Notice of Availability of Funds and Solicitation for Grant Applications (SGA) To Fund Demonstration Projects Targeting Dislocated Workers, 28510-28528 [E8-10971]

Agencies

• Employment and Training Administration
• DEPARTMENT OF LABOR

[Federal Register Volume 73, Number 96 (Friday, May 16, 2008)]
[Notices]
[Pages 28510-28528]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: E8-10971]


-----------------------------------------------------------------------

DEPARTMENT OF LABOR

Employment and Training Administration


Notice of Availability of Funds and Solicitation for Grant 
Applications (SGA) To Fund Demonstration Projects Targeting Dislocated 
Workers

    Announcement type: New, Notice of Solicitation for Grant 
Applications.
    Funding Opportunity Number: SGA/DFA PY-07-10.
    Catalog of Federal Assistance Number: 17.269.
    Key Dates: The closing date for receipt of applications under this 
announcement is June 13, 2008. Applications must be received at the 
address below no later than 4:30 p.m. (Eastern Time). Application and 
submission information is explained in detail in Part IV of this SGA.
SUMMARY: The U.S. Department of Labor (DOL), Employment and Training 
Administration (ETA) announces the availability of approximately $20 
million to fund grants to State Workforce Agencies (SWAs) for 
demonstration projects targeting Workforce Investment Act (WIA) 
dislocated workers. This solicitation provides SWAs with the option to 
choose from four categories under which applicants can submit a single 
grant application. Please note that two options exist under category 
one and two options exist under category three. If the applicant 
chooses to apply under categories one or three, the applicant must 
indicate which option the proposal addresses. Applicants may only 
submit a grant application under one category and only one application 
per SWA will be accepted. Applicants must indicate in the abstract of 
their proposal the category under which they are applying.
    Category 1--Entrepreneurship Opportunities for Dislocated Workers 
(two options).
    Category 2--Getting Ahead of the Curve: Raising Educational/Skill 
Levels of Workers in Declining Industries.
    Category 3--Innovative Adult Learning Models for Dislocated Workers 
(two options).
    Category 4--Preventing Dislocations of TANF Recipients Moving Into 
Entry Level Jobs Subject to Economic Churn.
    Additional background information is provided under Part I.

ADDRESSES: Mailed applications must be addressed to the U.S. Department 
of Labor, Employment and Training Administration, Division of Federal 
Assistance, Attention: BJai Johnson, Reference SGA/DFA PY-07-10, 200 
Constitution Avenue, NW., Room N-4716, Washington, DC 20210. Facsimile 
applications will not be accepted. Information about applying online 
can be found in Part V.C. of this document. Applicants are advised that 
mail delivery in the Washington, DC, area may be delayed due to mail 
decontamination procedures. Hand delivered proposals will be received 
at the above address.

SUPPLEMENTARY INFORMATION: This solicitation consists of eight parts:

Part I provides background information for each category.
Part II describes award information.
Part III describes eligibility information.
Part IV describes the application and submission process.
Part V describes the applications review process.
Part VI contains award administration information.
Part VII contains DOL agency contact information.
Part VIII lists additional resources of interest to applicants.

Part I. Background Information

    This section provides background information for each of the four 
categories for grant applications. In some cases the background 
information is applicable to more than one category and is identified 
as such.
    Background Information for Category 1--Entrepreneurship 
Opportunities for Dislocated Workers: Applicants may submit an 
application under only one of the following options: Option A--Project 
GATE (Growing America Through Entrepreneurship) for Dislocated Workers 
in Rural Areas or Option B--Project GATE for Dislocated Workers Fifty 
Years and Older. This background information is relevant to both 
options.
    Although many Americans have neither the skills nor the desire to 
be self-employed (more than 90 percent of employed Americans work for 
other people in ``wage and salary'' jobs) some Americans do want to be 
self-employed. Some have a passion for a particular business idea, 
while others want to be their own bosses, have no access to wage and 
salary jobs in which they can use their skills, or desire the 
flexibility of self-employment. These people often are willing to work 
hard, and have specific skills, interests, and talents they can use in 
a business.
    Many aspiring entrepreneurs' lack of business knowledge and access 
to credit poses significant barriers to self-employment. This lack of 
knowledge may encompass marketing, finance, regulations, how to develop 
a business plan, or other aspects of developing and running a business. 
Disadvantaged populations in particular are less likely to have access 
to the information sources that would make such knowledge and skills 
available to them. Many people may need loans to start their businesses 
but have little collateral and poor or no credit histories. Moreover, 
commercial banks frequently are reluctant to make loans to small, risky 
ventures.
    In providing assistance designed to surmount these obstacles to 
self-employment, Project GATE aims to promote both workforce and 
economic development. In improving the likelihood of being successful 
at self-employment, the project sought to increase employment, 
earnings, and the self-sufficiency of GATE participants. Even if not 
successful at self-employment, the program could have improved success 
at wage and salary employment by providing GATE participants with 
contacts, business skills, or just the knowledge that entrepreneurship 
is not for them. By promoting small businesses and the jobs they 
create, Project GATE also aimed to promote economic development in some 
low-income areas.

1. Project GATE Demonstration

    This initiative builds on the prior Project GATE Demonstration 
funded by ETA which began in early fall 2003 and was implemented in 
three states-Pennsylvania, Minnesota, and Maine. Participants in 
Project GATE were offered assessments, classroom training and one-on-
one business counseling in developing their businesses and applying for 
a Small Business Administration (SBA) Microloan or other source of 
business finance. Nonprofit Community-Based Organizations and the SBA's 
Small Business Development Centers provided the classroom training and 
business counseling.
    One-Stop Career Centers were the gateways to the program. These 
centers conducted outreach for Project GATE and hosted the program's 
orientation session. Project GATE added a new service to the One-Stop 
Career Centers' arsenal of employment services--helping people become 
self-employed. In addition, Project GATE attracted new

