[Federal Register: June 16, 2003 (Volume 68, Number 115)]
[Notices]
[Page 35721-35740]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr16jn03-109]
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DEPARTMENT OF LABOR
Office of Disability Employment Policy
[SGA 03-16]
Innovative State Alignment Grants for Improving Transition
Outcomes for Youth With Disabilities Through the Use of Intermediaries
AGENCY: Office of Disability Employment Policy, U.S. Department of
Labor.
ACTION: Notice of availability of funds; solicitation for grant
applications (SGA).
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This notice contains all of the necessary information and forms
needed to apply for grant funding. (SGA 03-16).
SUMMARY: The U.S. Department of Labor (DOL), Office of Disability
Employment Policy (ODEP) announces the availability of $3 million to
award up to 6 competitive grants in the amount of approximately
$500,000. Eligible applicants include State Workforce Investment Boards
or the functional equivalent State entities. Indian and Native American
tribal entities, or consortia of tribes, are also eligible to apply.
The purpose of this grant initiative is to:
1. Help States conduct resource mapping \1\ to assess their youth
service delivery infrastructure in light of evidence-based transition
operating principles \2\;
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\1\ ``Resource mapping'' refers to a methodology that has been
used by the Federal government, State agencies, local entities, and
community-based organizations, among others, to link and align
resource use with organizational goals, strategies, and expected
outcomes. It is known by a multitude of names including asset
mapping, asset analysis, and environment scans, and can involve a
variety of different data collection strategies depending on what is
being studied. For purposes of this SGA, the term ``resource
mapping'' refers to the identification of available assets and
resources within the States' youth service delivery infrastructure
and an evaluation as to whether and/or to what extent that system is
currently serving youth with disabilities consistent with the
evidence-based operative principles discussed previously.
\2\ ``Evidence based transition operating principles'' is a term
defined, for purposes of this SGA, in part III.
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2. Develop, implement, and evaluate a cross-agency multi-year State
plan to improve transition outcomes for youth with disabilities through
blending and/or braiding \3\ of Federal, State, and community resources
and the use of local intermediary organizations;
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\3\ For purposes of this SGA, the term ``blended funding'' is
used to describe mechanisms that pool dollars from multiple sources
and make them in some ways indistinguishable. ``Braided funding''
utilizes similar mechanisms, but the funding streams remain visible
and are used in common to produce greater strength, efficiency, and/
or effectiveness.
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3. Conduct local pilot demonstrations to determine how, through
community partnerships, intermediary organizations can best be used to
ensure that youth with disabilities obtain transition services
consistent with evidence-based transition operating principles, and the
impact of such intermediaries on improving transition outcomes for
youth with disabilities; and
4. Demonstrate, through leveraging Federal, State and local public
sector resources, concrete evidence of the likelihood of sustainability
of grant objectives within the State.
These grants are for a one-year period and may be renewed for a
period of up to four additional years depending upon the availability
of funds and the efficacy of the project activities. See also parts IV
and IX.
In meeting grant objectives, it is expected that the grantee will
sub-award a substantial portion of its award to intermediary
organizations. For purposes of this SGA, an intermediary organization
is defined as an agent that:
[sbull] Convenes local leadership and broker relationships with
multiple partners across multiple funding streams;
[sbull] Brings together workforce development systems, vocational
rehabilitation providers, businesses, labor unions, educational
institutions, social service organizations, transportation entities,
health providers, and other Federal, State, and community resources
which youth with disabilities need to transition to employment
successfully.
Possible intermediaries include, but are not limited to, community-
based non-profit organizations, faith-based and community
organizations, employer organizations, community colleges, community
rehabilitation programs, etc.
By connecting schools and other youth-serving institutions with
workplaces and other available Federal, State, and community resources,
the intermediaries will create a forum for building a system that
better meets the needs of all interested stakeholders. In addition,
intermediary organizations can assist the state in assessing and
evaluating the performance and impact of its efforts related to these
grant activities, and in providing necessary information and training
in areas such as benefits planning, universal access, reasonable
accommodation, mental health, housing, transportation, health
maintenance (including Medicare and Medicaid), and other self-
sufficiency issues.
DATES: Applications will be accepted commencing on June 16, 2003. The
closing date for receipt of applications under this announcement is
July 28, 2003. Applications must be received by 4:45 p.m. (e.t.) at the
address below. No exceptions to the mailing and hand-delivery
conditions set forth in this notice will be granted. Applications that
do not meet the conditions set forth in this notice will be considered
non-responsive.
ADDRESSES: Applications shall be mailed to: U.S. Department of Labor,
Procurement Services Center, Attention: Cassandra Willis, Reference SGA
03-16, Room N-5416, 200 Constitution Avenue, NW., Washington, DC 20210.
Telefascimile (FAX) applications will not be accepted. Applicants are
advised that mail delivery in the Washington area may be delayed due to
mail decontamination procedures.
FOR FURTHER INFORMATION CONTACT: Cassandra Willis, U.S. Department of
Labor, Procurement Services Center, telephone (202) 693-4570 (this is
not a toll-free number), prior to the closing deadline. Persons who are
deaf or hard of hearing may contact the Department via the Federal
Relay Service, (800) 877-8339. This announcement will also be published
on the Internet on ODEP's online home page at: http://www2.dol.gov/odep.
Award notifications will also be published on the ODEP home page.
SUPPLEMENTARY INFORMATION:
Part I. Delivery of Applications
1. Late Applications. Any application received after the exact date
and time specified for receipt at the office designated in this notice
will be considered non-responsive, unless it is received before awards
are made and it (a) is determined that its late receipt was caused by
DOL error; (b) was sent by U.S. Postal Service registered or certified
mail not later than the fifth calendar day before the date specified
for receipt of applications (e.g., an application submitted in response
to a solicitation requiring receipt of applications by the 20th of the
month must have been post marked by the 15th of that month); or (c) was
sent by the U.S. Postal Service Express Mail Next Day Service to
addressee not later than 5 p.m. at the place of mailing two working
days prior to the date specified for receipt of applications. The term
``working days'' excludes weekends and Federal holidays. ``Post
marked'' means a printed, stamped or otherwise placed
[[Page 35722]]
impression (exclusive of a postage meter machine impression) that is
readily identifiable, without further action, as having been supplied
or affixed on the date of mailing by an employee of the U.S. Postal
Service.
