[Federal Register: April 27, 2004 (Volume 69, Number 81)]
[Notices]
[Page 23051-23081]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr27ap04-116]
[[Page 23051]]
-----------------------------------------------------------------------
Part V
Department of Labor
-----------------------------------------------------------------------
Employment and Training Administration
-----------------------------------------------------------------------
Workforce Investment Act: National Emergency Grants--Application
Procedures; Notice
[[Page 23052]]
-----------------------------------------------------------------------
DEPARTMENT OF LABOR
Employment and Training Administration
Workforce Investment Act: National Emergency Grants--Application
Procedures
AGENCY: Employment and Training Administration, Labor.
ACTION: Notice of final guidelines for grant applications.
-----------------------------------------------------------------------
SUMMARY: The Employment and Training Administration of the U.S.
Department of Labor (Department or DOL) is announcing policies and
procedures for accessing National Emergency Grant (NEG) funds to
implement programs pursuant to section 173 of the Workforce Investment
Act (the Act or WIA), as amended. Applications prepared and submitted
pursuant to these policies and procedures, received as discussed below,
will be considered. Grant awards will be made only to the extent that
funds remain available.
DATES: The grant application procedures described in these guidelines
shall be effective immediately and shall remain in effect until further
notice. The policy priorities articulated in the National Emergency
Grants Employment and Training Guidance Letter NO.16-03 (TEGL 16-03),
dated January 26, 2004, are in effect. Funds are available for
obligation by the Secretary of Labor (the Secretary) under Sections 132
and 173 of the WIA, and Section 203 of the Trade Adjustment Assistance
Reform Act of 2002. Applications will be accepted on an ongoing basis
as the need for funds arises at the state and local levels. Applicants
are strongly encouraged to submit applications as early as possible
following official notification or occurrence of an eligible
dislocation event.
ADDRESSES: In order to comply with the Government Paperwork Elimination
Act, the Department is establishing an electronic process that will
support both timely submission of applications for funding, in relation
to worker eligibility for assistance, and timely processing of such
applications. The electronic application procedures must be used to
submit applications for NEG funding, once the system becomes
operational on July 1, 2004. Once operational, e-applications will be
made through the DOL/ETA Grantee Reporting System Internet Web site.
Each state has been assigned a Personal Identification Number (PIN) by
the Employment and Training Administration's Office of Technical
Support, which will be needed to access the NEG electronic application.
Appendix A contains copies of the required grant application forms. A
user's guide on preparing and submitting a NEG application
electronically will be available to eligible grant applicants from the
ETA Regional Offices. Technical assistance on the application
requirements is available from the appropriate Regional Office or from
the Office of National Response, Employment and Training
Administration, U.S. Department of Labor, Room N-5422, 200 Constitution
Avenue, NW., Washington, DC 20210.
Prior to implementation of the e-application procedures,
applications may be mailed, e-mailed or hand-delivered to: Office of
Grants and Contract Management, Attention: E. Fred Tello, Grant
Officer, U.S. Department of Labor, Employment and Training
Administration, 200 Constitution Avenue, NW., Room N-4438, Washington,
DC 20210, (202) 693-2879 (fax number), tello.fred@dol.gov. A copy of
the application must be simultaneously mailed or delivered to the
appropriate Regional Office(s) of the Employment and Training
Administration. [A list of the Regional Offices is provided in Appendix
B.] It is recommended that hard copy applications be sent via overnight
mail or faxed to the attention of Mr. Tello. If sent by mail, please be
advised that mail delivery in the Washington area may be delayed due to
mail decontamination procedures.
FOR FURTHER INFORMATION CONTACT: Ms. Shirley M. Smith, Administrator,
Office of National Response. Telephone: 292/693-3500. (This is not a
toll free number).
SUPPLEMENTARY INFORMATION: The Department announces the availability of
funds for grants to provide employment-related services and other
adjustment assistance for dislocated workers and other eligible
individuals as defined in Sections 101, 134 and 173 of WIA; Sections
113, 114 and 203 of the Trade Adjustment Assistance Reform Act of 2002.
The application policies and procedures contained in this notice are
issued pursuant to the WIA regulations at 20 CFR 671.140. The program
announcement consists of two attachments:
Attachment I--The National Emergency Grants Policy Guidance Letter
NO. 16-03 (TEGL 16-03), effective as of January 26, 2004, informs all
eligible applicants of the policies and priorities that govern the
award and use of the Secretary's discretionary funding.
Attachment II--The NEG Assistance-Application Guidelines which
consists of eight parts:
Part I provides background about the purpose and
use of NEGs.
Part II describes eligibility, including
eligible circumstances for funding, eligible entities for grant awards,
and individuals eligible for assistance.
Part III identifies the policies governing
project management and design requirements for NEGs.
Part IV provides an overview of the application
submission requirements for each type of NEG project.
Part V identifies the elements in the
application review process including the criteria that will be used to
determine the appropriateness of the request for funds.
Part VI describes alternative approaches to
grant funding and the requirements associated with emergency funding
requests and incremental funding actions.
Part VII describes the follow-up, planning,
oversight and reporting requirements for awarded grants.
Part VIII describes the grant modification
requirements and process.
In addition to the provisions of this announcement, applicants
should note that funding actions are subject to the policies priorities
articulated in Attachment I of this notice, and any subsequent policy
guidance.
Applications for NEG funds may be submitted at any time. Awarded
NEG funds may be expended during the months remaining in the Program
Year in which the grant award is made plus the subsequent two Program
Years. A Program Year is the twelve month period, July 1-June 30. The
Employment and Training Administration expects that the project
performance period in any NEG application will reflect a time efficient
approach to returning eligible individuals to appropriate employment
consistent with the performance goals and policies and priorities that
apply to NEG projects. Generally, planned project durations should not
exceed 24 months.
OMB Approval
Consistent with the Government Paperwork Elimination Act, the
information collection, including the application and the reporting
form will be, fully, in an electronic format. Electronic applications
are intended to provide ease of completion as well as timely
processing. The information in the grant application collection
provides the grant officer with the necessary information to be able to
make
[[Page 23053]]
consistent and objective funding decisions based on the stated funding
request evaluation criteria. The quarterly reports' information
collection assures accountability and measures actual project
performance to date. DOL is committed to making a decision to approve
or disapprove all submitted requests for funding, which includes an
initial application and monetary grant modifications such as requests
for incremental funding, within 30 working days from receipt of a
complete and responsive request.
These reporting requirements are approved by OMB under control
number 1205-0439, expiring 1/31/2007. Send comments regarding this
burden estimate or any other aspect of this collection of information,
including suggestions for reducing this burden to the U.S. Department
of Labor, Office of National Response, Room N-5422, Washington, DC
20210 (Paperwork Reduction Project 1205-0439).
--------------------------------------------------------------------------------------------------------------------------------------------------------
Expected
Reference Expected total Frequency Expected total Avg. time per response burden\*\
respondents\*\ responses\*\ (hours)
--------------------------------------------------------------------------------------------------------------------------------------------------------
SF 424................................... 150 1 per project............... 150 45 minutes.................. 113.0
Narrative summary........................ 150 1 per project............... 150 1.0 hour.................... 150.0
ETA 9103................................. 150 1 per project............... 150 90 minutes.................. 225.0
ETA 9105................................. 75 1 per project............... 75 30 minutes.................. 38.0
ETA 9106................................. 150 1 per project............... 150 1.0 hour.................... 150.0
ETA 9107................................. 100 1 per project............... 100 15 minutes.................. 25.0
TAA certification report................. 50 1 per project............... 50 30 minutes.................. 25.0
Reports: ETA 9104........................ 150 quarterly per project....... 600 30 minutes.................. 300.0
Grant modifications...................... 140 1 per project............... 140 30 minutes.................. 70.0
----------------
Total Hours.......................... ............... ............................ ............... ............................ 1,096
--------------------------------------------------------------------------------------------------------------------------------------------------------
\*\ Actual number will vary, because the information collection is required to obtain a benefit.
Signed in Washington, DC on this 16th day of April, 2004.
Emily Stover DeRocco,
Assistant Secretary.
Attachment I--Training and Employment Guidance Letter No. 16-03
Employment and Training Administration, Advisory System, U.S.
Department of Labor, Washington, DC 20210.
Classification: National Emergency Grants.
Correspondence Symbol: ONR.
Date: January 26, 2004.
To: All State Workforce Agencies, all State Workforce Liaisons, all
State Rapid Response Coordinators, all State Trade Coordinators.
From: Emily Stover DeRocco, Assistant Secretary.
Subject: National Emergency Grant (NEG) Policy Guidance.
1. Purpose
To inform the state and local workforce investment system of the
policies and priorities that will govern the award and use of the
Secretary's discretionary National Emergency Grant (NEG) Dislocated
Worker funds, pursuant to the Workforce Investment Act (WIA), Title I,
Section 173, as amended.
2. References
Workforce Investment Act (WIA), as amended
Trade Adjustment Assistance Reform Act of 2002
(Public Law 107-210), Sections 201, 202 and 203
WIA regulations at 20 CFR Part 671
Training and Employment Guidance Letter (TEGL)
No. 14-00, Change 1, ``Guidance on the Workforce Investment Act (WIA)
Management Information and Reporting System,'' dated November 19, 2001
Training and Employment Guidance Letter (TEGL)
No. 10-02, ``Use of National Emergency Grant Funds Under the Workforce
Investment Act, as amended, to Develop Systems for Health Insurance
Coverage Assistance for Trade-Impacted Workers,'' dated October 10,
2002
Training and Employment Guidance Letter (TEGL)
No. 20-02, ``Use of National Emergency Grant (NEG) Funds Under the
Workforce Investment Act (WIA), as amended, to Support Health Insurance
Coverage Assistance for Trade-Impacted Workers,'' dated March 3, 2003
3. Background
National Emergency Grants (NEGs) are discretionary grants awarded
by the Secretary of Labor (the Secretary), pursuant to Section 173 of
WIA, as amended. Funds are awarded to provide employment-related
services for dislocated workers as authorized under WIA Section 173 and
20 CFR part 671. Funds are reserved and made available for obligation
by the Secretary under Sections 132 and 173 of WIA, as amended.
Within the next few months, the Department will publish new
application guidelines for NEGs. The new guidelines will reflect the
changes made as a result of comments received following the Office of
Management and Budget Paperwork Reduction Act clearance process. In
conjunction with the issuance of these new guidelines, ETA will
implement electronic processes for submitting and reviewing all NEG
applications. Use of the electronic application will be required by all
applicants for all NEG applications and modifications beginning July 1,
2004 (Program Year 2004). The use of the electronic processes will
facilitate a quicker review and processing of NEG applications. The
policies articulated in this TEGL are in effect immediately for all
application requests for NEG funds.
The new guidelines and the electronic application are designed to
achieve timeliness in the application and award of NEG funds to enable
dislocated workers to receive employment-related assistance early in
their transition period. However, the Department expects that
unexpended formula Dislocated Worker program funds will be used to
initiate services for workers impacted by mass layoffs and plant
closures and, depending upon the amount of unexpended funds, may be
sufficient to provide all transition assistance required by workers
affected by such layoffs. In addition to the submission requirements
contained in the application guidelines, eligible applicants must use
the policies and priorities framework communicated in this issuance in
determining the appropriateness of NEG funding to respond to a
dislocation event and in developing the project design for a proposed
NEG application.
