Workforce Data Quality Initiative Funding Opportunity Announcement

DOL Generic Solution for Funding Opportunity Announcements

WDQI Round 6 FOA_FINAL_3-24-17

Workforce Data Quality Initiative Funding Opportunity Announcement

OMB: 1225-0086

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ETA FUNDING OPPORTUNITY ANNOUNCEMENT – WDQI Round VI

U.S. DEPARTMENT OF LABOR

Employment and Training Administration

Notice of Availability of Funds and Funding Opportunity Announcement for:

Workforce Data Quality Initiative – WDQI Round VI

Announcement Type: Initial

Funding Opportunity Number: FOA-ETA-17-01

Catalog of Federal Domestic Assistance (CFDA) Number: 17.261

Key Dates: The closing date for receipt of applications under this Announcement is

[insert date XX days after the date of publication on Grants.gov]. We must receive applications no later than 4:00:00 p.m. Eastern Time.

Addresses: Address mailed applications to:

The U.S. Department of Labor

Employment and Training Administration, Office of Grants Management Attention: Melissa Abdullah, Grant Officer

Reference FOA-ETA-17-01

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 Employment and Training Administration (ETA), U.S. Department of Labor (DOL, or the Department, or we), announces the availability of approximately $5,700,000 in grant funds authorized by Section 169 of the Workforce Innovation and Opportunity Act (WIOA) for the Workforce Data Quality Initiative (WDQI). ETA plans to award approximately three grants with a maximum award of $1,000,000 to eligible State Workforce Agencies (SWAs) for the development, or enhancement, of a state workforce longitudinal administrative database.^¹ Also, ETA plans to award one grant (i.e., super grant) with a maximum award amount of $2,700,000 to an eligible SWA for the integration of the state’s case management system, performance reporting system(s), including but not limited to WIOA performance reporting system(s), and/or fiscal reporting system(s), including but not limited to fiscal reporting systems for WIOA funded grants, with the state’s longitudinal administrative database. In addition to the amounts above, the Department has reserved up to 5 percent [$300,000] of this year’s total funding to provide technical assistance to grantees. These grants have a 36 month period of performance and cost sharing is not required for this program. Each interested SWA should submit one complete application. If a SWA submits multiple complete applications, ETA will consider the most recent application received, by the closing date of this announcement, as the final submission, and will not review or consider earlier submissions.

Section 169 of WIOA explicitly describes the purpose and objectives of a continuing regimen of rigorous evaluation and research activities to examine the impacts and cost effectiveness of education and workforce programs. WDQI grants support the development of State workforce longitudinal administrative databases such that the databases will ultimately, at a minimum: 1) include information on programs that provide training and employment services; 2) connect with education data; 3) be linked at the individual level; and 4) be capable of generating workforce training provider performance information and outcomes, including but not limited to information and outcomes relevant to WIOA performance reporting, in a standardized, easy to understand format to help customers select the education and training programs that best suit their needs. Where such longitudinal systems do not exist, or are in the early stages of development, WDQI grant assistance may be used to design and develop these databases. WDQI grant assistance also can be used to improve upon existing state longitudinal administrative databases. The Department will provide technical assistance (both direct and peer-to-peer support) to the states to help ensure the databases meet the terms provided in each grantee’s statement of work. The Department and its technical assistance contractor also work closely with the Department of Education (ED) on technical assistance and support activities.

WDQI grants provide funding to eligible SWAs to accomplish all, or a combination, of the following objectives:

Develop or improve the State workforce longitudinal administrative database;
Connect workforce data with education data contained in the Statewide Longitudinal Data System (SLDS);
Improve the quality and breadth of the data in workforce longitudinal administrative databases;
Use longitudinal data to evaluate the performance of federally and State-supported education and job training programs;
Provide user-friendly information to help customers select the education and training programs that best suit their needs; and
Integrate performance, fiscal, and/or case management systems with the longitudinal administrative database.

Applicants that choose to apply for the WDQI grant award of up to $1,000,000 are expected to clearly demonstrate their plans to build or expand the workforce longitudinal administrative databases and to store and use the data in adherence to all applicable confidentiality laws (20 CFR Part 603). Applicants that choose to apply for the $2,700,000 award are expected to demonstrate that they have an existing database, or structure, in place that can achieve the objectives outlined above and outline a plan to bridge, or integrate, the external state data system(s) of their choosing. (This requirement does not apply to applicants that are seeking to receive the $1,000,000 grant award.)

This Funding Opportunity Announcement (FOA) provides a description of the application submission requirements, outlines the process that eligible entities must use to apply for funds covered by this FOA, and details how grantees will be selected. Additional background information on the WDQI is available at http://www.doleta.gov/performance/workforcedatagrant09.cfm.

I.Funding Opportunity Description

A.Program Purpose

This Announcement solicits applications for the WDQI program. The purpose of this program is to support the development, or expansion, of State workforce longitudinal administrative databases. Collecting and analyzing data and conducting research using longitudinal data can provide a comprehensive picture of whether education programs lead to employment in related fields, whether jobseekers are obtaining training-related employment, and the impact of training on workers’ earnings throughout their careers. Through analysis, researchers can identify service delivery strategies that improve employment opportunities, as well as demonstrate the benefits of education and workforce programs on employment outcomes. Data linkages can help state and local leaders identify effective pathways through education and training services that lead to success in the workforce and can provide individuals with information that helps them make smart choices about their education and career(s).

WDQI grants provide funding to eligible SWAs to accomplish all, or a combination, of the following objectives:

Develop or improve the State workforce longitudinal administrative database. SWAs can use this funding to develop a new state workforce longitudinal administrative database or to incorporate new data sources, or expand/strengthen existing data sources, into their existing database so individual-level records can be matched across workforce training programs and over time.
Connect workforce data with education data contained in the Statewide Longitudinal Data System (SLDS). WDQI requires that workforce data be matched with education data, consistent with all relevant Federal and State privacy and confidentiality laws, to ultimately create a state longitudinal administrative database with individual-level information from pre-kindergarten through post-secondary and training into the workforce system. The connection of workforce and education data enables the analysis of individuals’ receipt of both education and training services to help determine ways to maximize the outcomes of these services and improve the effectiveness of the programs.
Improve the quality and breadth of the data in workforce longitudinal administrative databases. It is important that data in the workforce longitudinal administrative databases are complete, accurate, and relevant to understand the impact of State workforce development programs on jobseekers and employers. Data collection processes should be streamlined and standardized to ensure that the data are valid.
Use longitudinal data to evaluate the performance of federally and State-supported education and job training programs. Evidence-based decision making is the foundation for effective program management and strategic planning. Longitudinal administrative databases provide business intelligence for policymakers and stakeholders to make programmatic adjustments in an effort to improve education and workforce programs.
Provide user-friendly information to help customers select the education and training programs that best suit their needs. These state customized scorecards contain data to help jobseekers make informed decisions about programs that offer skills training needed to pursue in-demand jobs. Publicly searchable by training provider and program of study, scorecards allow anyone, including policymakers, students, and researchers, to search labor market information and available training and subsequent outcomes, such as program completion, employment, and wage information of participants in these training programs.
Integrate performance, fiscal, and/or case management systems with the longitudinal administrative database. Integration across multiple components of state data systems is a vital step towards improved program management that would enhance state data analytics capabilities. WDQI grants become even more vital as states move towards developing and building a more integrated data system structure, as envisioned under WIOA. ETA believes that these system enhancements will better enable SWAs to develop comprehensive information sharing tools (e.g., mobile applications, dashboards, or interactive scorecards) that enable such individuals and entities as case managers, fiscal departments, or performance staff, to name a few, to access the longitudinal administrative data system for their specific professional needs. Linking information from longitudinal data systems, state-based wage data matching systems, and cross program/ departmental systems has the potential to further improve workforce data quality.

In addition to the objectives outlined above, section 169 of WIOA explicitly describes the purpose and objectives of a continuing regimen of rigorous evaluation and research activities to examine the impacts and cost effectiveness of education and workforce programs. This has long been a goal of the Department and was the driving idea behind the WDQI grant initiative. Longitudinal administrative databases are useful tools for longer-term research and evaluation projects. The business intelligence gained through data analytics can help states improve the effectiveness of their programs, identify shifts in the labor market, and design services to better meet their customer’s needs. Sustainability beyond the use of Federal funding for these systems is of particular interest to the Department; applications will be scored on criteria that assess the applicants’ proposed plans for sustaining activities beyond the 3-year grant period, including the integration activities required within the super grant.

B.Other Program Information

Launch Point (LP)

The Department recognizes that States vary in their current capacity with regard to longitudinal administrative databases (referred to throughout this FOA as the “launch point”) and expectations for grantees will differ depending on their launch points. The Department anticipates receiving applications in all three categories as described below:

LP1 - States without a workforce longitudinal administrative database that are proposing to create a workforce longitudinal administrative database;
LP2 - States with a partially-developed workforce longitudinal administrative database; or
LP3 - States with a comprehensive workforce longitudinal administrative database.

Partnerships with Research Universities or Other Research Entities

SWAs without the internal capacity to operate the longitudinal administrative database may need to partner with an external entity (such as a research university or a private, for-profit or non-profit organization) to develop, maintain, and use the workforce longitudinal administrative database, both operationally and for research purposes. In addition, SWAs with existing partnerships with external entities may propose to maintain those partnerships, and SWAs may propose partnerships with external entities for reasons other than lack of internal capacity. SWAs proposing to have their workforce longitudinal administrative databases operated by an outside entity must ensure that staff work closely with the State education agency. A proven model that has been employed by many successful states is to have a State research university build and maintain the workforce longitudinal administrative database. Alternative models that maintain the privacy and confidentiality of personally identifiable information (PII) consistent with Federal and State laws and result in high-quality databases will also be considered under the WDQI grant program.

If an SWA chooses to partner with a research university or other research entity, the following must be considered in the development of the partnership model:

The research partner must have a demonstrated capacity to assist in the collection and storage or linkage of the longitudinal workforce administrative data;
The research partner must be able to ensure that the data collected will be stored, accessed, and used in accordance with local, State, and Federal confidentiality and PII protective provisions; and
The research partner will be responsible for processing data requests, conducting in-depth data analysis, preparing standard reports, responding to requests for additional papers, and reporting on State and local workforce and education issues and trends as requested by external entities, consistent with all applicable Federal and State privacy laws.