2. Withdrawal of Applications. Applications may be withdrawn by
written notice or telegram (including mail gram) received at any time
before an award is made. Applications may be withdrawn in person by the
applicant or by an authorized representative thereof, if the
representative's identity is made known and the representative signs a
receipt of the proposal.
3. Hand-Delivered Proposals. It is preferred that applications be
mailed at least five days prior to the closing date. To be considered
for funding, hand-delivered applications must be received by 4:45 p.m.,
e.t., at the specified address. Failure to adhere to the above
instructions will be basis for a determination of non-responsiveness.
Overnight express mail from carriers other than the U.S. Postal Service
will be considered hand-delivered applications and must be received by
the above specified date and time.
Part II. Authority
Omnibus Appropriations Resolution, 2003, Pub. L. 1087; Consolidated
Appropriations Act, 2001, Pub. L. 106-554, 29 U.S.C. 557b.
Part III. Background
Young people with disabilities experience significant challenges in
making a successful transition to adult life. According to the U.S.
Department of Education, national high school graduation rates (e.g.,
diplomas, GED, alternative certificates) for students with disabilities
lag considerably below that of youth without disabilities. Nearly nine-
tenths or 88% of students without disabilities graduate as compared to
only 62% of those with disabilities.\4\ Moreover, students with
disabilities experience a school drop out rate that is three times
greater than that for youth without disabilities--31% vs. 11%. Youth
with emotional disabilities experience an even higher drop out rate of
54%.
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\4\ U.S. Department of Education, National Center on Education
Statistics, The Condition of Education 2000 in Brief, Jeanne H.
Nathanson NCES 2001-045, Washington, DC; U.S. Government Printing
Office, 2001 U.S. Department of Education, Office of Special
Education and Rehabilitation Services, Twenty-second Annual Report
to Congress on the Implementation of the Individuals with
Disabilities Act, Washington, DC, U.S. Government Printing Office,
2000.
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It is estimated that only one-third of young people with
disabilities who need job training receive it. Young people with
disabilities also have significantly lower rates of participation in
post-secondary education. Finally, the Social Security Administration
has found that many young people with disabilities entering the
Supplementary Security Income (SSI)/Social Security Disability
Insurance (SSDI) rolls are likely to remain on the program rolls for
their entire lives.
As reflected in President George W. Bush's New Freedom Initiative,
DOL's strategic goals and the Leave No Child Behind Act of 2001 (Pub.
L.107-110), young people with disabilities should have the opportunity
to make a smooth transition from school to work and/or post-secondary
education, to engage in meaningful employment, to live within their
communities, and to contribute as productive citizens to society. Over
the last 10 years, a number of Federal laws and policies have been
implemented to facilitate access to transition planning activities,
employment, and community living for youth with disabilities including
the Individuals with Disabilities Education Act of 1975, as amended
(IDEA); the Rehabilitation Act, as amended; the Carl D. Perkins
Vocational and Applied Technology Education Act (Perkins Act) (Pub.
L.101-392); the School-to-Work Opportunities Act of 1994 (Pub. L. 103-
329); the Workforce Investment Act of 1998 (WIA) (Pub. L. 105-220, 29
U.S.C. 2801 et seq.); and the Leave No Child Behind Act.
Among the most significant pieces of Federal legislation for youth
with disabilities is IDEA, which focuses on supports and services for
infants, preschoolers, school-aged children, and youth. Transition
planning and services were included as new, but key, components in the
1990 reauthorization of IDEA. Under IDEA, ``transition services'' are
defined in part as ``a coordinated set of activities for a student with
a disability that (A) is designed within an outcome-oriented process,
that promotes movement from school to post-school activities, including
post-secondary education, vocational training, integrated employment
(including supported employment), continuing and adult education, adult
services, independent living, or community participation.'' 20 U.S.C.
1401(30). Under IDEA, as reauthorized in 1997, a statement of
transition service needs must be included in the student's
Individualized Education Plan (IEP) beginning at age 14.
By age 16, or younger if appropriate, the IEP must include a
statement of needed transition services that describes related services
and community experiences necessary for the student to engage in
meaningful employment and/or post-secondary education and successful
community living. Transition services must be based upon the individual
student's preferences, interests, and needs, and include:
[sbull] Instruction;
[sbull] Related services;
[sbull] Community experiences;
[sbull] Development of employment and other post-school adult
living objectives, and
[sbull] Acquisition of daily living skills, including functional
vocational evaluation when appropriate.
The school system is responsible for ensuring that each youth
receives all needed transition services. As discussed below, however,
multiple agencies such as vocational rehabilitation agencies need to be
involved in transition to ensure success.
The Rehabilitation Act, as amended in 1998, also includes a number
of provisions that impact the transition planning process. Because it
uses the same definition of transition as IDEA, and requires that
rehabilitation and education agencies undertake actions to facilitate
transition, the Rehabilitation Act promotes coordination of transition
and rehabilitation. Premised on consumer involvement, the
Rehabilitation Act requires that an Individualized Plan for Employment
(IPE), which identifies a vocational goal and all the services needed
to achieve that goal, be developed in coordination with the IPE. After
the student has been determined eligible, transition services may be
provided based upon the individual student's needs including no-cost
services such as career guidance and counseling and unpaid on the job
training, as well as ``purchased'' services such as assistive
technology assessment and devices and supported employment.
The Perkins Act also provides Federal assistance for vocational
education programs in both secondary and post-secondary settings. The
provisions of the Perkins Act state that schools will assist ``special
populations'' (which includes students with disabilities) to enter
vocational education programs and will assist students with
disabilities in fulfilling the transitional services requirement of
IDEA.
The School-to-Work Opportunities Act of 1994, which sunset in
October of 2001, paved the way for a new approach to learning and
employment in America. Jointly administered by the United States
Departments of Education and Labor, School-to-Work brought together
parents, teachers, and business leaders to create courses to prepare
students
[[Page 35723]]
both academically and practically for the world of work. The intent of
the School-to-Work Opportunities Act of 1994 was to provide a national
framework and venture capital to allow all states to create a universal
statewide transition system that offered all young Americans access to
performance-based training; this training aimed to enable them to earn
portable credentials, prepare them for their first jobs in high-skill,
high-wage careers, and increase their opportunities for further
education.
