for this measure is 60%. |
Expungement Target |
The number of participants needing expungement services, having at least one charged expunged. |
The goal for this measure is 60%. |
d. Organizational Capacity
This section describes how the organization and any collaborators will carry out the proposed project, and the qualifications and experience of personnel to fulfill the needs and requirements of the proposed project. Intermediary applicants must require this information of their sub-grantee applicants, in addition to addressing each element for their parent organization.
Specifically, all applicants must:
Describe the applicant’s current mission, structure, staffing and experience working with court-involved youth that contribute to the applicant’s ability to meet the goals and expectations of this grant.
Describe the qualifications of the existing staff that will be working on this project in the key positions of: Project Manager/Director and Fiscal Manager/Director. Identify organizations that you plan to contract with, such as, but not limited to, training providers or mentoring organizations; or in the case of intermediary organizations, technical assistance providers, that have a significant role in implementing the program and employers.
Describe the coordination and collaboration with the state and local juvenile justice court staff, which may include: pre-sentencing juvenile court division, juvenile court judges, assistant district attorneys, or pre-sentencing case workers, if proposing to operate a diversion program.
Describe the coordination and collaboration with the state or local juvenile justice courts and local non-profit legal services providers if proposing to operate expungement services.
Required Program Collaborations
Commmunity grant applicants
Community grant applicants must describe their past and projected collaboration with the three required organizations: the JJS, workforce system, and non-profit legal services centers. Applicants must provide signed and dated Letters of Commitment or Memoranda of Understanding (MOU) that identifies the relationship with each organization and demonstrates the organization’s commitment to fulfill, at a minimum, the required collaboration activities listed for each type of organization.
Intermediary grant applicants
Intermediary grant applicants must describe how they will ensure that their sub-grantees collaborate with the three required organizations and must require in their sub-grantee competition that applicants provide signed and dated Letters of Commitment or Memoranda of Understanding that identifies the relationship with the organization and demonstrates the organization’s commitment to fulfill at a minimum the required collaboration activities indicated for each type of organization.
Required Organizations:
Juvenile Justice System . The agreement must include the methods of recruiting participants and coordinating service delivery with JJS.
Workforce System. The agreement must be with the AJC, formerly One-Stop Career Centers, or the Local WIB and must include the coordination of workforce services, which may include the following services: assistance with resume writing, career exploration, referral to supportive services, support of paid and/or unpaid work experience, OJT, internships, summer jobs, apprenticeships, and unsubsidized full and part-time employment placement assistance.
Non-profit Legal Services Centers. The agreement must provide participants with assistance in expunging juvenile records and other allowable services.
Additional Program Collaboration
Applicants are encouraged to work with additional organizations beyond the required collaborations above. Below is a list of organizations that could play a role in improving program operations. Collaboration with these additional organizations is not required, and grantees are not limited to those listed below.
Community grant applicants
Community grant applicants planing to work with additional program collaborators, must provide signed and dated Letters of Commitment or Memoranda of Understanding that identifies the relationship with the organization and demonstrates the organization’s commitment to fulfill at a minimum the required collaboration activities indicated for each type of organization listed below.
Intermediary grant applicants
Intermediary organizations must describe how they will encourage their subgrantees to collaborate with these organizations and must require in their sub-grantee competition that applicants provide signed and dated Letters of Commitment or Memoranda of Understanding that identifies the relationship with the organization and demonstrates the organization’s commitment to fulfill at a minimum the required collaboration activities indicated for each type of organization listed below.
Additional Organizations:
Employers. Although employers are not required collaborators, we strongly encourage applicants to include them as a key collaborator in their program development and implementation.
Housing assistance programs. The agreement must include referral by the applicant to collaborating organizations that provide assistance with securing temporary or permanent housing for program participants.
Mental health treatment centers. The agreement must include referral by the applicant to organizations that provide assessments and mental health treatment for program participants.
Substance abuse treatment centers. The agreement must include referral by the applicant to counseling and substance abuse treatment for eligible program participants.
Child Support Enforcement Agencies. The agreement must include collaboration with agencies to assist with issues related to non-custodial parents.
Legal Aid Services. The agreement must include services that are used on behalf of a participant that are related to the purposes of this grant, which include: securing a driver’s license, expunging criminal records, creating and/or modifying child support orders, helping parents in obtaining and retaining custody of their children, and helping victims of domestic violence by obtaining protective and restraining orders.
Social Services Agencies. The agreement must include providing assistance to participants in any of the following areas, but are not limited to these areas: securing food, transportation, clothing, child and family services, or medical assistance.
Vocational Rehabilitation Services. The agreement must be used to refer participants with disabilities for services that assist them with participating in training and employment programs.
Alternative Education Providers. The agreement must provide services and instruction that help adult participants attain a high school diploma or state equivalent.
Post-Secondary Education Institutions. The agreement must provide participants additional education that leads to career advancement.
Past Performance
Past Performance Chart: In chart format, as an attachment to the Project Narrative, applicants must provide information on past grant performance as required by the grantor, using one of the categories below that is applicable for the organization. Intermediary organizations also must require this information from their subgrantee applicants and submit this information to their parent organization in response to this SGA.