[[Page 28511]]

and diverse customers to the participating One-Stop Career Centers.
    The Project GATE demonstration also provided technical assistance 
to grantees to implement the project. In addition, the Project GATE 
demonstration was also evaluated to determine whether the project works 
and whether it could be replicated on a broader scale. Below is a 
summary of the findings from the first 18 months of the Project GATE 
demonstration, which have led ETA to announce a new round of Project 
GATE grants.
    Self-employment service programs can be offered at One-Stop Career 
Centers. During the demonstration, Project GATE was implemented 
successfully across a wide variety of sites. While One-Stop Career 
Centers are not traditionally known as places to go for self-employment 
services, Project GATE was able, with some marketing, to draw 
entrepreneurs and prospective entrepreneurs into the centers. As long 
as local training and business counseling providers with a reputation 
for providing good quality services are willing to participate in the 
program, Project GATE, or a similar program, could be offered as an 
additional service at One-Stop Career Centers.
    The Project GATE service model appears to have several advantages 
over the existing self-employment services available within 
participating communities. In addition to receiving more hours of self-
employment services, Project GATE participants reported higher levels 
of satisfaction with the services received than did control group 
members. Offering a one-on-one assessment with a trained business 
counselor and a choice of quality local service providers appears to 
have added value to the existing service network within the local 
communities.
    GATE participants started businesses at a higher rate than control 
group members. Over the 18-month follow up period, participation in 
Project GATE led to an increase in business ownership. While the 
increase in business ownership was statistically significant, the 
magnitude of the impact was relatively modest-six percentage points. It 
is important to note, however, that an analysis of the impact of 
Project GATE on the unemployed found more substantial program impacts 
for this subgroup.
    Project GATE had larger impacts on business ownership among 
Unemployment Insurance (UI) recipients. Over the entire follow-up 
period, the impact of Project GATE on business ownership among UI 
recipients was nine percentage points (statistically significant), 
compared with no impact on those who did not receive UI. Project GATE 
may have had a larger impact on those who were receiving UI benefits 
when they applied because they had fewer alternative opportunities in 
the regular labor market. Moreover, not having a wage and salary job 
provided them with more time to work on their businesses, while the UI 
benefits provided a regular income.
    Project GATE had much larger impacts on business ownership among 
recent UI recipients in Minnesota, where job search requirements were 
waived for GATE program group members. For the recent UI recipients in 
Minnesota, the impact of Project GATE on business ownership started at 
+12 percentage points in the first quarter of the follow-up period and 
increased to +15 percentage points in the last quarter, all 
statistically significant. One reason for larger impacts among recent 
UI recipients in Minnesota may be attributable to the fact that the job 
search requirements that accompany the receipt of UI were waived for 
GATE participants which allowed them to continue receiving benefits 
while concentrating on their businesses, rather than looking for a wage 
and salary job
    Finally, Project GATE is a successful entrepreneurial training 
model in rural areas. Rural areas in the demonstration were especially 
innovative in providing access to training and business counseling to 
entrepreneurs. For more information on Project GATE, please visit the 
following weblink: https://wdr.doleta.gov/research/
keyword.cfm?fuseaction=dsp_resultDetails&pub_id=2337&mp=y.

2. Necessary Project Components

    The new Project GATE grantees would follow the service delivery 
strategy employed by the successful Project GATE Demonstration. Intake 
for the grants would involve three steps: (1) Registration, (2) 
orientation, and (3) completion of an application package. These are 
described in detail below.
     Registration. Persons interested in applying for training 
under the grant must first signal their interest in the program by 
registration. This would be done at a participating One-Stop Career 
Center, at the GATE Web site, by mailing a postcard, or by calling a 
toll-free number. Registered individuals will be notified by mail of 
the times and locations of the GATE orientations in their areas. The 
Project GATE Web site will be reactivated for the purposes of the 
grants. Other outreach materials developed for the GATE demonstration 
will be adapted for use under the grants. Registrants will be asked to 
contact a One-Stop Career Center to select which orientation they plan 
to attend.
     Orientation. The GATE orientation has four main 
objectives. First, it aims to provide the attendees with a balanced 
picture of both the positive and negative aspects of self-employment. 
Second, the orientation describes GATE services so that applicants have 
realistic expectations about services provided and do not expect to 
become eligible for grants or loans directly from GATE. Third, the 
orientation describes the services provided by the One-Stop Career 
Center. Finally, One-Stop Career Center staff members describe the GATE 
application process and offer each attendee an application package.
     Application Package. Orientation attendees will be given 
an application package. The application collects information for the 
evaluation. It also is used to check on eligibility for Project GATE 
and to provide the assessment counselor (see below) with some 
information about the participant's needs. The applicant will be 
required to send the application package to the evaluation contractor. 
Forms that are less than 90 percent complete will be returned to the 
applicant for completion.

3. Necessary Project Services

    Each Project GATE grantee must offer at minimum three basic 
services: (1) An assessment, (2) classroom training, and (3) one-on-one 
business counseling. All Project GATE grant participants must receive 
an assessment. After the assessment, participants may receive classroom 
training only, business counseling only, or both.
     Assessment. Soon after being accepted into the project, 
each participant should meet with a GATE assessment counselor. The GATE 
counselor is generally a member of a local economic development entity 
such as a chamber of commerce or small business development center. The 
main objective of the assessment is to recommend the services and 
providers that best meet the participant's needs. On the basis of this 
review, the counselor recommends the appropriate set of services to the 
participant and refers them to a training or business counseling 
provider.
     Training. The training courses offered will vary by 
provider. Many providers offer multiple training courses. At minimum, 
service providers must offer basic courses for those just starting 
businesses that focus on developing a business plan. Topics covered in 
these basic courses may also include: Market research, marketing, 
pricing, financing, cash flow,

