TEGL_15-19_Appendices_Acc.pdf

ETA Advisory File Text

1 APPENDIX In this appendix you will find the guidelines from the U.S. Department of Labor DOL or Department for the State grants awarded under TEGL-15-19. Appendix I Primary Goals and Activities of this Funding Opportunity and Definitions Appendix II Award Information Appendix III Goals and Activities o A Tier I Required Baseline Goals and Activities o B Tier II Optional Innovation Goals and Activities Appendix IV Funding Restrictions Appendix V Application Submission Appendix VI Application Review and Award Appendix VII Administrative Program Requirements Appendix VIII ETA Evaluation Appendix IX Reporting Requirements Appendix X Grant Recipient Training Appendix XI Agency Contacts Appendix XII OMB Information Collection Appendix XIII Resources 2 Appendix I Primary Goals and Activities of this Funding Opportunity and Definitions All States that meet the application requirements will receive a base amount of funds to improve the structures supporting Registered Apprenticeship Programs RAP in their State. If States wish to receive more funds above this base amount States must demonstrate in their application projects that address the goals and activities in Appendix III. This tiered approach provides States maximum flexibility to address local apprenticeship needs while meeting the Department s RAP priorities. Over the past decade States have significantly invested in RAPs. However the nature of how the Registered System is administered in some States by DOL-recognized State Apprenticeship Agencies SAA and in others directly by DOL means that States have different needs in terms of governance infrastructure and support structures that are critical to successful RAP systems. Additionally States have differing resources labor markets and compositions meaning each State faces individualized challenges in ensuring all RAPs have the features of high-quality apprenticeship required by the Department s regulations at 29 C.F.R. parts 29 and 30. Thus the first tier of baseline funding allows ETA to equitably divide funds allocated in this TEGL for RAPs to address each State s most pressing needs in supporting Registered Apprenticeship. If applicants receive funding in the amounts described in Tier II States may spend more than the base amount to accomplish these baseline goals and activities however they still must meet the goals and requirements for Tier II funding. This funding opportunity has the following goals and activities A Tier I Baseline Goals and Activities Required Every State can receive a base amount of 450 000 U.S. territories receive 300 000 and all entities must use these funds to address the following three required baseline goals and activities. See Appendix III for details. 1. National Apprenticeship System Building. States must spend base funding on developing structures that ensure that all RAPs in the State have the features of high- quality apprenticeship described in 29 C.F.R. parts 29 and 30. 2. System Alignment for Apprenticeship Expansion. States must spend base funding to build state-wide capacity to increase the number and quality of apprenticeships through stronger alignment with the education and workforce systems. 3. Improving Data Sharing and Data Integrity. States must spend base funding to improve data collection and sharing and data integrity. B Tier II Optional Innovation Goals and Activities ETA will award States as much as 9 million to carry out activities above-and-beyond supporting the basic RAP structures in the State. There are three funding levels for this tier and ETA will determine the award amount based on the goals selected by applicants from a list in Appendix III. Applications must credibly demonstrate that applicants could accomplish these goals during the life of the 3 grant as well as credibly demonstrate they can make substantial progress toward increasing the number of individual registered apprentices in the State by the end of the period of performance. Accordingly all applications for Tier II funds must be supported by strong evidence of an applicant s past performance in establishing and expanding RAPs in alignment with the criteria in Attachment II-1. The following list details what applicants must do to receive awards at each funding level in this tier. a. Up to 3 million Select two of the Tier II Goals in Appendix III and credibly demonstrate that these goals can be accomplished during the life of the grant using these funds and Set a goal of at least 10 percent growth of new apprentices registered above the current State baseline during the life of the grant and credibly demonstrate in the application that you will make substantial progress toward meeting this goal. 1 b. 3 000 001 to 6 million Select four of the Tier II Goals in Appendix III and credibly demonstrate that these goals can be accomplished during the life of the grant using these funds Set a goal of at least 20 percent growth of new apprentices registered above the current State baseline during the life of the grant and credibly demonstrate in the application that you will make substantial progress toward meeting this goal and Develop and operationalize at least one innovation using the Internet software and other technological resources to improve RAP marketing promotion business outreach apprenticeship standards development and apprenticeship access for under-represented populations. c. 6 000 001 to 9 million Select six of the Tier II Goals in Appendix III and credibly demonstrate that these goals can be accomplished during the life of the grant using these funds Set a goal of at least 25 percent growth of new apprentices registered above the current State baseline during the life of the grant and credibly demonstrate in the application that you will make substantial progress toward meeting this goal 1 Baseline Defined by current number of active apprentices registered as indicated in RAPIDS for the quarter ending September 30 2019 or by stick counts submitted to the DOL for the quarter ending September 30 2019. 4 Develop and operationalize at least one innovation using the Internet software and other technological resources to improve RAP marketing promotion business outreach apprenticeship standards development and apprenticeship access for under-represented populations and Develop a 5-year plan making RAP a central workforce development strategy and tool for employers within the State. For Tier I and Tier II goals and activities States must use the funding provided to expand RAPs which are described in more detail below. Registered Apprenticeship Programs 2 Apprenticeships registered by DOL or a recognized SAA are a proven model of job preparation that combine paid on-the-job learning OJL with related instruction to progressively increase workers skill levels and wages. RAPs are also a business-driven model that provides an effective way for employers to recruit train and retain highly skilled workers. RAPs allow employers to develop and apply industry standards to training programs thereby increasing productivity and the quality of the workforce. RAPs offer job seekers immediate employment opportunities that pay sustainable wages and offer advancement along a career path. Graduates of RAPs receive nationally recognized portable credentials and their training may be applied toward further post-secondary education. The regulations for RAPs at 29 C.F.R. parts 29 subpart A and 30 are authorized through the National Apprenticeship Act of 1937 29 U.S.C. 50 . The Office of Apprenticeship OA in conjunction with SAAs are responsible for RAPs that meet federal and State standards issuing certificates of completion to apprentices encouraging the development of new programs through outreach and technical assistance protecting the safety and welfare of apprentices and assuring that all programs provide high-quality training. All RAPs consist of the following five core components direct business involvement OJL related instruction rewards for skill gains and a national occupational credential. Funds can only be used to support RAPs and quality pre-apprenticeships leading to RAPs as described below. Quality Framework for Pre-Apprenticeship Programs 2 See 29 CFR 29 on Labor Standards for the Registration of Apprenticeship Programs available at https www.law.cornell.edu cfr text 29 part-29. See also 29 CFR 30 Equal Employment Opportunity in Apprenticeship available at https www.law.cornell.edu cfr text 29 part-30. 