Programs funded under the School-to-Work Opportunities Act were
required to integrate work-based and school-based learning components
as well as ``connecting activities'' to match students with work-based
learning opportunities through partnerships with schools, employers and
other community partners. The school-based learning component centered
on the student's career major and his/her ability to meet ``the same
challenging academic standards established for all students in their
state.'' Work-based learning, which included work experience, workplace
mentoring, and instruction in ``general workplace competencies'' was
intended to give practical meaning to academic concepts and to
transform traditional instruction into learning experiences. Connecting
activities were intended to connect the school- and work-based learning
components and included such activities as matching students with work-
based learning positions, providing technical assistance to employers
in designing work-based learning, and linking school-to-work activities
with employer and industry strategies for upgrading skills.
The WIA, which superceded the Job Training Partnership Act (Pub. L.
102-367), provides a variety of work preparation programs to assist
youth with disabilities in achieving their career ambitions. One of the
most significant reforms under WIA section 129(c) (29 U.S.C. 2854(c)),
is the consolidation of the year-round youth program and the summer
youth program into a single formula-based funding stream. Under WIA,
each local workforce investment area must have a year-round youth
services strategy that incorporates summer youth employment
opportunities as one of ten required program elements (WIA section
129(c)(2), 20 CFR 664.410). The 10 program elements reflect successful
youth development approaches and focus on the following four key
themes:
1. Improving educational achievement (including such elements as
tutoring, study skills training, instruction leading to secondary
school completion, drop-out prevention strategies, and alternative
secondary school offerings);
2. Preparing for and succeeding in employment (including summer
employment opportunities, paid and unpaid work experience, and
occupational skills training);
3. Supporting youth (including supportive services needs, providing
adult mentoring, follow-up services, and comprehensive guidance and
counseling); and
4. Offering services intended to develop the potential of young
people as citizens and leaders (including leadership development
opportunities).\5\
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\5\ It should be noted that the evidence-based operating
principles central to this grant align closely with the four key
themes for serving youth under WIA.
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The No Child Left Behind Act of 2001, signed by President Bush on
January 8, 2002, is a landmark in education reform designed to improve
student achievement and change the culture of America's schools. The
Act demands stronger accountability for results for all students,
including those who are economically disadvantaged, from racial and
ethnic minority groups, have disabilities, or have limited English
proficiency. In addition, it provides for greater flexibility for
states, school districts and schools in the use of Federal funds, more
choices for parents of children from disadvantaged backgrounds, and an
emphasis on teaching methods that have been demonstrated to work. The
Act also places an increased emphasis on reading, especially for young
children, enhancing the quality of our nation's teachers, and ensuring
that all children in America's schools learn English.
Increasing the number of youth making a successful transition to
work is integral to accomplishing the employment-related objectives of
President Bush's New Freedom Initiative and is one of the U.S.
Department of Labor's top priorities. A review of effective practices
that span education, employment and training, youth development, and
disability shows that in order to transition successfully all youth
need the following evidence-based transition operating principles in
place:
1. Access to high quality standards-based education regardless of
the setting;
2. Information about career options;
3. Exposure to the world of work;
4. Opportunities to develop social, civic, and leadership skills;
5. Strong connections to caring adults;
6. Access to safe places to interact with their peers, and
7. Support services to allow them to become independent adults.
With regard to these evidence-based transition operating
principles, research specifically indicates that academic and career-
technical education for youth should be based on state and/or industry
standards, and that youth should have access to a varied and balanced
set of learning strategies appropriate for the individual. Research
further reflects that in order to help youth make informed choices,
they should undergo a career assessment that includes, but is not
limited to, interest inventories, and formal and informal vocational
assessments. Moreover, they should be exposed to job skills training
and career opportunities that provide a living wage, be provided with
information about education, entry requirements and income potential,
and be provided structured support to post-secondary education and
other life-long learning opportunities. In addition, youth with
disabilities must be provided with information needed to understand the
relationships between appropriate benefits planning and career choices,
to learn to identify and access disability-related support and
accommodations needed for the workplace and community living, and how
best to communicate their disability-related support and accommodation
needs to prospective employers and service providers.
Research further reflects that to transition to adulthood
successfully all youth should be exposed to a range of work-based
exploration experiences such as site visits, community service, job
shadowing, and paid and unpaid internships. In providing such
experiences for youth with disabilities, mechanisms must be in place to
ensure that they learn how to request, locate, and secure the supports
and accommodations they need at the workplace.
To foster leadership development, youth should be provided with
exposure to role models through a variety of means, including mentoring
activities designed to establish strong relationships with adults
through formal and informal settings, as well as peer-to-peer mentoring
opportunities. In addition, all youth should be provided skills
training in self-advocacy and conflict resolution, and be exposed to
personal leadership and youth development opportunities including
community service. In the case of youth with disabilities, they should
be exposed to mentors and role models with and without disabilities,
and receive training about disability culture.
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Support services, which youth need to transition successfully, may
include mental and physical health services, transportation, and
tutoring, as well as post-program supports through structured
arrangements with post-secondary institutions and adult-serving
agencies. In the case of youth with disabilities there may be a need
for additional support services including, but not limited to, access
to and acquisition of assistive technology, benefits counseling,
independent living centers and other consumer-driven community-based
support service agencies, and personal assistance services, including
readers, interpreters, and other personal assistance services.
Unfortunately, access to transition services consistent with these
evidence-based transition operating principles is frequently hampered
by the fact that the workforce development and education systems, and
the linked income support, health, housing, assistive technology,
social service, and transportation service systems, are driven by:
[sbull] Differing institutional missions, each with distinctive
funding parameters and fiscal incentives;
[sbull] Multiple funding streams with substantial variations in
expected outcomes;
[sbull] Traditions;
[sbull] Capacities of the institutions and staff, and
[sbull] Many other factors that separate rather than promote a
transparent and internally/externally logical system that assists young
people to become productive members of our society.