[[Page 23054]]
The application guidelines will define the basic requirements for
NEGs: eligible events, eligible applicants, project types, allowable
use of funds, criteria for evaluating applications, and project
management. This issuance does not generally repeat those requirements;
rather, it provides the policy context for awarding NEG resources and
provides the priorities and expectations of ETA in terms of the use of
this important source of funding assistance.
ETA is committed to supporting innovative strategies that will help
dislocated workers, and the communities in which they live and work,
recover economically from the effects of plant closures and mass
layoffs. A primary strategy is building a demand-driven workforce
system that integrates workforce investment activities with economic
development initiatives. Strategies can include both short-term
actions--such as responding to skills shortages--and longer-term
actions--such as planning customized and other training strategies in
support of business expansion and high-growth occupational employment.
NEGs are a major tool in implementing these strategies. Another high
priority is early intervention to enable workers to return to the
workforce (including self-employment) at wages that are as close as
possible to their layoff wages in order to help maintain workers'
standard of living and promote the economic security of their
communities.
This issuance highlights priorities that the Department is using in
the award of NEG funds. The Department recognizes, however, that there
may be instances where flexibility will be necessary. Therefore, in
order to minimize the potential impacts on the timeliness goal, ETA
strongly encourages and expects that the appropriate Regional Office
will be contacted when an application is being developed that is
outside the scope of the funding priorities articulated in this
issuance.
4. Policy and Priority Framework for the Use of NEG Funds
a. Purpose of NEGs. NEGs are discretionary awards by the Secretary
of Labor that are intended to temporarily expand service capacity at
the state and local levels by providing time-limited funding assistance
in response to significant dislocation events. Significant events are
those that create a sudden need for assistance that cannot reasonably
be expected to be accommodated within the on-going operations of the
formula-funded Dislocated Worker program, including the discretionary
resources reserved at the state level. NEG funds are not available to
replenish general formula short-falls or fluctuations in the annual
Dislocated Worker formula allotment, but must be used in response to
specific dislocation events, and in accordance with the policies in
this document (including formula expenditures). Maintaining adequate
rates of expenditure of available formula funds on a program year-basis
will be a major criterion in evaluating the need for NEG funding. These
funds include those allocated to local areas as well as those reserved
for both rapid response and statewide activities. (See Para. 4. m.,
below, for additional information.)
b. Eligible Dislocation Events. NEG funds are available for
significant dislocation events that arise from the effects of economic
globalization, business fluctuations and unexpected events (e.g.,
disasters). Since workers will be eligible for services (upon receipt
of layoff notice or company announcement) when an application is
submitted, all projects are expected to enroll/register all
participants within six months of a grant award.
NEG applications covering the following dislocation events are
accepted by ETA for consideration of NEG funding:
(1) A single company layoff of 50 or more workers. Priority in
funding will be given to applications that document the participation
of a large enough group of workers to sustain a separately-funded
project. Generally, projects that serve less than 50 workers should be
funded with formula Dislocated Worker program dollars, but ETA will
examine the sustainability of projects serving smaller groups on a
case-by-case basis.
(2) Multiple company layoffs, where the dislocations from each
company impact 50 or more workers. Priority will be given to
applications that demonstrate a sustainable project size. Generally,
this standard will be deemed met with the documented planned
participation of at least 50 workers from each qualified company. (See
Para. 4.c., below, regarding layoffs at secondary firms and Para.
4.b.(4) for community impact applications.)
(3) Industry-wide layoffs from companies in the same industry as
determined by the three-digit code level in the North American
Industrial Classification System. Each layoff in an industry-wide
application must have 50 or more workers unless the exception below is
met. In order to ensure a consistent statewide approach, we expect to
focus our funding of these projects on applications from state
applicants. Priority will be given to applications that document the
planned participation of 50 or more workers from each company of the
identified companies when the affected workers are not in the same or
geographically contiguous local workforce investment area(s).
Exception: Where the dislocation events are in the same local workforce
investment area--or geographically contiguous areas--one company must
have a layoff of more than 50 workers, and other identified companies
may have layoffs of less than 50 workers as part of the same
application.
(4) Community impact projects to assist workers in a local
workforce investment area (primarily rural) where the employer base is
primarily small employers and multiple small dislocations over a six
month-period have a significant impact on the unemployment rate of the
local workforce area, as determined by the state. In order to ensure a
consistent statewide approach, we expect to focus our funding on
applications from state applicants. For single area states, a local
commuting area or labor market area should be used. Priority will be
given to applications where an increase in the unemployment rate of 1
percent has occurred in the affected local workforce area (or local
commuter area or labor market area in single area states) over the
previous six months. Each company and location must be identified as
with other multiple company applications.
(5) Trade dual-enrollment projects with identified single or multi-
company layoffs of more than 50 workers each, and where DOL has
determined that workers were trade-impacted. The following policies and
expectations apply to dual-enrollment applications:
(a) The application and review process for dual-enrollment projects
will include consideration of annual planning estimates for expenditure
in the year of allotment as issued by the Department for the trade
program. This will strengthen the state's ability to project needs and
manage Dislocated Worker funds, and improve ETA's ability to evaluate
the need for additional training funds for trade-certified dislocated
workers.
(b) The primary purpose of dual-enrollment projects is to provide
trade-eligible dislocated workers with ``wrap-around'' services that
are not available through the trade program, and state formula
Dislocated Worker program funds are not sufficient to provide such
services, including conducting a comprehensive assessment, developing
individual re-employment plans, providing on-going case management, and
providing supportive services (WIA core, intensive and supportive
services).
[[Page 23055]]
As described in Para. 4.m., below, we will take into account the
state's success in meeting a 70 percent formula Dislocated Worker
program expenditure rate when deciding whether to approve a NEG
application.
(c) NEG funds may also be requested to provide training when the
state demonstrates that it has spent or will spend by the end of the
trade program's fiscal year its annual allotment, reserved trade funds
are not available, and the requesting state is meeting the 70 percent
expenditure requirement for Dislocated Worker program formula funds
(see Para 4.m., below). Consideration of planning estimates and
expenditure rates, and state effectiveness at operating the trade
program will enable DOL to address resource requests in a timely and
rational manner.
(d) Generally, NEG funds awarded for training will be used to fill
a temporary gap in trade training funds to ensure that workers who have
been appropriately assessed and need training to return to work will
have access to such training as soon as possible after dislocation.
Systems must be in place to seamlessly accommodate a change in the
funding of training, as appropriate.
(e) Before a state applies for NEG funds for training trade-
eligible workers, it must have evaluated its trade and WIA Dislocated
Worker funds availability in the context of the above expenditure
requirements. Any training proposed to be provided with NEG funds to
trade-eligible workers must qualify under both the trade and the WIA
programs.
(f) All dislocated workers, including those for whom trade
petitions have been filed, are required to have access to rapid
response, core and intensive services (paid with WIA or other resources
available to a state). This assistance should be available prior to a
determination of trade certification to limit the period of
unemployment. Once a worker has been determined eligible for trade
assistance, those services authorized under the trade program (approved
training, job search and relocation allowances and transportation)
should be funded with trade funds to the extent those funds are
available. Participants must sign-off on their individual reemployment
plans (including training as appropriate). Trade Readjustment
Allowances (income support) are also paid under the trade program. It
is the responsibility of state and local program managers to manage WIA
and trade program funds in an integrated manner to best meet the needs
of the workers and in accordance with all applicable trade and WIA
statutes, regulations and federal policies. Discretionary funds,
including both the trade reserved funds and NEG resources, may be
requested as needed, using application procedures.
(g) In instances where a trade petition has been filed, but no
determination has been made, such companies may be included in a NEG
application indicating that a petition is pending. In addition, if
dislocations impacting trade-certified workers also qualify for
industry-wide or community impact projects, those application criteria
will also apply, e.g., for a dual-enrollment application that also
qualifies as industry-wide (where all layoffs are trade-impacted), an
application would be required to have at least one company with 50 or
more workers, but other companies could have less than 50 (under the
exception criteria).
(6) Disaster applications. These applications require verification
that the Federal Emergency Management Agency (FEMA) has declared a
disaster area eligible for public assistance. The primary purpose of a
disaster project is to create temporary employment to assist with
clean-up activities. The initial award will restrict the clean-up
period to six months from the date of grant award until there is a
subsequent modification (e.g., fully documented plan or other request)
that justifies a longer clean-up period. A state may include in its
fully-documented plan, or modification request, a component for
employment-related services. This component of a disaster project is
for workers involved in the clean-up work who will not return to their
prior employment. The application must demonstrate that the
participants need employment-related assistance to return to work and
that non-NEG resources are not available to provide such services. The
employment-related component must provide information on the number of
participants that require assistance, the type of assistance and the
duration and planned performance goals. The application must also
include the outcomes of those who will not require employment-related
assistance through the NEG project.
(7) Trade Program--Health Coverage Tax Credit (HCTC) Infrastructure
projects, pursuant to the authority in the Trade Act and WIA Section
173(f) and appropriation of funds to help states develop an
infrastructure in support of the implementation and operation of the
HCTC or health coverage assistance through the NEG ``bridge'' program.
Application requirements are outlined in TEGL 10-02, issued on October
2, 2002.
(8) Trade Program--Health Coverage ``Bridge'' projects, pursuant to
the authority in the Trade Act and WIA Section 173(g) and appropriation
of funds to help states provide health coverage assistance through
qualified health plans for trade-certified workers who are Trade
Readjustment Assistance (TRA) recipients (including those who would be
if they had exhausted UI); Alternative Trade Adjustment Assistance
(ATAA) wage-subsidy recipients; as well as certain Pension Benefit
Guaranty Corporation (PBGC) recipients. The application guidelines are
described in TEGL 20-02, issued on March 3, 2003, and additional
guidance is forthcoming.
c. Secondary Workers. When a regular NEG application is submitted
for a primary company layoff of 50 or more workers (or multi-companies
with 50 or more layoffs each) and the state makes a determination that
there is a secondary worker layoff (including those with 50 or fewer
workers being laid-off) where the primary layoff contributed
importantly to the secondary layoff, the application may include the
secondarily-impacted firm(s). The definition of secondary workers is
contained in the NEG application guidelines. Tertiary workers will not
be covered in a NEG project unless the dislocation qualifies for a NEG
application on its own merits.
d. NAFTA Secondary Workers. Although the Trade Act amended the
trade program for secondarily-impacted workers so they can access the
same services as primary workers, the Department's policy of covering
NAFTA secondary workers through NEGs, including needs-related payments,
remains in effect for those who are covered under a certification
issued prior to November 1, 2002, and for whom a petition has not been
filed under the new law.
e. Rapid Response and Other Early Intervention Assistance. The
value of early intervention assistance, including rapid response, in
achieving positive employment and earnings outcomes for dislocated
workers has been consistently demonstrated. ETA is committed to the
principles of rapid response and other early intervention strategies
for assisting dislocated workers as soon as they learn they are going
to be laid off. For all regular (single-company, multi-company,
industry-wide and community impact) and dual-enrollment projects, NEG
applications are expected to reflect the results of the early
intervention processes activated through a state's rapid response
system.