5 A pre-apprenticeship program is defined as a set of strategies designed to prepare individuals for entry into a RAP. 3 Pre-apprenticeships differ from internships job shadowing externships and co-ops which may also offer individuals an opportunity to experience firsthand a profession or practice but do not always engage in real world experiential learning. For the purposes of this TEGL pre-apprenticeship programs must include the following five elements to be considered a quality pre-apprenticeship program Designed in Collaboration with RAP Sponsors. Quality pre-apprenticeship programs are designed by organizations with input from a RAP sponsor. A pre-apprenticeship program s educational and pre-vocational services prepare individuals to meet the entry requisites of one or more apprenticeship programs. They have training goals to teach participants a defined set of skills required and agreed upon by the RAP sponsor for entry into their programs. The start date and length of specific pre-apprenticeship programs may vary. Ideally pre-apprenticeship programs provide an industry-recognized credential and possibly stipends or wages. Meaningful Hands-on Training that does not displace paid employees. Quality pre- apprenticeships provide hands-on training to individuals in 1 a workplace 2 simulated lab experience or 3 work-based learning environment and which also do not supplant a paid employee while accurately simulating the industry and occupational conditions of the partnering RAPs which includes observing proper supervision and safety protocols. Facilitated Entry and or Articulation. The purpose of a pre-apprenticeship program is to train individuals for entry into a RAP. A quality pre-apprenticeship program assists in exposing participants to local state and national apprenticeship programs and provides direct assistance to participants applying to those programs. When possible formalized agreements exist with RAPs that enable individuals who have successfully completed the pre-apprenticeship program to enter directly into a RAP. These may also include articulation agreements that allow the individual to earn advanced credit placement for skills and competencies already acquired. Sustainability through Partnerships. To support the ongoing sustainability of a quality pre-apprenticeship partnership. Such partnerships collaboratively promote the use of RAPs as a preferred means for employers to develop a skilled workforce and to create career opportunities and pathways for individuals. Access to Appropriate Supportive Services. Quality pre-apprenticeship programs facilitate access to appropriate supportive services during the program these supportive services may continue after the participant leaves the pre-apprenticeship and enters a RAP. Services may include counseling transportation assistance childcare and rehabilitative services. 3 Describing a Quality Pre-Apprenticeship and Related Tools and Resources Training and Employment Notice No. 13-12 available at https wdr.doleta.gov directives corr doc.cfm DOCN 5842 6 Appendix II Award Information Funding is authorized under the Department of Defense and Labor Health and Human Services and Education Appropriations Act 2019 and Continuing Appropriations Act 2019 Public Law 115-245 Division B Title I . Applications are due by 11 59 59 P.M. EDT Wednesday May 20 2020. Should an application not be received by 11 59 59 P.M. EDT on the closing date of the funding opportunity the State will forfeit the opportunity to receive this funding. This funding will be treated by ETA as a discretionary grant and will be subject to the Terms and Conditions of the Grant Agreement. To the extent that program or policy issues need to be addressed DOL may provide additional guidance through Frequently Asked Questions FAQs or through special conditions. Applicants may only submit one application which must include a funding request for Tier I see Appendix V for requirements and if also applying for Tier II must include a funding request for Tier II see Appendix V for requirements . Eligible Applicants Eligible applicants are States. The term State means any of the 50 States of the United States District of Columbia or any Territory or possession of the United States. For the purposes of this TEGL territories or possessions of the United States are defined as Puerto Rico U.S. Virgin Islands Guam the Commonwealth of the Northern Mariana Islands and American Samoa. States may only submit one application in response to this TEGL. Fiscal and Administrative Responsibility Upon award the grantee will have overall fiscal and administrative responsibility for the award including any performance of sub-awardees. This responsibility may not be delegated. As part of their responsibility for the award the recipient shall be the point of contact with the Department to receive and respond to all inquiries or communications under this award and any sub-awards the entity with authority to withdraw or draw down funds the entity responsible for submitting to the Department all deliverables under the award including all related technical and financial reports regardless of which partnership member performed the work the entity that may request modifications to the award or statement of work the entity with overall responsibility for carrying out programmatic functions of the award as well as the stewardship of all expenditures under the award the entity responsible for coordinating with the national evaluator and the entity responsible for working with the Department to close out the award at the end of the period of performance. 7 Appendix III Tier I and Tier II Funding Goals and Activities A Tier I Baseline Goals and Activities Required Each State meeting application requirements after applying will receive a base funding amount of 450 000 and territories 300 000 and all entities must use these funds to address the following three required baseline goals and activities 1. National Apprenticeship System Building. States must spend base funding on developing structures that ensure that all RAPs in the State have the features of high- quality apprenticeship described in 29 C.F.R. parts 29 Subpart A and 30. a. SAA States. SAA States must use grant funds to support structures resources and activities that strengthen compliance with parts 29 subpart A and 30 by all programs in the State. Examples of these activities include i. Building or renovating oversight systems that allow apprenticeship sponsors to register or update their standards quickly and allow SAAs to better ensure compliance with parts 29 subpart A and 30 and ii. Establishing a SAA presence in key economic hubs to provide more responsive and localized technical assistance to registered programs in that hub. b. OA States. States where OA directly operates RAPs must propose only projects that involve closely coordinating with OA to improve access to RAPs in the State. This includes developing programs and initiatives that make secondary education institutions and key employers aware of RAPs and empower workers and employers to participate in RAPs. Examples of these activities include i. Developing OA-approved frameworks for registering occupations that are growing or in-demand in the State to ease registration of new programs and ii. Creating other systems and tools that allow new and existing programs to more easily reach or stay in compliance with parts 29 Subpart A and 30. 