TEGL_5-16_acc.pdf

ETA Advisory File Text

EMPLOYMENT AND TRAINING ADMINISTRATION ADVISORY SYSTEM U.S. DEPARTMENT OF LABOR Washington D.C. 20210 CLASSIFICATION WIOA National Reserve CORRESPONDENCE SYMBOL OWI DATE August 9 2016 RESCISSIONS None EXPIRATION DATE Continuing ADVISORY TRAINING AND EMPLOYMENT GUIDANCE LETTER NO. 5-16 TO STATE WORKFORCE AGENCIES STATE WORKFORCE ADMINISTRATORS STATE WORKFORCE LIAISONS STATE AND LOCAL WORKFORCE BOARDS AND CHAIRS STATE LABOR COMMISSIONERS F ROM PORTIA WU s Assistant Secretary S UBJECT Reemployment System Integration Dislocated Worker Grants 1. P urpose. To announce the availability of up to 65 million for Reemployment System Integration RSI Dislocated Worker Grants RSI-DWGs of up to 1.1 million per State including Outlying Areas to support high quality service delivery and improve employment outcomes for dislocated workers including those who are also unemployment insurance claimants or long-term unemployed through investment in integrated technology solutions that support connectivity across programs and services provided to dislocated workers. These grants will be funded through the National Dislocated Worker Grant program.2. Re ferences. W orkforce Innovation and Opportunity Act WIOA sec. 170 Pub. L. No. 113 -128 128 S TAT. 1425 1573-1576 July 22 2014 W orkforce Investment Act of 1998 WIA sec. 173 29 U.S.C. 2918 Tr aining and Employment Guidance Letter TEGL No. 2-15 Operational Guidance for National Dislocated Worker Grants pursuant to the Workforce Innovation and Opportunity Act WIOA or Opportunity Act July 1 2015 ETA Fo rm 9130 OMB Control No. 1205-0461 2 CF R p art 180 I nformation Technology Support Center ITSC Workforce Connect tool http www.itsc.org Pages WF Connect.aspx 2 3. Goal of RSI -DWGs . National D islocated Worker Grants are discretionary grants awarded by the Secretary of Labor under section 170 of the Workforce Innovation and Opportunity Act WIOA to provide employment and training assistance to dislocated workers. Given the demands on the WIOA Dislocated W orker DW program caused by trends in multiple smaller layoff events increased numbers of long -term unemployed individuals and program changes required by WIOA the RSI -DWGs are intended to expand and enhance the capacity of the workforce sy stem to serve dislocated workers with the goal of quickly reemploying laid -off workers and enhancing their employability and earnings. This RSI -DWG provides funding to improve the capacity of the workforce system to efficiently link dislocated workers i ncluding those who might first approach the workforce system as unemployment insurance UI claimants and long -term unemployed to the broad spectrum of employment and training assistance available to them and to support their productive reemployment. Fun ds awarded through the RSI -DWGs are to be used by the States to integrate their UI Wagner -Peyser employment services ES and WIOA workforce information technology IT systems including systems for the DW program to provide a seamless experience for d islocated workers and to assist dislocated workers in accessing services. While the purpose of these projects is to improve assist ance provided to dislocated work ers projects funded with these grants may also benefit other jobseekers. Currently States vary widely in their IT infrastructure across programs. Some of the common challenges States have include siloed systems on different platforms that lack common architecture legacy systems on antiquated architecture different database constructs and li mited or absent linkages or interfaces across systems. To address th ese challenge s as they relate to enhanced service delivery for dislocated workers and potentially to the benefit of other workforce system job seeker s this grant opportunity is des ign ed to provide seed money to S tates to implement technology solutions that support and improve connectivity among existing S tate IT systems and databases in at least one of three specific areas 1. Common registration and case management across the DW progra m the ES program and the UI program at a minimum 2. Implementation of robust on -line service delivery hubs that integrate information and on - line services across the DW program the ES program and the UI program at a minimum and or 3. Data integration stra tegies that support the ability of front -line staff including career counsel ors to better connect dislocated workers to the services they need to get jobs in demand along career pathways and expand the capacity to provide career counseling to more custom ers. Such strategies could include integrating real -time LMI information or access to information on the performance outcomes of training providers into an integrated on -line service delivery hub . 