When working with a State research university or research organization, applicants should investigate additional security measures that may be required by the Institutional Review Board (IRB) of that university or research organization. The IRB must give approval for the State research institution’s involvement in this partnership. Approval must be based on the applicant’s plan for confidential transfer, storage, and usage of data and protection of PII.

C.Program Authority

This program is authorized by section 169 of WIOA.

II.AWARD INFORMATION

A.Award Type and Amount

Funding will be provided in the form of a grant to successful applicants.

We expect availability of approximately $5,700,000 to fund approximately 4 grants (three grant awards up to $1,000,000 and one grant award up to $2,700,000). A state submitting an application to develop a new database or enhance an existing state longitudinal administrative database may apply for a ceiling amount of up to $1,000,000 (any grant application of this type with a proposed value greater than $1,000,000 will be deemed non-responsive and will not be considered). A state submitting a proposal to integrate the state longitudinal administrative database with performance reporting, fiscal reporting, and/or a case management system may apply for a ceiling amount up to $2,700,000 (any grant application of this type with a proposed value greater than $2,700,000 will be deemed non-responsive and will not be considered).

Awards made under this Announcement are subject to the availability of Federal funds. In the event that additional funds become available, we reserve the right to use such funds to select additional grantees from applications submitted in response to this Announcement.

B.Period of Performance

The period of performance is 36 months with an anticipated start date of July 1, 2017. This performance period includes all necessary implementation and start-up activities. Applicants must plan to fully expend grant funds during the period of performance while ensuring full transparency and accountability for all expenditures.

III.ELIGIBILITY INFORMATION

A.Eligible Applicants

The following organizations are eligible to apply:

• State Government – (State Workforce Agencies) - SWAs in the 50 States, the District of Columbia, the Commonwealth of Puerto Rico, the U.S. Virgin Islands, American Samoa, Guam, and the Commonwealth of the Northern Mariana Islands.

Among the eligible applicants listed above, SWAs planning to apply for the $1,000,000 award that:

Received a Round V WDQI grant (FOA/DFA PY-15-06) are ineligible to apply for this opportunity. These States’ SWAs consist of the following: Alaska, Arkansas, Kansas, Maine, Michigan, Rhode Island, Tennessee, Texas, and Washington.
Received two rounds of funding through WDQI are ineligible to apply for this opportunity. These States’ SWAs consist of the following: Arkansas, Kansas, Maine, Michigan, Nebraska, New Jersey, Ohio, Rhode Island, Texas, Virginia, and Washington.

An SWA is eligible to apply for the super grant ($2,700,000 award) regardless of whether the SWA has received previous rounds of WDQI funding, as long as the SWA currently has a comprehensive longitudinal administrative database (LP3) and is positioned to integrate an external data system into its longitudinal administrative database. States proposing to design/develop new databases are ineligible to apply for this opportunity.

B.Cost Sharing or Matching

This program does not require cost sharing or matching funds. Including such funds is not one of the application screening criteria and applications that include any form of cost sharing or match will not receive additional consideration during the review process. Instead, the agency considers any resources contributed to the project beyond the funds provided by the agency as leveraged resources. Section IV.B.2 provides more information on leveraged resources.

C.Other Information

1.Application Screening Criteria

You should use the checklist below as a guide when preparing your application package to ensure that the application has met all of the screening criteria. Note that this checklist is only an aid for applicants and should not be included in the application package. We urge you to use this checklist to ensure that your application contains all required items. If your application does not meet all of the screening criteria, it will not move forward through the merit review process.

Application Requirement	Instructions	Complete?
The deadline submission requirements are met	Section IV.C
Eligibility	Section III.A
If submitted through Grants.gov, the components of the application are saved in any of the specified formats and are not corrupt. (We will attempt to open the document, but will not take any additional measures in the event of problems with opening.)	Section IV.C.
Application Federal funds request does not exceed the ceiling amount of $1,000,000 or $2,700,000, as appropriate	Section II.A
SAM Registration	Section IV.B.1
SF-424, Application for Federal Assistance	Section IV.B.1
SF-424 includes a DUNS Number	Section IV.B.1
SF-424A, Budget Information Form	Section IV.B.2
Budget Narrative	Section IV.B.2
Project Narrative	Section IV.B.3
Abstract	Section IV.B.4
Signed Letters of Agreement (as applicable)	Section IV.B.4
Data Sharing Agreements for each program data set included in the workforce longitudinal administrative database	Section IV.B.4

2.Number of Applications Applicants May Submit

We will consider only one application from each organization. If we receive multiple applications from the same organization, we will only consider the most recently received application that met the deadline. If the most recent application is disqualified for any reason, we will not replace it with an earlier application.

IV.Application and Submission Information

A.How to Obtain an Application Package

This FOA, 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 FOA must consist of four separate and distinct parts:

(1) SF-424 “Application for Federal Assistance;”

(2) Project Budget;

(3) Project Narrative; and

(4) Attachments to the Project Narrative.

You must ensure that the funding amount requested is consistent across all parts and sub-parts of the application.

1.SF-424, “Application for Federal Assistance”

You must complete the SF-424, “Application for Federal Assistance” (available at http://apply07.grants.gov/apply/forms/sample/SF424_2_1-V2.1.pdf).

In the address field, fill out the nine-digit (plus hyphen) zip code. Nine-digit zip codes can be looked up on the USPS website at https://tools.usps.com/go/ZipLookupAction!input.action.

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 is considered the Authorized Representative of the applicant. As stated in block 21 of the SF-424 form, the 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://apply07.grants.gov/apply/forms/sample/SF424B-V1.1.pdf). You do not need to submit the SF-424B with the application.

Requirement for DUNS Number

All applicants for Federal grant and funding opportunities must have a 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.

Grant recipients authorized to make subawards must meet these requirements related to DUNS Numbers

• Grant recipients must notify potential subawardees that no entity may receive a subaward from you unless the entity has provided its DUNS number to you.

• Grant recipients may not make a subaward to an entity unless the entity has provided its DUNS number to you.

(See Appendix A to 2 CFR part 25.)

Requirement for Registration with SAM

Applicants must register with the System for Award Management (SAM) before submitting an application. Find instructions for registering with SAM can at https://www.sam.gov.

A recipient 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 update 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. If an applicant has not fully complied with these requirements by the time the Grant Officer is ready to make a Federal award, the Grant Officer may determine that the applicant is not qualified to receive a Federal award and use that determination as a basis for making a Federal award to another applicant.

2.Project Budget

You must complete the SF-424A Budget Information Form (available at: http://apply07.grants.gov/apply/forms/sample/SF424A-V1.0.pdf). In preparing the Budget Information Form, you 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) that will work directly on this grant. 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. Do not include names and other personal information in the Budget Narrative. The “Budget Justification” (section IV.B.3.(5)) accompanying the Project Narrative is the only element of the application that may include salary information.

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, number of staff, 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 you expect to purchase which has an estimated acquisition cost of $5,000 or more per unit (or if your capitalization level is less than $5,000, use your capitalization level) and a useful lifetime of more than one year (see 2 CFR 200.33 for the definition of Equipment). List the quantity and unit cost per item. Items with a unit cost of less than $5,000 are supplies, not “equipment”. In general, we do not permit the purchase of equipment during the last funded year of the grant.

Supplies: Identify categories of supplies (e.g. office supplies) in the detailed budget and list the quantity and unit cost per item. Supplies include all tangible personal property other than “equipment” (see 2 CFR 200.94 for the definition of Supplies).

Contractual: Under the Contractual line item, delineate contracts and subawards separately. Contracts are defined according to 2 CFR 200.22 as a legal instrument by which a non-Federal entity purchases property or services needed to carry out the project or program under a Federal award. A subaward, defined by 2 CFR 200.92, means an award provided by a pass-through entity to a subrecipient for the subrecipient to carry out part of a Federal award received by the pass-through entity. It does not include payments to a contractor or payments to an individual that is a beneficiary of a Federal program.

For each proposed contract and subaward, specify the purpose and estimated cost.

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. We do not consider this as construction and you must show the costs on other appropriate lines such as Contractual.

Other: Provide clear and specific detail, including costs, for each item so that we are able to determine whether the costs are necessary, reasonable and allocable. List any item, such as stipends or incentives, not covered elsewhere here.

Indirect Costs: If you include indirect costs in the budget, then include one of the following:

a) If you have a Negotiated Indirect Cost Rate Agreement (NICRA), provide an explanation of how the indirect costs are calculated. This explanation should include which portion of each line item, along with the associated costs, are included in your cost allocation base. Also provide a current version of the NICRA.

b) If you intend to claim indirect costs using the 10 percent de minimis rate, please confirm that your organization meets the requirements as described in 2 CFR 200.414(f). Clearly state that your organization has never received a Negotiated Indirect Cost Rate Agreement (NICRA), and your organization is not one described in Appendix VII of 2 CFR 200, paragraph (D)(1)(b).

Applicants choosing to claim indirect costs using the de minimis rate must use Modified Total Direct Costs (see 2 CFR 200.68 below for definition) as their cost allocation base. Provide an explanation of which portion of each line item, along with the associated costs, are included in your cost allocation base. Note that there are various items not included in the calculation of Modified Total Direct Costs. See below the definitions to assist you in your calculation.

2 CFR 200.68 Modified Total Direct Cost (MTDC) means all direct salaries and wages, applicable fringe benefits, materials and supplies, services, travel, and up to the first $25,000 of each subaward (regardless of the period of performance of the subawards under the award). MTDC excludes equipment, capital expenditures, charges for patient care, rental costs, tuition remission, scholarships and fellowships, participant support costs and the portion of each subaward in excess of $25,000. Other items may only be excluded when necessary to avoid a serious inequity in the distribution of indirect costs, and with the approval of the cognizant agency for indirect costs.

You will note that participant support costs are not included in modified total direct cost. Participant support costs are defined below.

2 CFR 200.75 Participant Support Cost means direct costs for items such as stipends or subsistence allowances, travel allowances, and registration fees paid to or on behalf of participants or trainees (but not employees) in connection with conferences, or training projects.