2. System Alignment for Apprenticeship Expansion. States must spend base funding to build state-wide capacity to increase the number and quality of Registered Apprenticeships through stronger alignment with the education and workforce systems. Activities must demonstrate coordination with secondary education CTE programs local workforce development programs and post-secondary educational institutions. Example activities include Developing new formal partnerships with secondary education and postsecondary education and training institutions to create a pipeline to Registered Apprenticeship opportunities in in-demand professions in the state 8 Creating new systems and structures to maximize programs and apprentices access to WIOA and GI Bill benefits and other resources available for Registered Apprenticeship in the state Creating formal opportunities for education and training institutions to gauge individuals experience employability interests and aptitudes and present to them Registered Apprenticeship opportunities that fit their profile Aligning career and technical education programs with the quality apprenticeship features described in Registered Apprenticeship regulations Developing standardized training that uses Registered Apprenticeship as a work- based learning and vocational training program e.g. development of a National Career Clusters Framework standardized career training by providing sample study programs and minimum competency skills in 79 career fields including architecture construction hospitality and tourism agriculture manufacturing and finance 4 Promoting the use of Registered Apprenticeship in post-secondary educational institutions workforce development institutions and leveraging workforce intermediaries to expand access to Registered Apprenticeship in secondary and post-secondary institutions Expanding the use of integrated education and training approaches across the State Building the capacity of adult education and higher-education partners to incorporate Registered Apprenticeship into their education and training programs Increasing alignment between State education and workforce systems through the development of policies that facilitate the transition from school to Registered Apprenticeship and Increasing awareness of Registered Apprenticeship as a solution to align employment training education and support services for adults and youth and other underrepresented populations including women people of color ex- offenders and persons with disabilities . Note Grantees must reach agreement with the Department on how they will report performance under this list of activities. 3. Improving Data Sharing and Data Integrity. States must commit to improving data sharing and data integrity regarding registration activities. Example activities include a. Adoption of RAPIDS as the State s case management system for registration activities b. Taking the infrastructural steps necessary for the State to enter a MOU regarding the sharing of data on RAPs and registered apprentices that provides the equivalent disaggregated data that is available to DOL via RAPIDS. Grantees will provide this data quarterly in an individual record format agreed upon 4 https careertech.org career-clusters 9 between OA and the grantee. Grantees will upload the data to RAPIDS via an SAA Data Upload Portal wherein the submitted data will be stored in RAPIDS and incorporated into DOL public and internal reporting i.e. in RAPIDS data dashboards and canned reports c. In accordance with adoption of the above item b creating or updating State data collection systems that allow better tracking of apprentices and apprenticeship programs in the state so as to match the depth of individual record level data already recorded in the RAPIDS case management system d. Reaching out to employers to encourage listing Registered Apprenticeship opportunities on the Finder app 5 e. Participating in quarterly DOL RAPIDS group data reviews validation sessions RAPIDS Weeks to verify and clean up existing data and f. Participating in weekly RAPIDS Power User Group PUG meetings to collaborate on improving the RAPIDS user experience and data governance. B Tier Optional II Innovation Goals and Activities ETA will award States as much as 9 million to carry out activities above-and-beyond supporting the basic Registered Apprenticeship structures in the State. There are three funding levels for this tier and ETA will determine award amount based on goals selected by applicants from the list below according to whether the applicant credibly demonstrates it can meet this goal. Applications must credibly demonstrate that applicants could accomplish these goals during the life of the grant as well as credibly demonstrate they can make substantial progress toward increasing the number of individual registered apprentices in the State by the end of the grant s life as described in the requirements for each funding level below. Accordingly all applications for Tier II funds must be supported by strong evidence of an applicant s past performance in establishing and expanding RAPs in alignment with the criteria in Attachment II. The following details what applicants must do to receive awards at each funding level in this tier. a. Up to 3 million Select two of the Tier II Goals and credibly demonstrate that these goals can be accomplished during the life of the grant using these funds and Set a goal of at least 10 percent growth of new apprentices registered above the current State baseline during the life of the grant and credibly demonstrate in the application that you will make substantial progress toward meeting this goal. 6 5 For more information on the Finder app please see https www.apprenticeship.gov list-your- apprenticeship-jobs 6 Baseline Defined by current number of active apprentices registered as indicated in RAPIDS for the quarter ending September 30 2019 or by stick counts submitted to the DOL for the quarter ending September 30 2019. 10 b. 3 000 001 to 6 million Select four of the Tier II Goals and credibly demonstrate that these goals can be accomplished during the life of the grant using these funds Set a goal of at least 20 percent growth of new apprentices registered above the current State baseline during the life of the grant and credibly demonstrate in the application that you will make substantial progress toward meeting this goal and Develop and operationalize at least one innovation using the Internet software and other technological resources to improve RAP marketing promotion business outreach apprenticeship standards development and apprenticeship access for under-represented populations. c. 6 000 001 to 9 million Select six of the Tier II Goals and credibly demonstrate that these goals can be accomplished during the life of the grant using these funds Set a goal of at least 25 percent growth of new apprentices registered above the current State baseline during the life of the grant and credibly demonstrate in the application that you will make substantial progress toward meeting this goal Develop and operationalize at least one innovation using the Internet software and other technological resources to improve RAP marketing promotion business outreach