If the applicant completed an ETA Youth Reintegration of Ex-Offenders (RExO) youth grant, on or after January 1, 2010, the applicant must, with respect to the most recently completed RExO youth grant only, provide past grant performance goals established by DOL and the actual grant outcomes obtained for 1) enrollment and 2) the entered employment rate.
Applicants with no ETA youth RExO grant completed on or after January 1, 2010, must provide the quantitative goals required by the grantor(s)/funder(s) from the formal solicitation or guidance and the actual outcomes obtained with regard to those goals in two of the following four categories: employment, education, training, or mentoring. This may include a program or project that was funded by a Federal agency other than DOL, state or local agencies, one or more foundations, or funded from individual donations and contributions. Applicants may not submit information on more than two goals; only two goals will be reviewed.
Examples:
Goal: Place 100 participants in unsubsidized employment
Outcome: Placed 110 participants in unsubsidized employment; or
Goal: Mentor 75% of participants in one-on-one mentoring
Outcome: Mentored 60% of participants in one-on-one mentoring.
All
applicants may reference only one project that was
completed on or after January 1, 2010, as described above. In the
attachment, applicants must also provide the project grant number
along with the name, title, organization,
e-mail address, and
telephone number of an individual from the previous grantor entity or
agency who has oversight for the program referenced above and can
verify the information stated by the applicant.
ETA reserves the right to confirm this information for all applicants.
Past Reporting Timeliness Chart: In chart format, as an attachment to the Project Narrative, the applicant must provide the two most recent grant report due dates and the actual dates on which the reports were submitted for the grant project identified above. These reports can be programmatic, financial, or other reports required by the grant. Intermediary organizations must require this information from their sub-grantee applicants and submit this information to their parent organization.
If the contact person from the grantor entity or agency who can verify timely submission of reports differs from the contact person verifying past grant performance goals and actual grant outcomes, the applicant must submit the name, title, e-mail address and telephone number for this additional individual. Please include this information with your attachments.
In addition to the Project Narrative, the applicant must submit attachments. All attachments must be clearly labeled as Attachments. Only those attachments listed below will be excluded from the page limit. Additional materials such as general letters of support must not be included. Applicants must submit their application in one package because documents received separately will be tracked separately and will not be attached to the application for review. Save all files with descriptive file names of 50 characters or less and be sure to only use standard characters in file names: A-Z, a-z, 0-9, and underscore (_). File names may not include special characters (e.g. &,–,*, %,/,#), periods (.), blank spaces or accent marks, and must be unique (i.e., no other attachment may have the same file name). An underscore (example: my_Attached_File.pdf) may be used to separate a file name.
Required Attachments
Abstract: All applicants must submit an up to two-page abstract summarizing the proposed project, including, but not limited to, the scope of the project and proposed outcomes. The proposed project must include the applicant’s name, project title, a description of the area to be served, and the funding level requested. The abstract is limited to two-page double-spaced single sided 8.5x11 inch pages with Times New Roman 12 point text font and 1 inch margins.
Community grant applicants must include: 1) a description of the overall project and program model, 2) the number of proposed participants, 3) the average cost per participant, 4) the geographic area to be served, 5) the types of training provided and expected credential attainment, 6) a description of required and additional collaborative organizations, and 7) a description of the proposed outcomes of the project; and, 8) acknowledgement of their designation as a Promise Zone or member of a Promise Zone collaboration. For more information about Promise Zones go to www.HUD.gov/promisezones.
Intermediary grant applicants must provide: 1) a description of the sub-grantee selection process, 2) the number of proposed participants, 3) the average cost per participant, 4) the geographic coverage of the organization, and 5) a description of how the applicant will ensure that sub-grantees successfully provide the eight core components of the program, collaborate with the required and additional organizations, and accomplish the proposed outcomes of the project. When submitting in grants.gov, this document must be up loaded as an attachment to the application package and specifically labeled “Abstract.”
Documentation from the Internal Revenue Service that verifies the applicant’s non-profit 501(c)(3) status. All applicants applying as a non-profit must submit this verification even if the applicant is a current DOL grantee and documentation is assumed to be on file.
Charts documenting past grant performance, and timeliness of reports as discussed in Section IV.B.3.d.
Previous grantor contact information as discussed in Section IV.B.3.d.
Memorandums of Understanding and/or Letters of Commitment of required program collaborations as discussed in Section IV.B.3.d. (for applicants applying for community grants)
Memorandums of Understanding and/or Letters of Commitment of additional collaborations, if applicable, as discussed in Section IV.B.3.d. (for applicants applying for community grants)
Documentation of Commitment to Participate in Evaluation, if selected. All applicants must submit documentation of their commitment to participate in an evaluation by making records on participants, employers and funding available, providing access to program operating personnel and participants, and following evaluation procedures as specified by the evaluator(s) under the direction of ETA, including after the period of operation.