See Section IV.B.4. and Section IV.E.1 for more information. Additionally, the following link contains information regarding the negotiation of Indirect Cost Rates at DOL: http://www.dol.gov/oasam/boc/dcd/index.htm.

Note that the SF-424, SF-424A, and budget narrative must include the entire Federal grant amount requested (not just one year). Applicants must also show cost sharing or match on the SF-424 (line 18b), SF-424A, and budget narrative.

Do not show leveraged resources on the SF-424 and SF-424A. You should describe leveraged resources in the budget narrative.

Applicants should list the same requested Federal grant amount on the SF-424, SF-424A, and budget narrative. If minor inconsistencies are found between the budget amounts specified on the SF-424, SF-424A, and the budget narrative, ETA will consider the SF-424 the official funding amount requested. However, if the amount specified on the SF-424 would render the application nonresponsive, the Grant Officer will use his or her discretion to determine whether the intended funding request and match are within the responsive range.

3.Project Narrative

Preparing the Project Narrative

The Project Narrative must demonstrate your capability to implement the grant project in accordance with the provisions of this Announcement. It provides a comprehensive framework and description of all aspects of the proposed project. It must be succinct, self-explanatory, and well organized so that reviewers can understand the proposed project.

The Project Narrative is limited to 20 double-spaced single-sided 8.5 x 11 inch pages with Times New Roman 12 point text font and 1 inch margins. You must number the Project Narrative beginning with page number 1. We will not read or consider any materials beyond the specified page limit in the application review process.

There are five (5) major sections of the project narrative that must be addressed in the application:

(1) Statement of Need

(2) Expected Outcomes and Outputs

(3) Project Design (requirements are broken out according to the state’s launch point)

(4) Organizational, Administrative, and Fiscal Capacity

(5) Budget and Budget Justification

The following instructions provide all of the information needed to complete the Project Narrative. Carefully read and consider each section, and include all required information in your Project Narrative. Section V.A, “Criteria,” provides the evaluation criteria for each of the project narrative sections and assigns a rating/score for each section. The agency will evaluate the Project Narrative using the evaluation criteria identified in Section V.A. You must use the same section headers identified below for each section of the Project Narrative.

Statement of Need

Applicants must clearly articulate the need for a state workforce longitudinal administrative database including the nature and scope of any identified problems and consequences of not addressing the need.

The state’s launch point must be identified/labeled (as described in Section I.A as LP1, LP2, or LP3) and described. Proposals from applicants with new or planned workforce longitudinal administrative database must include a discussion on why the state has decided to develop a workforce longitudinal administrative database and what purpose it will serve. Applicants with partially-developed workforce longitudinal databases must include a discussion on the current status of the state’s workforce longitudinal administrative database and how this funding will allow for full implementation. Applicants with comprehensive databases must include a discussion on the current status of the state’s database and the need to expand the breadth of workforce data collected.

Applicants that intend to apply for the super grant opportunity to integrate their workforce longitudinal administrative database with the state case management, performance reporting, and/or fiscal reporting systems must identify as LP3, having a comprehensive database, and clearly state their intention to apply for the system(s) integration opportunity. In addition to the requirement of discussing the current status and need to expand, as stated in the paragraph above, applicants must clearly describe the need to integrate IT infrastructure across multiple components of state data systems.

All applicants must briefly describe the current status of the state’s Statewide Longitudinal Data Systems (SLDS), if any, including any current plans to further develop the state’s SLDS. The status description must include the ability to link K-12 and post-secondary education records to workforce records.

If the applicant is planning to partner with a research entity, or has existing partnerships, the application must describe why the state chose to outsource the activity (e.g., describe limitations of capacity, or decision to maintain an existing partnership).

All applicants must explain plans for sustaining these workforce longitudinal administrative databases beyond the 3-year grant period, including how their planned or existing MOUs and Data Sharing Agreements (DSAs) will be renewed with their partners to ensure continued maintenance and analysis of the workforce longitudinal administrative database. Super grant applicants also must propose plans for sustaining integration activities beyond the 3-year grant period. Continued Federal funding cannot be guaranteed, so applicants should considering identifying alternative funding sources, if available.

Expected Outcomes and Outputs^²

Applicants must clearly identify and list the proposed outcomes and outputs (i.e., deliverables such as products, features, benchmarks) that will result from the project. These outcomes and outputs should help address the needs and objectives the applicant identified in the Statement of Need. Outputs must be expressed as deliverables that can be shared with the Department at the end of the grant period.

The applicant must provide the state’s objective, in a sentence or two, for each of the following major activities listed below (each item is associated with the appropriate applicant type(s) as noted in parentheses):

Creating or expanding workforce longitudinal database (all applicants);
Improving the quality of workforce data (all applicants);
Developing or expanding the capacity to match workforce and education data (all applicants);
Using data for analysis of workforce and education programs (LP3);
Producing and disseminating workforce training provider performance information and outcomes (LP2 and LP3);
Creating user-friendly portals to inform consumer choice (LP2 and LP3); and
Integrating the longitudinal administrative database with an external IT data system such as the performance reporting system (applicants for the super grant opportunity).

Project Design

Applicants must outline a plan that describes the scope and required activities and work necessary to accomplish the project requirements listed below according to the state’s launch point and interest in applying for the system(s) integration opportunity. The project design must include a timeline for the completion of work that will be updated quarterly throughout the grant period of performance. Applicants must account for all functions or activities identified in the application, cite factors that might accelerate or decelerate the work and state the reason for taking the proposed approach rather than other approaches, and identify any potential barriers and describe how the project will be able to overcome those barriers. DO NOT include proprietary information in the application.

The requirements are broken out by the launch point. Please refer to your launch point section below for your specific requirements.

For Applicants with New or Planned Databases (LP1)

The application must address the following:

Database Design, Data Quality Assurance, and Proposed Uses

Applicants with no workforce longitudinal administrative database must provide a complete project plan that outlines system specifications, data analysis functionality, and a detailed description of the intended design of data content and usage.

Applicants must specify the planned layout for the data files that will be contained in the databases. This layout must include the format for the data records and the format and definition of each included data field. Applicants are encouraged to incorporate data elements from the Participant Individual Record Layout (PIRL)^³ for the workforce and education programs required under WIOA.

Applicants must also demonstrate the intended use of the following database design element:

Personal Identifier

Applicants must explain how the database will be developed using the social security number (SSN) or tax identification number as a unique personal identifier for individuals entering into the workforce system, in addition to jobseekers and employees already in the workforce system. The SSN is already in use throughout the workforce system and will allow States to gather this data longitudinally in order to accurately track movement into and out of workforce and education systems.^⁴ Although it is nearly uniformly collected on a voluntary basis, DOL recognizes that the workforce longitudinal administrative databases will be restricted to those individuals having supplied their SSN and therefore may not represent a complete database of all persons who are receiving workforce development services.

Applicants must also describe the capacity of the workforce longitudinal databases to link, consistent with FERPA requirements, to unique identifiers in the SLDS. Specifically, for SWAs where the workforce longitudinal database is emerging or undeveloped, applicants must describe their plans to match the data between the education and workforce databases.

Applicants must provide a clear description of how they will develop data validation measures and other quality assurance measures used to promote the quality, completeness, validity, and reliability of the data collected.

Scope of Longitudinal Workforce Data

Applicants must list the programs that will be included in the database and the plan to match data across each program. At a minimum, the database must include disaggregated individual-record data (including wage record information) for the following:

WIOA title I programs;
Adult Education and Family Literacy (AEFLA) program, authorized under WIOA title II;
Vocational Rehabilitation (VR) program, authorized under Title I of the Rehabilitation Act, 1973, as amended by WIOA title IV;
Employment Service program authorized under the Wagner-Peyser Act, as amended by WIOA title III;
Trade Adjustment Assistance for Workers program under the Trade Act of 1974, title II, as amended, and Trade Readjustment Allowances program data;
UI wage record information from quarter to quarter measuring employment and income earning gains;
UI benefit data including demographic information associated with UI benefit payments; and
Federal employment data.

Applicants are also encouraged to include data from other education and human services programs such as: Temporary Assistance for Needy Families; Supplemental Nutrition Assistance Program; Registered Apprenticeship; and data from other similar programs which may yield workforce-related outcomes.

Partnership with the State Education Agency

Applicants must describe how they will establish or maintain a relationship with the State education agency to link data between education and workforce databases, consistent with FERPA; where applicable, this relationship must include the State education agency leading the SLDS initiative. As specified in Section IV.B.4, the applicant must provide (as an attachment) a signed letter of agreement, or letter of intent, between the State workforce and education agencies.

Other Inter- and Intra-state Agency Partnerships

Participant data may be supplied by organizations within the SWA as well as outside agencies within and across State lines. Partnerships with state economic, human services, and other agencies provide an opportunity to match individual level data to the workforce longitudinal database. Applicants must describe, in detail, their strategy for developing partnerships with agencies inside and outside the state workforce system. These partnerships include (but are not restricted to) agencies such as the state revenue department, Department of Motor Vehicles, and other agencies outside of the SWA, where UI, WIOA, or other programs are administered in full or in part in that agency.

Documentation of proposed and/or existing partner relationships may include brief descriptions of existing or proposed MOUs, letters of support, and/or detailed plans for working relationships and shared responsibilities. In all cases, partnerships must be forged to gather relevant workforce and education data.

Data Sharing Agreements (DSA)

For each program data set included in the workforce longitudinal administrative database, applicants must submit copies of DSAs with the agencies that are responsible for the collection, retention, use, and release of the programmatic data. DSAs included as attachments to the Project Narrative will not count against the page limit.

The DSA must outline the storage, permissible use, ongoing maintenance, and disposition of the data and address the following requirements:

How data will be exchanged between partners;
The purposes for which the data will be used;
How and when the data will be disseminated;
Which entity maintains control of the data;
Which entity actually owns the data;
The intended methods of ensuring confidential collection, use and storage of the data; and
Which entities inside and outside of the data-sharing agreements will have access to the data.