[[Page 23056]]
To maximize the effectiveness of early intervention strategies for
dislocated workers, states are strongly encouraged to use the
flexibility contained in WIA to provide additional rapid response
resources to local areas (WIA Section 134(a)(2)(A)(ii)). At a minimum,
funds should be available to commence development of individualized re-
employment plans and other required intensive and training employment-
related assistance as soon as dislocated workers become eligible for
WIA assistance, i.e., upon receipt of a notice of layoff or 180 days (6
months) prior to scheduled closure. Where state and local funds are not
available (as reflected by expenditure levels), a NEG application
should be submitted quickly to ensure funds are available as soon as
possible.
If a trade-petition is being filed, the full array of early
intervention services should not be delayed until a petition
determination has been made. When provided early intervention
assistance, workers will be ready to participate in eligible trade
program services if an affirmative finding is rendered by DOL or
continue needed assistance under WIA (formula or NEG) if there is a
negative petition finding.
f. Linkage to Economic Development. The ``power of e-3'' is the ETA
reference to the linkage of education, employment and economic
development. Linkage with economic development initiatives is a key
component for communities developing strategies to help workers,
especially those workers affected by mass layoffs and plant closures.
The development of any plan and request for NEG funding by a state or
local community should be done in conjunction with economic development
planning to support current and future economic growth in a community.
Much of this planning can and should be done with rapid response and
other resources, including any resources provided to states through the
Economic Development Administration (EDA) at the U.S. Department of
Commerce.
g. Quality Customer Service. ETA expects that NEG project designs
will provide time-efficient strategies that return workers to
appropriate employment as quickly as possible to reduce the adverse
impact of the dislocation event on the workers and the local economy.
Applications will be evaluated for reasonableness of costs and planned
outcomes and timeliness of planned assistance. When NEG funds are
requested, it is expected that systems are in place or will be in place
quickly to accommodate the needs of the workers, including having
temporary personnel available to provide assistance when needed by the
workers. Delaying the enrollments of eligible workers over a protracted
duration of time due to staffing or other limitations is not an
acceptable program design.
NEG projects should take advantage of the pre-layoff eligibility of
dislocated workers under WIA (i.e., as soon as an individual layoff
notice is received or 180 days prior to a planned closure) and be
designed to support employment and wage replacement goals focused on
returning individuals to the workforce as soon as possible after
layoff. Often, these workers possess high skills and are long-tenured
and highly effective workers. Enhanced service strategies should be
built into the project design for participants requiring more and
longer assistance (such as for limited English-speaking populations or
in severely impacted communities). At a minimum, project designs should
be demand-driven so that workers are being trained for jobs with career
and growth potential.
h. Integrated Service-Delivery. NEG projects should be designed to
make maximum use of assistance and resources available through One-Stop
partners (including ``required'' and ``additional partners''),
employers and other state and local organizations. (Under the Trade
Act, the trade program is a ``required'' partner.) ``Silo-based''
service policies and procedures are not acceptable. Integrated
policies, procedures and approaches will be reviewed and considered as
part of the NEG application process.
i. Reprogramming of NEG Funds. Federal appropriations law generally
prohibits the redirection or reprogramming of funds to serve target
populations not originally identified as part of an original grant
award (change in scope) or the re-award of returned funds to another
grantee, if such actions are executed after the year of appropriation,
or after the Department's authority to obligate funds have expired. For
instance, Program Year 2003 appropriated funds (which include FY 2004
funds) may be reprogrammed until June 30, 2004, but not thereafter. To
ensure that the Department has sufficient time to evaluate and act on
such requests, grantees must manage the expenditure of NEG funds and
take appropriate action to ensure effective use of the funds. Requests
to reprogram excess NEG funds must be received by the Department no
later than May 1 of the program year in which the NEG award was made.
Therefore, generally, NEGs awarded in the last two months of a program
year will not qualify for any reprogramming actions.
j. Incremental Funding. To minimize any end-of-project under-
expenditure, applicants should expect that most NEG awards will be
funded incrementally. In most cases, the initial increment will be for
six months to enable a project to achieve full enrollment. The release
of subsequent funding increments will be based on a demonstrated need
for funds as evidenced by enrolled/registered participants and accrued
expenditures. ``Accrued expenditures'' equal actual cash payments, plus
the cost of services or goods that have been received or are being
provided (e.g., the cost of a semester of tuition that has not been
paid but participants are in training).
k. Performance Management Accountability. ETA will issue separate
guidance on expectations for outcomes for participants served with NEG
funds. ETA is announcing policy and will be issuing reporting
instructions to implement common performance measures for all federal
training and employment programs. The common measures will include
entered employment, retention and earnings gain. Beginning July 1,
2004, the common performance measures will be implemented for NEG
projects.
l. Cost Per Participant. Part of the evaluation of ``reasonableness
of costs'' will be a comparison of the average cost per participant in
a state's formula Dislocated Worker program with the proposed cost in a
NEG application, excluding disaster projects and the NEG ``bridge''
program. In making such an evaluation, ETA recognizes that a two-year
project with a limited number of participants may incur a greater cost
per participant than the average annual cost for formula participants
whose costs may be captured in more than one program year.
m. Formula Dislocated Worker Program Expenditures. The expected
June 30 annual accrued expenditure rate (see Para. 4. j., above, for
the definition of ``accrued expenditures'') for Dislocated Worker
formula program funds when applying for NEG resources is 70 percent of
``total available'' (prior year carryover plus annual allotment). A
review of each state's success in meeting this rate will be conducted
at the end of each program year and will be part of the review of a
state's need for NEG funds as applications are received. Quarterly
financial reports of formula Dislocated Worker program fund
expenditures, as well as recent NEG project experience, will also be
factors in determining fundability.
n. Assistance to Military Personnel. Assisting military personnel
with the
[[Page 23057]]
transition to the private workforce is a priority of both the
Departments of Defense and Labor. However, except for BRAC-directed
closures or realignments of military installations which involve
significant dislocations, military personnel who are exiting military
service are generally expected to seek and receive transition
assistance through such programs using formula funds. This includes
those who are completing their commitments as well as those who are
being involuntarily, but honorably discharged. Generally, it is
expected that the number of personnel is such that local formula funds
are available to provide the transition assistance in coordination with
veterans' programs available in nearly every community, in addition to
the transition assistance provided by the military services and the
Department of Labor's Veterans Employment and Training Service.
Individuals being dislocated as a result of an announced military
installation closure or realignment may be served with NEG funds
pursuant to WIA Section 173(c)(2)(A).
o. Assistance to Military Spouses. NEG funds may be requested to
serve military spouses who qualify as dislocated workers, including
those who were required to leave jobs to accompany military spouse
members for the convenience of the Government. The number of
individuals affected within a six-month period must be provided by the
appropriate military branch, and any request for NEG funds must include
documentation that demonstrates that formula funds are not adequate to
provide the needed level of assistance. Other spouses who do not
qualify as dislocated workers under WIA should be served with WIA adult
program funds.
p. Health Insurance Premiums. The Trade Act of 2002 amended WIA by
adding Section 173(g), and appropriated funds to permit the use of NEGs
to provide appropriate qualified health coverage assistance for
eligible TAA (TRA) recipients, certain TAA individuals who have not
exhausted UI benefits, ATAA wage subsidy participants, and certain PBGC
recipients. Guidance was issued by the Department in TEGL 20-02 on
March 3, 2003. However, based upon recent experience, further guidance
is being developed and will be issued.
ETA's policy is that the limited resources available for regular
NEGs will not be awarded to pay for health insurance premiums for
dislocated workers who do not qualify under the trade program. NEG
supportive service funds may be used to pay for emergency medical
treatment and needs-related payments--where authorized by local
workforce investment boards for the Dislocated Worker formula program.
This income support can be used by participants to pay for insurance
premiums and other personal expenses.
5. Incomplete Applications
As indicated above, ETA is committed to a shortened NEG application
review and decision period through the use of an electronic application
process. The electronic system will include edit checks to ensure that
applications are complete. Incomplete applications will not be
accepted. While this will not always assure that the document contains
the information necessary to make funding decisions, we believe this
will be an important step. In addition, prior to the implementation of
the e-tool, in order to avoid unexplained delays in processing times,
upon finding that an application is either incomplete (e.g., lacking
SF-424, layoff/rapid response information, budgets, implementation
schedules, etc.) or the application does not support the purpose being
requested, ETA will send an e-mail to the applicant stating that the
application cannot be considered for funding as submitted and will cite
the deficiencies. Information to address the deficiencies must be
transmitted to ETA by the official signatory. Submission of a complete
and fully supported application will establish a new application date.
6. Other Terms
The Department may negotiate and fund projects under terms other
than those specified in this TEGL and NEG guidelines, where it can be
clearly demonstrated to the Department that such adjustments will
achieve a greater positive benefit for the workers and/or the
communities being assisted (20 CFR 671.170(b)(5)).
7. Action
NEG applications must be submitted in accordance with these
policies and the application guidelines. Please ensure that local
workforce investment boards, local elected officials, One-Stop Center
operators, rapid response and trade coordinators and other appropriate
staff involved in the submission of NEG applications or operation of
NEG projects receive this issuance.
8. Inquiries
Questions regarding this transmittal should be directed to the
appropriate Regional Administrator or to Ms. Shirley M. Smith,
Administrator, Office of National Response, at (202) 693-3500.
Attachment II--Workforce Investment Act: Application Procedures for
National Emergency Grants
Overview
The Employment and Training Administration (ETA) of the U.S.
Department of Labor (DOL) is announcing policies and procedures for
accessing funds to implement the National Emergency Grant (NEG) program
under Section 173 of the Workforce Investment Act (WIA), as amended.
Funds are available for obligation by the Secretary of Labor (the
Secretary) under Sections 132 and 173 of the WIA, and Section 203 of
the Trade Adjustment Assistance Reform Act of 2002. Applications will
be accepted on an ongoing basis as the need for funds arises at the
state and local levels. Applicants are strongly encouraged to submit
applications as early as possible following official notification or
occurrence of an eligible dislocation event. Grant awards will be made
only to the extent that funds remain available.
This application package provides information and procedures by
which eligible entities can apply for National Emergency Grant funds to
provide workforce investment employment-related services and other
adjustment assistance for dislocated workers and other eligible
individuals as defined in Sections 101, 134 and 173 of WIA; Sections
113, 114 and 203 of the Trade Adjustment Assistance Reform Act of 2002;
and 20 CFR 671.140. It consists of the following eight parts and two
appendices:
Part I provides background about the purpose and
use of NEGs.
Part II describes eligibility, including
eligible circumstances for funding, eligible entities for grant awards,
and eligible individuals for assistance.
Part III identifies the policies governing
project management and design requirements for NEGs.
Part IV provides an overview of the application
submission requirements for each type of NEG project.
Part V identifies the elements in the
application review process including the criteria that will be used to
determine the appropriateness of the request for funds.
Part VI describes alternative approaches to
grant funding and the requirements associated with emergency funding
requests and incremental funding actions.
[[Page 23058]]
Part VII describes the follow-up planning,
oversight and reporting requirements for awarded grants.
Part VIII describes the grant modification
requirements and process. Appendix A contains copies of the required
grant application forms. The forms are in an electronic format to
facilitate easy completion and timely submission of the application.
The Department is establishing an electronic process that will
support both timely submission of applications for funding, in relation
to worker eligibility for assistance, and timely processing of such
applications. When the electronic system becomes operational it must be
used to submit applications for NEG funding. Procedures for accessing
and guidance for using the electronic system will be provided to
eligible grant applicants through ETA's Regional Offices.