Project/Performance Site Location(s) Form: All applicants should submit a Project/Performance Site Location(s) Form (available at http://www.grants.gov/web/grants/forms/sf-424-family.html#sortby=1). This form is in the grants.gov application package. Please note that this is a standard form used for many programs and has a check box for applying as an individual. Disregard this box on the form as individuals are not eligible to apply for this solicitation.
Indirect Cost Rate Agreement: If the applicant is requesting indirect charges, attach the most recent Indirect Cost Rate Agreement approved by the applicant’s cognizant Federal agency. (For more information, see Section IV.B.2. and Section IV.E.1.)
The closing date for receipt of applications under this announcement is [insert date 60- days after date of publication of the one page notice in the Federal Register]. Applications must be submitted either electronically on http://www.grants.gov or in hard copy by mail or in hard copy by hand delivery (including overnight delivery). Hard copy applications must be received at the address below no later than 4:00:00 p.m. Eastern Time on the closing date. Applications submitted on grants.gov must also be successfully submitted (as described below) no later than 4:00:00 p.m. Eastern Time on the closing date. Applicants are cautioned that applications should be submitted before the deadline to ensure that the risk of late receipt of the application is minimized. Applications sent by e-mail, telegram, or facsimile (FAX) will not be accepted.
Applicants submitting applications in hard copy by mail or overnight delivery 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 application by DOL. Applicants submitting applications in hard copy are also required to include in the hard copy submission an identical electronic copy of the applications 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 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.
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, Office of Grants Management, Attention: Latifa Jeter, Grant Officer, Reference SGA/DFA PY 13-09, 200 Constitution Avenue, NW, Room N4716, Washington, DC 20210. Applicants are advised that mail delivery in the Washington DC area may be delayed due to mail decontamination procedures. Hand-delivered applications will be received at the above address. All overnight delivery submissions 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 4:00:00 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 strongly advised to initiate the process as soon as possible and to plan for time to resolve technical problems if necessary. Note that validation does not mean that your application has been accepted for review. Rather, it is required step in the application process.
The Department strongly recommends that before applicants begin to write the application, they should immediately initiate and complete the “Get Registered” registration steps at
http://www.grants.gov/web/grants/register.html
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 timely 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 applicants walk through the process. The Department strongly recommends that applicants download the “Organization Registration Checklist” at
http://www.grants.gov/web/grants/applicants/organization-registration.html
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 earlier in Section IV.B.1., applicants must have a DUNS Number and must register with SAM.
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 DUNS 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/web/grants/applicants/organization-registration/step-3-username-password.html 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 SAM – 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 individual as the AOR, thereby giving him or her permission to submit applications. To learn more http://www.grants.gov/web/grants/applicants/organization-registration/step-4-aor-authorization.html
or to track AOR status visit: http://www.grants.gov/web/grants/applicants/organization-registration/step-5-track-aor-status.html.
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 an application is submitted through Grants.gov, the name of the 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. Grants.gov will reject applications if the applicant’s registration in SAM is expired. Only applications that have been successfully submitted by the deadline and subsequently successfully validated will be considered. It is the sole responsibility of the applicant to ensure a timely submission. While it is not required that an application be successfully validated before the deadline for submission, it is prudent to reserve time before the deadline in case it is necessary to resubmit an application that has not been successfully validated. Therefore, sufficient time should be allotted for submission (two business days) and, if applicable, 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, .docx, .xls, .xlsx, .rtf or .pdf files. If submitted in any other format, the applicant bears the risk that compatibility or other issues will prevent DOL 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/web/grants/applicants/applicant-resources.html
ETA 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.
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/web/grants/manage-subscriptions.html
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 or 606-545-5035 to speak to a Customer Support Representative or email http://www.grants.gov/documents/19/18249/CustomerServiceProcess.pdf/35f168e0-49ea-426f-be2b-5b772178326d
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 through 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 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.
Applications received on time but which are found to have omitted required attachments, to have failed to comply with the required format or document naming conventions or to have failed to comply with DUNS and/or SAM registration requirements for all collaborators, or to have failed to meet all application screening criteria will not be considered for funding.
This funding opportunity is not subject to Executive Order 12372, “Intergovernmental Review of Federal Programs.”
All proposed project 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 pre-award costs.
4. Intellectual Property Rights
The Federal Government reserves a paid-up, nonexclusive and irrevocable license to reproduce, publish, or otherwise use, and to authorize others to use for Federal purposes: i) the copyright in all products developed under the grant, including a subgrant or contract under the grant or subgrant; and ii) any rights of copyright to which the grantee, subgrantee or a contractor purchases ownership under an award (including, but not limited to, curricula, training models, technical assistance products, and any related materials). Such uses include, but are not limited to, the right to modify and distribute such products worldwide by any means, electronically or otherwise. 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. If revenues are generated through selling products developed with grant funds, including intellectual property, these revenues are program income. Program income is added to the grant and must be expended for allowable grant activities.