To address this situation, states need to help local communities
and service providers find ways to more effectively organize, support,
and work with--and through--a wide array of institutions, organizations
and family support networks to better meet the transition-related needs
of young people with disabilities. If the transition outcomes of youth
with disabilities are to improve, businesses, labor unions, educational
institutions, social service agencies, transportation providers, health
service organizations, and other community providers must work together
and Federal, state, and local community resources must be leveraged
effectively.
To promote the integration of the aforementioned evidence-based
transition operating principles into local transition service delivery,
and in recognition that intermediary organizations can play a key,
convening role in effectuating systems change, ODEP is funding these
Innovative State Alignment Grants to address this need. This SGA is
designed to help states to:
[sbull] Conduct resource-mapping to assess their youth service
delivery infrastructure in light of the evidence-based transition
operating principles discussed above;
[sbull] Develop, implement, and evaluate a cross-agency multi-year
state plan to improve transition outcomes for youth with disabilities
through blending and/or braiding of Federal, state, and community
resources and the use of local intermediary organizations, and
[sbull] Conduct local pilot demonstrations to determine:
[sbull] How intermediary organizations can best be used to ensure
that youth with disabilities obtain transition services consistent with
the evidence-based transition operating principles, and
[sbull] The impact those intermediaries have on improving
transition outcomes for youth with disabilities.
All grant-related activities are to be evaluated consistent with
the framework set forth in Pro-Bank \6\ and specific outcomes are to be
measured based on data already being collected from multiple service
sectors (e.g., workforce development, education, etc).
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\6\ Utilizing the Congressionally recognized Malcolm Baldrige
Quality Award criteria for continuous improvement, as well as
research conducted by PEPNet, the Workforce Excellence Network
(WEN), the National Center on Secondary Education and Transition
(NCSET), and the Center for the Study and Advancement of Disability
Policy (CSADP), the National Collaborative on Workforce and
Disability for Youth (NCWD/Youth) developed the Pro-Bank framework.
The framework consists of eight categories by which an organization
can assess its operations; products and services in terms of the
aforementioned evidence-based transition operating principles for
providing effective transition services to youth with disabilities.
Pro-Bank information may be found at: http://www.ncwd-youth.info/promising_Practices/index.html_using
guide.
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In order to conduct the local pilot demonstrations required under
the grant, the grantee is expected to sub-award a substantial portion
of its award to fund local intermediary organizations that have
demonstrated expertise and experience in enlisting the active support
and participation of key stakeholders, including education entities,
the workforce development system, businesses, organized labor, and
local faith-based and community organizations. These activities
include, but are not limited to, effectively operating and managing
their programs, accessing governmental and private funding sources,
developing and training staff, expanding the types and reach of
services in their communities, and replicating promising and effective
practices. Grant funds issued through these sub-awards may be used to
support a wide range of local intermediary activities that help to
ensure positive transition outcomes for youth with disabilities between
the ages of 14 and 24. Allowable activities include, but are not
limited to:
[sbull] Convening key stakeholders to establish community-wide
partnerships committed to preparing young people with disabilities for
employment and/or further educational training and/or independent
living;
[sbull] Supporting peer learning and leadership opportunities;
[sbull] Providing necessary information and training in areas such
as benefits planning, universal access, reasonable accommodation,
mental health, housing, transportation, health maintenance (including
Medicare and Medicaid), and other self-sufficiency issues;
[sbull] Evaluating transition programs using evidence-based methods
as set forth in Pro-Bank;
[sbull] Organizing and participating in strategic alliances with
business groups and organizations;
[sbull] Integrating school and work-based learning, integrating
academic and vocational education, and establishing linkages between
secondary and post-secondary education;
[sbull] Systematically integrating existing local education and
training programs and resources with related Federal, State, and local
programs to address effectively the learning and employment needs of
youth with disabilities;
[sbull] Providing staff development to teachers, employers,
mentors, counselors, community rehabilitation agency personnel, One-
Stop staff, and others critical to successful transition outcomes.
Through these grant activities and associated technical assistance
provided by the National Collaborative on Workforce and Disability for
Youth (NCWD/Youth) (see www.ncwd-youth.info), which ODEP funds, ODEP
anticipates effectuating systemic change that will lead to improved
transition results for youth with disabilities. Projects are required
to collaborate with the NCWD/Youth as a condition of the grant to
ensure that the strategies and techniques developed as a result of
these grant activities can serve as models for other states' systems of
youth service delivery.
Part IV. Funding Availability and Period of Performance
ODEP anticipates awarding up to 6 grants in the amount of $500,000,
totaling $3 million. The grants will be for a one-year period of
performance and may be renewed annually up to four additional option
years for a total of five years at full funding depending upon
[[Page 35725]]
the availability of funds and the efficacy of the grant activities,
established by independent reviews conducted by the Department of Labor
or its designee.
Proposals must include budgetary information for a five-year
period. It is anticipated that in the first three quarters of the first
funding year, grantees will be conducting the youth service
infrastructure assessment (resource mapping), developing the cross-
agency state plan, designing local demonstrations, and making the sub-
awards to intermediaries necessary to implement the plan. The
demonstration-related activities will be carried out in subsequently
funded years.
Part V. Eligible Applicants
Eligible applicants include State Workforce Investment Boards or
the state's functionally equivalent entities. Indian and Native
American tribal entities, or consortia of tribes, may apply for
Innovative State Alignment Grants for Improving Transition Outcomes for
Youth with Disabilities through the Use of Intermediaries. These grants
would involve coordination of youth services and enhancements for
people with disabilities in a specific Indian community or covering
multiple tribal entities that may cut across multiple States and/or
workforce investment areas. Grants to Indian and Native American tribal
grantees are treated differently because of sovereignty and self-
governance established under the Indian Self-Determination and
Education Assistance Act allowing for the government-to-government
relationship between the Federal and tribal governments.
Part VI. Format Requirements for Grant Application
General Requirements: Applicants must submit one (1) copy with an
original signature and 2 additional copies of their proposal. To aid
with the review of applications, DOL also encourages Applicants to
submit an electronic copy of their proposal on a disc or CD using
Microsoft Word. Applicants who do not provide an electronic copy will
not be penalized. The Application Narrative must be double-spaced with
standard margins on 8\1/2\ x 11 papers, and be presented on single-
sided, numbered pages with the exception of format requirements for the
Executive Summary. The Executive Summary must be limited to no more
than two single-spaced, single-sided pages on 8\1/2\ x 11 papers with
standard margins throughout. A font size of at least twelve (12) pitch
is required throughout. Applications that fail to meet these
requirements will be considered non-responsive.