3 States must implement technology solutions in one or m ore of these strategies using grant funds that result in improved service delivery for dislocated workers. States are encouraged to take two approaches in designing and implementing this grant First using agile development approaches that start with fe edback from users about their needs and build technology solutions based on those needs by getting ongoing input throughout the development process and second identifying best -in-class already existing tec hnology - enabled solutions that S tate sites can l ink to and leverage versus defaulting to building new tools. These grant funds provide seed mone y for S tates to implement these solutions and States are expected to provide additional resources if possible . To the extent S tates are using the funding to initiate a project that will ultimately require more time and resources than provided in this grant they must describe their plan for completion of the project beyond the grant period. States are must engage and convene the appropriate partner programs in support of development of these technology solutions. The expected outcome s of these grants include Improved Service Delivery and Employment Outcomes for Dislocated Workers . System integration can improve the quality of service delivery by mak ing it easier for dislocated workers to obtain the help and services they need to become successfully reemployed. More Effective Connections to All Available Services through Integrated Case Management . Integrated systems allow for a no wrong door approach an d more accurate referrals of dislocated workers to other federal state and local services . This e nsur es dislocated workers are more effectively connected to all services available to them including both brick -and -mortar functions of American Job Cent ers AJCs and on -line AJC services . Dislocated workers will be better connected to in-demand jobs and supportive services that enable successful completion of training and credential attainment . Preventi on of Long -Term -Unemployment . By supplying data to increase the accuracy of the model used to predict which claimants are likely to exhaust UI benefits or encounter barriers to employment grantees can target dislocated worker who are most at risk of exhausting their UI benefits. Increased Early Interve ntion and Layoff Aversion . Integrated data systems could be used as part of an early warning network to provide early notification of ongoing layoff events or layoff trends within certain industries . Better data will guide S tate Rapid Response activities and connect dislocated workers to new employment or reemployment services in a timelier manner . Increased Accessibility to Services through Automation and Self -Service . Integrated systems reduce the burden of data collection on participants and the workf orce system alike and may provide a means for increased automated and self -services that will free up WIOA dislocated worker DW staff to focus on more time -intensive individualized services or training. 4 Enhanced Identification of Service Delivery Need s. Real time information collected through integrated systems can be used to identify the most appropriate serv ices to support dislocated worker s. 4. Background . Under WIOA sec. 170 b DWGs generally provide resources to S tates and other eligible applican ts to provide employment and training assistance to workers affected by major economic dislocations such as plant closures mass layoffs or closures and reassignments of military installations. The Department of Labor Department has consistently interp reted this non -exclusive list of major economic dislocations to provide the Department with authority to identify additional major economic dislocations including in the Workforce Investment Act WIA regulation at 20 CFR 671.110 f . Section 173 a 1 of WIA provided the same examples of major economic dislocations as under WIOA and under WIA the Department exercised that authority to recognize as a significant dislocation event the multiple layoffs nationwide resulting from a number of smaller disloca tion events and an ongoing lag in reemployment in the midst of persistent long -term unemployment. Under WIOA the Department has interpreted the statute to provide the same authority to identify additional major economic dislocations. The Department rec ognizes the impact of ongoing smaller dislocation events over time experienced in many S tates despite recent economic growth and an ongoing and even increasing lag in reemployment for long -term unemplo yed workers as a major dislocation event for purpos es of DWG assistance. In addition the Department s appropriations acts including the Consolidated and Further Appropriations Act 2015 PL 113 -235 in which the funds being used for RSI -DWG were appropriated have consistently included statutory langua ge specifying that these grants are available to address cases where there are worker dislocations across multiple sectors or across multiple local areas and such workers remain dislocated . The RSI -DWGs are awarded to provide assistance to States to addre ss these ongoing and multiple dislocations. These dislocations have add ed to the already significant number of long -term unemployed individuals who have been jobless for 27 weeks or more and who represent approximately 25 percent of all unemployed person s according to the Bureau of Labor Statistics. By supporting system improvements to better connect and integrate programs and services these RSI -DWGs are intended in part to promote the reemployment of dislocated workers by providing them expanded ele ctronic access to certain workforce services . The electronic assistance enabled by funding under this grant is intended to complement the direct services that participants in dislocated worker grants receive. Currently there are 104 active national DW Gs and National Emergency Grants awarded under WIOA sec . 