apprenticeship standards development and apprenticeship access for under-represented populations and Develop a 5-year state plan making Registered Apprenticeship a central workforce development strategy and tool for employers within the State Tier II Goals To access Tier II awards applicants must choose and credibly demonstrate that they can accomplish goals necessary for each funding level. A list of allowable goals is below. The goals are categorized by policy area and or topic. Applicants may not choose more than two 2 Goals from the same category. Category A General Business Outreach Technology and or Technical Assistance TA Goals i. In alignment with the Department s national marketing campaigns launch Registered Apprenticeship multi-media statewide marketing and outreach efforts targeted at new employers and career seekers. ii. Establish an employer incentive plan to expand or scale RAPs. These can be financial or non-financial incentives but must be designed to increase employer demand. iii. Leverage technology to develop innovative TA strategies approaches for Registered Apprenticeship sponsors e.g. tools to increase access for entry of women and minorities e-tools that remove administrative barriers or improve existing processes . iv. Identify and implement specific TA strategies that change existing or create new 11 effective processes and or services in the delivery of TA to sponsors for the purposes of increasing efficiency improving overall impact and removing barriers in expanding RAPs. v. Identify specific strategies to support engagement with small businesses in non- traditional industries in Registered Apprenticeship. Strategies could include establishing incentives for employers to form consortia developing specific intermediaries that serve as the sponsor of apprenticeship programs for small businesses e.g. Chambers of Commerce Community Colleges Workforce Boards and any other strategy identified by the State. Category B Apprenticeship Diversification New Industry Goals i. Launch or expand sector strategy ies to expand RAPs to new industries and or new or non-traditional occupations within existing sectors. ii. Launch or expand sector strategy ies to expand RAPs to new occupations in traditional industries. Efforts should demonstrate how existing apprenticeship sponsors may expand and scale their programs by including new occupations within their enterprise e.g. IT apprentices within a manufacturing employer . iii. Launch or expand RAPs in health care mental health care addiction treatment or alternative pain management occupations providing support to individuals living in rural areas. Applicants must demonstrate that i apprentices trained in these registered programs serve or will serve rural populations 7 ii apprentices trained in these registered programs serve or will serve at rural hospitals 8 or iii both. iv. Launch or expand RAPs in occupations providing support to individuals who are affected by substance-use disorder SUD regardless of whether these individuals live in rural or urban areas. v. Launch or expand RAPs to support expansion of 5G across the country particularly in rural areas as defined by the U.S. Census Bureau by training in occupations that will develop or build infrastructure for 5G. 9 Category C General Apprenticeship Quality Improvement Goals i. Launch efforts to improve core components of RAPs including on-the-job learning classroom instruction mentorship supervision and assessments leading to the issuance of industry recognized credentials. 7 For the purposes of this TEGL rural populations are 1 populations that meet the criteria defined by the Health Resources Services Administration HRSA s Federal Office of Rural Health Policy FORHP at https www.hrsa.gov rural-health about-us definition index.html 2 counties that do not have Urbanized Areas as defined by the U.S. Census Bureau Urbanized Areas UAs have 50 000 or more people or 3 any federally recognized Indian tribe. 8 For the purposes of this TEGL rural hospital is defined as 1 hospitals located in eligible rural areas 2 hospitals with Centers for Medicare and Medicaid Services CMS designations as Critical Access Hospitals Sole Community Hospitals or Rural Referral Centers or 3 tribal-operated and Indian Health Service HIS -operated hospitals and medical facilities. 9 https www.census.gov programs-surveys geography guidance geo-areas urban-rural.html 12 The applicant must propose specific strategies to improve the quality of any of these core components and identify specific measurements of improvement. ii. Launch efforts to improve the overall quality of apprenticeship standards and classroom instruction curriculum including the development or adoption of competency-based apprenticeship standards. This could include adopting or converting DOL s competency-based occupational frameworks CBOFs and making them available for use by existing and potential sponsors or other efforts that include the development of standards that are shared with other States and DOL. iii. Launch new efforts to increase the general quality of RAPs within the State with a goal at a minimum to improve RAP completion rates. Efforts could include increased capacity for technical assistance increased access to quality mentorship pre- apprenticeship or other strategies. State must propose a specific outcome goal. Category D Diversity and Inclusion and or Special Population Goals i. Incorporate specific strategies to support or expand RAP opportunities among all workers including women minorities veterans individuals with disabilities and individuals with a criminal record. These activities must be in compliance with all state local and federal equal-employment laws and civil rights protections. For this goal baseline is defined as the current inclusion of the target group in their State workforce. Applicants must use LMI data when providing this information. ii. Incorporate specific strategies to support or expand youth RAP development and or scaling of existing programs. Category E System Alignment or Partnership Goals i. Establish or expand the role of the business service representative apprenticeship navigator with the promotion of apprenticeship to partner systems e.g. education workforce and economic development . ii. Promote apprenticeship through partner engagement activities that outline concrete deliverables such as setting new performance measures signing of MOUs shared development of curricula commitments to hire and leveraging resources. iii. Increase integration and alignment with existing Community Workforce Development Boards and their partners to include alignment with state and local plans. Category F Innovative State-Proposed Goals i. States can propose a goal not listed here provided its application credibly demonstrates This goal is innovative meaning that it is an approach to RAPs or their creation or expansion that has not been tried before or not tried in the State before This goal is uniquely tailored to the employment or economic needs of the State and The State has a detailed achievable plan for meeting this goal during the life of the grant. 