[[Page 28512]]

accounting, hiring, permits and licenses, and legal issues. Other 
courses should target participants who already have developed business 
plans and may have started their businesses, but need assistance in 
growing the business. These more advanced courses may cover topics such 
as growth strategies, business planning, and customer relations. In 
addition to training courses, some providers also may offer seminars on 
specific business types (e.g., child-care businesses), e-commerce, or 
accounting software packages.
     Business Counseling. All Project GATE grant participants 
may meet one-on-one with a business counselor to receive assistance 
with their specific businesses or business ideas. The amount of 
business counseling received should be tailored to the needs of the 
participants. Suggested topics to be covered in business counseling 
sessions may include refinement of the business idea, business plan 
writing and development, marketing, budget and cash flow projections, 
and availability of financing. For those in need of financing for their 
businesses, the counselors may provide assistance in applying for loans 
from the SBA or other funding sources. Individual business counseling 
is an important and effective strategy for assisting entrepreneurs with 
their business needs. Existing small business owners who do not need 
classroom training often use one-on-one business counseling to work 
through specific business issues. Individuals at the business start-up 
phase often use technical assistance to help work through specific 
issues after completing classroom training. Not only do these sessions 
provide practical advice on business-related issues, but they also 
allow counselors the opportunity to provide emotional support and 
encouragement when participants face difficulties in the business 
development process.
    Background Information for Category 2--Getting Ahead of the Curve: 
Raising Educational/Skill Levels of Workers in Declining Industries: 
Today's global economy is marked by tremendous advancements in 
communication, travel, and trade--allowing individuals instant access 
to commerce from almost anywhere in the world. At the same time, 
American businesses find themselves competing not only with companies 
across the street, but also with companies around the globe. As a 
result, many companies are streamlining or reinventing their 
operations. Long-term employees in these companies find themselves at a 
disadvantage because of outdated skills. Because of their skill 
deficit, they face dislocation not only in the face of plant closures 
or relocations but in the case of reinvention, where companies and 
industries must modify their core competency and skill requirements to 
remain competitive in the global marketplace.
    The roots of the workforce investment system were designed to meet 
the needs of a different economy than we are in today. The system was 
designed for an economy characterized by interchangeable labor, 
cyclical layoffs, and employers that, for the most part, required a 
workforce with no more than a high school diploma from workers. In the 
21st century globally competitive economy, it is becoming increasingly 
important that the workforce investment system act as a strategic 
partner in regional economic and talent development. A critical part of 
talent development that helps create a competitive advantage for a 
region is to develop innovative strategies to assist businesses in 
layoff aversion by raising the education and skill levels of workers in 
declining or at-risk industries, or industries that are transforming. 
This requires strategic partnerships with employers, education and 
training providers at all levels, including apprenticeship providers, 
economic development entities, local, regional, and state governments, 
the philanthropic community, faith-based and community organizations, 
research institutions, and other civic leaders with a stake in economic 
growth and talent development.

1. Getting Ahead of the Curve Demonstration

    Under this category, the strategies employed to upgrade workers 
skills should be designed to (a) meet employers' critical skill needs, 
enhancing employers' ability to avoid layoffs; and/or (b) provide 
workers with updated transferable skills to enhance their ability to 
transition to other occupations and/or careers. Solutions should 
examine the concept of career lattices based on competencies. The 
objective is to enhance the value of workers to their current employer 
and to raise their education and skill levels to position them to 
quickly move into new jobs, either within or outside their current 
employer/industry if their current jobs are eliminated.

2. Necessary Project Components

    Applications under this category must consist of the following two 
components: (1) Development of an ``early warning system'' for tracking 
declining industries/businesses. The early warning system can involve 
coordination and evaluation of current activities as well as creation 
of new activities. (2) Engagement with businesses in declining 
industries, such as traditional manufacturing, or transforming 
industries that require new skill sets, such as information technology 
and advanced manufacturing, to collaboratively develop strategies to 
raise the education and skill levels of the current workforce. This may 
be focused on either lay-off aversion or to position workers to advance 
in their current careers, while increasing worker productivity, but it 
also supports their potential need to transition to other occupations 
if employment in the industry or business is no longer viable. It is 
ETA's expectation that workers will receive training as part of grant 
activities.
    Early Warning System and engagement with businesses in at-risk 
industries to provide training: In 1988, Congress passed the Worker 
Adjustment and Retraining Notification (WARN) Act to provide workers 
with sufficient time to prepare for the transition between the jobs 
they currently hold and new jobs. The WARN Act requires employers to 
provide written notice at least 60 calendar days in advance of covered 
plant closings and mass layoffs. Once receiving a WARN notice, state 
and local workforce agencies engage the employer and its employees in 
rapid response activities. Additionally, many states have created their 
own regulations around advanced notices that place further restrictions 
on employers. These models, while valuable, represent a more reactive 
approach to assisting both employers and workers and are also limited 
in their coverage. In today's global economy, rapid response and other 
actions targeting individuals at risk for dislocation need to be 
proactive rather than reactive. In fact, proactive strategies targeting 
businesses at-risk for closure or realignment and employees at-risk for 
dislocation are a vital part of retaining competitive advantage in a 
regional economic and talent development framework.
    Some state and local workforce agencies are working with employers 
and other state agencies to create ``early warning'' systems. These 
systems track companies and industries that are likely to experience 
closures, move to another location/state, experience layoffs, or face 
industry transformation that requires a substantive change in skill 
requirements. This demonstration intends to support the development and 
implementation of replicable models for early warning systems. Using 
the early warning systems, the workforce

[[Page 28513]]

investment system and its partners should work together to provide 
workers at risk for layoff with training to upgrade their skills.

3. Early Warning System Requirements

    Early warning enables the workforce investment system and its 
economic development, education, and other partners to strategically 
deploy regional assets to support industry transformation and up-skill 
or re-skill the workforce to ensure successful transitions into new 
occupations and industries. Early warning systems will vary based on 
the needs in each state and region, however they should include at a 
minimum:
     Strong collaboration with state Labor Market Information 
departments to understand how and where the state and regional economy 
is transitioning and how to identify declining industries and 
companies.
     Partnerships between the workforce investment system at 
the state and local levels, governmental and non-governmental economic 
development agencies at the state and local levels, educational 
entities at all levels, businesses, industry associations, and 
outplacement firms. Additionally, optional partners include 
philanthropic organizations, faith and community-based organizations, 
governmental and non-governmental education agencies, and labor 
management organizations if applicable.
     Aligning the resources and activities of different 
federal, state, and local governments. For example rapid response, 
Regional Innovation Grants, Trade Act funding (including the Trade 
Adjustment Assistance for Firms program operated under the Department 
of Commerce's Economic Development Administration (EDA)), state and 
local WIA dislocated worker funds, federal, state, and local economic 
development resources (such as EDA grants), and any other federal and 
state resources that align with the goals of serving dislocated 
workers.
     Leveraging resources from governmental and non-
governmental partners.
     Outreach and education strategies to business and industry 
about benefits of collaboration.
     Creation of a replication model to be disseminated to 
other workforce agencies.
     A plan for sustainability beyond the life of the grant.
    It is expected that by the end of year one of the grant, the 
grantee will have established an early warning system and that the 
grantee will constantly assess and evaluate the effectiveness of their 
model and make changes as needed.