170 and WIA sec . 173. The Department notes that t hese worker dislocations in multiple sectors and the concurrent lag in reemployment for long -term unemployed workers have strained the workforce investment system s ability to provide crucial training and reemployment services to improve dislocated workers employment prospect s. The workforce system s response to this strain in resources has been a decline in the intensity of services provided . IT system integration is intended to ensure dislocated workers are connected to services for which they are eligible and to alleviate the administrative burden on the workforce system in order to free staff time and resources for providing direct services including case management to dislocated 5 workers. In addition improving coordination among UI ES and workforce IT services including systems for the DW program to support the provision of services to dislocated workers is consistent with WIOA s empha sis on coordination and alignment of workforce development services. 5. Eligible Applicants . The organizations that are eligible to apply for funding under this opportunity are the S tate agenc ies responsible for administering WIOA title I activities inc luding those in Outlying Areas . States may choose to pool the funds available to each State under this grant opportunity as part of a consortium project designed to promote the reemployment of dislocated workers in multiple States. If States choose to ap ply for funds designed to support a State consortium the member States must enter into a Memorandum of Understanding that details the States joint commitments in regard to the project. 6. Funds Availability . The Department is making up to 65 million avai lable under this TEGL. Applicants may apply for grants of up to 1.1 million per State or per Outlying Area . The final amount of each grant is dependent on the number of applicants and the cumulative amount of funding requested . Awards made under this TEG L are subject to the availability of Federal funds. If the cumulative funding requested by all applicants exceeds the amount of funds available all grant awards will be reduced proportionately . C onversely if the cumulative requests are lower than the t otal available amou nt or if additional funds become available grant awards may be increased proportionately. As provided in section 13 the Department may negotiate funding levels and program elements. Grant recipients may be required to revise budget document s before award execution to account for discrepancies between funding requests and actual award amounts. The period of performance for RSI -DWG grants is two years and grant funds will be available for expenditure through September 30 2018. Howe ver the Department reserves the right to provide period of performance extensions beyond this date as it deems appropriate and necessary to achieve the purposes of these awards. 7. Partnerships . To effectively develop integrated technology solutions requ ires partner engagement. At a minimum States must form partnerships among the DW ES and UI programs in support of project implementation . States are also strongly encouraged to include the TAA program as part of this effort given the role the program plays in serving workers who are dislocated through losing their jobs as a result of foreign trade. Including the TAA program is additionally encouraged because of the opportunities to leverage the com prehensive case management and S tate investment in inf rastructure mandated by the TAA program . In the context of providing a truly comprehensive and integrated experience for dislocated workers States should also consid er including additional partner programs that also serve dislocated workers and their par tnerships with Local Workforce Boards and American Job Centers in the design and implementation of their technology infrastructure. States are also encouraged to partner with agile technology companies th at can provide assistance in building products that can best serve the needs of dislocated workers. 8. RSI -DWG Project Requirements . Applicants must submit a plan for and commit to implementation of one or more technology solutions that support and impro ve connectivity 6 among existing S tate IT systems and databases in three specific areas 1. Common registration and case management across the DW program the ES program and UI program at a minimum 2. Implementation of robust on -line service delivery hubs that integrate information and on -line services across the DW program the ES program and the UI program at a minimum and or 3. Data integration strategies that support the ability of front -line staff including career counselors to better connect dislocated workers to the services they need to get jobs in de mand along career pathways and expand the capacity to provide career counseling to more customers . Such strategies could include