Appendix B contains a directory of Regional Office contacts.
Applications for NEG funds may be submitted at any time. Awarded
NEG funds may be expended during the months remaining in the Program
Year in which the grant award is made plus the subsequent two Program
Years. A Program Year is the twelve month period, July 1-June 30. The
Employment and Training Administration expects that the project
performance period in any NEG application will reflect a time efficient
approach to returning eligible individuals to appropriate employment
consistent with the performance goals that apply to NEG projects.
Generally, planned project durations should not exceed 24 months.
The application procedures, application review process, and project
oversight and reporting requirements described in this notice are
issued under the WIA regulations as 20 CFR 671.125.
For further information on these guidelines, you may contact
Shirley M. Smith, Administrator, Office of National Response at (202)
693-3500. (This is not a toll-free number.)
Part I: Background
National Emergency Grants (NEGs) are discretionary awards by the
Secretary of Labor. NEGs are time-limited interventions intended to
temporarily expand the service capacity at the state and local area
levels by providing funding assistance in response to significant
dislocation events. NEGs are not intended to meet shortfalls that may
occur in formula funding to states for dislocated worker assistance.
States are expected to make full use of WIA and Wagner-Peyser formula
funds that are allotted for dislocated worker and adult assistance,
including the use of funds reserved at the state-level for Rapid
Response and statewide activities and funds allocated among all local
areas.
Responsive and responsible use of NEG funds requires a system-based
collaboration between the state and local entities that are charged
with providing assistance to workers affected by significant
dislocation events and the federal agency that manages the national
fund account. This collaboration must operate in a manner that ``puts
the right amount of money in the right place at the right time.''
Inefficiencies in this collaboration are defined by delayed funding
actions (i.e., in relation to the time at which services are needed by
eligible workers), unexpended funds caused by inaccurate estimates of
the amount of funding needed to respond to the dislocation event, and
delayed, unresponsive implementation plans for assisting the affected
workers. Correcting these inefficiencies is a shared responsibility by
the applicant/grantee and ETA. A request for NEG funds is expected to
flow from an analysis of the need for reemployment assistance generated
by an eligible event taking into account funds available in the state
and local areas to respond to the need.
The approach to NEG grant awards will be centered on quick
turnaround initial funding actions where the following can be
demonstrated:
There is an eligible circumstance for funding,
with a group of workers who are currently eligible to receive
assistance.
An early intervention strategy has been
initiated.*
Per-participant expenditure levels are
consistent with the formula program experience in the proposed project
service area.*
There is a plan for timely enrollment of
eligible workers into assistance and expenditure of requested funds.
Overall project performance goals are consistent
with supporting the achievement of the Secretary's goals for dislocated
worker assistance.
The state in which the project is to be
implemented is maintaining an acceptable rate of usage of formula
funding for dislocated worker assistance.*
[Note: * These do not apply to Disaster and Trade Health
Coverage Assistance projects.]
The application submission requirements have been streamlined to
focus on those information items and planning decisions that should be
available and feasible within the time period in which some level of
funding assistance is needed. DOL is committed to making a decision to
approve or disapprove all submitted requests for funding, which include
an initial application and monetary grant modifications such as
requests for incremental funding, within 30 working days from receipt
of a complete and responsive request. Note, however, that if the
applicant chooses to submit an unsolicited revision to a previously
submitted request that is undergoing review, the 30-day processing time
period starts over. Additionally, because experience with worker
dislocations has consistently demonstrated that actual project
requirements often vary from initial planning assumptions (i.e., on
factors such as participation levels and intensity of reemployment
assistance needs), most NEG requests will be funded incrementally.
Although the streamlined application requirements will be
sufficient to make an initial funding decision, particularly under an
incremental funding approach, this information will not be sufficient
for determining if there is a reasonable and appropriate plan for
implementing the project. Therefore, as a condition of the grant award,
recipients will be required to develop a more complete project
operating plan, including executed project operator agreements, line
item budgets, staffing plans and participant registration and
assessment information. The operating plan should be completed and
transmitted to the Regional Office within 90 calendar days after the
grant award. Information contained in the operating plan and project
implementation experience will be used by ETA to determine the full
amount of NEG funding needed to adequately respond to the dislocation
event.
Part II: Eligibility
A. Eligible Circumstances for Funding
NEG funds may be used to provide assistance in the following
circumstances:
Plant closures and mass layoffs affecting 50 or
more workers at a single site of employment;
Layoffs at several companies in a single local
community including layoffs not meeting the single site criterion that,
in total, have significantly increased the total number of unemployed
individuals in the community. [This criterion will only apply at the
local area level and the layoffs must be concentrated within the six
months preceding the date of application.] Priority will be given to
those applications where the layoffs
[[Page 23059]]
resulted in an increase of 1 percent in the local area unemployment
during the preceding 12 months.
``Community'' is defined as a designated local
workforce investment area (LWIA). In cases including single state
workforce areas, ``community'' is defined as a labor market area:
Layoffs at multiple locations with employers who
are in the same industry sector (defined at the three digit code level
in the North American Industrial Classification system), of which at
least one company must have a layoff of more than 50 workers, and other
individual companies may have layoffs of less than 50 workers as part
of the same application;
Layoffs at multiple locations (multi--company)
that occur within a 4--month period and in which each layoff impacts 50
or more workers;
Closures and realignments of military
installations;
Emergencies or disasters that have been declared
eligible for public assistance by the Federal Emergency Management
Agency (FEMA); and
Special assistance, including health insurance
coverage assistance, to trade--impacted workers and other individuals
eligible under the Trade Adjustment Assistance Reform Act of 2002.
The Secretary may determine that other circumstances are
appropriate for NEG funding.
The provisions of WIA and the Regulations define four NEG project
types:
Regular, which encompasses plant closures, mass
layoffs, multiple layoffs in a single community, multiple layoffs in an
industry sector, other multi--company layoffs and closures or
realignments of military installations.
Disaster, which includes all natural and manmade
disaster events that FEMA has declared eligible for public assistance.
A declaration by the Governor of a state is not sufficient to receive
funding assistance. A grant application may be submitted by the state
if the Governor has requested such a declaration from the President but
a grant award cannot be made without the appropriate FEMA declaration.
Trade--WIA dual enrollment, which is intended to
ensure that a full range of services is available to trade-impacted
individuals where such services are not available through the regular
Trade Adjustment Assistance program. To receive assistance with NEG
funding, an individual is required to be eligible for dislocated worker
assistance through WIA.
Trade Health Insurance Coverage assistance,
which provides special health insurance coverage assistance through
partial payment of health insurance premium costs under approved plans,
supportive services, and income assistance to targeted individuals
defined in the Trade Adjustment Assistance Reform Act of 2002.
For Regular projects, applicants may submit a single application to
cover eligible layoffs at multiple employers and/or employment sites.
The acceptable conditions for multiple event applications are:
--Where the state is the applicant, independently eligible events
(i.e., layoffs of 50 or more) that have occurred within the state
during the 120-day period (4 months) preceding the date of application;
--Where a local board, or consortium of local boards, is the applicant,
all layoffs must be within the service area of the local board, or the
area covered by the consortium agreement, and must meet the 50 or more
threshold and have occurred within the 120-day period preceding the
date of application;
--An application for an industry-wide project which can include layoffs
of less than 50 as long as the firms are within the three digit NAIC
sector cited in the application;
--Layoffs at supplier firms to a primary firm that meet the definition
of primary and secondary firms in the Trade Act. The application must
plan assistance to the primary firms, where the layoff must be 50 or
more, and to the supplier firm(s), where the number of layoffs may be
less than 50.
When an application is being submitted for an industry-wide
project, the applicant must indicate on the Project Synopsis that the
eligible event is ``industry-wide.''
B. Eligible Entities for Grant Awards
Entities that are eligible to receive a NEG grant for a Regular
Project are:
1. For Eligible Intrastate Projects:
--The designated state WIA program grantee agency
--A LWIA (and its fiscal agent)--
--A consortium of local boards for adjoining local areas
--A designated organization receiving WIA funding through the Native
American Program provision of the Act
2. For Interstate Projects:
--A consortium of local boards for adjoining local areas.
--A consortium of states.
For consortium arrangements, one of the eligible entities must be
designated to serve as the grant applicant and recipient. Consortium
arrangements must be supported by a formal Memorandum of Understanding
(MOU) that is executed among the participating local boards/states.
DOL expects that states, as the entities responsible for ensuring
the effective use of all funds within the state to respond to worker
dislocations, will either assume the role of grantee or will work
collaboratively with local board applicants to ensure an effective
intervention strategy through Rapid Response and verify the need for
the requested NEG funds to provide assistance to the eligible workers.
Eligible applicants for Disaster projects, projects to provide
special assistance to trade-impacted workers (i.e., both Dual
Enrollment and Health Insurance Coverage), and industry-wide projects
are limited to states.
In those cases where the state is the grantee but the project will
operate in one or more designated local areas, the state may want to
consult with applicable local area Workforce Investment boards in the
development of applications for NEG funds.
C. Eligible Individuals for Assistance
Individuals who are eligible for assistance vary by type of NEG
project. The general categories of eligible individuals are:
1. A dislocated worker under WIA Section 101(9) is:
a. An individual who:
(1) Has been terminated or laid off, OR has received a notice of
termination or layoff, from employment;
(2) Is eligible for or has exhausted entitlement to unemployment
compensation, OR has been employed for a duration sufficient to
demonstrate to appropriate staff of the One-Stop Center attachment to
the workforce but is not eligible for unemployment compensation due to
insufficient earnings or having performed services for an employer not
covered under the state's unemployment compensation law; AND
(3) Is unlikely to return to a previous industry or occupation.
b. An individual who:
(1) Has been terminated or laid off, OR has received a notice of
termination or layoff, from employment as a result of any permanent
closure of, or any substantial layoff at, a plant, facility or
enterprise; or
(2) Is employed at a facility at which the employer has made a
general announcement that such facility will close within 180 days; OR
is employed at a facility at which the employer has made a general
announcement that such facility will close.
[[Page 23060]]
Note: Eligibility for other than Core Services requires an
announcement by the employer that the facility will close within 180
days, or an individual layoff notice.
c. An individual who was self-employed but is unemployed as a
result of general economic conditions in the community in which the
individual resides or because of natural disasters, as defined by a
state.
d. An individual who has been providing unpaid services to family
members in the home and who:
(1) Has been dependent on the income of another family member but
is no longer supported by that income; AND
(2) Is unemployed or underemployed and is experiencing difficulty
in obtaining or upgrading employment.
2. A civilian employee of the Department of Defense or the
Department of Energy employed at a military installation that is being
closed, or that will undergo realignment, within the next 24 months.
(WIA Section 173(c)(A)(ii))
3. An individual who is employed in a non-managerial position with
a Department of Defense contractor, AND who is determined to be at risk
of termination from employment as a result of reductions in defense
expenditures, and whose employer is converting operations from defense
to non-defense applications in order to prevent worker layoffs. (WIA
Section 173(c)(A)(iii)
4. A member of the Armed Forces who:
a. Was on active duty or full-time National Guard duty;
b. Is involuntarily separated from active duty or full-time
National Guard duty, OR is separated from active duty or full-time
National Guard duty pursuant to a special separation benefits program
or voluntary separation incentive program;
c. Is not entitled to retired or retained pay incident to the
separation described in (b); AND
d. Applies for employment and training assistance before the end of
the 180-day period beginning on the date of separation. (WIA Section
173(c)(A)(iv))
5. For Disaster Projects, an individual who is temporarily or
permanently laid off as a consequence of a disaster event qualifying
for public assistance through a FEMA declaration. (WIA Section
173(d)(2))
6. For Disaster Projects, an individual who is long-term
unemployed, as defined by the state. (WIA Section 173(d)(2))
7. For Trade-WIA Dual Enrollment Projects, an individual covered by
a certification under the Trade Adjustment Assistance Reform Act of
2002 who also qualifies as an eligible dislocated worker under the
Workforce Investment Act, and is co-enrolled/registered in both trade
and WIA.