4. Business Engagement Strategies and Training Requirement

    A regional economy's competitiveness depends on the skills of its 
workers. According to the Bureau of Labor Statistics, Americans now 
average 14 jobs between the ages of 18 and 34--or approximately one new 
job every 14 months. This statistic demonstrates the need for a 
flexible workforce that receives competency-based training as part of a 
lifelong learning strategy. Workers with outdated skills in declining 
industries represent untapped potential that can be difficult to reach. 
The purpose of this component is to support the development of 
partnerships and business engagement strategies that ultimately result 
in these workers receiving competency-based training to allow them to 
quickly adapt to changes in their current occupation or industry or 
move to new industries should their current environment no longer 
present viable career options. ETA's goal is not only to enhance the 
value of workers in their current jobs but also to position them to 
move into new jobs quickly if their current jobs are eliminated.
    Declining industries are not defined in this solicitation but ETA 
intends them to be those traditional industries that have been in 
decline for the past decade, such as traditional manufacturing, 
textiles, furniture production, tobacco, etc. Transforming industries 
are also not strictly defined but are intended to be those facing 
significant changes in the skill requirements of their occupations and 
career ladders due to shifts in the industry requirements, such as 
information technology and advanced manufacturing. Applicants who make 
a persuasive case that a non-traditional industry is in decline or 
transforming in their area will also be considered.
    Business engagement strategies will vary based on the needs of the 
state and applicants are encouraged to be innovative in their proposed 
activities. Applicants' business engagement strategies and subsequent 
training strategies may focus on outreach to affected businesses and 
industries, lay-off aversion, increasing worker productivity, and/or 
positioning workers to advance in their current careers. However, 
training must also support workers' potential need to transition to 
other occupations if the industry or business is no longer viable.
    ETA intends grants to include a planning period of up to one year 
to identify declining, at-risk, or transforming industries, build 
business and education partnerships, and understand training strategies 
that will respond to the needs of employers and workers in the context 
of the regional economy. Years two and three are intended to serve as 
the implementation period, when the workforce investment system will 
use the early warning system to identify specific employers, identify 
or design appropriate incumbent-worker training programs, and deliver 
training to workers at risk for layoff.
    The one-year planning period should include, at a minimum, the 
following elements:
     Partnership with economic development organizations, 
business and industry, and education and training providers to create a 
consensus about skills gaps between the skills of the industry or 
industries in decline and growth sectors and the skills that are needed 
in the 21st century industry competencies. This may include development 
and administration of assessments, surveys of employers and industry 
associations, identification of requirements in current industry 
certifications, and a mapping of the existing skills areas against 
those that are needed.
     Partnership with the One-Stop Career Center system and its 
partners and faith and community-based organizations to examine support 
options to support participant success in education and training 
programs.
     Connection to ongoing activities with similar goals, such 
as Regional Innovation Grants, Base Realignment and Closure activities, 
Workforce Innovation in Regional Economic Development Grants, and other 
federal, state or local efforts that have begun planning or are 
implementing activities in the area.
     Identification of existing education and training models, 
remediation models, competency-based models, career ladders, curricula, 
and other materials.
     Identification of, or where necessary development of, 
curricula, competency-based models, career ladders, and other materials 
to support training.
     Creation of a sustainability plan to continue engagement 
with at-risk businesses after the grant ends.
    The implementation period should be a minimum of two years and it 
may overlap with the planning period. The implementation phase should 
incorporate the information gathered through the Early Warning System 
created in year one of the grant. The

[[Page 28514]]

implementation period should include, at a minimum, the following 
elements:
     Partnerships with education and training providers to 
provide the necessary education and training to individuals at risk for 
dislocation including work readiness; remediation; science, technology, 
engineering and math (STEM); and other industry required competencies 
and curricula.
     Leveraging financial and non-financial resources to 
support training, including existing curricula, space, equipment, 
faculty, and other resources.
     Outcomes appropriate to the nature of the solution, 
including the number of businesses impacted, the return of investment 
to the business, the number of individuals who receive services, the 
number of individuals who receive training, the number of individuals 
who complete training, the number of credentials awarded, ETA's common 
measures (entered employment, employment retention, average earnings), 
wage gains, promotions, and other outcomes determined important by the 
applicant. Outcomes for each grantee will be negotiated following grant 
award based on the information contained in their grant agreement and 
the needs of ETA's independent evaluation of the demonstration if 
applicable.
     Creation of a replication model to be disseminated to 
other workforce agencies.
    Background Information for Category 3--Innovative Adult Learning 
Models for Dislocated Workers: Applicants may only submit an 
application under one of the following options: Option A--Innovative 
Adult Learning Strategies or Option B--Innovative Earn/Learn Models 
Using Apprenticeship. This background information is relevant to both 
options.
    More than three million jobs have been lost between 1998 and 2003, 
with 2.7 million lost since the immediate pre-recession year of 2000. 
Manufacturing job losses have primarily been in traditional sectors 
such as automotive and textiles, and now with the economic slowdown, 
layoffs are projected in finance, construction and other industries. 
Many of these are jobs that will likely not come back. The 21st century 
economy demands a workforce with postsecondary education credentials, 
and the adaptability to respond immediately to changing economic and 
business needs. Innovative approaches need to be tried to retrain and 
retool dislocated workers for high-demand jobs in industries that will 
be here for the long term and can provide wages comparable to what they 
have been earning such as Information Technology, Healthcare, 
Biotechnology, Advanced Manufacturing, Energy and others.
    The public workforce investment system plays a leadership role in 
meeting these demands by catalyzing the implementation of innovative 
talent development and lifelong learning strategies that will enable 
American workers to advance their skills and remain competitive in the 
global economy.