The three required sections of the application are:
Section I--Project Financial Plan;
Section II--Executive Summary--Project Synopsis;
Section III--Project Narrative (including Attachments, not to exceed 40
pages).
Mandatory requirements for each section are provided as follows in
this application package. Applications that fail to meet the stated
mandatory requirements of each section will be considered non-
responsive.
Mandatory Application Requirements
[sbull] Section I. Project Financial Plan (Budget) (The Project
Financial Plan will not count against the application page limits.)
Section I of the application must include the following three required
parts:
(1) Completed ``SF 424--Application for Federal Assistance'' (See
Appendix A of this SGA for required form).
(2) Completed ``SF-424A--Budget Information Form'' by line item for
all costs required to implement the project design effectively. (See
Appendix B of this SGA for required forms).
(3) Budget Narrative and Justification that provides sufficient
information to support the reasonableness of the costs included in the
budget in relation to the service strategy and planned outcomes.
The application must include one SF-424 with the original
signatures of the legal entity applying for grant funding and 2
additional copies. Applicants shall indicate on the SF-424 the
organization's IRS Status, if applicable. Under the Lobbying Disclosure
Act of 1995, section 18 (29 U.S.C. 1611), an organization described in
section 501(c)(4) of the Internal Revenue Code of 1986 that engages in
lobbying activities will not be eligible for the receipt of Federal
funds constituting an award, grant, or loan. (See 2 U.S.C. 1611; 26
U.S.C. 501(c)(4).) For item 10 of the SF-424, the Catalog of Federal
Domestic Assistance (CFDA) number for the program is 17.720.
The Budget Narrative and Justification must describe all costs
associated with implementing the project that are to be covered with
grant funds. Grantees must provide for the travel and associated costs
of sending at least one representative to the annual ODEP Policy
Conference for Grantees, to be held in Washington, DC at a time and
place to be determined. Grantees must comply with the ``Uniform
Administrative Requirements for Grants and Cooperative Agreements to
State and Local Governments,'' (also known as the ``Common Rule'')
codified at 29 CFR part 97, and must comply with the applicable OMB
cost principles circulars, as identified in 29 CFR 95.27 and 29 CFR
97.22(b).
In addition, the budget must include on a separate page a detailed
cost analysis of each line item. Justification for administrative costs
must be provided. Approval of a budget by DOL is not the same as the
approval of actual costs. The individual signing the SF 424 on behalf
of the applicant must represent and be able to legally bind the
responsible financial and administrative entity for a grant should that
application result in an award. The applicant must also include the
Assurances and Certifications Signature Page (Appendix C).
[sbull] Section II. Executive Summary--Project Synopsis (The
Executive Summary is limited to no more than three single-spaced,
single-sided pages on 8\1/2\ x 11 papers with standard margins
throughout.) Each application shall include a project synopsis that
identifies the following:
(1) The name of the applicant;
(2) The planned period of performance;
(3) The actions already undertaken by the state to address
transition outcomes for youth with disabilities;
(4) An overview of the applicant's plan for using resource mapping
to assess the state's existing youth service infrastructure, including
existing intermediary organizations, to determine whether and/or to
what extent it is currently serving youth with disabilities consistent
with the evidence-based operative principles discussed previously and
the criteria established in Pro-Bank;
(5) A statement of the applicant's strategy for obtaining and
sustaining collaboration and coordination among and between Federal,
State, and local agencies needed to finance transition services for
youth with disabilities through the blending and braiding of resources,
and for developing initial common performance measures;
(6) An overview of how the applicant will develop and use local
demonstration projects to address any gaps revealed in the statewide
youth infrastructure assessment, and a general statement of how local
model demonstrations will be conducted to determine how intermediaries
can best be used to ensure that transition services consistent with the
aforementioned operating principles are incorporated into the State and
local systems of service delivery; and
(7) The ways in which the proposal is coordinated with other
disability-related
[[Page 35726]]
grant initiatives from DOL, the Department of Education, the Department
of Health and Human Services (HHS), the Social Security Administration
(SSA), the Department of Housing and Urban Development (HUD) and other
Federal partners.
[sbull] Section III. Project Narrative (The Project Narrative plus
attachments are limited to no more than forty (40) 8\1/2\ x 11 pages,
double-spaced with standard one-inch margins (top, bottom, and sides),
and be presented on single-sided, numbered pages. Note: The Financial
Plan, the Executive Summary, and the Appendices are not included in the
forty (40)--page limit.) The substantive requirements for the project
narrative are described below under part VII-- Statement of Work.
All text in the application narrative, including titles, headings,
footnotes, quotations, and captions, as well as all text in charts,
tables, figures, and graphs must be double-spaced (no more than three
lines per vertical inch); and, if using a proportional computer font,
use no smaller than a 12-point font, and an average character density
no greater than 18 characters per inch (if using a non-proportional
font or a typewriter, do not use more than 12 characters per inch).
Applications that fail to meet these requirements will be considered
non-responsive.
Part VII. Government Requirements/Statement of Work (Project Narrative)
The Project Narrative, or Section III of the grant application,
should provide complete information on how the applicant will address
the following Department of Labor strategic goal priorities to ensure a
Prepared Workforce:
(1) Increasing the availability of skills training, employment
opportunities, and career advancement for persons with disabilities.
(2) Increasing the number of youth making a successful transition
to work or who enter further training or educational programs.
Proposals will be rated based upon the quality of the applicant's
response in addressing the four criteria described below in terms of a
comprehensive strategic approach that incorporates the Department's
priorities noted above. The four criteria (Statement of Need,
Comprehensive Service Strategy, Sustainability, and Management and
Outcomes) must be addressed and the applicant's accomplishments or
status with regard to each item provided.
The Department, however, does not expect the applicant to
incorporate every item listed as part of their strategy and proposal
design. The Department recognizes that the needs and requirements of
each state may be different, and therefore, some of the options
identified may be more relevant than others in a particular state.