If applicable, the following needs to be on all products developed in whole or in part with grant funds:
“This workforce product was funded by a grant awarded by the U.S. Department of Labor’s Employment and Training Administration. The product was created by the grantee and does not necessarily reflect the official position of the U.S. Department of Labor. The U.S. 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. This product is copyrighted by the institution that created it. Internal use by an organization and/or personal use by an individual for non-commercial purposes is permissible. All other uses require the prior authorization of the copyright owner.”
Withdrawal of Applications: Applications may be withdrawn by written notice to the Grant Officer at any time before an award is made.
Procedures for assessing the technical merit of applications have been instituted to provide for an objective review of applications and to assist the applicant in understanding the standards against which each application will be judged. The evaluation criteria are based on the information required in the application as described in Section IV.B. The evaluation criteria are described below:
Criterion |
Points |
(See Sections IV.B.3.a. Statement of Need) |
10
|
(See Section IV.B.3.b. Approach) |
50 |
(See Section IV.B.3.c. Outcomes) |
10 |
(See Section IV.B.3.d. Organizational Capacity) |
25 |
(See Section IV.B.2. Project Budget) |
5 |
TOTAL |
100 |
Statement of Need (up to 10 points)
Community grant applicants will be rated on the following:
The extent to which the applicant identifies the geographic area in which the project will be located and the extent of the statistical justification that the target area(s) is/are high-poverty, high-crime community(ies). (Up to 4 points)
The extent to which the applicant statistically justifies the proposed number of participants to serve, and demonstrates that there is a sufficient pool of participants to recruit into the program. (Up to 3 points)
The extent to which the applicant demonstrates the need for the selected training program in the state and/or local area. (Up to 3 points)
Intermediary organizations will be rated on the following:
The extent to which the applicant identifies the geographic area of coverage and their plan for ensuring that their sub-grantees are located in high poverty, high crime communities. (Up to 4 points)
The extent to which the applicant describes how they will ensure that sub-grantees statistically justify the proposed number of participants they plan to serve, and demonstrate that there is a sufficient pool of participants to recruit into the program. (Up to 3 points)
The comprehensiveness and effectiveness of how the applicant will ensure that sub-grantees select training programs that are indemand in the state and/or local communities. (Up to 3 points)
Approach (up to 50 points)
Community grant applicants will be rated on:
The comprehensiveness and effectiveness of the applicant’s approach to providing the required eight core program components (Up to 43 points):
case management (Up to 5 points)
mentoring (Up to 4 points)
educational interventions (Up to 4 points)
service-learning (Up to 4 points)
occupation training that leads to industry recognized credentials (Up to 6 points)
workforce activities that lead to employment (Up to 6 points)
follow-up services (Up to 4 points)
expungement and diversion (Up to 10 points)
The clarity and effectiveness of the workplan. (Up to 5 points)
The extent to which the application demonstrates how external barriers to meeting stated goals will be addressed; and the strength of the strategies described to ensure that the stated goals are met. (Up to 2 points)
Intermediary grant applicants will be rated on:
The extent in which the applicant clearly describes the required eight core program components of the program. (Up to 43 points)
case management (Up to 5 points)
mentoring (Up to 4 points)
educational interventions (Up to 4 points)
service-learning (Up to 4 points)
occupation training in demand industries which lead to industry recognized credentials (Up to 6 points)
workforce activities that lead to employment (Up to 6 points)
follow-up services (Up to 4 points)
expungement and diversion (Up to 10 points)
The clarity and effectiveness of the workplan. (Up to 5 points)
The extent to which the applicant will provide assistance to sub-grantees to address external barriers to meeting their stated goals; and the strength of the strategies described to ensure that the stated goals are met. (Up to 2 points)
Outcomes (up to 10 points)
All applicants will be rated on:
The extent to which the application clearly describes the expected project benefits or results, and the extent to which the benefits or results are consistent with the goals identified by DOL. (Up to 5 points)
The extent to which the anticipated outcomes are likely to be achieved and are likely to benefit the identified participants. The degree to which the outcomes are quantifiable and measurable, particularly any additional measures established by the grantee. (Up to 5 points)
Organizational Capacity (Up to 25 points)
Community grant applicants will be rated on:
The extent to which the applicant demonstrates its experience working with court-involved youth and that the organization has the capacity to successfully administer this grant, including a description of the organization’s mission. (Up to 3 points)
The level of qualifications and experience of personnel to fulfill the needs and requirements of the proposed project. (Up to 2 points)
The extent to which the applicant demonstrates the effectiveness of the required collaborations. (Up to 4 points)
The extent to which the applicant demonstrates the effectiveness of the additional collaborations especially employers. (Up to 4 points)
Intermediary grant applicants will be rated on:
The extent to which the applicant demonstrates its experience working with court-involved youth and that the organization has the capacity to successfully administer this grant, including a description of the organization’s mission. (Up to 3 points)
The level of qualifications and experience of personnel to fulfill the needs and requirements of the proposed project. (Up to 2 points)
The comprehensiveness and effectiveness of the applicant’s plan to ensure that their sub-grantees implement effective required collaborations. (Up to 4 points)
The comprehensiveness and effectiveness of their plan to ensure that their sub-grantees implement effective additional collaborations especially employers. (Up to 4 points)
Performance chart. (Up to 8 points)
All applicants will be rated on either of the following:
Applicants that completed an ETA Youth RExO grant on or after January 1, 2010
Applicants who met or exceeded both of their reported project goals will receive the full 8 points for this sub-criterion.