1. Innovative Adult Learning Models Demonstration

    This demonstration is focused on creating new or identifying 
existing innovative strategies for educating and training dislocated 
workers. These strategies must address the issues commonly faced by 
dislocated workers including: (1) The need to earn income while in 
training, (2) the need for basic skills remediation, particularly for 
STEM\1\ areas and literacy, to achieve skill levels required for 
education and training programs, (3) difficulty learning in traditional 
education formats, (4) accelerated learning options to shorten the time 
of skills upgrading. Applicants may only submit an application under 
one of the following options: Option A--Innovative Adult Learning 
Strategies or Option B--Innovative Earn/Learn Models Using 
Apprenticeship. Applicants may only submit an application under one 
option.
---------------------------------------------------------------------------

    \1\ Science, Technology, Engineering and Mathematics.
---------------------------------------------------------------------------

Option A--Innovative Adult Learning Strategies (Including, But Not 
Limited to Earn/Learn)
A.1. Adult Learning Strategies Demonstration
    Under this option, projects will focus on identifying successful 
adult learning education and training models and implementing a 
demonstration of the model or models in a state, region, or local area 
targeting adult dislocated workers. Projects will adapt the education 
and training model, which may have been developed for adult populations 
in specific target populations, and demonstrate the viability of the 
model in helping workers learn new skills at a faster and more in-depth 
rate while allowing the ability to earn income.
    Education and training must focus on state, regional, or local 
high-growth, high-demand industries. This demonstration will require 
strong partnerships among State Workforce Agencies, state and local 
workforce investment boards, One-Stop Career Centers, businesses 
(existing or new partners), education and training providers including 
community colleges, adult and vocational education providers, 4-year 
universities, other training providers, and community or faith based 
organizations.
A.2. Necessary Project Components
    Applicants will identify innovative adult learning strategies and 
models that address the needs dislocated workers have for: accelerated 
time to credential, blended learning strategies, remediation in 
foundational academics, different learning environments, and accessing 
learning on different schedules and using different modalities. These 
models may not include apprenticeship components, but may include on-
the-job training. Applicants will select a least one model to be 
adapted for their demonstration. Each applicant must determine what 
high-growth, high-demand industries are driving their economy and where 
there are job and skill shortages. This should be done in collaboration 
with state Labor Market Information agencies, economic development 
agencies, business and industry partners, and education and training 
providers. This model will require a formal partnership between the 
applicant SWA and at least one entity from each of the following: local 
workforce investment board/One-Stop Career Center; an education or 
training provider, and an individual business or industry association. 
Multiple partners in these categories are not required but are strongly 
encouraged. Economic development organizations and faith and community-
based organizations are not required but are also strongly encouraged. 
The SWA, in conjunction with its local workforce investment board(s) 
will oversee the design and operation of this demonstration.
    It is expected that the demonstration will accomplish a seamless 
transition for dislocated workers who will be retrained under the 
innovative adult learning strategy or model for jobs in high-growth and 
high-demand industries. Using leveraged resources, incentives may be 
provided to dislocated workers including, but not limited to, wrap 
around supportive services including stipends. However, it is not ETA's 
intent to have grant funds used in the provision of supportive services 
under this component.
A.3. Project Requirements
    The Innovative Adult Learning Strategies Demonstration is not 
intended to fund the creation of entirely new training models. Rather, 
projects should be innovative in how they adapt existing models to the 
adult dislocated

[[Page 28515]]

worker population and be tailored to the specific needs of workers in 
their region. Applications must include, but are not limited, to the 
following elements:
     A demonstration of need in the area of the demonstration, 
including identification of: the dislocated worker pool, the high-
growth, high-demand industries in the area, the occupations on which to 
focus retraining efforts, the skills and competencies required in those 
occupations, and the assets the currently exist for the project to 
leverage.
     A description of the roles of current and future partners 
in the grant and the leveraged resources they will bring to the table.
     A description of how the innovative training model was 
identified and selected to be adapted for demonstration. A discussion 
of the ways in which the model will need to be adapted to meet the 
education and training needs of the targeted dislocated workers 
including the need to earn while they learn, an accelerated timeline, 
remediation, and different learning schedules and modalities. 
Additionally, applicants should describe anticipated skill assessments 
and mapping to high growth, high demand industries.
     A description of the projected number of individuals to be 
trained under the grants and the expected outcomes including ETA's 
common measures (entered employment, employment retention, and average 
earnings), the number of credentials awarded, and other outcomes 
determined important by the applicant. Specific outcomes for each 
grantee will be negotiated following grant award based on the 
information contained in their grant agreement and the needs of ETA's 
independent evaluation of the demonstration if applicable.
     A commitment to documenting the training model in such a 
way that the model can be disseminated to other workforce agencies.
Option B--Innovative Earn/Learn Model Using Apprenticeship
B.1. Earn/Learn Using Apprenticeship Demonstration
    This option focuses on demonstrating innovative and fresh 
approaches in retraining and re-skilling adult learners and dislocated 
workers through Registered Apprenticeship in high-demand industries. 
Projects must demonstrate the viability of the model in helping adult 
workers learn new skills at a faster and more in-depth rate for high 
growth industries such as advanced manufacturing, biotechnology, 
energy, health care, and information technology.
    This demonstration will require strong partnerships among WIA state 
agencies, Workforce Investment Boards, One-Stop Career Centers, 
businesses (existing or potential apprenticeship sponsors), labor 
organizations, industry, education/training providers, Registered 
Apprenticeship offices (the federal Office of Apprenticeship or a State 
Apprenticeship Agency) and any other appropriate federal or state 
offices or other entities with resources that can be leveraged to make 
the project a success. The strategy may be incorporated into regional 
economic development goals to build a globally competitive and prepared 
workforce.
    A goal of this option is to develop and register new apprenticeship 
programs to serve dislocated workers and adult learners. Registered 
Apprenticeship is a critical postsecondary education, training, and 
employment option available in every state in the country, and is an 
important component of talent development strategies. The model is an 
excellent option for dislocated workers and others who are 
transitioning from declining industries to new occupations because it 
provides immediate employment for apprentices.
    Registered Apprenticeship is a national training system that 
combines paid learning on-the-job and related technical and theoretical 
instruction in a skilled occupation with guaranteed wage structures. As 
an ``earn-while-you-learn'' model, Registered Apprenticeship is 
particularly attractive for dislocated workers with families and 
financial obligations who must have a paycheck while they gain 
additional education or workforce skills while transitioning to a new 
career. Most dislocated workers may not be able to go to school full 
time without benefit of a job. Registered Apprenticeships provide 
access to education and training that may not otherwise be accessible 
to many adults. Additionally, regions that adopt robust Registered 
Apprenticeship programs in the context of economic development 
strategies create seamless pipelines of skilled workers and flexible 
career pathways to meet current and future workforce demands.
    Upon completion of the apprenticeship, apprentices earn 
certificates that are recognized nationwide as portable industry 
credentials. Many apprenticeship programs-particularly in high-growth 
industries such as health care, advanced manufacturing and 
transportation--also offer interim credentials and training 
certificates based on a competency model that leads to a Certificate of 
Completion. There may be beginning, intermediate, advanced, and 
specialty certification levels. Registered Apprenticeship programs also 
allow credit for previous apprenticeship-related experience.
    Registered Apprenticeship is a highly versatile training strategy 
that aligns with and advances the goals of key workforce investment 
system initiatives. By coordinating and collaborating with the 
knowledgeable professionals that make up the Registered Apprenticeship 
system, the workforce system can increase the quality of its services 
to both its employer and worker customers and enhance activities in 
support of current workforce system priorities.
B.2. Necessary Project Components
    Applicants will develop a registered apprenticeship model that 
targets dislocated workers and adult learners to help them transition 
into a high-demand industry. The Registered Apprenticeship programs are 
expected to produce skilled workers that are in demand in a minimum of 
one high-growth industry in local area(s) where dislocation occurs. 
Each location must determine what high-demand industries are driving 
their economy and where there are job and skill shortages. This model 
will require applicants to form formal partnerships and/or consortia 
among WIA, employers (current and/or potential apprenticeship 
sponsors), organized labor, employer associations, educational 
institutions, state apprenticeship agencies, or the federal Office of 
Apprenticeship and other entities whose resources can be leveraged to 
make the program a success. Members of the partnership/consortium will 
oversee the design and operation of this initiative.
    It is expected that the project will accomplish a seamless 
transition for adult learners and dislocated workers who will be 
retrained through Registered Apprenticeship for high demand jobs in 
industries that will be here for a long time and can provide wages 
comparable to what they have been earning. Using leveraged resources, 
incentives may be provided including, but not limited to, wrap around 
supportive services including stipends. However, it is not ETA's intent 
to have grant funds used in the provision of supportive services under 
this component.
    Projects should be innovative, fresh approaches to retraining and 
re-skilling dislocated workers and mature adult learners for high-
demand jobs. The following are possible models and linkages with 
registered apprenticeship