DSAs that involve the disclosure of PII from education records must:

Designate the entity collecting the data as the authorized representative of the State educational authority to evaluate a federally or State supported education program;
Specify: (a) the PII to be disclosed; (b) the purpose for which the PII is disclosed to the authorized representative as stated in 34 CFR 99.35; and (c) a description of the activity with sufficient specificity to make clear that the work falls within the exception of 34 CFR 99.31(a)(3), including a description of how the PII will be used;
Require the authorized representative to destroy the PII when it is no longer needed for the purpose specified;
Specify the time period in which the PII must be destroyed; and
Establish policies and procedures, consistent with FERPA and other Federal and State confidentiality and privacy provisions, to protect PII from further disclosure (except back to the disclosing entity) and unauthorized use, including limiting use of PII to only authorized representatives with legitimate interests in the evaluation of a Federal or State-supported program. DSAs also should contain specific plans for secure data transfer and storage.

DSAs that involve the disclosure of UC information must:

Include a description of the specific information to be disclosed and the purposes for which the information is sought.
Include a description of the specific information to be disclosed and the purposes for which the information is sought.
Require the recipient to use disclosed information only for purposes authorized by law and consistent with the written agreement it entered into meeting the requirements of 20 CFR 603.10.
Include a description of the methods and timing of requests for information and responses to those requests, including the format to be used.
Provision for paying the State UC agency for any costs of furnishing the information. Grant funds may be used to pay costs associated with any disclosure of UC information if not more than an incidental amount of staff time and no more than nominal processing costs are involved in making the disclosure.
Include a statement that those who may receive information under the agreement will be limited to those with a need to access it for purposes listed in the agreement and that they will only access the information for those purposes.
Provision for safeguarding the information disclosed, as required by section 20 CFR 603.9.
Information disclosed must not be retained with PII for longer than such period of time as the State or State UC agency deems appropriate on a case-by-case basis. The length of the retention period will be determined by the purpose for the disclosure, required under 20 CFR 603.10(b)(1), and any retention laws to which the recipient is subject.
After the purpose for the disclosure has been served, the recipient must dispose of the confidential information. Disposal means return of the information to the disclosing State or State UC agency or destruction of the information as directed by the State or State UC agency. Disposal includes deletion of PII by the State or State UC agency in lieu of destruction. 20 CFR 603.9(b)(1)(vi).
Require recipients to maintain a system sufficient to allow an audit of compliance with safeguards and security requirements. 20 CFR 603.9(b)(1)(vii). Provision for on-site inspections of the education agency, entity, or contractor to assure that the requirements of the State’s law and the agreement are being met.

Grantees should consider developing DSAs with the DOL to obtain individual-level data for various programs for which DOL is the data administrator. The Department encourages the production of full- or limited-scope public use data files that will be hosted by the SWA or an agreed upon designated host.

Applicants should also discuss, in detail, any potential barriers to sharing data with partner agencies, and discuss feasible proposed solutions to overcome these barriers.

State-based Wage Data Matching Systems

Applicants must clearly describe their ability to implement state-based wage data matching infrastructure to improve performance reporting capabilities, including reporting of outcomes for eligible training providers. The description should include how this integration will support the successful implementation of the performance accountability requirements under WIOA.

Confidentiality

Applicants must thoroughly describe the methods and procedures (e.g., through MOUs, letters of intent, and DSAs) for assuring the security and confidentiality of the collection, storage, and use of all data contained in the workforce longitudinal administrative database, including protection of PII. Applicants must describe how confidentiality in research, evaluation, and performance management will be maintained. The applicant must also explain the security responsibilities of the SWA and its partners.

Applicants must describe the confidentiality procedures that will be used to protect PII, including requirements for the actual collection of data, data transmission, maintenance of computerized data files, reporting and publication of data, and compliance with State and Federal PII privacy and confidentiality statutes and regulations. Applicants must also describe under what circumstances PII data will be made available, to whom, and to what level of specificity, in accordance with confidentiality laws. Applicants should consult recommendations released from the National Institute of Standards and Technology (NIST) on the protection of PII.

Applicants must identify staff-level positions that will be granted access to confidential data and the corresponding level of access for each position. Staff that will be granted access to confidential data are expected to observe rules set by the State university’s IRB. Additionally, it can be assumed, for the purpose of this application, that all proposed employees will be subject to Federal laws governing data-sharing, transfer of data, and PII confidentiality, including but not limited to the requirements of FERPA, 20 U.S.C. 1232g and 34 CFR Part 99.

For Applicants with a Partially-Developed Database (LP2)

The application must address the following:

Database Design, Data Quality Assurance, and Proposed Uses

Applicants with a partially-developed workforce longitudinal database must clearly describe the existing database design, including data analysis functionality, and provide a detailed description of the outstanding design requirements and data content, as appropriate, necessary for full implementation.

Applicants must specify the actual record layout for the data files contained in the database, and any proposed changes to the record layout. This layout must include the format for the data records, and the format and definition of each included data field. Applicants should incorporate data elements from the Participant Individual Record Layout (PIRL)^⁵ for the workforce and education programs required under WIOA.

Applicants must confirm the actual use of the following database design element:

Personal Identifier
Applicants must confirm the actual use of the personal identifier, explain how the SSN or tax ID number serves as a unique identifier, and discuss any plans to advance the current system for assigning the unique identifiers to link across multiple systems.^⁶

Applicants also must describe their current plan for linking data in the workforce longitudinal databases to, consistent with FERPA requirements, unique identifiers in the SLDS.

Applicants must provide a clear description of how they will improve current data validation measures and other quality assurance measures used to promote the quality, completeness, validity, and reliability of the data collected.

Scope of Longitudinal Workforce Data

Applicants must list the programs that are, or will be, included in the database and the plan to match data across each program. At a minimum, the database must include disaggregated individual-record data (including wage record information) for the following:

WIOA title I programs;
Adult Education and Family Literacy (AEFLA) program, authorized under WIOA title II;
Vocational Rehabilitation (VR) program, authorized under Title I of the Rehabilitation Act, 1973, as amended by WIOA title IV;
Employment Service program authorized under the Wagner-Peyser Act, as amended by WIOA title III;
Trade Adjustment Assistance for Workers program under the Trade Act of 1974, title II, as amended, and Trade Readjustment Allowances program data;
UI wage record information from quarter to quarter measuring employment and income earning gains;
UI benefit data including demographic information associated with UI benefit payments;
Federal employment data.

Partnership with the State Education Agency

Applicants must describe how they will continue the relationship with their state education agency; where applicable, this relationship must include the State education agency leading the SLDS initiative. As specified in Section IV.B.4, the applicant must provide (as an attachment) a signed letter of agreement between the state workforce and education agencies.

Other Inter- and Intra-state Agency Partnerships

Participant data may be supplied by organizations within the SWA as well as outside agencies within and across State lines. Partnerships with state economic, human services, and other agencies (such as the state revenue department or Department of Motor Vehicles) provide an opportunity to match individual level data to the workforce longitudinal database. Applicants must identify current partnerships and describe their plan for maintaining these partnerships. Applicants also must detail their strategy for expanding to other agencies inside and outside the state workforce system. Applicants must identify the specific agency(ies), provide a reference for their authority, and document their willingness to provide regular access to their data.

Data Sharing Agreements

The DSA must outline the storage, permissible use, ongoing maintenance, and disposition of the data and address the following requirements:

How data will be exchanged between partners;
The purposes for which the data will be used;
How and when the data will be disseminated;
Which entity maintains control of the data;
Which entity actually owns the data;
The intended methods of ensuring confidential collection, use and storage of the data; and
Which entities inside and outside of the data-sharing agreements will have access to the data.

DSAs that involve the disclosure of PII from education records must:

Designate the entity collecting the data as the authorized representative of the State educational authority to evaluate a federally or State supported education program;
Specify: (a) the PII to be disclosed; (b) the purpose for which the PII is disclosed to the authorized representative as stated in 34 CFR 99.35; and (c) a description of the activity with sufficient specificity to make clear that the work falls within the exception of 34 CFR 99.31(a)(3), including a description of how the PII will be used;
Require the authorized representative to destroy the PII when it is no longer needed for the purpose specified;
Specify the time period in which the PII must be destroyed; and
Establish policies and procedures, consistent with FERPA and other Federal and State confidentiality and privacy provisions, to protect PII from further disclosure (except back to the disclosing entity) and unauthorized use, including limiting use of PII to only authorized representatives with legitimate interests in the evaluation of a Federal or State-supported program. DSAs also should contain specific plans for secure data transfer and storage.

DSAs that involve the disclosure of UC information must:

Include a description of the specific information to be disclosed and the purposes for which the information is sought.
Include a description of the specific information to be disclosed and the purposes for which the information is sought.
Require the recipient to use disclosed information only for purposes authorized by law and consistent with the written agreement it entered into meeting the requirements of 20 CFR 603.10.
Include a description of the methods and timing of requests for information and responses to those requests, including the format to be used.
Provision for paying the State UC agency for any costs of furnishing the information. Grant funds may be used to pay costs associated with any disclosure of UC information if not more than an incidental amount of staff time and no more than nominal processing costs are involved in making the disclosure.
Include a statement that those who may receive information under the agreement will be limited to those with a need to access it for purposes listed in the agreement and that they will only access the information for those purposes.
Provision for safeguarding the information disclosed, as required by section 20 CFR 603.9.
Information disclosed must not be retained with PII for longer than such period of time as the State or State UC agency deems appropriate on a case-by-case basis. The length of the retention period will be determined by the purpose for the disclosure, required under 20 CFR 603.10(b)(1), and any retention laws to which the recipient is subject.
After the purpose for the disclosure has been served, the recipient must dispose of the confidential information. Disposal means return of the information to the disclosing State or State UC agency or destruction of the information as directed by the State or State UC agency. Disposal includes deletion of PII by the State or State UC agency in lieu of destruction. 20 CFR 603.9(b)(1)(vi).
Require recipients to maintain a system sufficient to allow an audit of compliance with safeguards and security requirements. 20 CFR 603.9(b)(1)(vii). Provision for on-site inspections of the education agency, entity, or contractor to assure that the requirements of the State’s law and the agreement are being met.

Applicants should also discuss, in detail, any potential barriers to sharing data with partner agencies, and discuss feasible proposed solutions to overcome these barriers.

State-based Wage Data Matching Systems

Applicants must clearly describe their ability to implement or expand their state-based wage data matching infrastructure to improve performance reporting capabilities, including reporting of outcomes for eligible training providers. The description should include how this integration will support the successful implementation of the performance accountability requirements under WIOA.