integrating real -time LMI information or access to information on the performance outcomes of training providers into an integ rated on -line service delivery hub. Projects may support expan sion adapt ation or enhanc ements of existing systems that increase integration and interconnectivity of systems so as to provide additional benefits to dislocated workers. Given that these grants are not sufficient to support whole new system development States should consider Leveraging existing functionality in one program to support multiple programs. For example State TAA program s may have case management infrastructure that could be adapted as an integrated tool for use across programs Adopting or adapting applications or technology solutions developed for these purposes such as the Workforce Connect tools described below or applications developed by other States Leveraging dat a infrastructure such as that developed through Workforce Data Quality Initiative and State Longitudinal Data Initiative grants Focusing on lower cost front -end experience for dislocated workers as a starting point versus back -end integration and Part nering with other States . As applicants assess their options to develop technology solutions that support integrated service delivery for WIOA partner programs the Department strongly encourages applicants to consider the Workforce Connect platform. Wor kforce Connect is an open source technology solution designed under a grant from the Department and in coordination with the workforce system that helps states and other entities align and integrate technology systems across a range of programs and workf orce entities including programs for dislocated workers employment services and unemployment insurance. In particular Workforce Connect provides a platform to integrate t he UI ES and workforce IT systems so they can share data with each other and c an be expanded to also integrate IT systems from additional WIOA partners including title II adult education or title IV vocational rehabilitation core programs the TAA program the Temporary Assistance for Needy Families program and other WIOA mandator y one -stop partners . The Integrated Registration model shares registration information provided by job seekers across the integrated programs allowing the job seekers to register for multiple programs at once without repeatedly re -entering the same infor mation. Workforce Connect also provides job seekers personalized information about 7 training opportunities employment resources job search updates and the status of UI claims all in real time . Additional information on the Workforce Connect tools may be obtained from the National Association of State Workforce Agencies Unemployment Insurance Technology Support Center at 202 650 -5150 or at http www.itsc.org Pages WF Connect.aspx . Applicants that have already developed integrated intake and case management systems that meet some or all of the RSI -DWG Project Requirements must identify and describe the RSI - DWG Project Requirements already implemented. Such applicants must provide information on the baseline of their existing technology systems where they are starting from a technology perspective describe how existing systems will be leveraged or built upon and describe how planned improvements or expansions will increase integration and int erconnectivity for the benefit of dislocat ed workers or to achieve any RSI -DWG Project Requirements not yet achieved. As States consider how best to u se this grant opportunity they are encouraged to inventory existing technology -enabled solutions and id entify ways to leverage link to and adapt them rather than building new tools from scratch. To the extent that projects involve upgrading and improving online technology -enabled hubs and tools States are encouraged to use an agile development process that starts with user feedback from dislocated workers about their needs and updates and refines the technology based on ongoing engagement with users about what will be most helpful and effective to support their goals. 9. Additional Elements of Integrated Technology Solutions . As States design and implement their technology solutions they are encouraged to additionally incorporate the following functional ities to achieve the RSI DWG Project Requirements in Section 8 1. Reduce d burden on users including di slocated workers as well as DW UI and ES program st aff by including the following attributes a. Substantially reduced need for users to provide duplicative information at application to or enrollment in the DW UI and ES programs or b. Increased access to c ustomer information among DW UI and ES staff. 2. Support for secure direct communication between users of the integrated IT system and staff and among staff from the DW UI and ES programs as well as other programs within an AJC in order to support se amless integrated service delivery to dislocated workers . 3. Increased capacity for customized targeted outreach to and support for dislocated workers including UI claimants and the long term unemployed regarding available services job opportunities onli ne resources and if appropriate training. 