13 Appendix IV Funding Restrictions All proposed project costs must be necessary and reasonable and in accordance with federal guidelines. Determinations of allowable costs will be made in accordance with the Cost Principles found at 2 CFR Part 200 Uniform Guidance and 2 CFR Part 2900 Uniform Guidance DOL Specific . Compensation including salaries must be handled consistently with the Uniform Guidance including 2 CFR 200.430. Disallowed costs are those charges to a grant that the grantor agency or its representative determines not to be allowed in accordance with the Cost Principles or other conditions contained in the grant. Applicants whether successful or not will not be entitled to reimbursement of pre-award costs. Wherever possible States must make efforts to streamline the programmatic and administrative activities and services listed in this section by minimizing duplication and effectively using information technology to improve services and leveraging resources across programs. The following limitations apply to funds awarded under this TEGL Apprentice Participant Wages Grant funds may not be used to directly pay wages for apprentices. On-the-Job Learning Grant funds may be used to support on-the-job learning OJL also known as on-the-job training to reimburse employers for the extraordinary costs of apprenticeship OJL. Reimbursement can be calculated up to 50 percent of the apprentice wage. Grantees must document the terms of reimbursement including the length of time the reimbursement will occur. Salary caps None of the funds appropriated under the heading Employment and Training in the appropriation statute s may be used by a recipient or subrecipient of such funds to pay the salary and bonuses of an individual either as direct costs or indirect costs at a rate in excess of Executive Level II. This limitation does not apply to contractors providing goods and services as defined in the Audit Requirements of the OMB Uniform Guidance see 2 CFR 200 Subpart F . Where States are recipients of such funds States may establish a lower limit for salaries and bonuses of those receiving salaries and bonuses from subrecipients of such funds taking into account factors including the relative cost-of-living in the State the compensation levels for comparable State or local government employees and the size of the organizations that administer federal programs involved including Employment and Training Administration programs. See Public Law 113-235 Division G Title I section 105 and Training and Employment Guidance Letter number 05-06 for further clarification https wdr.doleta.gov directives corr doc.cfm DOCN 2262. Supportive services for apprentices who enrolled in a Registered Apprenticeship program Supportive services for participants enrolled in apprenticeships include services such as transportation childcare dependent care housing and needs-related payments that are necessary to enable an individual to participate in apprenticeship activities funded through this grant. Supportive services activities may include but are 14 not limited to provision of the actual supportive service e.g. childcare providing participants with a voucher for the service e.g. public transportation cards or tokens or providing a stipend directly to the apprentice. No more than 10 percent of the grant funds can be used for supportive services. Equipment Equipment purchases and other capital expenditures as defined in 2 CFR 200.439 200.89 and 200.48 are not an allowable cost under this announcement. DOL will not approve any such expenses using funds from this grant. Intellectual Property Rights Pursuant to 2 CFR 2900.13 to ensure that the federal investment of DOL funds has as broad an impact as possible and to encourage innovation in the development of new learning materials the grantee will be required to license to the public all work created with the support of the grant under a Creative Commons Attribution 4.0 CC BY license. Work that must be licensed under the CC BY includes both new content created with the grant funds and modifications made to pre-existing grantee-owned content using grant funds. This license allows subsequent users to copy distribute transmit and adapt the copyrighted work and requires such users to attribute the work in the manner specified by the grantee. Notice of the license shall be affixed to the work. For general information on CC BY please visit https creativecommons.org licenses by 4.0. Instructions for marking your work with CC BY can be found at https wiki.creativecommons.org Marking your work with a CC license. Questions about CC BY as it applies to this specific funding opportunity should be submitted to the ETA Grants Management Specialist. Only work that is developed by the recipient in whole or in part with grant funds is required to be licensed under the CC BY license. Pre-existing copyrighted materials licensed to or purchased by the grantee from third parties including modifications of such materials remain subject to the intellectual property rights the grantee receives under the terms of the particular license or purchase. In addition works created by the grantee without grant funds do not fall under the CC BY licensing requirement. The purpose of the CC BY licensing requirement is to ensure that materials developed with funds provided by these grants result in work that can be freely reused and improved by others. When purchasing or licensing consumable or reusable materials the grantee is expected to respect all applicable federal laws and regulations including those pertaining to the copyright and accessibility provisions of the Federal Rehabilitation Act. Separate from the CC BY license to the public the federal government reserves a paid- up nonexclusive and irrevocable license to reproduce publish or otherwise use and to authorize others to use for federal purposes i the copyright in all products developed under the grant including a subaward or contract under the grant or subaward and ii any rights of copyright to which the recipient subrecipient or a contractor purchases 15 ownership under an award including but not limited to curricula training models technical assistance products and any related materials . Such uses include but are not limited to the right to modify and distribute such products worldwide by any means electronically or otherwise. The grantee may not use federal funds to pay any royalty or license fee for use of a copyrighted work or the cost of acquiring by purchase a copyright in a work where the Department has a license or rights of free use in such work. If revenues are generated through selling products developed with grant funds including intellectual property DOL treats such revenues as program income. Such program income is added to the grant and must be expended for allowable grant activities. If applicable the following standard ETA disclaimer needs to be on all products developed in whole or in part with grant funds. This workforce product was funded by a grant awarded by the U.S. Department of Labor s Employment and Training Administration. The product was created by the grantee and does not necessarily reflect the official position of the U.S. Department of Labor. The U.S. Department of Labor makes no guarantees warranties or assurances of any kind express or implied with respect to such information including any information on linked sites and including but not limited to accuracy of the information or its completeness timeliness usefulness adequacy continued availability or ownership. This product is copyrighted by the institution that created it. 16 Appendix V Application Submission Applications must be received by 11 59 59 PM EDT on Wednesday May 20 2020 to be considered for funding. ETA plans to award these grants by July 1 2020 with a 36-month period of performance ending June 30 2023. a. Required Documents In an effort to achieve greater efficiency and as part of ETA s on-going effort to streamline the grant award process applicants are required to submit the following items through Grants.gov at https www.grants.gov . Submission via other electronic mediums will not be accepted nor will hard copy submissions. Applicants should submit one application in response to the TEGL which must include a funding request for Tier I. If applying for Tier II the application must include a funding request for Tier II that describes how the project will address all required activities of the grant. Tier I Funding Request required for all applicants 1 SF-424 Application for Federal Assistance The SF-424 available at https www.grants.gov web grants forms sf-424-family.html must clearly identify the applicant entity and must be submitted by an individual with authority to enter into a grant agreement. Upon confirmation of an award the individual signing the SF-424 on behalf of the applicant is considered the Authorized Representative of the applicant. As stated in block 21 of the SF-424 form the signature of the Authorized Representative on the SF-424 certifies that the organization is in compliance with the Assurances and Certifications form SF-424B available at the above link . Applicants do not need to submit the SF-424B with the application. 