Confidentiality

For Applicants with a Comprehensive Database (LP3)

The application must address the following:

Database Design, Data Quality Assurance, and Proposed Uses

Applicants with a comprehensive and operational workforce longitudinal administrative database must clearly describe the existing database design, including data analysis functionality, and provide a detailed description of any plans to upgrade the current design and/or data content, as appropriate.

Applicants must specify the actual record layout for the data files contained in the database, and any proposed changes to the record layout. This layout must include the format for the data records, and the format and definition of each included data field. Applicants should incorporate data elements from the Participant Individual Record Layout (PIRL)^⁷ for the workforce and education programs required under WIOA.

Applicants must confirm the actual use of the personal identifier, explain how the SSN or tax ID number serves as a unique identifier, and discuss any plans to advance the current system for assigning the unique identifiers to link across multiple systems.^⁸

Scope of Longitudinal Workforce Data

Applicants must list the programs that are currently included in the database and identify programs that the state plans recruit. Applicants must confirm that, at a minimum, the database includes disaggregated individual-record data (including wage record information) for the following:

WIOA title I programs;
Adult Education and Family Literacy (AEFLA) program, authorized under WIOA title II;
Vocational Rehabilitation (VR) program, authorized under Title I of the Rehabilitation Act, 1973, as amended by WIOA title IV;
Employment Service program authorized under the Wagner-Peyser Act, as amended by WIOA title III;
Trade Adjustment Assistance for Workers program under the Trade Act of 1974, title II, as amended, and Trade Readjustment Allowances program data;
UI wage record information from quarter to quarter measuring employment and income earning gains;
UI benefit data including demographic information associated with UI benefit payments;
Federal employment data.

Partnership with the State Education Agency

Applicants must describe how they plan to continue their relationship with their state education agency leading the SLDS initiative. As specified in Section IV.B.4, the applicant must provide (as an attachment) a signed letter of agreement between the State workforce and education agencies.

Other Inter- and Intra-state Agency Partnerships

Participant data may be supplied by organizations within the SWA as well as outside agencies within and across State lines. Partnerships with state economic, human services, and other agencies (such as the state revenue department or Department of Motor Vehicles) provide an opportunity to match individual level data to the workforce longitudinal database. Applicants must identify current partnerships and describe their plan for maintaining these partnerships. Applicants also must detail their strategy for expanding to other agencies inside and outside the state workforce system. Applicants must identify the specific agency(ies), provide a reference for their authority, and document their willingness to provide regular access to their data.

Data Sharing Agreements

The DSA must outline the storage, permissible use, ongoing maintenance, and disposition of the data and address the following requirements:

How data will be exchanged between partners;
The purposes for which the data will be used;
How and when the data will be disseminated;
Which entity maintains control of the data;
Which entity actually owns the data;
The intended methods of ensuring confidential collection, use and storage of the data; and
Which entities inside and outside of the data-sharing agreements will have access to the data.

DSAs that involve the disclosure of PII from education records must:

Designate the entity collecting the data as the authorized representative of the State educational authority to evaluate a federally or State supported education program;
Specify: (a) the PII to be disclosed; (b) the purpose for which the PII is disclosed to the authorized representative as stated in 34 CFR 99.35; and (c) a description of the activity with sufficient specificity to make clear that the work falls within the exception of 34 CFR 99.31(a)(3), including a description of how the PII will be used;
Require the authorized representative to destroy the PII when it is no longer needed for the purpose specified;
Specify the time period in which the PII must be destroyed; and
Establish policies and procedures, consistent with FERPA and other Federal and State confidentiality and privacy provisions, to protect PII from further disclosure (except back to the disclosing entity) and unauthorized use, including limiting use of PII to only authorized representatives with legitimate interests in the evaluation of a Federal or State-supported program. DSAs also should contain specific plans for secure data transfer and storage.

DSAs that involve the disclosure of UC information must:

Include a description of the specific information to be disclosed and the purposes for which the information is sought.
Include a description of the specific information to be disclosed and the purposes for which the information is sought.
Require the recipient to use disclosed information only for purposes authorized by law and consistent with the written agreement it entered into meeting the requirements of 20 CFR 603.10.
Include a description of the methods and timing of requests for information and responses to those requests, including the format to be used.
Provision for paying the State UC agency for any costs of furnishing the information. Grant funds may be used to pay costs associated with any disclosure of UC information if not more than an incidental amount of staff time and no more than nominal processing costs are involved in making the disclosure.
Include a statement that those who may receive information under the agreement will be limited to those with a need to access it for purposes listed in the agreement and that they will only access the information for those purposes.
Provision for safeguarding the information disclosed, as required by section 20 CFR 603.9.
Information disclosed must not be retained with PII for longer than such period of time as the State or State UC agency deems appropriate on a case-by-case basis. The length of the retention period will be determined by the purpose for the disclosure, required under 20 CFR 603.10(b)(1), and any retention laws to which the recipient is subject.
After the purpose for the disclosure has been served, the recipient must dispose of the confidential information. Disposal means return of the information to the disclosing State or State UC agency or destruction of the information as directed by the State or State UC agency. Disposal includes deletion of PII by the State or State UC agency in lieu of destruction. 20 CFR 603.9(b)(1)(vi).
Require recipients to maintain a system sufficient to allow an audit of compliance with safeguards and security requirements. 20 CFR 603.9(b)(1)(vii). Provision for on-site inspections of the education agency, entity, or contractor to assure that the requirements of the State’s law and the agreement are being met.

Applicants should also discuss, in detail, any potential barriers to sharing data with partner agencies, and discuss feasible proposed solutions to overcome these barriers.

State-based Wage Data Matching Systems

Confidentiality

Planned Reports and/or Deliverables

Applicants must include their plans to conduct analysis and research projects to produce reports that provide information about statewide performance of the workforce system. The database should facilitate the evaluation of what works at the state, inter-state, and federal levels. The database also should make available information about participant demographics and service receipt. Applicants must describe the policy questions that they will use the longitudinal administrative database to answer. Applicants should describe how stakeholders can use the reports to improve the workforce system including providing access to demographic and service information. (Not every partner must be included in each report.) Applicant must also describe the extensive research and analysis products that will be generated beyond the regular reporting and analysis requirements.

All applicants must describe their plan to produce and disseminate workforce provider performance information and outcomes to the public in a standardized, easy to understand format (e.g., dashboard, scorecards, or integrated digital platforms), consistent with all applicable Federal and State privacy laws.

For Applicants Applying for the IT System(s) Integration Opportunity (super grant)

In addition to the requirements above for states with a comprehensive database (LP3), SWAs applying for the systems integration portion of this grant also must address the following in the application:

Capacity

Applicant must thoroughly explain the state’s existing capacity to support the integration of an external case management, performance reporting, and/or fiscal reporting system into the state longitudinal administrative database. The discussion must include how partnerships between the state agency(ies) that maintains the external IT system and the SWA will be established and maintained for the duration of the grant period of performance and the roles and high level responsibilities for each partner. Documentation of proposed and/or existing partner relationships may include brief descriptions of existing or proposed MOUs, letters of support, and/or detailed plans for working relationships and shared responsibilities.

Proposed System for Integration into the Longitudinal Administrative Database

Applicants must clearly identify the state system(s) that will be integrated with the longitudinal administrative database and how this will support WIOA implementation activities. Applicants must explain why integration between the selected IT system(s) will support better workforce and education system alignment/collaboration.

System Design

Applicants must provide a detailed description of the system design plan to include proposed milestones and a timeline for progress. The design plan should identify the methods of integration (i.e., vertical or horizontal) and a discussion on why this method was chosen. The systems for the different programs should be interoperable, not only to maximize the utility of the system, but to also allow for unified or streamlined intake and service delivery, to be able to track participation across programs, and to facilitate use of the data by multiple stakeholders.

Organizational, Administrative, and Fiscal Capacity

Provide information on the applicant organization’s current mission, structure, staffing, and relevant experience. Describe how these factors contribute to the ability of the organization to conduct the program requirements and meet program expectations. Include information about any organization(s) under contract (such as a state research university or other research entity) with the applicant that will have a significant role in implementing the project.

Applicants must provide a description of the following in their proposed or existing staffing structure (DO NOT include names, salaries, or any other personal information within the Project Narrative or the Abstract):

The workforce longitudinal database must be overseen by a Database or Project Manager who is qualified to work with large and complex longitudinal administrative databases. The applicant must clearly list the duties and responsibilities of this position. The applicant must also describe the kinds of prior experience that the Database or Project Manager possesses to fulfill these duties and responsibilities.
For SWAs applying for the system(s) integration opportunity, a Systems Integration Engineer, or equivalent, who is qualified to manage the complex operations involved in building these types of systems must be named for this portion of the project. The applicant must clearly list the duties and responsibilities of this position and any prior experience the Systems Integration Engineer, or equivalent, possesses to fulfill these duties and responsibilities.
The duties and responsibilities of a data analyst(s). The position descriptions of proposed staff positions including knowledge, skills, and abilities, as well as examples of the kinds of previous experience that make a candidate for the position highly qualified to assist with planning, implementing, and conducting analysis with these workforce longitudinal databases.
Describe how each staff member will be expected to facilitate or contribute to the various data-sharing partnerships. Verify that state employees (with the workforce agency, other agencies, or a state research institution for example) are already subject to state and institutional laws, regulations, or procedures governing confidential data-sharing and/or transfer and be sure to include this in your description of such staff under this section.
Identify what entity is to be the actual employer of each proposed staff member. For those who are not direct employees of the SWA, discuss how these individuals will contribute to the project and describe what their compensation levels will be.

Describe the fiscal and administrative controls in place to properly manage Federal funds. Include the organization’s capability to sustain some or all project activities after Federal financial assistance has ended.

Budget Justification

Please see Section IV.B.2 for information on requirements related to the budget and budget narrative. For the budget justification, provide a brief description of how your budget supports the activities that you have described in the project narrative.

This does not count against the page number limitation for the Project Narrative.

4.Attachments to the Project Narrative

In addition to the Project Narrative, you must submit attachments. All attachments must be clearly labeled as Attachments. We will only exclude those attachments listed below from the page limit.

You must not include additional materials such as resumés or general letters of support. You must submit your 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 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). You may use an underscore (example: my_Attached_File.pdf) to separate a file name.