4. Improve d self -service or develop the necessary infrastructure for the future development enhancement of self -service tools available to dislocated workers . 5. Integrated data solutions that provide real -time resour ces such as recent job postings job fair information labor market information referrals to training or services or information about new programs that is customized to the participant s work history and reemployment goals and distributed through emails or a customer dashboard or portal. 8 6. Integrated case management and service delivery strategies for dislocated workers that incorporate dynamic customized reemployment and work search plans. 10. Use of Funds . Applicants must use RSI -DWG funds for activities wh ich address the criteria outlined in Section 8 RSI -DWG Project Requirements and the applicant s required budget forms described in Section 12 must appropriately reflect these activities . The use of these funds will include a limit on administrative cost s of 10 percent of the total award. 11. Application Procedures Requirements and Timeline . In an effort to achieve greater efficiency and as part of the Employment and Training Administration s ETA on -going effort to streamline the grant award process g rantees are required to submit the following items through Grants.gov at www.grants.gov a. An electronically signed copy of a SF -424 - Application for Federal Assistance OMB Control No. 4040 -0004 b. An SF -424A - Budget Information Non -Construction Programs OMB Control No. 4040 -0006 c. A Budget Narrative to explain the projected costs reflect ed in each line item of the SF -424A demonstrating how grant funds will be used . See Attachment A for instructions on completing the budget narrative d. A narrative Project Description as described in Section 12 below e. And a letter of commitment memorandum of understanding or other documentation of support signed by the governor s cabinet officials responsible for the administrati on of the UI Wagner -Peyser and WIOA programs. An electronically submitted SF -424 through Grants.gov constitutes the official signed document and must reflect the total amount requested of no more than 1.1 million in item 18 Estimated Funding . Item 11 must include the Catalog of Federal Domestic Assistance Number 17.277. ETA encourages application submission by Friday September 2 2016 however the official closing date for this grant opportunity is Thursday September 8 2016 . Applications must be received by 11 59 PM EDT on Thursday September 8 2016 to be considered for funding. ETA plans to award these grants by September 30 2016. To submit the required documents applicants must follow the Apply for Grants link on http www.grants.gov and download the links for the grant application package. For this grant opportunity applicants should not follow the Find Grants link as this is not a competitive funding opportunity . If applicants encounter a problem with Grants.gov and do not find an answer in any of the other resources call 1 -800 -518 -4726 or 606 -545 -5035 to speak to a Customer Support Representative or email support grants.gov . 12. Project Descript ion . Applicants must provide the following project information a. A detailed narrative description of the technology solution s as described Section 8 RSI -DWG Project Requirements that will be implemented with grant funding . Applic ants that plan to expand adapt or enhance existing systems must describe planned improvements or expansions that increase integration and interconnectivity 9 of systems so as to provide additional benefits to dislocated workers . Applicants that have already developed integrated intake and case management systems that meet some or all of the RSI -DWG Project Requirements must identify and describe the RSI -DWG Project Requirements already implemented. Such applicants must provide information on the baseline of their existing technol ogy systems where they are starting from a technology perspective describe how the existing systems will be leveraged or built upon and describe how planned improvements or expansions will increase integration and interconnectivity for the benefit of dis located workers or to achieve any RSI -DWG Project Requirements not yet achieved . b. To the extent S tates are using the funding to initiate a project that will ultimately require more time and resources than provided in this grant they must describe their plan for completion of the project beyond the grant period. c. Project t imeline s and major milestones one page limit . d. The anticipated benefits of planned integration activities to dislocated workers as well as to workforce system staff. e. A c ommit ment that th at any integrated intake and case management system that involves UI data or IT infrastructure is developed under the RSI - DWG will ensure compliance with all applicable UI laws and regulations th e applicant must also specify that the system will require UI claimants to actively opt -in to a system that shares their personal information with non -UI programs to align with UI confidentialit y rules. f. An acknowledge ment that the Applicant understand s that ETA may conduct an independent evaluation of the processe s outcomes and benefits of these RSI -DWGs and by accepting a RSI -DWG award agree to participate in such an evaluation. Application s must be no more than 6 pages. 