2 Project Budget to include The SF-424A Budget Information Form available at https www.grants.gov web grants forms sf-424-family.html and Budget Narrative The Budget Narrative must provide a concise description of costs associated with each line item on the SF-424A see Attachment I-4 for further guidance . 3 Project Narrative. Tier I Baseline Goals see Attachment I-1 for details . 4 Work Plan see Attachment I-2 for details . This must be submitted as an attachment and clearly labeled as Tier I Work Plan. 5 Participants served goals and Performance Outputs and Outcomes see Attachment I-3 for details . This must be submitted as an attachment and clearly labeled as Tier I Performance Outputs and Outcomes. 6 Organizational Chart see Attachment I-1 for details . The chart must be included as an attachment to the project narrative and does not count towards the 10-page limit for Tier I. 17 7 A letter from the Governor or chief elected official see Attachment I-5 for details . This must be submitted as an attachment and clearly labeled as Governor s Letter. 8 Abstract see Attachment I-6 . An abstract adhering to guidelines in Attachment I-6 must be submitted as an attachment and clearly labeled Abstract. The abstract must identify the funding requested for Tier I and provide a high-level project summary. Applicants applying for Tier II must also include total Tier II funding requested Tier II goals selected and a high-level project summary. The abstract can be up to two pages summarizing the proposed project including but not limited to the scope of the project and proposed outcomes. Omission of the abstract will not result in your application being disqualified. Tier II Funding Requests All documents for Tier II funding should be uploaded in www.grants.gov as Other Attachments. 1 SF-424 Application for Federal Assistance - must be labeled as Tier II SF424 The SF-424 available at https www.grants.gov web grants forms sf-424-family.html must clearly identify the applicant entity and must be submitted by an individual with authority to enter into a grant agreement. Upon confirmation of an award the individual signing the SF-424 on behalf of the applicant is considered the Authorized Representative of the applicant. As stated in block 21 of the SF-424 form the signature of the Authorized Representative on the SF-424 certifies that the organization is in compliance with the Assurances and Certifications form SF-424B available at the above link . Applicants do not need to submit the SF-424B with the application. 2 Project Budget to include The SF-424A Budget Information Form available at https www.grants.gov web grants forms sf-424-family.html must be labeled as Tier II SF-424A and Budget Narrative The Budget Narrative must provide a concise description of costs associated with each line item on the SF-424A see Attachment II-4 for further guidance and must be labeled as Tier II Budget Narrative. 3 Project Narrative Tier II see Attachment II-1 for details must be labeled as Tier II Project Narrative. Where this TEGL states in Appendix III that applicants must credibly demonstrate an activity or goal this evidence must be included in the narrative response. This can also include by attachment reference or hyperlink materials or documentation supporting your proposal. The Project Narrative must address the required criteria identified in Attachment II-1 Tier II required goals and activities evidence of past performance and state apprenticeship 5- year plan. 4 Work Plan see Attachment II-2 must be labeled as Tier II Work Plan. This plan must credibly demonstrate that the applicants chosen goals and projects are realistic based on past performance or other evidence and can be accomplished within the life of the grant. This can be 18 accomplished through for example plans for realistic or organized outreach or descriptions of partner organizations and their role in operationalizing your proposal. 5 Participants served goals and Performance Outputs and Outcomes see Attachment II-3 for details must be labeled as Tier II Performance Outcomes and Outputs. Save all files with descriptive file names of 50 characters or less and only use standard characters in file names A-Z a-z 0-9 and underscore . File names may not include special characters e.g. periods . blank spaces or accent marks and must be unique i.e. no other Attachment may have the same file name . You may use an underscore example My Attached File.pdf to separate a file name. b. Grants.gov Submission Process Applicants must submit the application package through Grants.gov. Submission via other electronic mediums will not be accepted nor will hard copy submissions. This submission process may at times be complicated and time-consuming. As such DOL strongly encourages applicants to initiate the process as soon as possible in order to allow time to resolve unanticipated technical problems. Applicants needing to register with Grants.gov may do so at https www.grants.gov web grants register.html. Registration is a one-time process and applicants that already have a Grants.gov account do not need to register again. Grants.gov applicants can apply online using Workspace. Workspace is a shared online environment where members of a grant team may simultaneously access and edit different web forms within an application. For complete workspace overview refer to https www.grants.gov web grants applicants workspace-overview.html. Requirement for DUNS Number Submission requirements stipulate that all applicants for federal grant and funding opportunities must have a DUNS Number and must supply their DUNS Number on the SF-424. The DUNS Number is a nine-digit identification number that uniquely identifies business entities. If applicant does not have a DUNS Number the applicant can get one for free through the D B website https fedgov.dnb.com webform index.jsp. Grant recipients authorized to make sub- awards must meet these requirements related to DUNS Numbers Grant recipients must notify potential sub-awardees that no entity may receive a sub- award from applicant unless the entity has provided its DUNS Number to applicant and Grant recipients may not make a sub-award to an entity unless the entity has provided its DUNS Number to applicant. See Appendix A to 2 CFR section 25. Requirement for Registration with SAM Applicants must register with the System for Award Management SAM before submitting an application. Find instructions for registering with SAM at https www.sam.gov. A recipient must maintain an active SAM registration with current information at all times during which it has an active federal award or an application under consideration. To remain registered in the SAM database after the initial registration the applicant is required to review and update the registration at least every 12 months from the date of initial registration or subsequently update its information in the SAM database to ensure it is current accurate and 19 complete. For purposes of this paragraph the applicant is the entity that meets the eligibility criteria and has the legal authority to apply and to receive the award. If an applicant has not fully complied with these requirements by the time the Grant Officer is ready to make a federal award the Grant Officer may determine that the applicant is not qualified to receive a federal award and use that determination as a basis for making a federal award to another applicant. For technical issues encountered during application submission applicants may call 800-518- 4726 or 606-545-5035 to speak to a Customer Support Representative or email support grants.gov. The Contact Center is open 24 hours a day seven days a week but closes on federal holidays. 