Required Attachments

Abstract

You 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, the state’s launch point (LP1, LP2, LP3) and the funding level requested. The Abstract is limited to two-page double-spaced single sided 8.5x11 inch pages with 12 point text font and 1 inch margins. When submitting in grants.gov, this document must be uploaded as an attachment to the application package and specifically labeled “Abstract.”

Letter of agreement, or the equivalent, between the SWA and state education agency

Attach a signed letter of agreement, or equivalent, between the state workforce and education authorities, with a commitment to share participant information and outcomes for performance accountability purposes. The letter of agreement should describe the agencies’ plans for linking data between education and workforce databases.

Legislation in some states does not support data sharing (or is an impediment to data sharing) between state workforce and education agencies. If there are state-legislative or other barriers to sharing data between these agencies, the letter of agreement should describe how the agencies will address and overcome these barriers.

This attachment will impact scoring of the application.

Letter of agreement, or the equivalent, between the SWA and state research university or a research organization (as applicable)

Attach a signed letter of agreement, or equivalent, between the SWA and state research university or organization that will manage the longitudinal administrative database. The letter of agreement should describe the roles and responsibilities between the SWA and the state research university or research organization in designing, maintaining, accessing data, and ensuring that PII is protected.

This attachment will impact scoring of the application.

Letter of agreement, or the equivalent, between the SWA and the state agency or organization responsible for the IT system proposed for integration (for applicants applying for the super grant opportunity)

For SWAs applying for the super grant opportunity, include signed letters of agreement, or equivalent, between the SWA, state research university or research entity as applicable, and the state agency responsible for maintaining the data system proposed for integration with the longitudinal administrative database. The letter of agreement should delineate responsibilities between the agencies. If there are state legislative or other barriers to integrating the IT systems, the letter of agreement should describe how the agencies will address and overcome these barriers.

For SWAs working with a state research university or research entity, the state research university or research entity must be a party to the agreement between the SWA and the state agency or organization responsible for the IT system to be integrated into the longitudinal administrative database. The letter of agreement should clearly delineate responsibilities between all parties.

This attachment will impact scoring of the application.

Data-Sharing Agreements

For each program included in the workforce longitudinal database, attach copies of DSAs with the agencies that “own” the program data. The data sharing agreements must meet the requirements in IV.B.3.

For SWAs applying for the super grant opportunity, applicants must submit DSAs, or letters of intent to enter into DSAs, with the agency(ies) that is responsible for the data in the IT system proposed for integration with the longitudinal administrative database. If a DSA already exits with the agency(ies) to conduct this type of activity, applicants should highlight the appropriate section in the DSA for easy identification. The data sharing agreements must meet the requirements in IV.B.3.

This attachment will impact scoring of the application.

Requested Attachments

We request the following attachments, but their omission will not cause us to screen out the application. Furthermore, if the omission of the attachment will impact scoring, the description of the attachment will note such an impact.

Indirect Cost Rate Agreement

If you are requesting indirect costs based on a Negotiated Indirect Cost Rate Agreement approved by your Federal Cognizant Agency, then attach the most recently approved Agreement. (For more information, see Section IV.B.2. and Section IV.E.1.) This attachment does not impact scoring of the application.

C.Submission Date, Times, Process and Addresses

We will accept applications under this Announcement until [insert date XX days after the date of publication on Grants.gov]. You must submit your application either electronically on http://www.grants.gov or in hard copy by mail or in hard copy by hand delivery (including overnight delivery) no later than 4:00:00 p.m. Eastern Time on the closing date.

Applicants are encouraged to submit their application before the closing date to ensure that the risk of late receipt of the application is minimized. We will not accept applications sent by e-mail, telegram, or facsimile (FAX).

Applicants submitting applications in hard copy by mail or overnight delivery must submit a ‘‘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 must also include in the hard copy submission an identical electronic copy of the application on compact disc (CD). If we identify discrepancies between the hard copy submission and CD copy, we will consider the application on the CD as the official 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.

We will grant no exceptions to the mailing and delivery requirements set forth in this notice. Further, we will not accept documents submitted separately from the application, before or after the deadline, as part of the application.

Address mailed applications to the

U.S. Department of Labor

Employment and Training Administration

Office of Grants Management

Attention: Melissa Abdullah, Grant Officer

Reference FOA-ETA-17-01

200 Constitution Avenue, NW, Room N4716

Washington, DC 20210

Please note that mail decontamination procedures may delay mail delivery in the Washington DC area. We will receive hand-delivered applications at the above address at the 3^rd Street Visitor Entrance. 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.

Applicants submitting applications through Grants.gov must ensure successful submission at http://www.grants.gov no later than 4:00:00 p.m. Eastern Time on the closing date. Grants.gov will subsequently validate the application.

We describe the submission and validation process in more detail below. The process can be complicated and time-consuming. You are strongly advised to initiate the process as soon as possible and to plan for time to resolve technical problems. Note that validation does not mean that your application has been accepted as complete or has been accepted for review. Rather, grants.gov only verifies the submission of certain parts of an application.

We strongly recommend that before you begin to write the application, you immediately initiate and complete the “Get Registered” registration steps at http://www.grants.gov/web/grants/register.html.

You 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 the Step-By-Step Guide to Organization Registration to help applicants walk through the process.

We strongly recommend that you download the Guide at http://www.grants.gov/documents/19/18243/GrantsgovOrganizationRegistrationGuide.pdf/be70525d-59aa-45ee-b196-5e8951faca0a 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., you must have a DUNS Number and you must register with SAM.gov before submitting an application.

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 about AOR Authorization visit: 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. You must register the individual who is able to make legally binding commitments for your 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 later successfully validated will be considered. It is your sole responsibility 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, enough 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 enough time is not allotted and a rejection notice is received after the due date and time, DOL will not consider the application.

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. We will attempt to open the document, but will not take any additional measures in the event of problems with opening.

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-faqs.html.

To receive updated information about critical issues, new tips for users and other time sensitive updates as information is available, you may subscribe to “Grants.gov Updates” at http://www.grants.gov/web/grants/manage-subscriptions.html.

If you 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 [email protected].

The Grants.gov Contact Center is open 24 hours a day, seven days a week. However, it is closed on Federal holidays.

Late Applications

For applications submitted on Grants.gov, we will consider only applications successfully submitted no later than 4:00:00 p.m. Eastern Time on the closing date and then successfully validated. You take a significant risk by waiting to the last day to submit through Grants.gov.

We will not consider any hard copy application received after the exact date and time specified for receipt at the office designated in this notice, unless we receive it 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, you 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.

D. Intergovernmental Review

This funding opportunity is not subject to Executive Order 12372, “Intergovernmental Review of Federal Programs.”

E.Funding Restrictions

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 Cost Principles, now found in the Office of Management and Budget’s Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards (Uniform Guidance), codified at 2 CFR Part 200 and at 2 CFR Part 2900 (Uniform Guidance-DOL specific). Disallowed costs are those charges to a grant that the grantor agency or its representative determines not to be allowed in accordance with the Cost Principles or other conditions contained in the grant. Applicants, whether successful or not, will not be entitled to reimbursement of pre-award costs.

1.Indirect Costs

As specified in the Uniform Guidance Cost Principles, indirect costs are those that have been incurred for common or joint objectives and cannot be readily identified with a particular final cost objective. An indirect cost rate is required when an organization operates under more than one grant or other activity, whether Federally-assisted or not. You have two options to claim reimbursement of indirect costs.

Option 1: You may use a NICRA or Cost Allocation Plan (CAP) supplied by the Federal Cognizant Agency. If you do not have a NICRA/CAP or have a pending NICRA/CAP, and in either case choose to include estimated indirect costs in your budget, at the time of award the Grant Officer will release funds in the amount of 10% of salaries and wages to support indirect costs. Within 90 days of award, you are required to submit an acceptable indirect cost proposal or CAP to your Federal Cognizant Agency to obtain a provisional indirect cost rate. (See Section IV.B.4. for more information on NICRA submission requirements.)

Option 2: Any organization that has never received a negotiated indirect cost rate, with the exceptions noted at 2 CFR 200.414(f) in the Cost Principles, may elect to charge a de minimis rate of 10% of modified total direct costs (see 2 CFR 200.68 for definition) which may be used indefinitely. If you choose this option, this methodology must be used consistently for all Federal awards until such time as you choose to negotiate for an indirect cost rate, which you may apply to do at any time. (See 2 CFR 200.414(f) for more information on use of the de minimis rate.) For WIOA grants, all costs charged as a result of the de minimis rate will be counted towards the administrative cost limitation specified below.

2.Salary and Bonus Limitations

None of the funds appropriated under the heading “Employment and Training” in the appropriation statute(s) may be used by a recipient or subrecipient of such funds to pay the salary and bonuses of an individual, either as direct costs or indirect costs, at a rate in excess of Executive Level II. This limitation does not apply to contractors providing goods and services as defined in the Audit Requirements of the OMB Uniform Guidance (see 2 CFR 200 Subpart F). Where States are recipients of such funds, States may establish a lower limit for salaries and bonuses of those receiving salaries and bonuses from subrecipients of such funds, taking into account factors including the relative cost-of-living in the State, the compensation levels for comparable State or local government employees, and the size of the organizations that administer Federal programs involved including Employment and Training Administration programs. See Public Law 113-235, Division G, Title I, section 105, and Training and Employment Guidance Letter number 05-06 for further clarification: http://wdr.doleta.gov/directives/corr_doc.cfm?DOCN=2262.

3.Intellectual Property Rights

Pursuant to 2 CFR 2900.13, to ensure that the Federal investment of DOL funds has as broad an impact as possible and to encourage innovation in the development of new learning materials, the grantee will be required to license to the public all work created with the support of the grant under a Creative Commons Attribution 4.0 (CC BY) license. Work that must be licensed under the CC BY includes both new content created with the grant funds and modifications made to pre-existing, grantee-owned content using grant funds.

This license allows subsequent users to copy, distribute, transmit and adapt the copyrighted Work and requires such users to attribute the Work in the manner specified by the grantee. Notice of the license shall be affixed to the Work. For general information on CC BY, please visit http://creativecommons.org/licenses/by/4.0.