[[Page 28516]]

to transition dislocated workers to new industries and which consortia/
partnerships may want to test. However, applicants are not limited to 
these suggestions.
     Identify companies and geographic areas with large 
concentrations of requests for H-1B visas and develop a demonstration 
to train and employ dislocated workers to fill these jobs.
     Develop a demonstration which leverages competency-based 
registered apprenticeship occupations.
     Develop models and linkages with registered apprenticeship 
to transition workers to the nuclear and alternative energy industries 
drawing from laid off workers in these communities.
     Explore options for developing ``green collar'' 
apprenticeships.
     Promote Registered Apprenticeship as a career development 
strategy in industries with high turnover.
B.3. Project Requirements
    Additionally, applicants must include the following in their grant 
application:
     Description of model.
     Description of the types of High Growth Industry 
apprenticeable occupations in which the registered apprenticeship 
program's plans to train and employ workers.
     Description of each partner's role in recruiting, 
selecting, training, placing and retaining workers in registered 
apprenticeships in the project.
     Strategies for identifying the employers who will train 
and employ Adult Learners and/or Dislocated Workers.
     Discuss in detail how the applicant and its partnership/
consortium plan to: (1) Conduct outreach strategies to declining 
businesses and industries; (2) outreach strategies to industries that 
will employ the dislocated and/or mature adult workers; (3) conduct 
outreach strategies and orientation sessions to recruit dislocated 
workers into education and training; (4) utilize support groups and 
facilitating networks for Dislocated Workers in registered 
apprenticeships, on or off the job site, to improve their retention.
     Description of all services that will be offered and who 
will provide them.
     Describe how the partners will assure that there are or 
will be suitable and appropriate positions available in the High Growth 
Industry registered apprenticeship programs.
     Activities and Timeline.
     Description of Outcomes. Please note, ETA will consider 
the successful placement of a minimum of 50 Adult learners and/or 
Dislocated Workers in High Growth industry registered apprenticeships 
the primary successful outcome a grantee can achieve.
     Budget.
    Background Information for Category 4--Preventing Dislocations of 
TANF Recipients Moving Into Entry Level Jobs Subject to Economic Churn:

1. Preventing Dislocations of TANF Recipients Demonstration

    Since the passage of the Temporary Assistance to Needy Families 
(TANF) program in 1996, there has been success in transitioning 
individuals off welfare and into transitional employment. Transitional 
employment opportunities typically are located on the lowest rung of 
the career ladder and require work readiness and basic education and 
skill training. These positions are most susceptible to churn resulting 
from economic shifts that cause employment opportunities to grow and 
contract on a regular basis depending on the state of the economy or 
the season. The result is individuals cycling between low-level 
employment and government assistance, such as unemployment insurance 
benefits and food stamps. Former TANF recipients who have moved into 
employment are becoming the next generation of employees most at risk 
for dislocation.
    Given that unemployment insurance is becoming the new safety net 
for those former TANF recipients that are moving into the workforce, 
the goal of this demonstration is to provide additional education and 
training to former TANF recipients, who have successfully entered 
transitional employment, to move them up the career ladder in the high-
growth, high-demand sectors of healthcare, hospitality, and retail 
resulting in: (1) An increase in the employment retention of former 
TANF recipients, (2) a reduction in the number of former TANF 
recipients that are unemployed, and (3) an increase in earnings for 
former TANF recipients through placement in career-ladder positions to 
enable them to achieve self sufficiency. This will require partnerships 
with the TANF system at the state and local level, education and 
training providers including adult education and community colleges, 
and business and industry.