8. For Trade Health Insurance Coverage Assistance Projects (WIA
Section 173(f) and (g):
a. An individual who is eligible for a trade readjustment allowance
(TRA) under the TAA program, or would be eligible for TRA except that
he/she has not yet exhausted his/her unemployment insurance (UI)
benefits and qualified family members of the eligible individual;
b. Certain recipients of pension benefits through the Pension
Benefit Guaranty Corporation; and
c. Recipients of wage subsidies in the Alternative Trade Adjustment
Assistance Program.
Not all of these groups are eligible for each type of NEG project
assistance. The following table summarizes the relationship between
eligible individuals and eligible NEG project types.
----------------------------------------------------------------------------------------------------------------
Trade adjustment assistance
---------------------------------------
Regular Disaster Health coverage &
Dual enrollment related
----------------------------------------------------------------------------------------------------------------
Dislocated Worker........................... X X .................. ..................
DoD/DoE Civilian Employee................... X ............ .................. ..................
DoD Contractor Employee..................... X ............ .................. ..................
Member of Armed Forces...................... X ............ .................. ..................
Temporarily Laid off as Result of Disaster.. ............ X .................. ..................
Long-term Unemployed........................ ............ X .................. ..................
Covered by a Trade Certification and ............ ............ X ..................
Eligible for WIA...........................
Eligible for Trade Readjustment Assistance.. ............ ............ .................. X
Qualified Dependent of Eligible Trade- ............ ............ .................. X
Impacted Worker............................
Certain PBGC Pension Recipient.............. ............ ............ .................. X
ATAA Wage--subsidy Recipient................ ............ ............ .................. X
----------------------------------------------------------------------------------------------------------------
The number of affected workers cited in an application is limited
to those individuals who meet one of the dislocated eligibility
criteria at the time the application is submitted. NEG funds will not
be provided for projected or anticipated layoffs. They must have been
announced through WARN or other public announcement. As noted in Part
VIII: Grant Modifications, grants may be modified to include subsequent
layoffs that are within the scope of the approved grant award.
Part III: Administrative and Project Design Requirements
A. General
Grantee organizations, administrative entities, project operators
and service providers are subject to the WIA law, regulations, grant
application instructions, the terms and conditions of the grant and any
subsequent modifications, and to all other applicable Federal laws
(including provisions in Federal appropriations laws). Since eligible
applicants are generally limited to states, Native American tribal
entities and local boards that are established through WIA, NEG
grantees will be subject to all administrative system requirements that
apply to the use of WIA formula funds for dislocated workers, except as
otherwise provided in these instructions or a grant award document.
B. Cost Limitations
Cost limitations for administrative and related project management
expenditures (e.g., monitoring, technical assistance) shall apply to
all NEG grant awards. These limitations shall apply to actual
expenditures at the end of the grant. In general, a limit of ten (10)
percent of total costs excluding the costs of needs-related payments
(and, as applicable, health insurance coverage payments) will apply to
all NEG projects. The WIA definition of administrative costs shall be
used in
[[Page 23061]]
determining compliance with the cost limit on all NEG grants.
On projects where services are being provided through one or more
local area project operators, the ten percent cost limit will apply to
project operator expenditures. In these projects the grantee may retain
an additional amount to perform grant-level management and oversight
functions. The amount to cover basic administrative functions such as
record-keeping and reporting, procurement, audit, and general grant
management activities should not exceed 1.5 percent of the total
funding provided to project operators, excluding the costs of needs-
related payments. This will not apply to the temporary employment
component of Disaster projects.
Any costs associated with administering a system of needs-related
or health insurance coverage payments must be separated identified in
the application budget and justified in the narrative.
C. Indirect Costs
If an indirect cost rate is applied in calculating some of the
costs at the grantee level, the applicant must include information from
the most recent approval document that identifies the approved indirect
cost rate and base, the cognizant approval agency, and the date of the
approval. Indirect costs cited in the application should only be those
that apply to the grantee. The grantee will be responsible for
verifying the appropriate documentation to support any indirect rates
that are applied in calculating costs at the project operator level.
Indirect costs are a subset of total project costs; they may include
administrative and program costs. Cost limitations apply to total
project costs and are not applied separately to direct and indirect
costs.
D. Early Intervention
For Regular and Dual Enrollment projects, all NEG applications are
expected to be the result of an early intervention process that has
been activated through the state's Rapid Response system. The early
intervention process should include the use of formula funds to
initiate services to eligible individuals. When formula funds have been
used to provide services (excluding Rapid Response) to the eligible
target group prior to grant award and the state is demonstrating an
acceptable rate of expenditure of available formula funds (see Part
III. K), the Grant Officer may authorize the use of NEG grant funds to
reimburse the cost of such services.
However, pre-award costs will only be approved for appropriate
expenses incurred from the date on which planned participants became
eligible for services, and in no case will be approved for costs
incurred before the date that is 120 calendar days prior to the date of
receipt of the application by USDOL/ETA. Appropriate expenses for pre-
award costs will be limited to the costs of direct costs for
participants (core and intensive services, training and supportive
services). Pre-award costs will not be approved for administrative or
needs-related payment costs. Pre-award costs will not apply to Disaster
or Trade Health Insurance Coverage projects.
For Regular projects, ETA expects that applications for NEG funding
will be submitted within 120 calendar days (preferably sooner) of the
date on which the target group of workers included in the application
become eligible for assistance, or the dislocation event(s). In
general, the initiation of early intervention activities will be a pre-
condition for the award of NEG funds for Regular and Dual Enrollment
projects. At a minimum, these activities should include contact with
the affected workers and collection of information on the assistance
needs of the workers.
If early intervention through Rapid Response has not been feasible,
the applicant must document the circumstances that prevented initiation
of early intervention in the application.
[Note: Applicants will be expected to actively pursue
alternative methods of contact with workers and initiation of
services in those cases where employer support and cooperation is
limited or lacking.]
Applications for Disaster projects should be submitted within 30
calendar days of the occurrence of the disaster event. As discussed in
Part VI of these guidelines, emergency applications (whether for a
Regular or Disaster project) should be submitted within 15 calendar
days of the FEMA declaration for public assistance eligibility.
E. Allowable Activities and Services
NEG funds may be used to provide services of the type described in
Sections 134(d)(2), (3), (4) and (e)(2) and (3) of WIA, and pursuant to
20 CFR 671. Funds may not be used to pay for any costs of Core
Services, as described in 134(d)(2), which have already been budgeted
under available formula funds.
For Disaster projects, NEG funds may also be used for temporary
disaster employment not to exceed six months (or 1,040 hours) for any
single event; to help provide food, clothing, shelter and related
humanitarian services; and to perform demolition, cleaning, repair,
renovation and reconstruction of damaged and destroyed public
structures, facilities and lands, located within the designated
disaster area, as defined in the grant award document. A component may
also be designed for employment-related assistance for participants who
require help in returning to the workforce after completion of
temporary employment.
For Trade Health Insurance Coverage Assistance projects, funds may
be used for trade health insurance infrastructure and to pay health
insurance premiums for certain trade-certified dislocated workers
enrolled in a qualified health care plan as provided for in WIA
Sections 173 (f) and (g). Additional guidance on the use of funds for
these activities have been provided.
F. Project Design and Service Operations
1. Regular Projects
Policies regarding receipt of supportive services and needs-related
payments will generally be consistent with the established policies and
procedures of the local board(s) in the area in which the project is to
operate as required in 20 CFR 671.140(c). ETA expects that such
policies and procedures are flexible enough to respond to the needs of
any eligible dislocated worker, including those who are eligible for
assistance through NEG funding. For projects serving the same target
population in more than two local areas, a policy may be developed
based upon the combined policies of affected local areas as agreed to
for an NEG project to ensure equitable services for a project's target
population.
Where variations in program (core, intensive and/or training)
policies (e.g., training caps, duration of training, self-sufficiency
requirements) may be appropriate to respond to the needs of special
populations (e.g., limited English speaking) who comprise the target
group, these will have to be identified, explained and justified in the
application narrative.
Projects that will operate on a consortium basis will be expected
to establish a common set of service policies that will apply to the
full project service area. Grantees and project operators will be
expected to involve the applicable local board(s) of any approved
variations in service policies that will apply to a NEG project.
2. Disaster Projects
The initial purpose of Disaster projects is temporary job creation
to
[[Page 23062]]
provide clean-up, restoration and humanitarian assistance to
communities that have been affected by a disaster event. Temporary
disaster jobs are limited to public and private non-profit agencies. An
individual participant on a Disaster project may be employed for a
maximum of six months, or 1,040 hours, whichever is longer. The maximum
level of wages paid to a participant is generally limited to $12,000,
excluding the cost of fringe benefits. Fringe benefits should be paid
in accordance with the policies of the employer of record for
temporarily employed workers. The wage cap does not assume that the
individual is employed for the full six months or 1,040 hours. A higher
hourly wage may be paid, as appropriate, for higher skilled positions
as long as the wage limit is not exceeded on an individual participant
basis. If a higher wage level limit for some participants is critical
to the success of project clean-up efforts and cannot be accommodated
within the above provision, the applicant may request a higher limit
for the applicable positions from the Grant Officer.
Priority in filling the temporary jobs should go to individuals who
have been dislocated, either permanently or temporarily, as a result of
the disaster event. Other eligible participants for disaster projects
are dislocated workers as defined in WIA Section 101(9) and long-term
unemployed individuals (as defined by the state) to fill jobs that are
needed in the clean-up and recovery effort. Where permanently
dislocated workers and long-term unemployed individuals are employed in
temporary jobs on a Disaster project, and they need reemployment
assistance to return to the workforce upon completion of the temporary
jobs, the grantee may request to modify the grant to use awarded funds,
or request additional funding, to provide appropriate intensive,
training and supportive services, as provided for in the grant award
document. The description of these services will be subject to all of
the provisions that apply to a Regular project with the exception of
the early intervention requirement and the company layoff data (see
Part IV.B.2).
3. Dual Enrollment Projects
The primary purpose of Dual Enrollment projects is to provide
funding for employment-related assistance for trade-certified
dislocated workers. Such assistance may include career counseling, case
management and supportive services not authorized under the Trade Act.
Also, under certain circumstances, funding may be awarded to provide
training, as specified in a grant award document. Trade-certified
workers receiving assistance under a NEG must be dual enrolled in both
the trade program and WIA, in accordance with the requirements of both
programs.
G. Reasonableness of Costs
For Regular and Dual Enrollment projects, and the workforce
investment employment-related component of Disaster projects, the
planned per participant cost will be expected to be within a reasonable
range of the actual end-of-year average cost per participant for
formula-funded dislocated worker activities in the planned service area
during the most recent completed Program Year, or the state average if
the project is designed to cover multiple local areas. The actual
formula program cost per participant should equal the total
expenditures during the Program Year divided by the total number of
registrants reported for the PY. This actual cost per participant level
must be entered on the Project Synopsis form in the application. ETA
will provide a benchmark level for ``reasonable range'' through
separate policy guidance.