20 Appendix VI Application Review and Award Proposals will first be screened to determine if the applicant meets the eligibility requirements enumerated in Appendix II Award Information. All required elements outlined in Appendix III Application Submission of this announcement must be submitted. Applications that do not include an SF-424 SF-424A Budget Narrative and Project Narrative for Tier I Baseline Goals will be considered non-responsive and will not be reviewed. Submissions will only be accepted via www.grants.gov. Submissions via other electronic mediums will not be accepted nor will hard copy submissions. ETA officials will form a Technical Evaluation Committee to assess the response of an accepted application s associated documents as indicated below see Attachment I and Attachment II . ETA intends to fund awards for any applicant i who adequately demonstrates their ability to achieve grant goals through a clear detailed and reasonable program narrative ii whose budget and budget narrative are sufficient to support the activities in the program narrative and iii who properly follows guidelines in applying for funding is available. This includes adequate staffing levels to support grant goals and grant management. The review and selection process will proceed as follows 1 An initial review of proposals for eligibility required document components will be conducted by the Office of Grants Management OGM staff 2 Evaluations of the technical merits of each accepted proposal addressing the items indicated in Attachments I-1 through I-6 and II-1 through II-4 the Technical Review will be conducted by the Technical Evaluation Committee a. For Applicants that apply for Tier II funding funds will be awarded based on the number and quality of Tier II applications received and the funding available as well as geographic industry and Tier II goal distribution. 3 Evaluations of the cost components of each accepted proposal the Budget Review will be conducted by the Technical Evaluation Committee and 4 Proposals recommended for award will be funded via Notices of Award attached to a Grant Agreement issued by the Grant Officer of Record and may or may not have Special Conditions requiring additional response based on the outcome of the Technical Evaluation Committee review. ETA may elect to award a grant with or without discussions with the applicant. Should a grant be awarded without discussions the award will be based on the applicant s signature on the SF-424 including electronic signature which constitutes a binding offer by the applicant. NOTE The Department will determine if the applicant 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 impose conditions on the award. All applications deemed to be complete and responsive by the Grant Officer will go through a risk review process. Before making an award ETA will review information available through 21 any OMB-designated repository of 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 evaluated include 1 Financial stability 2 Quality of management 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 awards 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 Audit 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 findings issues of non-compliance or questioned costs and 5 The applicant s ability to effectively 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 DOL may enter into negotiations about such items as program components staffing and funding levels and administrative systems in place to support grant implementation. If the negotiations do not result in a mutually acceptable submission the Grant Officer reserves the right to terminate the negotiations and decline to fund the application. The Department reserves the right to not fund any application related to this TEGL. Except as specifically provided in this TEGL acceptance of an application and an award of federal funds to sponsor any programs s does not provide a waiver of any grant requirements and or procedures. For example the OMB Uniform Guidance requires that an entity s procurement procedures ensure that all procurement transactions are conducted as much as practical to provide full and open competition. If an application identifies a specific entity to provide goods or services the award does not provide the justification or basis to solely source the procurement i.e. avoid competition . 22 Appendix VII Administrative Program Requirements All grantees will be subject to all applicable federal laws regulations including the OMB Uniform Guidance and the terms and conditions of the award. The grant s awarded under this TEGL will be subject to the following administrative standards and provisions i. Non-Profit Organizations Educational Institutions For-profit entities and State Local and Indian Tribal Governments - 2 CFR Part 200 Uniform Administrative Requirements Cost Principles and Audit Requirements for Federal Awards and 2 CFR 2900 DOL s Supplement to 2 CFR Part 200 . ii. All entities must comply with 29 CFR Part 93 New Restrictions on Lobbying 29 CFR Part 94 Government-wide Requirements for Drug-Free Workplace Financial Assistance 2 CFR Part 180 OMB Guidance to Agencies on Government-wide Debarment and Suspension Non-procurement and where applicable 2 CFR Part 200 Audit Requirements . iii. 29 CFR Part 2 subpart D-Equal Treatment in Department of Labor Programs for Religious Organizations Protection of Religious Liberty of Department of Labor Social Service Providers and Beneficiaries. iv. 29 CFR Part 31-Nondiscrimination in Federally Assisted Programs of the Department of Labor-Effectuation of Title VI of the Civil Rights Act of 1964. v. 29 CFR Part 32-Nondiscrimination on the Basis of Handicap in Programs or Activities Receiving Federal Financial Assistance. vi. 29 CFR Part 35- Nondiscrimination on the Basis of Age in Programs or Activities Receiving Federal Financial Assistance from the Department of Labor. vii. 29 CFR Part 36-Nondiscrimination on the Basis of Sex in Education Programs or Activities Receiving Federal Financial Assistance. viii. 29 CFR Parts 29 and 30-Labor Standards for the Registration of Apprenticeship Programs and Equal Employment Opportunity in Apprenticeship and Training as applicable. ix. General Terms and Conditions of Award - https www.doleta.gov grants resources.cfm 23 Appendix VIII ETA Evaluation As a condition of grant award grantees are required to participate in an evaluation if undertaken by DOL. The evaluation may include an implementation assessment across grantees an impact and or outcomes analysis of all or selected sites within or across grantees and a benefit cost analysis or assessment of return on investment. Conducting an impact analysis could involve random assignment which involves random assignment of eligible participants into a treatment group that would