2. Necessary Project Components

    Applicants must include the following project components: partner 
roles and industry focus. These are described in detail below.
     Partner Roles. Required partners in this demonstration 
include: the State Workforce Agency (applicant) and at least one entity 
from each of the following categories: local workforce investment board 
and One-Stop Career Center, state TANF agency, local TANF agency, 
community or technical college, adult or vocational education provider, 
business and industry, and faith and community-based organizations. 
Additional partners are encouraged, but not required, including 
economic development agencies, the state adult education agency, K-12 
high school systems, four year universities, and philanthropic 
organizations. Partners must submit letters of commitment detailing 
their roles in the project. At a minimum, the partner should contribute 
the following to the demonstration:
     The State Workforce Agency should be responsible for 
coordinating the work of the partners and reaching out to other state 
agencies.
     Local workforce investment boards and One-Stop Career 
Centers should at a minimum:
     Work with state or local TANF agencies to identify former 
TANF recipients who obtained successful entered transitional employment 
but (1) are currently receiving unemployment insurance or (2) are at 
risk of unemployment;
     Assess and refer candidates to trainings; and
     Track outcomes of candidates.
     State and local TANF agencies should work with the local 
workforce investment system to identify former TANF recipients for 
training; share expertise and models in moving individuals into 
employment; and leveraging resources where appropriate.
     Community Colleges should map the competencies needed to 
advance up the chosen career ladder, assist in design and provision of 
remediation, and provide education and training.
     Adult or Vocational Education Providers should assist in 
the design and provision of remediation, and provide education and 
training.
     Business and Industry partners should assist in 
identifying individuals for the demonstration, identify career ladder 
opportunities, and work with education and training partners to develop 
demand-driven training to move individuals up career ladders.
     Faith and Community Based Organizations should share 
expertise in successful strategies for working with the target 
population and should provide outreach and wrap around support services 
as needed. For applicants partnering with faith and community based 
organizations please visit https://www.dol.gov/cfbci/accesspoints.htm 
for specific mechanisms and strategies for integrating these 
organizations into the proposal.
    Additional partners, including those listed above, will enhance the 
depth and

[[Page 28517]]

breadth of the demonstration and are strongly encouraged.
     Industry Focus. This project is intended to be a sectoral 
demonstration focused on the healthcare, hospitality, and retail 
industries. Education and training must be focused on career ladder 
opportunities in one of these industries. Examples of career-ladder 
based education and training programs already demonstrated either under 
the High Growth Job Training Initiative and Community-Based Job 
Training Grants and by state and local areas, educational institutions 
and non-profit organizations can be found at www.workforce3one.org. The 
Workforce3 One Web site is a valuable resource for information about 
demand-driven projects of the workforce investment system, educators, 
employers, and economic development representatives. ETA encourages 
applicants to look to existing education and training models that may 
be adaptable to serve the target population and goals outlined in this 
Solicitation.

3. Project Requirements

    ETA is seeking innovative solutions to address the goal of moving 
former-TANF recipients up the career ladder in the healthcare, 
hospitality, and retail industries. The demonstration should meet the 
needs of former TANF recipients as well as business and industry. In 
addition, ETA is looking for demonstrations that include at least two 
of the following components:
     Use of college-bridge programs for individuals with low 
skills. Bridge programs offer a way for low-skilled individuals to 
successfully complete education and training in a college environment. 
The bridge program offers an intermediate step between the individual's 
current position and full integration into college-level coursework;
     Use of contextualized learning to integrate basic skills 
remediation into industry skills training curricula;
     Use of on-the-job training or other learn/earn education 
strategies;
     ``Grow your own'' strategies with employers committing to 
education and training onsite to advance employees in low-level 
positions and partnering with state and local workforce and TANF 
agencies to backfill entry-level positions with individuals currently 
receiving TANF but who are ready to move into transitional employment;
     Non-traditional education models that utilize flexible 
schedules to accommodate individuals' work and family schedules;
     Development of modularized credit-based courses that allow 
individuals to break up certificate or degree programs into shorter, 
more manageable tracks; or
     Inclusion of career counseling and mentors.

Part II. Award Information

1. Award Amount

    ETA anticipates awarding between 16 and 20 grants under this 
solicitation, with individual grants ranging in value from $500,000 to 
$2 million. However, this does not preclude ETA from funding grants at 
either a lower or higher amount, or funding a smaller or larger number 
of projects, based on the type and the number of quality submissions. 
Applicants are encouraged to submit budgets for quality projects at 
whatever funding level is appropriate to their project.

2. Period of Performance

    The period of grant performance will be up to 36 months from the 
date of execution of the grant documents. This performance period shall 
include all necessary implementation and start-up activities, 
participant follow-up for performance outcomes, and grant close-out 
activities. ETA may elect to exercise its option to award no-cost 
extensions to grants for an additional period, based on the success of 
the program and other relevant factors, if the grantee requests, and 
provides a significant justification for, such an extension.

3. Leveraged Resources

    Under this funding opportunity, ETA is not requiring the applicants 
to provide leveraged resources. However, projects funded under this 
solicitation should leverage resources per the rating criteria from key 
entities in the strategic partnership. Businesses, faith-based and 
community organizations, economic development entities, education 
systems, and philanthropic foundations often invest resources to 
support workforce development. In addition, other federal, state, and 
local government programs may have resources available that can be 
integrated into the proposed project. Examples of such programs include 
other Department of Labor programs such as registered apprenticeship, 
as well as non-DOL One-Stop partner programs such as Vocational 
Rehabilitation, Adult Education, and Department of Education Pell 
Grants.
    As applicable, applications will be scored based on the quality and 
the degree to which the source and use of leveraged funds are clearly 
explained and the extent to which they are integrated into the project 
in support of grant outcomes. Leveraging resources in the context of 
strategic partnerships accomplishes three goals: (1) It allows for the 
strategic pursuit of resources; (2) it increases stakeholder investment 
in the project at all levels including design and implementation 
phases; and (3) it broadens the impact of the project itself. 
Applicants are encouraged to leverage significant resources from key 
partners and other organizations to maximize the impact of the project 
on the community.
    Leveraged Resources include the value of goods and services that 
would be allowable costs if paid for with grant funds whether incurred 
as a cost by the recipient or a sub-recipient and paid for with either 
non-federal or federal dollars, or provided as volunteer services 
valued in accordance with the provisions at 29 CFR part 95.23(d) and 
(e) or part 97.24(c)(1) and (2), as appropriate. Also, leveraged 
resources are subject to monitoring reviews. Partnering organizations 
may provide resources such as supportive services, mentoring, tutoring, 
and volunteers--all of which are important for grantees to leverage 
when assisting certain individuals targeted by these funds. For 
applicants who choose to leverage resources, please include the 
following information in the technical proposal: (1) The total amount 
leveraged from federal sources; (2) the total amount leveraged from 
non-federal sources; (3) the partners contributing the resources; and 
(4) the projected activities, broken out by the source of the leveraged 
resource (federal or nonfederal), to be implemented utilizing these 
resources. Applicants should address leveraged resources (as 
applicable) in the technical proposal but should not reflect the 
leveraged resources on the SF424A form.
    ETA encourages applicants and their strategic partners to be 
entrepreneurial as they seek out, utilize, and sustain these resources, 
whether they are in-kind or cash contributions, when creating strategic 
partnerships under this solicitation.