Applicants who met or exceeded only one goal will receive 4 points for this sub-criterion.
Applicants who did not meet either goal will receive 0 points for this sub-criterion.
Applicants with no previous ETA Youth RExO grants completed on or after January 1, 2010;
Applicants who met or exceeded both of their reported project goals will receive 8 points for this sub-criterion.
Applicants who met or exceeded only one goal will receive 4points for this sub-criterion.
Applicants who did not meet either goal will receive 0 points for this sub-criterion.
Applicants with no experience serving youth offenders will receive -0- points for this criterion
Timely Reporting (up to 4 points for all applicants)
All applicants will be rated on:
Applicants that met both due dates will receive 4 points for this sub-criterion.
Applicants that met only one due date will receive 2 point for this sub-criterion.
Applicants that did not meet any of the due dates will receive 0 points for this sub-criterion.
Applicants with no experience serving youth offenders will receive -0- points for this criterion
Budget and Budget Justification (Up to 5 points)
All applicants will be rated on:
The extent to which the budget is justified and reasonable given the scope of work of the project.
Applications for grants under this Solicitation will be accepted after the publication of this announcement and until the specified time on 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 applicant, depending on the quality of the responses to the required information described in Section V.A. The ranked scores (which may include the mathematical normalization of review panels) will serve as the primary basis for selection of applications for funding, in conjunction with other factors (such as geographic balance and Promise Zone representation for community grant applicants). 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 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.
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 application.
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.
1. Administrative Program Requirements
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:
a. Non-Profit Organizations – OMB Circular A–122 (Cost Principles), relocated to 2 CFR Part 230, and 29 CFR Part 95 (Administrative Requirements)
b. Educational Institutions – OMB Circular A–21 (Cost Principles), relocated to 2 CFR Part 220, and 29 CFR Part 95 (Administrative Requirements).
c. 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).
d. Profit Making Commercial Firms – Federal Acquisition Regulation (FAR) – 48 CFR part 31 (Cost Principles), and 29 CFR Part 95 (Administrative Requirements).
e. 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.
f. All entities must comply with 29 CFR Part 93 (New Restrictions on Lobbying), 29 CFR Part 94 (Government wide Requirements for Drug-Free Workplace (Financial Assistance)), 29 CFR 95.13 and Part 98 (Government wide 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).
g. 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.
h. 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.
i. 29 CFR Part 32—Nondiscrimination on the Basis of Handicap in Programs or Activities Receiving Federal Financial Assistance.
j. 29 CFR Part 35— Nondiscrimination on the Basis of Age in Programs or Activities Receiving Federal Financial Assistance from the Department of Labor.
k. 29 CFR Part 36—Nondiscrimination on the Basis of Sex in Education Programs or Activities Receiving Federal Financial Assistance.
l. 29 CFR Part 37 – Implementation of the Nondiscrimination and Equal Opportunity Provisions of the Workforce Investment Act of 1998.
m. 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:
a. 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 an applicant organization is a faith-based organization that makes hiring decisions on the basis of religious belief, it may be entitled to receive Federal financial assistance under Title I of the Workforce Investment Act and maintain that hiring practice even though Section 188 of the Workforce Investment Act contains a general ban on religious discrimination in employment. If a faith-based organization is awarded a grant, the organization will be provided with information on how to request such an exemption.
b. Lobbying or Fundraising the U.S. Government with Federal Funds
In accordance with Section 18 of the Lobbying Disclosure Act of 1995 (Public Law 104-65) (2 U.S.C. 1611), non-profit entities incorporated under Internal Revenue Service Code Section 501(c) (4) that engage in lobbying activities are not eligible to receive Federal funds and grants. 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).
c. Transparency Act Requirements
Applicants must ensure that they have 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 110-252) (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.
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/2010-22705.pdf
The following types of awards are not subject to the Federal Funding Accountability and Transparency Act:
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);
Federal awards to entities that had a gross income, from all sources, of less than $300,000 in the entities' previous tax year; and
Federal awards, if the required reporting would disclose classified information.
d. Safeguarding Data Including Personally Identifiable Information (PII)
Applicants submitting applications in response to this SGA must recognize that confidentiality of PII and other sensitive data is of paramount importance to the Department of Labor and must be observed except where disclosure is allowed by the prior written approval of the Grant Officer or by court order. By submitting an application, Grantees are assuring that all data exchanges conducted through or during the course of performance of this grant will be conducted in a manner consistent with applicable Federal law and TEGL NO. 39-11 (issued June 28, 2012). All such activity conducted by ETA and/or Grantee/s will be performed in a manner consistent with applicable state and Federal laws.