H. Integration with Other Resources
Regular and Dual Enrollment projects should be designed to make
maximum use of assistance available through One-Stop partners,
employers, and other local organizations. In addition, grantees will be
expected to make a maximum effort to assist each project participant
with applying and qualifying for available sources of financial
assistance, consistent with the provisions of Section 663.320 of the
WIA Regulations.
I. Coordination With Trade Act Funds
ETA expects that states will have in place efficient procedures for
dual enrollment of eligible workers in both the TAA and WIA programs,
as partners in the One-stop system. Receipt of NEG funds to provide
services to TAA eligible workers will be predicated on the existence of
such procedures. However, NEG funds cannot be used to provide
assistance to any individual who is not eligible as a dislocated worker
under the provisions of WIA. The exceptions are the special eligibility
categories for individuals to receive assistance under Trade Health
Insurance Coverage infrastructure and bridge NEG projects, as
authorized in the Trade Adjustment Assistance Reform Act of 2002 and
its amendments to WIA.
Further, the use of NEG funds for training and supportive services,
including relocation assistance, will generally be subject to the
limitations and requirements delineated in WIA and regulations,
including approved training provider lists and the use of Individual
Training Accounts, or as specified in the grant award document.
J. Performance Outcomes
As discretionary grant awards by the Secretary, NEG projects must
be designed to achieve performance outcomes that support the
performance goal commitments by the Secretary under the Government
Performance and Results Act (GPRA). ETA will provide target performance
levels for NEG projects through separate policy guidance. Beginning
July 1, 2004, NEG projects will be subject to the common measures for
employment and training programs. Participants in temporary disaster
jobs are expected to receive necessary assistance to return to the
workforce.
K. Use of Available Formula Funds
For Regular and Dual Enrollment projects, and the workforce
investment employment-related services component of Disaster projects,
applicants must demonstrate that they are maintaining an adequate rate
of expenditure of funds provided to the state through formula
allotments. This will include all dislocated worker program formula
allotment funds, including those reserved by the state for Rapid
Response and statewide activities. [Note: ETA has provided flexibility
to states in transitioning funds between the dislocated worker program
and the adult program under WIA. It is assumed that states and local
boards applying for NEG funds will have utilized transfer authority
appropriately.] The rate of expenditure standard will be communicated
by ETA through separate policy guidance. This requirement will not
apply to the temporary disaster employment component of a Disaster
project or to a Trade Health Insurance Coverage Assistance project.
L. Project Management
ETA expects that NEG-funded projects will be organized to provide
the most responsive services from the perspective of the customer
(i.e., the dislocated worker). There may be instances in which a
project will operate in multiple local workforce areas covering the
same company dislocation. The projects should be designed and managed
to operate under a consistent set of service policies and procedures
that are agreed to by all of the local boards involved.
On projects with multiple local project operators, ETA will award
the grant to the state or to one of the local boards that has been
designated as grant recipient through an agreement
[[Page 23063]]
executed by all of the local boards involved. The grant will be
structured to operate on a full service area basis. The program
policies and procedures applying to the project can be those of the
state, of the local board designated as grant recipient, or ones
jointly developed by all of the local boards as part of the agreement.
This principle will also apply to projects that will operate on an
interstate basis; that is, an agreement will have to be executed among
all of the involved states or local boards and the agreement will need
to designate one of the entities to be the grant recipient, as well as
identify the service policies and procedures that will apply.
Supportive service policies and needs-related payment policies for NEG
projects will be consistent with 20 CFR 671.140(c); however, where more
than one local area is providing assistance through a NEG for the same
target population, project operators may propose to implement policies
that combine or use the policies of one local area, to ensure equitable
treatment for workers from the same layoff.
Where a project will operate in more than one local area, the
grantee will have the authority to modify project operator agreements
and move funds among designated project operators consistent with where
eligible workers are seeking services. Where this action changes the
scope of responsibility for individual project operators, the grantee
should submit a revised Project Operator Data Form to USDOL/ETA. This
action is for information purposes and will not constitute a formal
grant modification request (see Part VIII of these guidelines for
conditions requiring a grant modification). This authority is further
limited to cases where a grant modification would not be required.
M. Veterans' Priority
National Emergency Grants are subject to the provisions of the
``Jobs for Veterans Act,'' Public Law 107-288, which provides priority
of service to veterans and certain of their spouses in all Department
of Labor-funded job training programs. To obtain priority of service, a
veteran must meet the program's eligibility requirements, and for NEG
projects must be a dislocated worker from the approved target
population of a grant. Since NEG applications should be developed to
assist all eligible individuals who are in need of assistance from the
target population, this provision should not significantly change the
planning and operation of NEG projects.
Part IV: Application Submission Requirements
To be considered for funding, an application must include the
information identified in this section. The information requirements
are organized by type of NEG project since the requirements vary by
project type.
A. Regular Projects
1. Completed and signed SF 424--Application for Federal Assistance.
This form is the required application for federal funds. Under the
electronic system, the authorized signatory of the applicant will be
issued a unique Personal Identification Number (PIN). The entry of this
PIN on the SF 424 constitutes the authorized signature.
2. Project Synopsis Form (ETA 9106). This form summarizes key
aspects of the proposed project such as project type, type of eligible
event, key contact information, planned number of participants,
performance goals, and historical and planned cost per participant
levels.
3. Employer Data Form (ETA 9105). This form provides employer and
dislocation site-specific information needed to validate the
eligibility of the dislocation event(s) and the target group of workers
for NEG assistance. Information includes name and location of employer,
date and type of worker notification, date(s) of layoff and number of
workers affected, date(s) and types of Rapid Response activities, and
number of planned participants.
4. Project Operator Data Form (ETA 9107). This form includes key
contact and project scope information (e.g., number of participants,
total budget, service area) for each project operator. This form must
be completed and submitted only to the degree that Project Operators
have been identified at the time of application. This information
should be submitted as Project Operators are identified and agreements
executed. Except in disaster emergency situations, it is expected that
Project Operators will have been identified at the time the application
is submitted, and the contact information on the form should be
completed.
5. Planning Form (ETA 9103). This form provides cumulative
quarterly estimates on project scope (e.g., number of participants,
exits), design (e.g., mix of enrollments in activities), and use of
funds (e.g., planned expenditures by type of program activity,
administration).
Where approval of pre-award costs is being requested in the
application, a separate column on the Planning Form should be used to
identify the pre-award service costs.
6. Narrative. This section facilitates the applicant being able to
provide any explanations/justifications needed for entries in the above
forms. Narrative explanations are required in the following instances:
--A notification was made by the employer but no Rapid Response
activities have been initiated.
--Some of the affected layoffs have occurred more than four months
prior to the date of submission of the application, and additional
information is required to document that workers are in need of and
available for employment-related assistance.
--The application is being submitted to address ``community impact
layoffs.'' The narrative must provide specific information in relation
to the requirements for meeting this criterion (see the definition in
Part II. A).
--The number of affected workers that will be enrolled as participants
is a higher percentage than has been historically served through NEGs
(i.e., 50 percent).
--The planned average cost per participant on the project is outside a
reasonable range of the actual average cost per participant for
formula-funded dislocated worker activities, as appropriate, for the
most recent completed Program Year.
--There are participants planned to receive NRPs, which requires
explaining how the planned number of recipients and the NRP cost per
participant were determined.
--Indirect costs are included in the application, which requires
identifying the following: cognizant approval agency, approved cost
rate and base, and date of approval.
--Administrative costs related to NRPs are included in the budget,
which requires explaining how the administrative cost estimate was
derived (i.e., based on number of check payments and check processing
costs).
--Administrative and/or Other costs are included, which requires a
delineation of the components (e.g., staffing, travel, facilities) and
amounts of such costs. The applicant is free to include narrative
explanations of other special factors, but the narrative should be
concise and informative in relation to the application evaluation
criteria.
7. Funds Usage. This information will not be required where the
state in which the applicant is located expended a satisfactory level
(see Part III.K) of the available formula funds in the most
[[Page 23064]]
recent completed Program Year and is on target to expend a satisfactory
level of the available formula funds for the current Program Year,
based on quarterly expenditure reports submitted to USDOL/ETA (i.e.,
the ETA 9076 B and F).
Where this criterion cannot be met, the applicant will need to
demonstrate through more complete and current financial information
that it will expend a satisfactory level of available funds in the
current Program Year by the end of the Program Year. This information
should be included as an attachment to the grant submission.
Information should present the financial status through the most recent
month in the Program Year for which information is available and should
include, at a minimum, total available funds, accrued expenditures to
date, committed but unexpended funds in ITAs of currently enrolled
participants, and the amount of the unexpended ITA funds that are
expected to be expended by the end of the Program Year. This
information should be presented separately for each local area that is
included in the proposed service area for the project and for the funds
reserved by the state for Rapid Response and statewide activities.
B. Disaster Projects
An initial application for a Disaster project should only address
the temporary job creation component. Although workforce investment
employment-related services may be provided to project participants who
need them following employment in the clean-up, restoration and
humanitarian assistance effort, the fully documented plan or a separate
modification request to use NEG funds to provide these services will be
required, as described in the grant award. This submission should occur
at the point in time at which an adequate assessment of the need for
workforce investment employment-related assistance has been completed
(generally no more than 4-6 months after the initial grant award).
Where this request includes approval for additional funding for the
project, it will require a separate approval by the Secretary. The
following identifies the submission requirements for each of these
requests:
1. Initial Request: Temporary Disaster Jobs
a. Completed and signed SF 424-Application for Federal Assistance.
This form is the required application for federal funds. Under the
electronic system, the authorized signatory of the applicant will be
issued a unique Personal Identification Number (PIN). The entry of this
PIN on the SF 424 constitutes the authorized signature. The requested
funds on the form should apply only to the temporary job creation
component of the project.
b. Project Synopsis Form (ETA 9106). This form summarizes key
aspects of the proposed project such as project type, type of eligible
event, key contact information, types of eligible individuals to be
included in the target group for the project, planned number of
participants, and contact information. This form includes an entry for
the FEMA declaration that identifies the event as eligible for public
assistance, which qualifies the event as eligible for NEG assistance.
This may not be available at the time the application is submitted and,
if not, will be entered by DOL/ETA. Entries will not be required for:
Planned Cost per Participant, % of Planned Participants Receiving NRPs,
Planned Entered Employment Rate, Actual Cost per Participant in Prior
Program Year, and Planned Wage Replacement Rate.
c. Project Operator Data Form (ETA 9105). This form includes key
contact and project scope information (e.g., number of participants,
total budget, service area) for each project operator. This form must
be completed and submitted only to the degree that Project Operators
have been identified at the time of application. This information
should be submitted as Project Operators are identified and agreements
executed.