4. Funding Restrictions

    Determinations of allowable costs will be made in accordance with 
the applicable Federal cost principles. Disallowed costs are those 
charges to a grant that the grantor agency or its representative 
determines not to be allowed in accordance with the applicable Federal 
cost principles or other conditions contained in the grant. Applicants 
will not be entitled to reimbursement of pre-award costs.
    Limitations on Cost Per Participant. Since training costs may vary 
considerably depending on the skills and competencies required, 
flexibility

[[Page 28518]]

will be provided on cost per participant. However, applications for 
funding will be reviewed to determine if the cost of the training is 
appropriate and will produce the outcomes identified. Applicants should 
demonstrate that the proposed cost per participant is aligned with 
existing price structures for similar training in the local area or 
other areas with similar characteristics. When calculating cost per 
participant, applicants must distinguish between non-training and 
training costs utilizing grant funds.
    Indirect Costs. As specified in the Office of Management and Budget 
Circular Cost Principles, indirect costs are those that have been 
incurred for common or joint objectives and cannot be readily 
identified with a particular cost objective. An indirect cost rate 
(ICR) is required when an organization operates under more than one 
grant or other activity whether Federally-assisted or not. 
Organizations must use the ICR supplied by the cognizant Federal 
agency. If an organization requires a new ICR or has a pending ICR, the 
Grant Officer will award a temporary billing rate for 90 days until a 
provisional rate can be issued. This rate is based on the fact that an 
organization has not established an ICR agreement. Within this 90 day 
period, the organization must submit an acceptable indirect cost 
proposal to their Federal cognizant agency to obtain a provisional ICR.
    Administrative Costs. An entity that receives a grant to carry out 
a project or program under one of the categories in this solicitation 
may not use more than 10 percent of the amount of the grant to pay 
administrative costs associated with the program or project. 
Administrative costs could be both direct and indirect costs and are 
defined at 20 CFR 667.220. Administrative costs do not need to be 
identified separately from program costs on the Standard Form 424A 
Budget Information Form. Administrative costs should be discussed in 
the budget narrative and tracked through the grantee's accounting 
system. To claim any administrative costs that are also indirect costs, 
the applicant must obtain an indirect cost rate agreement from its 
Federal cognizant agency as specified above.
    Use of Funds for Supportive Services. It is not ETA's intent for 
grant funds to be used for the provision of supportive services, such 
as transportation and childcare, including funds provided through 
stipends for such purposes. However, applicants are encouraged to 
identify strategic partners as appropriate who can provide these 
services as leveraged resources. If supportive services are proposed as 
an integral part of the project, use of grant funds for this purpose 
will require a one-time approval from the Grant Officer prior to the 
grantee incurring these costs.
    Salary and Bonus Limitations. None of the funds appropriated in 
Public Law 109-149, Public Law 110-5, or prior Acts under the heading 
``Employment and Training'' that are available for expenditure on or 
after June 15, 2006, shall be used by a recipient or sub-recipient of 
such funds to pay the salary and bonuses of an individual, either as 
direct costs or indirect costs, at a rate in excess of Executive Level 
II, except as provided for under section 101 of Public Law 109-149. 
This limitation shall not apply to vendors providing goods and services 
as defined in Office of Management and Budget (OMB) Circular A-133. See 
Training and Employment Guidance Letter number 5-06 for further 
clarification: https://wdr.doleta.gov/directives/corr_
doc.cfm?DOCN=2262.
    Legal Rules Pertaining to Inherently Religious Activities by 
Organizations that Receive Federal Financial Assistance. The government 
is generally prohibited from providing direct financial assistance for 
inherently religious activities (please see 29 CFR part 2, subpart D). 
These grants may not be used for religious instruction, worship, 
prayer, proselytizing or other inherently religious activities except 
as provided in those regulations. Neutral, non-religious criteria that 
neither favors nor disfavors religion will be employed in the selection 
of grant recipients and must be employed by grantees in the selection 
of sub-recipients.
    ETA Intellectual Property Rights. Applicants should note that 
grantees must agree to provide ETA a paid-up, nonexclusive and 
irrevocable license to reproduce, publish, or otherwise use for Federal 
purposes all products developed or for which ownership was purchased 
under an award, including but not limited to curricula, training 
models, technical assistance products, and any related materials, and 
to authorize them to do so. Such uses include, but are not limited to, 
the right to modify and distribute such products worldwide by any 
means, electronically or otherwise.
    Distribution Rights. Selected applicants must agree to give ETA the 
right to use and distribute all materials developed with grant funds 
such as training models, curricula, technical assistance products, etc. 
Materials developed with grant resources are in the public domain; 
therefore, ETA has the right to use, reuse, modify, and distribute all 
grant-funded materials and products to any interested party, including 
broad distribution to the public workforce investment system via the 
Internet or other means.

Part III. Eligibility Information

1. Eligible Applicants.

    Eligible applicants for the grants under all categories shall be 
SWAs including the five territories of Puerto Rico, Virgin Islands, 
Guam, Northern Mariana Islands and American Samoa. Each SWA would be 
required to identify the local workforce investment boards and One-Stop 
Career Center as established under Section 121 of WIA, [29 U.S.C. 2841] 
that would be