By submitting a grant application, the applicant agrees to take all necessary steps to protect such confidentiality by complying with the following provisions that are applicable in governing their handling of confidential information:
To ensure that such PII is not transmitted to unauthorized users, all PII and other sensitive data transmitted via e-mail or stored on CDs, DVDs, thumb drives, etc., must be encrypted using a Federal Information Processing Standards (FIPS) 140-2 compliant and National Institute of Standards and Technology (NIST) validated cryptographic module. Grantees must not e-mail unencrypted sensitive PII to any entity, including ETA or contractors.
Grantees must take the steps necessary to ensure the privacy of all PII obtained from participants and/or other individuals and to protect such information from unauthorized disclosure. Grantees must maintain such PII in accordance with the ETA standards for information security described in this TEGL and any updates to such standards provided to the grantee by ETA. Grantees who wish to obtain more information on data security should contact their Federal Project Officer.
Grantees shall ensure that any PII used during the performance of their grant has been obtained in conformity with applicable Federal and state laws governing the confidentiality of information.
Grantees further acknowledge that all PII data obtained through their ETA grant shall be stored in an area that is physically safe from access by unauthorized persons at all times and the data will be processed using grantee issued equipment, managed information technology (IT) services, and designated locations approved by ETA. Accessing, processing, and storing of ETA grant PII data on personally owned equipment, at off-site locations e.g., employee’s home, and non-grantee managed IT services, e.g., Yahoo mail, is strictly prohibited unless approved by ETA.
Grantee employees and other personnel who will have access to sensitive/confidential/proprietary/private data must be advised of the confidential nature of the information, the safeguards required to protect the information, and that there are civil and criminal sanctions for noncompliance with such safeguards that are contained in Federal and state laws.
Grantees must have their policies and procedures in place under which grantee employees and other personnel, before being granted access to PII, acknowledge their understanding of the confidential nature of the data and the safeguards with which they must comply in their handling of such data as well as the fact that they may be liable to civil and criminal sanctions for improper disclosure.
Grantees must not extract information from data supplied by ETA for any purpose not stated in the grant agreement.
Access to any PII created by the ETA grant must be restricted to only those employees of the grant recipient who need it in their official capacity to perform duties in connection with the scope of work in the grant agreement.
All PII data must be processed in a manner that will protect the confidentiality of the records/documents and is designed to prevent unauthorized persons from retrieving such records by computer, remote terminal or any other means. Data may be downloaded to, or maintained on, mobile or portable devices only if the data are encrypted using NIST validated software products based on FIPS 140-2 encryption. In addition, wage data may only be accessed from secure locations.
PII data obtained by the grantee through a request from ETA must not be disclosed to anyone but the individual requestor except as permitted by the Grant Officer.
Grantees must permit ETA to make onsite inspections during regular business hours for the purpose of conducting audits and/or conducting other investigations to assure that the grantee is complying with the confidentiality requirements described above. In accordance with this responsibility, grantees must make records applicable to this Agreement available to authorized persons for the purpose of inspection, review, and/or audit.
Grantees must retain data received from ETA only for the period of time required to use it for assessment and other purposes, or to satisfy applicable Federal records retention requirements, if any. Thereafter, the grantee agrees that all data will be destroyed, including the degaussing of magnetic tape files and deletion of electronic data.
e. 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 final grant close-out.
3. Other Administrative Standards and Provisions
Except as specifically provided in this SGA, DOL/ETA’s acceptance of an application 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 an application 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.
4. Special Program Requirements
a. Evaluation
ETA may arrange for or conduct an independent evaluation of the outcomes and benefits of the projects to measure the impacts of this initiative. By accepting grant funds, grantees agree to participate in the evaluation should they be selected, which includes participation in a lottery in which eligible program applicants are randomly assigned to either a treatment group (which may receive program services) or a control group (which may be denied services for a specified period. Grantees must agree to make records on participants, employers and funding available, provide access to program operating personnel and participants, and follow evaluation procedures as specified by the evaluator(s) under the direction of ETA, including after the period of operation.
Please note that applicants will be held to outcomes provided and failure to meet those outcomes may result in technical assistance or other intervention by ETA, and may also have a significant impact on decisions regarding future grants with ETA.
Grantees must agree to meet DOL reporting requirements. Quarterly financial reports, quarterly progress reports, and MIS data must be submitted by the grantee 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 and information and instructions will be provided to grantees.
2. Quarterly Performance Reports
For further information about this SGA, please contact Brinda Ruggles, Grants Management Specialist, Office of Grants Management, at (202) 693-3437. Applicants should e-mail all technical questions to [email protected] and must specifically reference SGA/DFA PY 13-09, 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.
A. Transparency
DOL is committed to conducting a transparent grant award process and publicizing information about program outcomes. Posting grant applications on public websites is a means of promoting and sharing innovative ideas. For all applications in this grant competition, we will publish the Abstracts required by Section IV.B.4., and selected information from the SF-424 for all applications on the Department’s public website or similar publicly accessible location. Additionally, we will publish a version of the Project Narrative required by Section IV.B.3. for all those applications that are awarded grants, on the Department’s website or a similar location. No other attachments to the application will be published. The Project Narratives and Abstracts will not be published until after the grants are announced. In addition, information about grant progress and results may also be made publicly available.