Although most Disaster project applications will be submitted on an
emergency basis, if an application is not submitted as an emergency
request, it is expected that Project Operators will have been
identified at the time of application, and the contact information on
the form should be completed.
d. Planning Form (ETA 9103). This form provides cumulative
quarterly estimates on project scope (e.g., number of participants,
exits), design (e.g., mix of enrollments in activities), and use of
funds (e.g., planned expenditures by type of program activity,
administration). For the temporary job creation component, the only
allowable activities are ``Employed in Temporary Disaster Relief
Assistance'' and ``Receiving Supportive Services.'' Allowable
expenditure categories are ``Participant Wages,'' ``Participant Fringe
Benefits,'' ``Supportive Services'' and ``Administration.''
e. Narrative. This section facilitates the applicant being able to
provide any explanations/justifications needed for entries on the above
forms. Narrative explanations will be required in the following
instances:
--There are planned positions where the per participant wage exceeds
the limits established in these guidelines.
--Indirect costs are included in the application, which requires
identifying the following: cognizant approval agency, approved cost
rate and base, and date of approval.
--Administrative and/or Other costs are included, which requires a
delineation of the components (e.g., staffing, travel, facilities), and
amounts of such costs.
The applicant is free to include narrative explanations of other
special factors, but the narrative should be concise and informative in
relation to the application evaluation criteria.
2. Modification or Additional Request: Workforce Investment Employment-
Related Services for Disaster Project Participants
Where a significant number of permanently dislocated and/or long-
term unemployed individuals have been temporarily employed in clean-up,
restoration and humanitarian assistance activities, and there are not
sufficient formula funds to provide needed assistance to transition
them into permanent employment, the Department will consider a request
to use approved but unneeded project funds, and/or a request for
additional NEG funds, to provide reemployment assistance. It is
expected that the grantee will make an assessment of this need sometime
between the hiring of the individuals into the temporary jobs and the
completion of the temporary employment. Thus, this request should
generally be submitted four to six months following the grant award for
the temporary job creation. The submission requirements are:
a. If additional approved funding is being requested, completed and
signed SF 424--Application for Federal Assistance. Entries on this form
should indicate a revision to an existing grant to increase the
approved funding and project duration. The entry in ``Descriptive Title
of Applicant's Project'' should include the grant number for the
initial award. The requested funding amount should be for the
additional request only.
b. Project Synopsis Form (ETA 9106). This form summarizes key
aspects of the proposed project such as project type, type of eligible
event, key contact information, types of eligible individuals to be
included in the target group for the project, planned number of
participants, performance goals,
[[Page 23065]]
historical and planned cost per participant levels for workforce
investment employment--related services, and contact information.
c. Project Operator Data Form (ETA 9105). This form includes key
contact and project scope information (e.g., number of participants,
total budget, service area(s)) for each project operator. Project
operators should be known at the time this request is submitted.
d. Planning Form (ETA 9103). This form provides cumulative
quarterly estimates on project scope (e.g., number of participants,
exits), design (e.g., mix of enrollments in activities), and use of
funds (e.g., planned expenditures by type of program activity,
administration). Entries on this form should apply only to the
participants, activities and expenditures for this component (i.e.,
should not include the information relating to the temporary job
creation component, unless there is a need to modify previously
submitted information for this component).
e. Narrative. This section facilitates the applicant being able to
provide any explanations/justifications needed for entries on the above
forms. Narrative explanations will be required in the following
instances:
--The planned average cost per participant is outside a reasonable
range of the actual average cost per participant for formula--funded
dislocated worker activities in the planned service area for the most
recent completed Program Year.
--Either the planned entered employment rate or the planned average
wage replacement rate is less than the established NEG performance
goals.
--There are participants going to receive NRPs, which requires
explaining how the planned number of recipients and the NRP cost per
participant were determined.
--Indirect costs are included in the application, which requires
identifying the following: cognizant approval agency, approved cost
rate and base, and date of approval.
--Administrative costs related to NRPs are included in the budget,
which requires explaining how the administrative cost estimate was
derived (i.e., based on number of check payments and check processing
costs).
--Administrative and/or Other costs are included, which requires a
delineation of the components (e.g., staffing, travel, facilities) and
amounts of such costs.
The applicant is free to include narrative explanations of other
special factors, but the narrative should be concise and informative in
relation to the application evaluation criteria. This should include
information on the status of other participants who may have worked in
the temporary jobs, e.g., returned to former employment, continued
participation in the formula dislocated worker program, found other
employment, etc.) It is expected that all disaster program participants
will receive the assistance necessary, either through the formula
program or through NEG assistance, to return to the unsubsidized
workforce.
f. Funds Usage. This information will not be required where the
state in which the applicant is located expended a satisfactory level
(see Part III. J) of the available dislocated worker formula funds ``
and if the target group includes long--term unemployed, available adult
formula funds--in the most recent completed Program Year and is on
target to expend a satisfactory level of the available formula funds
for the current Program Year, based on quarterly expenditure reports
submitted to USDOL/ETA (i.e., the ETA 9076 B, E and F).
Where this criterion cannot be met, the applicant will need to
demonstrate through more complete and current financial information
that it will expend a satisfactory level of available funds in the
current Program Year by the end of the Program Year. This information
should be included as an attachment to its grant submission.
Information should present the financial status through the most recent
month in the Program Year for which information is available and should
include, at a minimum, total available funds, accrued expenditures to
date, committed but unexpended funds in ITAs of currently enrolled
participants, and the amount of the unexpended ITA funds that are
expected to be expended by the end of the Program Year. This
information should be presented separately for each local area that is
included in the proposed service area for the project and for the funds
reserved by the state for Rapid Response and statewide activities.
C. Trade--WIA Dual Enrollment Projects
a. Completed and signed SF 424--Application for Federal Assistance.
This form is the required application for federal funds. Under the
electronic system, the authorized signatory of the applicant will be
issued a unique Personal Identification Number (PIN). The entry of this
PIN on the SF 424 constitutes authorized signature.
b. Project Synopsis Form (ETA 9106). This form summarizes key
aspects of the proposed project such as project type, key contact
information, planned number of participants, and performance goals.
c. Employer Data Form (ETA 9105). This form provides employer and
dislocation site-specific information needed to validate the
eligibility of the dislocation event(s) and the target group of workers
for NEG assistance. Information includes name and location of employer,
date and type of worker notification, date(s) of layoff and number of
workers affected, date(s) and types of Rapid Response activities, and
number of planned participants.
d. Project Operator Data Form (ETA 9107). This form includes key
contact and project scope information (e.g., number of participants,
total budget, service area) for each project operator. This form must
be completed and submitted only to the degree that Project Operators
have been identified at the time of application. This information
should be submitted as Project Operators are identified and agreements
executed. However, it is expected that Project Operators will have been
identified at the time that the application is submitted and the
contact information on the form should be completed.
e. Planning Form (ETA 9103). This form provides cumulative
quarterly estimates on project scope (e.g., number of participants,
exits), design (e.g., mix of enrollments in activities), and use of
funds (e.g., planned expenditures by type of program activity,
administration). Where approval of pre-award costs is being requested
in the application, a separate column on the Planning Form should be
used to identify the pre-award service costs.
f. Narrative. This section facilitates the applicant being able to
provide any explanations/justifications needed for entries on the above
forms. Narrative explanations will be required in the following
instances:
--No Rapid Response activities have been initiated.
--Some of the affected layoffs have occurred more than four months
prior to the date of submission of the application, and additional
information is required to document that workers are in need of and
available for employment-related assistance.
--The number of affected workers that will be enrolled as participants
is a higher percentage than has been historically served through NEGs
(i.e., 50 percent).
[[Page 23066]]
--The planned average cost per participant on the project is outside a
reasonable range of the actual average cost per participant for
formula-funded dislocated worker activities, as appropriate, for the
most recent completed Program Year.
--Indirect costs are included in the application, which requires
identifying the following: cognizant approval agency, approved cost
rate and base, and date of approval.
--Administrative and/or Other costs are included, which requires a
delineation of the components (e.g., staffing, travel, facilities) and
amounts of such costs.
The applicant is free to include narrative explanations of other
special factors, but the narrative should be concise and informative in
relation to the application evaluation criteria.
f. TAA Certification Report. The applicant must include, as an
attachment to its grant submission, information which identifies the
trade certified petition number(s) for the workers included in the
target group for the project. In cases where a petition has been filed
but the certification is pending, identify the trade petition number
and the date the petition was filed. This file must also include a
description of the Rapid Response provided to each of the cited trade
petition situations.
g. Funds Usage. This information will not be required where the
state in which the applicant is located expended a satisfactory level
(see Part III. J) of the available dislocated worker formula funds in
the most recent completed Program Year and is on target to expend a
satisfactory level of the available dislocated worker formula funds for
the current Program Year, based on quarterly expenditure reports
submitted to USDOL/ETA (i.e., the ETA 9076 B and F).
Where this criterion cannot be met, the applicant will need to
demonstrate through more complete and current financial information
that it will expend a satisfactory level of available funds in the
current Program Year by the end of the Program Year. This information
should be included as an attachment to its grant submission, and
include, at a minimum, the current status (i.e., through the most
recent month in the Program Year for which information is available) of
available funds for the Program Year, accrued expenditures to date,
committed but unexpended funds in ITAs of currently enrolled
participants, and the amount of the unexpended ITA funds that are
expected to be expended by the end of the Program Year. This
information should be presented separately for each local area that is
included in the proposed service area for the project and for the funds
reserved by the state for Rapid Response and statewide activities.
D. Trade Adjustment Assistance Projects (WIA Section 173(f) and (g):
Health Insurance and Related Assistance
These projects are limited to assistance to eligible individuals as
identified in the Trade Adjustment Assistance Reform Act of 2002. These
NEG funds are primarily:
--To pay for 65 percent of the advance costs of health insurance
premiums for eligible individuals in a ``bridge'' program in
coordination with the Internal Revenue Service's Health Coverage Tax
Credit (HCTC) program, as provided for in Section 173(g) of the
Workforce Investment Act, as amended by the Trade Adjustment Assistance
Reform Act of 2002.
--To pay for health insurance infrastructure as needed by states to
implement the system. Instructions for applying for NEG funds to pay
the costs of allowable system-building activities under Section 173(f)
have been separately issued in Training and Employment Guidance Letter
(TEGL) 10-02; instructions for the bridge program have been issued in
TEGL 20-02, and further guidance is pending.
a. Completed and signed SF 424-Application for Federal Assistance.
This form is the required application for federal funds. The authorized
signatory of the applicant will be issued a unique Personal
Identification Number (PIN). The entry of this PIN on the SF 424
constitutes the authorized signature.
b. Project Synopsis form (ETA 9106). This form summarizes key
aspects of the proposed project such as project type, planned number of
participants, and contact information. It also includes identification
of the types of health insurance coverage options that will be
available to project participants.
c. Planning Form (ETA 9103). This form provides cumulative
quarterly estimates on project scope (e.g., number of participants,
exits), design (e.g., mix of enrollments in activities), and use of
funds (e.g., planned expenditures by type of program activity,
administration).
d. Narrative Summary. Describe steps taken to consult and
coordinate with appropriate state executive agencies and other
appropriate parties in order to ensure that the use of NEG funds to
provide health coverage assistance to eligible individuals will be
consistent with the policies and procedures of those agencies. A
narrative explanation must also be provided in cases where one or more
of the following are reflected in the project plan:
--Indirect costs are included in the budget, which requires identifying
the following: cognizant approval agency, approved cost rate and base,
and date of approval.
--Administrative costs related to processing payments for qualified
health insurance coverage are included in the budget, which requires
explaining how the administrative cost estimate was derived (i.e.,
based on number of check payments and check processing costs).