1. Statement of Need (10 points)
The purpose of the Statement of Need criteria is to establish the
overall status of disability issues relating to youth in the
applicant's state; to identify strengths and deficiencies to be
addressed by the applicant's proposal; to identify the overall scope of
proposal objectives and design; and to present the applicant's need for
grant resources. These criteria will be rated based upon the
applicant's identified needs and proposed approaches to addressing
these needs in the context of the Department's priorities.
For proposals targeted to a specific Indian community or covering
multiple tribal entities which may cut across multiple states and/or
local areas, describe the overall approach of the project, and identify
the inadequacies and deficiencies of the service delivery to the
applicable community, and how the project expects to address these.
The narrative in this section should:
(1) Describe the potential contribution of the proposed project to
increasing the quality and coordination of transition services
available in the state;
(2) Describe the overall status and actions taken to date within
the state related to addressing the transition needs of youth with
disabilities;
(3) Describe how intermediary organizations are currently being
used in the youth service delivery infrastructure and provide an
overview of the youth service provider organizations operative within
the state;
(4) Describe any significant deficiencies in the state or local
workforce investment system, in the educational system, in the
vocational rehabilitation system and in the provision of employment-
related supports such as housing, health care, and transportation that
present barriers to employment for young people with disabilities and
explain what will be accomplished under this grant to address them;
(5) Identify the percentage of young people with disabilities in
the state overall; the percentage receiving Social Security Disability
Insurance (SSDI), Social Security Income (SSI), and Medicaid and
Medicare benefits; and the percentage receiving special education,
vocational rehabilitation, mental health, and WIA-funded services;
(6) Identify the most recent state graduation rates for young
people with disabilities in the state, as well as the overall
graduation rate;
(7) Describe the number of young people with disabilities expected
to be served within the state, and the importance or magnitude of the
results that are likely to be attained by the proposed project; and
(8) Identify additional state and/or local funds and resources that
will be used to support and sustain the overall objectives of the
grant;
(9) Identify networks of faith-based and community organizations
that will be utilized in the service delivery system.
In evaluating the quality of the proposal narrative, ODEP will
consider the applicant's needs identified and proposed approaches to
addressing the needs in the context of ODEP's priorities.
2. Comprehensive Service Strategy (35 points)
The purpose of the Comprehensive Service Strategy criterion is to
identify the approach the applicant is proposing to:
[sbull] Conduct resource mapping to assess the state's current
youth service infrastructure in light of the evidence-based transition
operating principles and the categories outlined in the Pro-Bank
framework;
[sbull] Develop, implement, and evaluate a cross-agency multi-year
state plan to improve transition outcomes for youth with disabilities
through blending and/or braiding of Federal, state, and community
resources and the use of local intermediary organizations;
[sbull] Conduct pilot demonstrations to determine:
[sbull] How intermediary organizations can best be used to ensure,
through cross-agency partnerships, that youth with disabilities obtain
transition services consistent with the evidence-based operating
principles, and
[sbull] The impact those intermediaries have on improving
transition outcomes for youth with disabilities.
In general, this requires extensive linkages, knowledge and
understanding of the Pro-Bank framework and resource mapping, as well
as applicable resources that address multiple disability issues and
barriers to education and employment that are commonly experienced by
young persons with disabilities.
A. Staff Capacity--The applicant must identify how it will ensure
that trained staff knowledgeable about the state's youth serving
infrastructure and of the complexities of coordinating the services and
supports needed for youth with disabilities to transition
[[Page 35727]]
successfully are available to conduct the activities required under
this grant. Accordingly, the application should:
(1) List key positions required to carry out the project as
proposed, the key individuals proposed to fill the positions, and a
detailed description of the kind of work these individuals will perform
within the project;
(2) Provide evidence of the staff's skill, knowledge and experience
in carrying out these types of activities, and describe their relevant
training (resumes must be included in the Appendices);
(3) Describe the specific experience the key personnel have in
serving young people with disabilities, in addressing specific barriers
to employment, and in implementing and administering project plans
similar to that in the proposed grant project; and
(4) Describe how ongoing technical assistance and staff development
will be provided.
B. Proposed Design--In addressing the proposed design element of
the Statement of Work, the applicant should:
(1) Describe the project partnerships in detail, and the commitment
(including resource commitment) of the partners to the proposed
project.
(2) Discuss how the applicant will ensure the participation and
cooperation of the following stakeholders in both designing and
implementing of the improved state youth service infrastructure:
a. State departments of Labor, Education, and Vocational
Rehabilitation, Governors' Committees on Employment of People with
Disabilities, State Councils for Independent Living, Mental Health
Agencies, Mental Retardation and Developmental Disability Councils, and
Temporary Assistance for Needy Families (TANF) Agencies;
b. Local WIA youth services providers, Jobs Corps representatives,
public housing and transportation authorities, local One Stop centers
and other community partners (e.g., area disability organizations,
Centers for Independent Living, faith-based and community
organizations);
c. Employers and their professional networks such as Business
Leadership Networks (BLNs) that have been established in approximately
30 states, Chambers of Commerce, and other employer trade associations;
and
d. Youth with disabilities, their families, the state's Youth
Leadership Forum (where one has been established), and state members of
the National Youth Leadership Network.
(3) Discuss how the applicant will work with Federal agencies and
programs as needed to blend the Federal services with the improved
state youth service infrastructure. Federal agencies and programs may
include the Department of Health and Human Services' Maternal and Child
Health Bureau, Children with Special Health Care Needs Program, Center
for Medicare & Medicaid Services, Substance Abuse and Mental Health
Services Administration, and Administration on Developmental
Disabilities; Social Security Administration; and the Department of
Education's Office of Special Education and Rehabilitative Services;
(4) Describe how the statewide assessment of the existing youth
service infrastructure using resource mapping will be conducted and how
its results will be used to redirect services, and blend and braid
resources across multiple funding streams that may have diverse
performance measures and data collection systems;
(5) Describe the process that will be used in making sub-awards to
intermediaries, and the types of functions intermediaries will play in
grant-related activities;
(6) Explain how model demonstrations will be conducted, and how
such demonstrations will be used in conjunction with the results of the
statewide assessment to develop a replicable framework for using
intermediaries to provide transition services that result in improved
outcomes for youth with disabilities;
(7) Explain how the activities proposed will lead to better
coordination of available resources, better service delivery, and
ultimately more youth with disabilities obtaining jobs, job training,
and post-secondary education;
(8) Identify and explain the benefits or results expected from the
grant activities proposed; and
(9) Explain how technology will be used in carrying out grant
activities (e.g., tracking outcomes, data collection, e-mentoring, web-
based trainings, assistive technology, etc.)