DOL recognizes that grant applications sometimes contain information that an applicant may consider proprietary or business confidential information, or may contain personally identifiable information (PII). Proprietary or business confidential information is information that is not usually disclosed outside your organization and disclosing this information is likely to cause you substantial competitive harm.
PII is any information that can be used to distinguish or trace an individual’s identity, such as name, social security number, date and place of birth, mother’s maiden name, or biometric records, and any other information that is linked or linkable to an individual, such as medical, educational, financial, and employment information.1
Abstracts will be published in the form originally submitted, without any redactions. Applicants should not include any proprietary or confidential business information or PII in this summary. In the event that an applicant submits proprietary or confidential business information or PII, DOL is not liable for the posting of this information contained in the Abstract. The submission of the grant application constitutes a waiver of the applicant’s objection to the posting of any proprietary or confidential business information contained in the Abstract. Additionally, the applicant is responsible for obtaining all authorizations from relevant parties for publishing all PII contained within the Abstract. In the event the Abstract contains proprietary or confidential business information or PII, the applicant is presumed to have obtained all necessary authorizations to provide this information and may be liable for any improper release of this information.
By submission of this grant application, the applicant agrees to indemnify and hold harmless the United States, the U.S. Department of Labor, its officers, employees, and agents against any liability or for any loss or damages arising from this application. By such submission of this grant application, the applicant further acknowledges having the authority to execute this release of liability.
In order to ensure that proprietary or confidential business information or PII is properly protected from disclosure when DOL posts the winning Project Narratives, applicants whose Project Narratives will be posted will be asked to submit a second redacted version of their Project Narrative, with any proprietary, confidential commercial/business, and PII redacted. All non-public information about the applicant’s and consortium members’ staff (if applicable) should be removed as well.
The Department will contact the applicants whose Project Narratives will be published by letter or email, and provide further directions about how and when to submit the redacted version of the Project Narrative.
Submission of a redacted version of the Project Narrative will constitute permission by the applicant for DOL to make the redacted version publicly available. We will also assume that by submitting the redacted version of the Project Narrative, the applicant has obtained the agreement to the applicant’s decision about what material to redact of all persons and entities whose proprietary, confidential business information or PII is contained in the Project Narrative. If an applicant fails to provide a redacted version of the Project Narrative within 45 days of DOL’s request, DOL will publish the original Project Narrative in full, after redacting only PII. (Note that the original, unredacted version of the Project Narrative will remain part of the complete application package, including an applicant’s proprietary and confidential business information and any PII.)
Applicants are encouraged to maximize the grant application information that will be publicly disclosed, and to exercise restraint and redact only information that clearly is proprietary, confidential commercial/business information, or PII. The redaction of entire pages or sections of the Project Narrative is not appropriate, and will not be allowed, unless the entire portion merits such protection. Should a dispute arise about whether redactions are appropriate, DOL will follow the procedures outlined in the Department’s Freedom of Information Act (FOIA) regulations (29 CFR Part 70).
Redacted information in grant applications will be protected by DOL from public disclosure in accordance with Federal law, including the Trade Secrets Act (18 U.S.C. § 1905), FOIA, and the Privacy Act (5 U.S.C. § 552a). If DOL receives a FOIA request for your application, the procedures in DOL’s FOIA regulations for responding to requests for commercial/business information submitted to the government will be followed, as well as all FOIA exemptions and procedures. See 29 CFR § 70.26. Consequently, it is possible that application of FOIA rules may result in release of information in response to a FOIA request that an applicant redacted in its “redacted copy.”
Reentry Resources
The National Institutes of Corrections maintains a number of web-based resources that may be of assistance for applicants. Information may be accessed at http://nicic.gov/?q=women+reentry.
The Council of State Governments Justice Center, in collaboration with the Center for Employment Opportunities, the Departments of Labor and Justice, and the Annie E. Casey Foundation recently released a white paper on integrating reentry and employment strategies using a resource allocation and service-matching tool. The white paper introduces the Resource Allocation and Service-Matching Tool, which is based on two key dimensions—an individual’s risk of reoffending (criminogenic risk) and job readiness. There are four groupings that result from assessing individuals under correctional control along these dimensions. Each group can be assigned a combination of employment program components and service delivery strategies that are tailored to individuals’ risk for criminal activity and complemented by corrections interventions. For more information on this tool, the white paper can be found at: http://csgjusticecenter.org/wp-content/uploads/2013/09/Final.Reentry-and-Employment.pp_.pdf.
Web-Based Resources with Career Guidance and Mentoring
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 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 AJCs.
In addition, there are many organizations which offer evidence-based mentoring models. Their information is available online, including:
The Office of Juvenile Justice and Delinquency Prevention Model Programs Guide: http://www.ojjdp.gov/mpg/
National Criminal Justice Reference Service: https://www.ncjrs.gov/mentoringresources/
Industry Competency Models and Career Clusters
ETA 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.