Instructions for marking your work with CC BY can be found at http://wiki.creativecommons.org/Marking_your_work_with_a_CC_license.

Questions about CC BY as it applies to this specific funding opportunity should be submitted to the ETA Grants Management Specialist specified in Section VII.

Only work that is developed by the recipient in whole or in part with grants funds is required to be licensed under the CC BY license. Pre-existing copyrighted materials licensed to, or purchased by the grantee from third parties, including modifications of such materials; remain subject to the intellectual property rights the grantee receives under the terms of the particular license or purchase. In addition, works created by the grantee without grant funds do not fall under the CC BY license requirement.

The purpose of the CC BY licensing requirement is to ensure that materials developed with funds provided by these grants result in work that can be freely reused and improved by others. When purchasing or licensing consumable or reusable materials, the grantee is expected to respect all applicable Federal laws and regulations, including those pertaining to the copyright and accessibility provisions of the Federal Rehabilitation Act.

Separate from the CC BY license to the public, 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 subaward or contract under the grant or subaward; and ii) any rights of copyright to which the recipient, subrecipient 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, DOL treats such revenues as program income. Such 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.”

F.Other Submission Requirements

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

V.Application Review Information

A.Criteria

We have instituted procedures for assessing the technical merit of applications to provide for an objective review of applications and to assist you in understanding the standards against which your application will be judged. The evaluation criteria are based on the information required in the application as described in Sections IV.B.2. (Project Budget) and IV.B.3. (Project Narrative). Reviewers will award points based on the evaluation criteria described below:

Criterion	Points (maximum)
Statement of Need (See Section IV.B.3.(1) Statement of Need)	15
Expected Outcomes, and Outputs (See Section IV.B.3.(2) Expected Outcomes and Outputs)	10
Project Design (See Section IV.B.3.(3) Project Design)	55
Organizational, Administrative, and Fiscal Capacity (See Section IV.B.3.(4) Organizational, Administrative, and Fiscal Capacity)	15
Budget Justification (See Section IV.B.2. Project Budget and Section IV.B.3.(5))	5
TOTAL	100

1.Statement of Need (up to 15 points)

The extent to which the application demonstrates a comprehensive understanding of the need and the consequences of not addressing the need, based on the information provided in response to the requirements in section (1) of the Project Narrative (section IV.B.3.(1) of this FOA). (5 points)

The extent to which the application clearly identifies the launch point, explains the state’s need for a longitudinal administrative database, and proposes thoughtful project objectives that align with major activities listed in section (1) of the Project Narrative (section IV.B.3.(1) of this FOA) . (5 points)

The extent to which the application details a clear plan for sustaining these workforce longitudinal administrative databases beyond the 3-year grant period. For super grant applicants, the extent to which the application also demonstrates the applicant’s capacity and reasonable plan to sustain integration activities beyond the 3-year grant period. (5 points)

2.Expected Outcomes and Outputs (up to 10 points)

The extent to which the expected outcomes and outputs are realistic, clear, and consistent with the needs expressed in the Statement of Need.

The extent to which the applicant described the state’s objective for each of the major activities listed in Section IV.B.3.(2) of this FOA.

3.Project Design (up to 55 points)

The extent to which the application includes a reasonable timeline(s) for the completion of work, accounting for all functions or activities identified in the application, citing factors that might accelerate or decelerate the work and stating the reason for taking the proposed approach rather than other approaches (5 points).

The extent to which the application addresses all the information required in section 3 of the Project Narrative (section IV.B.3.(3) of this FOA) describing the scope, required activities and work necessary to accomplish the project requirements, and reflects a coherent and feasible approach requirements according to the applicant’s launch point and interest in the super grant opportunity. (50 points)

4.Organizational, Administrative, and Fiscal Capacity (up to 15 points)

The extent to which the applicant’s description of the information required in section (4) of the Project Narrative (section IV.B.3.(4) of the FOA) shows that organization has the capacity to carry out the proposed project. The extent to which key personnel have adequate time devoted to the project to achieve project results. The level of qualifications and experience of personnel to fulfill the needs and requirements of the proposed project. (10 points)

The strength of the fiscal and administrative controls to properly manage Federal funds. The capability of the organization to sustain project activities after Federal financial assistance ends. (5 points)

5.Budget Justification (up to 5 points)

The extent to which the budget is reasonable based on the activities outlined in the project narrative and whether the use of grant funds is clearly supported by the project activities as explained in the budget justification. (5 points)

B.Review and Selection Process

1.Merit Review and Selection Process

A technical merit review panel will carefully evaluate applications against the selection criteria to determine the merit of applications. These criteria are based on the policy goals, priorities, and emphases set forth in this FOA. Up to 100 points may be awarded to an applicant, depending on the quality of the responses provided. The final scores (which may include the mathematical normalization of review panels) will serve as the primary basis for selection of applications for funding. The panel results are advisory in nature and not binding on the Grant Officer. The Grant Officer reserves the right to make selections based solely on the final scores or to take into consideration other relevant factors when applicable. Such factors may include the geographic distribution of funds and/or other relevant factors. 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.

2.Risk Review Process

Prior to making an award, ETA will review information available through any OMB-designated repository of government-wide eligibility qualification or financial integrity information, such as Federal Awardee Performance and Integrity Information System (FAPIIS), Dun and Bradstreet, and “Do Not Pay.” Additionally, ETA will comply with the requirements of 2 CFR Part 180 codified by DOL at 29 CFR Part 98 [Government-wide Debarment and Suspension (Non-procurement)]. This risk evaluation may incorporate results of the evaluation of the applicant’s eligibility (application screening) or the quality of its application (merit review). If ETA determines that an award will be made, special conditions that correspond to the degree of risk assessed may be applied to the award. Criteria to be evaluated include:

Financial stability;
Quality of management systems and ability to meet the management standards prescribed in the Uniform Grant Guidance;
History of performance. The applicant’s record in managing awards, cooperative agreements, or procurement awards, if it is a prior recipient of such Federal awards, including timeliness of compliance with applicable reporting requirements and, if applicable, the extent to which any previously awarded amounts will be expended prior to future awards;
Reports and findings from audits performed under Subpart F – Audit Requirements of the Uniform Grant Guidance or the reports and findings of any other available audits and monitoring reports containing findings, issues of non-compliance or questioned costs;
The applicant’s ability to effectively implement statutory, regulatory, or other requirements imposed on recipients.

NOTE: As part of ETA’s Risk Review process, the Grant Officer will determine:

If the applicant had any restriction on spending for any ETA grant due to adverse monitoring findings; or
If the applicant received a High Risk determination in accordance with Training and Employment Guidance Letter (TEGL) 23-15.

Depending on the severity of the findings and whether the findings were resolved, the Grant Officer may, at his/her discretion, elect to not fund the applicant for a grant award regardless of the applicant’s score in the competition.

VI.Award Administration Information

A.Award Notices

All award notifications will be posted on the ETA Homepage (http://www.doleta.gov). Applicants selected for award will be contacted directly before the grant’s execution. Non-selected applicants will be notified by mail or email and may request a written debriefing on the significant weaknesses of their application.

Selection of an organization as a recipient does not constitute approval of the grant application as submitted. Before the actual grant is awarded, we 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. We reserve the right to not fund any application related to this FOA.

B.Administrative and National Policy Requirements

1.Administrative Program Requirements

All grantees will be subject to all applicable Federal laws, regulations—including the OMB Uniform Guidance, and the terms and conditions of the award. The grant(s) awarded under this FOA will be subject to the following administrative standards and provisions:

Non-Profit Organizations, Educational Institutions, For-profit entities and State, Local and Indian Tribal Governments – 2 CFR Part 200 (Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards) and 2 CFR 2900 (DOL’s Supplement to 2 CFR Part 200)
All recipients must comply with the applicable provisions of the Workforce Innovation and Opportunity Act (WIOA), Public Law No. 113-328, 128 Stat. 1425 (codified as amended at 29 U.S.C. 3101 et seq.)and the applicable provisions of the regulations at 20 CFR 675 et seq. Note that 20 CFR part 683 (Administrative Provisions) allows unsuccessful applicants to file administrative appeals.
All entities must comply with 29 CFR Part 93 (New Restrictions on Lobbying), 29 CFR Part 94 (Governmentwide Requirements for Drug-Free Workplace (Financial Assistance)), 29 CFR Part 98 (Governmentwide Debarment and Suspension, and drug-free workplace requirements), and, where applicable, 2 CFR Part 200 (Audit Requirements).
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.
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.
29 CFR Part 32—Nondiscrimination on the Basis of Handicap in Programs or Activities Receiving Federal Financial Assistance.
29 CFR Part 35— Nondiscrimination on the Basis of Age in Programs or Activities Receiving Federal Financial Assistance from the Department of Labor.
29 CFR Part 36—Nondiscrimination on the Basis of Sex in Education Programs or Activities Receiving Federal Financial Assistance.
29 CFR Part 38 – Implementation of the Nondiscrimination and Equal Opportunity Provisions of the Workforce Innovation and Opportunity Act.
29 CFR Parts 29 and 30—Labor Standards for the Registration of Apprenticeship Programs, and Equal Employment Opportunity in Apprenticeship and Training, as applicable.
General Terms and Conditions of Award—see the following link: www.doleta.gov/grants/resources.cfmXXXXX.

2.Other Legal Requirements:

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 this grant solicitation and maintain that hiring practice. If a faith-based organization is awarded a grant, the organization will be provided with more information.

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 2 CFR 200.450 for more information).

Transparency Act Requirements

You must ensure that you 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:

Except for those excepted from the Transparency Act under sub-paragraphs 1, 2, and 3 below, you must ensure that you 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, you 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:

(1) Federal awards to individuals who apply for or receive Federal awards as natural persons (i.e., unrelated to any business or non-profit organization he or she may own or operate in his or her name);

(2) Federal awards to entities that had a gross income, from all sources, of less than $300,000 in the entities' previous tax year; and

(3) Federal awards, if the required reporting would disclose classified information.

Safeguarding Data Including Personally Identifiable Information (PII)

Applicants submitting applications in response to this FOA 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, you 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 recipient/s will be performed in a manner consistent with applicable state and Federal laws.

By submitting a grant application, you agree 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:

1. You must ensure that PII and sensitive data developed, obtained, or otherwise associated with DOL/ETA funded grants is securely transmitted.