receive program services or enhanced program services or into control group s that would receive no program services or program services that are not enhanced . We may require applicants to collect data elements to aid the evaluation. As a part of the evaluation as a condition of award grantees must agree to 1 make records available to the evaluation contractor on participants employers and funding 2 provide access to program operating personnel participants and operational and financial records and any other pertaining documents to calculate program costs and benefits 3 in the case of an impact analysis facilitate the assignment by lottery of participants to program services including the possible increased recruitment of potential participants and 4 follow evaluation procedures as specified by the evaluation contractor under the direction of DOL. 24 Appendix IX Reporting Requirements You must meet DOL reporting requirements. Specifically you must submit the reports and documents listed below to DOL electronically 1 Quarterly Financial Reports A Quarterly Financial Status Report ETA 9130 is required until such time as all funds have been expended or the grant period has expired. Quarterly reports are due 45 days after the end of each calendar year quarter. On the final Financial Status Report you must include any subaward amount so we can calculate final indirect costs if applicable. You must use DOL s Online Electronic Reporting System and information and instructions will be provided to grantees. For other guidance on ETA s financial reporting reference Training and Employment Guidance Letter TEGL 02-16 and our webpage at https www.doleta.gov grants financial reporting.cfm. 2 Quarterly Performance Reports Grant recipients must submit a quarterly progress report within 45 days after the end of each calendar year quarter. This report includes a quarterly narrative report that details all grant activities that occurred during the quarter provides an analysis of the industry sectors and occupations participating in Registered Apprenticeship summarizes progress against grant goals and updates the work plan to include key goals and milestones for the coming year as well as a quarterly performance report. In order to submit these quarterly reports the grant recipient will be required to track and report participant-level data to ETA including Social Security Numbers SSNs on all individuals who are provided grant-funded services. The SSN information allows ETA to efficiently match employment data from State unemployment insurance and other wage records. Thus the collection of participant SSNs lessens the burden on grant recipients when tracking exit-based employment measures while reporting consistent and reliable outcome information. Performance reporting for these grants will align with the DOL-Only Performance Accountability Information and Reporting System OMB Control No. 1205-0521 information collection request ICR . As part of quarterly performance reporting DOL requires grant recipients to conduct data validation to ensure the validity of data submitted to DOL. Grant recipients are encouraged to fully implement the data validation framework published in forthcoming DOL data validation guidance. The last quarterly progress report will serve as the grant s Final Performance Report. This report must provide both quarterly and cumulative information on the grant activities. It must summarize project activities employment outcomes and other deliverables and related results of the project and it must thoroughly document the training or labor market information approaches that grant recipients used. DOL will provide the grant recipient with an online reporting system along with detailed formal guidance about the data and other information required to be collected and reported on either on a regular basis or special request basis. As noted above these 25 grants will align with WIOA performance reporting requirements including the online reporting system. Grantees must agree to meet DOL reporting requirements. 26 Appendix X Grant Recipient Training Grantees are required to participate in all ETA training activities related to grantee orientation financial management and reporting performance reporting product dissemination and other technical assistance training as appropriate during the grant period. These sessions may occur via conference calls virtual events such as webinars and in-person meetings. Applicants should budget for two staff members to attend one in-person event in Washington D.C. of two-night duration and one in-person event within their DOL Region of two-night duration during the life of the award. For grantees whose apprenticeship programs are federally administered this will include a meeting between the State the ETA Office of Apprenticeship and the OA State director to discuss the State s grant goals and the role OA can play in supporting those goals. This meeting will take place within the first quarter of grant award. 27 Appendix XI Agency Contacts Please direct questions regarding this funding opportunity to Anu Mathew Grants Management Specialist Office of Grants Management at Mathew.Anu dol.gov specifically referencing ETA-TEGL-15-19 . Applicants should include a contact name phone number and email with all questions to provide a means of response. This announcement is available on the ETA website at http www.doleta.gov and at https www.grants.gov. 28 Appendix XII OMB Information Collection OMB Information Collection No 1225-0086 Expires July 31 2022. According to the Paperwork Reduction Act of 1995 no persons are required to respond to a collection of information unless such collection displays a valid OMB control number. Public reporting burden for this collection of information is estimated to average 20 hours per response including time for reviewing instructions searching existing data sources gathering and maintaining the data needed and completing and reviewing the collection of information. Send comments about the burden estimated or any other aspect of this collection of information including suggestions for reducing this burden to the U.S. Department of Labor to the attention of the Departmental Clearance Officer 200 Constitution Avenue NW Room N1301 Washington D.C. 20210. Comments may also be emailed to DOL PRA PUBLIC dol.gov. 29 Appendix XIII Resources Grants Application and Management o Applying for ETA Competitive Grants A Web-Based Toolkit for Prospective Applicants https grantsapplicationandmanagement.workforcegps.org resources 2017 Apply ing for ETA Competitive Grants- A Web-Based Toolkit- for Prospective Applicants o SMART 3.0 Webinar Training Series https grantsapplicationandmanagement.workforcegps.org resources 2019 12 15 21 50 SMART 3-0 Webinar Training Series o Effectively Managing ETA Competitive Grants Grantee Handbook https www.doleta.gov grants docs ETA Grantee Handbook.pdf o Standard Grant Agreement Template https www.doleta.gov grants pdf 2019 Terms Template.pdf Note Updated every year link provided is the most current as of the publication of the TEGL Apprenticeship Resources o Registered Apprenticeship 101 Boot Camp https ase.workforcegps.org resources 2019 11 05 17 14 Registered- Apprenticeship-101-Bootcamp o Defining a Quality Pre-Apprenticeship Program and Related Tools and Resources https wdr.doleta.gov directives corr doc.cfm docn 5842 o Industry and Equity Contracts o AACC Expanding Community College Apprenticeships ECCA Other Resources o Skills Commons https h1bap.workforcegps.org resources 2018 06 07 18 53 Skills-Commons o Competency Model Clearinghouse https ase.workforcegps.org sitecore content global resources 2014 06 10 06 59 competency-model-clearinghouse