In evaluating the quality of the proposed project design, ODEP will
consider the following factors:
(a) The extent to which the goals, objectives, and outcomes to be
achieved by the proposed project are clearly specified and measurable;
(b) The extent to which the design of the proposed project is
appropriate to, and will successfully address, the needs of the target
population and other identified needs and the quality of the
applicant's plans regarding project partnerships and intermediary
organization utilization;
(c) The extent to which experienced and trained staff will direct
the key activities of the grant;
(d) The extent to which the design of the proposed project provides
procedures and approaches for collaboration and coordination with key
agencies and organizations and identification of critical roles;
(e) The extent to which the design of the proposed project provides
clear understanding and integration of the Pro-bank framework and
resource mapping;
(f) The extent to which the proposed project will be coordinated,
including demonstrated support and commitment from key organizations,
employers, and agencies;
(g) The extent to which the applicant encourages involvement of
people with disabilities and their families, experts and organizations,
and other relevant stakeholders in project activities;
3. Sustainability (30 points)
The purpose of the Sustainability criterion is to identify
strategies for ensuring that activities funded under the grant will
continue once Federal funding ceases. Resources and partnerships are an
integral element of the project, as they support and strengthen the
quality of the technical skills training provided and contribute
materially toward sustainability. Sustainability must be an objective
built into the project design and ongoing operation of the project.
Projects funded under this SGA will be judged on their demonstrated
ability to leverage a combination of Federal, State, and local public
sector resources, as well as private and local non-profit sector
resources for purposes of sustainability. Accordingly, in this section
the applicant should enumerate these resources, describe any specific
existing contractual commitments, and provide concrete evidence of the
likelihood of continued support after the grant period.
Grantees are expected to use this grant as seed money to develop
other public and private resources in order to ensure sustainability of
grant activities following completion of the funding period. The
Department considers detailed commitments for specific new activities
as more important than promises of in-kind supports in showing
sustained support for the project. Grants recently received from
another agency can be discussed in the proposal, but the applicant
should be precise about which activities precede this grant and which
will occur because of this grant.
[[Page 35728]]
In evaluating the quality of the plan for sustainability, the
Department considers the following factors to be of particular
importance:
(a) The extent to which the proposed project is designed to build
capacity and yield results that will extend beyond the period of this
grant;
(b) The likelihood that use of the Pro-Bank framework will serve as
a basis for continuous improvement of the state's youth service
infrastructure;
(c) The likelihood of the applicant successfully securing state
ownership and participation in these projects when these grant funds
cease; and
(d) The extent to which partnerships with outside entities
(including public and private disability and faith-based and community
organizations) and funding from additional Federal, State, and/or local
resources will be effectively leveraged and utilized in continuing
activities after the expiration of the grant.
Letter from the Governor. A letter from the Governor or
functionally equivalent entity reflecting support of the applicant's
proposal will be viewed favorably. If a letter from the Governor is not
feasible, the application may include a letter from the head of an
appropriate State agency.
Other Letters of Commitment. Applicants may also include letters of
support from other relevant State agencies if they provide specific
commitments regarding the application to this solicitation. Such
letters can increase an applicant's score by showing that the
commitments in the text of the proposal are grounded with actual
commitments. Form letters will be considered non-responsive.
4. Management and Outcomes (25 points)
The purpose of the Management and Outcomes criterion is to
determine whether the applicant has developed an adequate management
plan to effectively carry out the objectives and scope of the proposed
project on time and within budget, to describe the predicted outcomes
resulting from activities funded under this SGA, and to identify how
the results of the evaluation(s) conducted using the Pro-Bank framework
and data already being collected from multiple service sectors (e.g.,
workforce development, education, etc.) will be used to determine
success.
Applicants should provide a detailed management plan that
identifies the critical activities, time frames and responsibilities
for effectively implementing the project, including the evaluation
process for assuring successful implementation of grant objectives. A
description should be provided of the plan to use data already being
collected across services sectors to identify the demographic
characteristics of youth with disabilities served in the applicant's
state as a result of grant activities, as well as to identify the types
of activities being conducted, and to determine program outcomes (e.g.,
post-secondary education, employment, independent living, etc.). This
data is then to be compared with comparable data on students with and
without disabilities not participating in the grant project(s).
In addition, applicants should outline the strategy for documenting
and reporting the activities undertaken during the life of the grant
for ODEP's future use in working with other grantees and
constituencies.
In evaluating the management and outcome criteria, the Department
considers the following factors to be of particular importance:
(1) The extent to which the goals, objectives, and outcomes to be
achieved are clearly specified and measurable;
(2) The extent to which the design of the proposed project features
innovative methods for developing new sites and/or strengthening
existing sites;
(3) The extent to which the proposal incorporates the cross-agency,
multi-year state plan in part VII, Government Requirements/Statement of
Work, section 2, Comprehensive Service Strategy;
(4) The extent to which the proposed budget and narrative
justification are adequate to support the proposed project;
(5) The extent to which performance feedback and continuous
improvement are integral to the design of the proposed project;
(6) The extent to which the methods of evaluation are thorough,
feasible, and appropriate to the goals, objectives, context, and
outcomes of the proposed project;
(7) The extent to which the methods of evaluation provide for
examining the effectiveness of project implementation strategies;
(8) The extent to which the methods of evaluation include the use
of objective performance measures that are clearly related to the
intended outcomes of the project and will produce quantitative and
qualitative data;
(9) The extent to which the evaluation will provide information to
other programs about effective strategies suitable for replication or
testing in other settings;
(10) The extent to which the methods of evaluation measure, in both
quantitative and qualitative terms, program results and satisfaction of
people with disabilities;
(11) The extent to which the management plan for project
implementation is likely to achieve the objectives on time and within
budget;
(12) The adequacy of mechanisms for ensuring high-quality products
and services from the proposed project; and
(13) The extent to which the time commitments of the state director
and other key project personnel are appropriate and adequate to meet
the objectives of the proposed project.