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 in16 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.
Workforce3One Resources
1. ETA encourages applicants to view the information gathered through conference calls with Federal agency collaborations, industry stakeholders, educators, and local practitioners. The information on resources identified can be found on Workforce3One.org at: https://www.workforce3one.org/find/?sr=1&ps=20&sort=5.
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2. ETA 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.
3. ETA has created Workforce System Strategies to make it easier for the public workforce system and its collaborations to identify effective strategies and support improved customer outcomes. The collection highlights strategies informed by a wide range of evidence such as experimental studies and implementation evaluations, as well as supporting resources such as toolkits. ETA encourages applicants to review these resources by visiting http://strategies.workforce3one.org/.
4. ETA has created a technical assistance portal at https://etareporting.workforce3one.org/page/financial that contains online training and resources for fiscal and administrative issues. Online trainings available include but are not limited to Introduction to Grant Applications and Forms, indirect Costs, Federal Cost Principles, and accrual accounting.
F. Directions for using the American Community Survey Data to Identify Target Areas for High-Crime/High-Poverty Communities:
1. Begin at the Census Bureau web site at http://www.census.gov.
2. Click on <DATA> at the bar at the top of the web site and then select <American Community Survey>, the 5th choice.
3. On the right side of the American Community Survey home page, look under <Data by Topics> and choose <Poverty>, the 13th choice.
4. On the left side of page click on <Geographies>. Within the Select Geographies drop-down box you will see four tabs; List, Name, Address and Map.
5. Click on <Map>. A map of the United States will come up.
6. On the map of the United States, click on the desired state. A map of the state will appear.
7. To the left of the map, click on <Boundaries and Features> and then select the 5th choice, <2011 Census Tracts>. Make sure to click both boxes, then click on <Update> at the bottom of the drop-down box. If 2011 Census Tract is not available, select the most current data available for the target community/ies.
8. Next click on the <Find a Location> tab to the left of the map and enter the name of the city you want to serve in the box. Then click on <Go>.
9. A list appears with the city you wanted included in the list. Click on your selected city.
10. A map of your city with all the appropriate census tracts will be displayed. You will probably need to enlarge the map by clicking on the “+” at the top of the scroll bar on the left of the map to make the census tract numbers legible. Use the “+” on the scroll bar and not the “+” in the blue border above the map.
11. To pan around the map, use the arrow keys above the scroll bar.
12. Under the <Select Geographies> tab to the left of the map, click on the down arrow and select the 6th option, <Census Tracts>.
13. Next, locate the blue rectangle box and click on the “.”, the first choice. Your cursor now becomes a pointer.
14. Move your pointer over the map and click on each desired census tract(s) to be included in your targeted service delivery area.
15. The selected census tracts are now listed to the left of the map. To remove a census tract from the list, click on the blue X.
16. When you are satisfied with your selections, click on <Add to Your Selections>.
17. Next, click on < Topics> located to the left of the map. There will be a Dialogue Box pop up. Just click on the <X> to close the Dialogue Box.
18. At the top of the table, look for the tab <Refine Your Search Results> and under the heading Topic or Table Name, type <5-Year> in the box. Then click on the 4th option in the drop-down box <2011 ACS 5-Year Estimates> or the 5-year estimate applicable to the target community/ies, and click <Go>.
19. Click on the first data entry listed, Poverty Status in the Last 12 Months 2011 ACS 5-Year Estimates, ID # S1701, or the data applicable to the target community/ies.
A table will display the poverty data for the Census Tracts that you selected. Use only the first row of data showing overall poverty numbers for each Census Tract. Use the first column, the total population of the Census Tract and the third column, the number below poverty. Use the directional arrows on the table to move from Census Tract to Census Tract. Do not look at the poverty rate of each Census Tract. Rather, divide the total number in poverty in all of the Census Tracts by the total population of all of the Census Tracts to compute the poverty rate of the entire target communities.
OMB Information Collection No 1225-0086, Expires January 31, 2016.
According to the Paperwork Reduction Act of 1995, no persons are required to respond to a collection of information unless such collection displays a valid OMB control number. Public reporting burden for this collection of information is estimated to average 20 hours per response, including time for reviewing instructions, searching existing data sources, gathering and maintaining the data needed, and completing and reviewing the collection of information. Send comments 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 applicants 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 a grant.
Signed XXXXX, in Washington, D.C. by:
Latifa Jeter
Grant Officer, Employment and Training Administration
1 OMB Memorandum 07-16 and 06-19. GAO Report 08-536, Privacy: Alternatives Exist for Enhancing Protection of Personally Identifiable Information, May 2008, http://www.gao.gov/new.items/d08536.pdf.
| File Type | application/msword |
| File Title | DEPARTMENT OF LABOR |
| Author | freeman.jacqueline |
| Last Modified By | Smyth, Michel - OASAM OCIO |
| File Modified | 2014-03-12 |
| File Created | 2014-03-12 |