2. 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. You must not e-mail unencrypted sensitive PII to any entity, including ETA or contractors.

3. You 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. You must maintain such PII in accordance with the ETA standards for information security described in TEGL NO. 39-11 and any updates to such standards we provide to you. Grantees who wish to obtain more information on data security should contact their Federal Project Officer.

4. You must ensure that any PII used during the performance of your grant has been obtained in conformity with applicable Federal and state laws governing the confidentiality of information.

5. You further acknowledge that all PII data obtained through your ETA grant must be stored in an area that is physically safe from access by unauthorized persons at all times and the data will be processed using recipient 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-recipient managed IT services, e.g., Yahoo mail, is strictly prohibited unless approved by ETA.

6. Your 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.

7. You must have policies and procedures in place under which your 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.

8. You must not extract information from data supplied by ETA for any purpose not stated in the grant agreement.

9. 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.

10. 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.

11. PII data obtained by the recipient through a request from ETA must not be disclosed to anyone but the individual requestor except as permitted by the Grant Officer or by court order.

12. You 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 you are complying with the confidentiality requirements described above. In accordance with this responsibility, you must make records applicable to this Agreement available to authorized persons for the purpose of inspection, review, and/or audit.

13. You 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, you agree that all data will be destroyed, including the degaussing of magnetic tape files and deletion of electronic data.

Record Retention

You must follow Federal guidelines on record retention, which require you to maintain all records pertaining to grant activities for a period of at least three years from the date of submission of the final expenditure report. See 2 CFR 200.333-.337 for more specific information, including information about the start of the record retention period for awards that are renewed quarterly or annually, and when the records must be retained for more than three years.

Use of Contracts and Subawards

You must abide by the following definitions of contract, contractor, subaward, and subrecipient:

Contract: Contract means a legal instrument by which a non-Federal entity (defined as a state, local government, Indian tribe, institution of higher education (IHE), nonprofit organization, for-profit entity, foreign public entity, or a foreign organization that carries out a Federal award as a recipient or subrecipient) purchases property or services needed to carry out the project or program under a Federal award. The term as used in this FOA does not include a legal instrument, even if the non-Federal entity considers it a contract, when the substance of the transaction meets the definition of a Federal award or subaward (see definition of Subaward below).
Contractor: Contractor means an entity that receives a contract as defined above in Contract.
Subaward: Subaward means an award provided by a pass-through entity (defined as a non-Federal entity that provides a subaward to a subrecipient to carry out part of a Federal program) to a subrecipient for the subrecipient to carry out part of a Federal award received by the pass-through entity. It does not include payments to a contractor or payments to an individual that is a beneficiary of a Federal program. A subaward may be provided through any form of legal agreement, including an agreement that the pass-through entity considers a contract.
Subrecipient: Subrecipient means a non-Federal entity that receives a subaward from a pass-through entity to carry out part of a Federal program; but does not include an individual that is a beneficiary of such program. A subrecipient may also be a recipient of other Federal awards directly from a Federal awarding agency.

You must follow the provisions at 2 CFR 200.330-.332 regarding subrecipient monitoring and management. Also see 2 CFR 200.308(c)(6) regarding prior approval requirements for subawards. When awarding subawards, you are required to comply with provisions on government-wide suspension and debarment found at 2 CFR Part 180 and codified by DOL at 29 CFR Part 98.

Closeout of Grant Award

Any entity that receives an award under this Announcement must close its grant with ETA at the end of the final year of the grant. Information about this process may be found in ETA’s Grant Closeout FAQ located at http://www.doleta.gov/grants/docs/GCFAQ.pdf.

3.Other Administrative Standards and Provisions

Except as specifically provided in this FOA, our 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 Uniform Guidance requires that an entity’s procurement procedures ensure that all procurement transactions are conducted, as much as practical, to provide full and open competition. If an application identifies a specific entity to provide goods or services, the award does not provide the justification or basis to sole source the procurement, i.e., avoid competition.

4.Special Program Requirements

ETA Evaluation

We may require that the program or project participate in an evaluation of overall performance of ETA grants and require the cooperation of the recipient as a condition of award.

Performance Goals

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 about future grants with ETA.

WIOA Infrastructure

All one-stop partner programs including all programs funded under title I of WIOA are required to contribute to the infrastructure costs and certain additional costs of the one-stop delivery system in proportion to their use and relative benefits received as required in 20 CFR 678.700 and 678.760. The sharing and allocation of infrastructure costs between one-stop partners is governed by WIOA sec. 121(h), WIOA’s implementing regulations, and the Federal Cost Principles contained in the Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards at 2 CFR part 200 (Uniform Guidance). The Federal Cost Principles state that a partner’s contribution is an allowable, reasonable, necessary, and allocable cost to the program and is consistent with other legal requirements. A list of the required one-stop partner programs is available at 20 CFR 678.400.

C.Reporting

You must meet DOL reporting requirements. Specifically, you must submit the reports and documents listed below to DOL electronically:

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. On the final Financial Status Report, you must include any subaward amounts so we can calculate final indirect costs, if applicable. You must use DOL’s Online Electronic Reporting System and information and instructions will be provided to grantees. For other guidance on ETA’s financial reporting, reference Training and Employment Guidance Letter (TEGL) 02-16 and on our webpage at https://www.doleta.gov/grants/financial_reporting.cfm.

2.Quarterly Performance Reports

You must submit a quarterly progress report within 45 days after the end of each calendar year quarter. The report must include quarterly information on grant activities, performance goals, and milestones. The last quarterly progress report will serve as the grant’s Final Performance Report. This report must provide both quarterly and cumulative information on the grant activities. It must summarize project activities, employment outcomes and other deliverables, and related results of the project, and must thoroughly document the training or labor market information approaches that you used. We will provide you with formal guidance about the data and other information that is required to be collected and reported on either a regular basis or special request basis.

VII.Agency Contacts

For further information about this FOA, please contact Linda K. Forman , Grants Management Specialist, Office of Grants Management, at (202) 693-3416. Applicants should e-mail all technical questions to [email protected] and must specifically reference FOA-ETA-17-01, and along with question(s), include a contact name, fax and phone number. This Announcement is available on the ETA Web site at http://www.doleta.gov/grants and at http://www.grants.gov.

VIII.Other Information

A.Web-Based Resources

DOL maintains a number of web-based resources that may be of assistance to applicants. For example, the CareerOneStop portal (http://www.careeronestop.org), which provides national and state career information on occupations; the Occupational Information Network (O*NET) Online (http://online.onetcenter.org) which provides occupational competency profiles; and America's Service Locator (http://www.servicelocator.org), which provides a directory of our nation's One-Stop Career Centers.

B.WorkforceGPS Resources

We encourage you to view the information gathered through the conference calls with Federal agency partners, industry stakeholders, educators, and local practitioners. The information on resources identified can be found on WorkforceGPS at: https://workforcegps.org.

We encourage you to view the online tutorial, “Grant Applications 101: A Plain English Guide to ETA Competitive Grants,” available through WorkforceGPS at: https://strategies.workforcegps.org/resources/2014/08/11/16/32/applying-for-eta-competitive-grants-a-web-based-toolkit-for-prospective-applicants-438?p=1.

We created Workforce System Strategies to make it easier for the public workforce system and its partners 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. We encourage you to review these resources by visiting https://strategies.workforcegps.org.

We created a technical assistance portal at https://www.workforcegps.org/resources/browse?id=b8dd0aa1ecfb4b2282d6cd30c7248790 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, Cost Principles, and Accrual Accounting.

IX.OMB Information Collection

OMB Information Collection No 1225-0086, Expires May 31, 2019.

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 YOUR GRANT APPLICATION TO THIS ADDRESS. ONLY SEND COMMENTS ABOUT THE BURDEN CAUSED BY THE COLLECTION OF INFORMATION TO THIS ADDRESS. SEND YOUR GRANT APPLICATION TO THE SPONSORING AGENCY AS SPECIFIED EARLIER IN THIS ANNOUNCEMENT.

This information is being collected for the purpose of awarding a grant. DOL will use the information collected through this “Funding Opportunity Announcement” to ensure that grants are awarded to the applicants best suited to perform the functions of the grant. This information is required to be considered for this grant.

Signed ___________________, in Washington, D.C. by:

Melissa Abdullah

Grant Officer, Employment and Training Administration

1 For the remainder of this document, references to the database created or being created under the WDQI may be called “workforce longitudinal administrative database” or “workforce longitudinal database” interchangeably.

2 Outcomes are the measurable results of the project that provide positive benefits or negative changes or measurable characteristics that occur as a result of project activities or outputs. Outputs are tangible products or services that result from the project.

3 https://www.doleta.gov/performance/pfdocs/ETA%209170%20-%20WIOA%20PIRL_Final_V22_062716.pdf

4 Collection of an individual’s SSN is not required throughout the workforce system and may not be required as a condition of receiving workforce development services. As States collect SSNs that are incorporated in the workforce longitudinal administrative database, they must ensure their collections and procedures are in compliance with the Privacy Act of 1974.

5 https://www.doleta.gov/performance/pfdocs/ETA%209170%20-%20WIOA%20PIRL_Final_V22_062716.pdf

6 Collection of an individual’s SSN is not required throughout the workforce system and may not be required as a condition of receiving workforce development services. As States collect SSNs that are incorporated in the workforce longitudinal administrative database, they must ensure their collections and procedures are in compliance with the Privacy Act of 1974.

7 https://www.doleta.gov/performance/pfdocs/ETA%209170%20-%20WIOA%20PIRL_Final_V22_062716.pdf

8 Collection of an individual’s SSN is not required throughout the workforce system and may not be required as a condition of receiving workforce development services. As States collect SSNs that are incorporated in the workforce longitudinal administrative database, they must ensure their collections and procedures are in compliance with the Privacy Act of 1974.

File Type	application/msword
File Title	DEPARTMENT OF LABOR
Author	frugoli.pam
Last Modified By	Amoah, Myaa P - OASAM OCIO CTR
File Modified	2017-03-28
File Created	2017-03-28

Workforce Data Quality Initiative Funding Opportunity Announcement

DOL Generic Solution for Funding Opportunity Announcements

WDQI Round 6 FOA_FINAL_3-24-17