Part VIII. Monitoring and Reporting
Monitoring: Department shall be responsible for ensuring the
effective implementation of each competitive grant project in
accordance with the provisions of this announcement and the terms of
the grant award document. Applicants should assume that Department
staff, or their designees, will conduct on-site project reviews
periodically. Reviews will focus on timely project implementation,
performance in meeting the grant's programmatic goals and objectives,
expenditure of grant funds on allowable activities, integration and
coordination with other resources and service providers in the local
area, and project management and administration in achieving project
objectives. Innovative State Alignment Grants for Improving Transition
Outcomes may be subject to other additional reviews at the discretion
of the Department.
Reporting: Grantees will be required to submit quarterly financial
and narrative performance reports under the Innovative State Alignment
Grants for Improving Transition Outcomes program as prescribed by OMB
Circular A-102 and A-110, as codified by 29 CFR parts 97.
(1) A Quarterly Report will be required within thirty (30) days of
the end of each quarter beginning ninety days from the award of the
grant and is estimated to take five hours to prepare on average. The
form for the Quarterly Report will be provided by ODEP. ODEP will work
with the grantee to help refine the requirements of the report, which
will, among other things, include measures of ongoing analysis for
continuous improvement and customer satisfaction.
(2) Financial reporting will be required quarterly using the on-
line electronic reporting system for the Standard Form 269--Financial
Status Report (FSR).
(3) A Final Project Report, including an assessment of project
performance and outcomes achieved will be required
[[Page 35729]]
and is estimated to take twenty hours to complete. This report will be
submitted in hard copy and on electronic disk using a format and
following instructions that will be provided by ODEP. A draft of the
final report is due to the ODEP thirty (30) days before the termination
of the grant. The final report is due to ODEP sixty (60) days following
the termination of the grant.
The Department has established priorities for FY 2003 as noted in
the introduction of part VII--Government Requirements/Statement of
Work. Innovative State Alignment Grants for Improving Transition
Outcomes grantees will be expected to support these priorities.
ODEP may arrange for and conduct an independent evaluation of the
outcomes, impacts, and accomplishments of each funded project. Grantees
must agree to make available records on all parts of project activity,
including participant post secondary and employment data, and to
provide access to personnel, as specified by the evaluator(s), under
the direction of ODEP. This independent evaluation is separate from the
ongoing evaluation for continuous improvement required of the grantee
for project implementation. Grantees must also agree to collaborate
with other research institutes, centers, studies, and evaluations that
are supported by DOL and other relevant Federal agencies, as
appropriate. Finally, Grantees must agree to actively utilize the
programs sponsored by the ODEP, including the Job Accommodation
Network, (http://www.jan.wvu.edu), and the Employer Assistance Referral
Network (http://www.earnworks.com).
Part IX. Review Process and Evaluation Criteria
All applications will be reviewed for compliance with the
requirements of this notice. A careful evaluation of applications will
be made by a technical review panel, which will evaluate the
applications against the rating criteria listed in this SGA. The panel
results are advisory in nature and not binding on the Grant Officer.
The Department may elect to award grants either with or without
discussion with the applicant. In situations without discussions, an
award will be based on the applicant's signature on the SF 424, which
constitutes a binding offer. The Grant Officer may consider any
information that is available and will make final award decisions based
on what is most advantageous to the Government, considering factors
such as:
Panel findings; Geographic distribution of the competitive
applications and the currently existing Youth Innovative Grants (NAPA
and San Diego, CA; Kapolei, HI; Chicago, IL; Greenfield, IN; Wheaton,
MD; Detroit, MI; Bloomington, MN; Jackson, MS; New York, NY; Oklahoma
City, OK; Portland, OR; Philadelphia, PA; Falls Church, VA; and
Seattle, WA); and Availability of funds.
Part X. Administration Provisions
I. A. Administrative Standards and Provisions
Grantees are strongly encouraged to read these regulations before
submitting a proposal. The grants awarded under this SGA shall be
subject to the following as applicable:
[sbull] 29 CFR part 95--Grants and Agreements With Institutions of
Higher Education, Hospitals, and Other Non-Profit Organizations, and
With Commercial Organizations, Foreign Governments, Organizations Under
the Jurisdiction of Foreign Governments, and International
Organizations.
[sbull] 29 CFR part 96-- Audit Requirements for Grants, Contracts,
and Other Agreements.
[sbull] 29 CFR part 97--Uniform Administrative Requirement for
Grants and Cooperative Agreements to State and Local Governments.
II. B. Allowable Costs
Determinations of allowable costs shall be made in accordance with
the following Federal cost principles as applicable:
[sbull] State and Local Government--OMB Circular A-87.
[sbull] Nonprofit Organizations--OMB Circular A-122.
[sbull] Profit-Making Commercial Firms--48 CFR part 31.
Profit will not be considered an allowable cost in any case.
III. C. Grant Assurances
As a condition of the award, the applicant must certify that it
will comply fully with the nondiscrimination and equal opportunity
provisions of the following laws:
[sbull] 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.
[sbull] 29 CFR part 32--Nondiscrimination on the Basis of
Disability in Programs and Activities Receiving or Benefiting from
Federal Assistance. (Implementing section 504 of the Rehabilitation
Act, 29 U.S.C. 794).
[sbull] 29 CFR part 36--Nondiscrimination on the Basis of Sex in
Education Programs or Activities Receiving Federal Financial
Assistance. (Implementing title IX of the Education Amendments of 1972,
20 U.S.C. 1681 et seq.).
Signed in Washington, DC this 10th day of June, 2003.
Lawrence J. Kuss,
Grant Officer.
Appendix A. Application for Federal Assistance, Form SF 424
Appendix B. Budget Information Sheet, Form SF 424A
Appendix C. Assurances and Certifications Signature Page
Appendix D. Survey on Ensuring Equal Opportunity
BILLING CODE 4510-CX-P
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[FR Doc. 03-15115 Filed 6-13-03; 8:45 am]