13. Application Review and Award . ETA intends to fund awards for any eligible applicants whos e applications demonstrate an understanding of basic requirements for an integrated system under the RSI -DWG project. A complete a pplication must identify the option s that the State has chosen to pursue and address all other applicable requirements in S ection 8 any application that does not meet these criteria will be considered incomplete. Incomplete applications will not be reviewed and will not receive funding under the RSI -DWG. ETA may elect to award a grant with or without discussions with the ap plicant. Should a grant be awarded without discussions the award will be based on the applicant s signature on the SF -424 including electronic signature which constitutes a binding offer by the applicant. NOTE The Department will determine if the appl icant had any restriction on spending for any ETA grant due to adverse monitoring findings within the past three years. Depending on the severity of the findings the Grant Officer may elect to not provide the applicant a grant award or to imposed conditio ns on the award . All applications deemed to be complete and responsive by the Grant Officer will then go through a risk review process. Before making an award ETA will review information available through any Office of Management and Budget OMB -design ated repository of 10 government -wide eligibility qualification or federal integrity information such as the Federal Awardee Performance and Integrity System FAPIIS Dun and Bradstreet and Do Not Pay. Additionally ETA will comply with the requirements of 2 CFR part 180 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 technical review . If ETA determines that an entity is responsible and an award will be made special conditions that correspond to the degree of risk assessed may be applied to the award. Risk -related criteria to be evaluated include 1 Financial stability 2 Quality of managemen t systems and ability to meet the management standards prescribed in the Uniform Grant Guidance 3 History of performance. The Applicant s record in managing awards cooperative agreements or procurement awards if it is a prior recipient of such Federal aw ards including timeliness of compliance with applicable reporting requirements and if available the extent to which any previously awarded amounts will be expended prior to future awards 4 Reports and findings from audits performed under Sub -part F Aud it Requirements of the Uniform Grant Guidance 2 CFR Sections 200.500 200.520 or the reports and findings of any other available audits and monitoring reports containing finds issues of non -compliance or questioned costs 5 The applicant s ability to ef fectively implement statutory regulatory or other requirements imposed on recipients. Selection of an organization as a recipient does not constitute approval of the grant application as submitted. Before the actual grant is awarded the Department ma y 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 re serves the right to terminate the negotiations and decline to fund the application. The Department reserve s the right to not fund any application related to this TEGL . 14. Reporting . The following are items that grantees must submit to ETA A Quarterly Fina ncial 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 grantees must include any subaward amounts so we can calculate final indirect costs if applicable. Grant recipients must submit the ETA 9130 using the Department s Online Electronic Reporting System. Specific instructions on how to use that system will be provided a fter award and A Quarterly Narrative Report that provides status of achieving project deliverables and milestones. 15. Additional Expectations of Grantees . Grantees will be encouraged to share project plans processes MOUs or other agreements developed wi th these funds with other grantees. In addition grantees will be expected to participate in technical assistance and progress -sharing calls or webinars with other grantees and ETA to facilitate peer -to-peer learning. 11 16. UI Requirements . All proposed activi ties must be designed and carried out in a manner consistent with the laws and regulations governing the State s UI system. Applicants are directed to be especially mindful of individual confidentialit y requirements of 20 CFR part 603 during the design an d implementation of their proposed grant activities. 17. Paperwork Reduction Act PRA Statement . 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 collect ion 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 sou rces 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 Cons titution Avenue NW Room N1301 Washington DC 20210. Comments may also be emailed to DOL PRA PUBLIC dol.gov . 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. 18. Inquir ies. Questions regarding this guidance should be directed to the appropriate ETA Regional Office. 19. Resources . More information is also available at www.doleta.gov dwgs . 20. Attachment s . A. Instruction Sheet for Budget Narrativ e