--Administrative and/or Other costs are included, which requires a
delineation of the components (e.g., staffing, travel, facilities) and,
amounts of such costs.
The applicant is free to include narrative explanations of other
special factors, but the narrative should be concise and informative in
relation to the application evaluation criteria.
e. TAA Certification Report. The applicant must include, as an
attachment to its grant submission, information which identifies the
trade certification number(s) for the workers included in the target
group for the project. In cases where a petition has been filed but the
certification is pending, identify the trade petition number and the
date the petition was filed.
Part V: Application Review Process
To be considered for funding, an application must demonstrate that
the proposed project meets the purpose of and is consistent with the
Act and Regulations and provides all of the information required by
these guidelines. Applications that are not completely in accordance
with the requirements or do not contain all required submission forms
will not be considered as submitted and will not be evaluated for
funding until all required information and documentation is provided.
Complete applications will be evaluated for responsiveness to the
criteria identified in this part. Just as with the submission
requirements, the criteria are generally similar for each type of NEG
project but there are variations. The specific criteria by type of
project are itemized in the following sections.
A. Regular Projects
1. Eligibility: To ensure that NEG funds are only awarded to
eligible
[[Page 23067]]
dislocation events and where there is a verifiable target group that is
both eligible and in need of assistance:
a. Information demonstrates that the dislocation events cited are
eligible for NEG funding.
b. Information demonstrates that identified workers in the target
group are currently eligible for assistance.
c. Information indicates that the affected workers are still in
need of assistance.
2. Early Intervention: To ensure that required Rapid Response is
being implemented:
a. Information indicates that timely and appropriate Rapid Response
actions have been taken.
b. Information indicates that some effort has been made to contact
affected workers and/or their representatives.
3. Reasonableness of Proposed Services and Costs: To ensure that
NEG projects are designed and operated in accordance with the federal
requirements and the state and local policies that apply to formula-
funded dislocated worker programs in the proposed project area, OR, if
different, that they are fully justified in terms of target group and
reemployment barriers, as discussed earlier:
a. The planned average cost per participant for the project is
within a reasonable range of the actual cost per participant reported
for the prior Program Year.
b. The percentage of planned participants receiving needs-related
payments (NRPs) in the project and the NRP cost per participant are
justified in terms of formula program experience, or UI level for the
target group proposed in NEG application.
c. The indirect costs are justified by identifying: (1) The
approved indirect cost rate and base; (2) the cognizant approval
agency; and (3) the date of the approval.
d. The ratio of planned participants to affected workers is
reasonable in light of prior experience with NEG projects and with the
results of Rapid Response/early intervention activities.
e. Total administrative and project management costs are within the
cost limitations at both the state and local project levels.
4. Timeliness of Assistance: To ensure that project implementation
will reflect timely assistance to affected workers, consistent with the
initiation of Rapid Response and other early intervention activities;
and to ensure that the rate of expenditures is consistent with rate of
on-board participants by service type (e.g., core/intensive, training):
a. All planned participants are enrolled in the project within 180
days of grant award, i.e., the implementation schedule shows all
enrollments by the end of the first six months of project operation or
an explanation as to why this is not feasible.
b. All planned enrollments in training occur such that training can
be completed within the project performance period.
c. Cumulative rates of expenditures quarter-to-quarter are
reasonable given the cumulative level of enrollments for those:
receiving intensive services, enrolled in training, receiving
supportive services, and/or receiving needs-related payments, as
applicable.
5. Adequacy of Planned Performance: To verify that planned
performance for NEG projects is appropriate identify that the:
a. The planned levels of performance on each applicable performance
measure are consistent with the established NEG performance goals; OR
b. The application includes specific employment barriers-related
information on the project's target group to justify a lower level of
performance.
6. Need for Funds: To ensure that other funds are not available
and/or have not been committed to help meet the needs of the workers
covered in the application.
a. Available information indicates that the state, or applicant, is
maintaining an acceptable rate of expenditure of available WIA and
Wagner-Peyser formula funds.
B. Disaster Projects
[The following criteria will apply to the initial request for funds
for temporary disaster jobs to provide clean up, restoration and
humanitarian assistance. A modification to provide workforce investment
employment-related services to project participants will be evaluated
by the same criteria used for Regular projects, except for the early
intervention requirement.]
1. Eligibility. To ensure that NEG funds are only awarded to
eligible dislocation events and where there is a verifiable target
group that is both eligible and in need of assistance:
a. FEMA has issued a public declaration that the event is eligible
for public assistance.
2. Reasonableness of Proposed Services and Costs. To ensure that
NEG projects are designed and operated in accordance with the federal
requirements and policies:
a. Information in the application is consistent with the statutory
employment duration limitations and expected wage limit on temporary
employment activities.
b. The indirect costs are justified by identification of: (1) The
approved indirect cost rate and base; (2) the cognizant approval
agency; (3) the date of the approval.
c. Total administrative costs are within the cost limitation.
3. Timeliness of Assistance. To ensure that project implementation
will reflect timely response to the emergency situation:
a. All planned temporary jobs are filled within the first three
quarters of project operation.
C. Trade--WIA Dual Enrollment Projects
1. Eligibility. To ensure that NEG funds are only awarded to
eligible dislocation events and where there is a verifiable target
group that is both eligible and in need of assistance:
a. Trade certifications and/or other appropriate documentation to
demonstrate eligibility is provided in the application or can be
accessed from other sources in DOL/ETA.
2. Early Intervention. To ensure that required Rapid Response is
being implemented:
a. Information indicates that timely and appropriate Rapid Response
actions have been taken.
b. Information indicates that some effort has been made to contact
affected workers and/or their representatives.
3. Reasonableness of Proposed Services and Costs. To ensure that
NEG projects are designed and operated in accordance with the
applicable federal requirements and the state and local policies in the
proposed project area(s):
a. The indirect costs are justified by identifying: (1) The
approved indirect cost rate and base; (2) the cognizant approval
agency; (3) the date of the approval.
b. Total administrative costs are within the cost limitation.
4. Adequacy of Planned Performance: To verify that planned
performance on NEG projects appropriate.
a. The planned levels of performance on each applicable performance
measure consistent with the established NEG performance goals; OR
b. The application includes specific employment barriers-related
information on the project's target group to justify a lower level of
performance.
5. Timeliness of Assistance: To ensure that project implementation
will reflect timely assistance to affected workers, and ensure that the
rate of expenditures is consistent with rate of on-board participants
by service type (e.g., core/intensive, training).
a. All planned participants are enrolled in the project within 180
days of grant award.
[[Page 23068]]
b. All planned enrollments in training (as authorized by grant
award) occur such that training can be completed within the project
performance period.
c. Cumulative rates of expenditures quarter-to-quarter are
reasonable given the cumulative level of enrollments for each of:
receiving intensive services, enrolled in training, and receiving
supportive services.
6. Need for Funds. To ensure that other funds are not available
and/or have not been committed to meet the needs of the workers covered
in the application:
a. No other funding has been committed to provide the same services
to the same target group.
b. Available information indicates that the state is maintaining an
acceptable rate of expenditure of available formula and trade training
funds.
D. Trade Health Insurance Coverage and Related Assistance Projects
1. Eligibility. To ensure that NEG funds are only awarded to
provide health coverage assistance and supportive services to eligible
trade-impacted workers and other eligible individuals, as specified in
the Trade Adjustment Assistance Reform Act of 2002:
a. Trade certifications and/or other appropriate documentation to
demonstrate eligibility is either provided in the application or can be
accessed from other sources in DOL/ETA.
2. Reasonableness of Proposed Services and Costs. To ensure that
NEG funds are utilized in a manner consistent with the federal
requirements and the state and local policies that apply to trade
assistance programs in the proposed project area:
a. The indirect costs are justified by identifying: (1) The
approved indirect cost rate and base; (2) the cognizant approval
agency; and (3) the date of the approval.
b. Total administrative costs, exclusive of health coverage payment
processing costs, are within the cost limitation.
c. The basis for administrative costs to process health coverage
payments is justified.
Part VI: Funding Approaches
Applications for NEG funds can be funded in whole or in part.
Applicants should assume that all NEGs will be funded incrementally. In
addition, applicants may submit a request for NEG funding on an
emergency basis. The conditions associated with each of these are
described in the following sections.
A. Emergency Funding
Any event that qualifies for a Disaster project can be considered
an emergency, if submitted within 15 days of FEMA public assistance
declaration. A dislocation where no advance notification of layoff was
provided to workers can also be considered an emergency. In emergency
situations, the applicant may submit a streamlined application. An
emergency application must be submitted within 15 calendar days of the
emergency, unless logistical barriers (e.g., damaged communication
systems resulting from a disaster event) prevent submission within this
timeframe.
The following minimum submission requirements shall apply to an
emergency funding request:
For Regular Projects:
--SF 424
--Project Synopsis Form (ETA 9106) (entries are not required for
Planned Cost per
--Participant, Planned Entered Employment Rate, Planned Wage
Replacement Rate and Project Operator Listing)
--Employer Data Form (ETA 9105)
For Disaster Projects:
--SF 424
--Project Synopsis Form (ETA 9106) (entries are not required for
Planned Cost per Participant, Planned Entered Employment Rate, Planned
Wage Replacement Rate and Project Operator Listing)
Where an emergency application is approved for funding, the
applicant must submit a full application (i.e., consistent with the
specifications in Part IV) within 60 calendar days of the date of the
grant award. The SF 424 included in the full application submission
should indicate a revision to an existing grant. Generally, no more
than one-third of maximum approved funds will be released as a result
of emergency applications.
B. Incremental Funding
As noted previously, applicants should expect that all NEG awards
will be funded incrementally. In these cases, a maximum funding level
will be approved by the Secretary, but a lesser amount will be
initially awarded. The grantee will be required to submit, at a later
date, a request(s) for the balance of needed funds, as supported by
enrollments and expenditures. The maximum approved ``up to'' amount is
not a commitment on the part of the Department to release the full
amount when such funds are not documented as needed.
Requirements for additional funding increments will be specified in
the grant award letter. For most projects, receipt of additional
approved funding will be based on achieving a level of project
implementation where a justifiable projection of additional funds
needed to complete the project can be developed. This will generally
occur when all planned participants have been enrolled and assessed,
training and supportive service obligations are known, all proposed
project staff are on-board, and there is 2-3 months of actual operating
expenditure information. The follow-up increment(s) will be awarded
based on submission of a request to release approved but not yet
awarded funds by the grantee, and enrollments and expenditures support
the need for release of additional funds.
The number of funding increments will be determined by the ability
to develop a confident projection of full funding needs, whether there
have been prior performance issues with the grantee or the project
operator(s), or where the grantee and/or project operators do not have
previous experience with NEGs or with projects of the size or
complexity of the one proposed in the application. Prior performance
issues can include: Participant and/or expenditure levels, performance
outcomes, and compliance problems in project implementation. Resolution
of applicable compliance or technical assistance issues will be a
condition of the grant award and a pre-condition for receipt of
additional funding increments.
Part VII: Post-Grant Award Requirements
A. Follow-up Planning Requirements
Each grantee will be required to develop a Project Operating Plan
to reflect the approved project design and funding parameters in the
grant award. The Project Operating Plan must be completed within 90
calendar days following grant award and be transmitted to the Regional
Office upon completion. In cases of emergency grant awards, the Project
Operating Plan will be due 60 calendar days following approval of the
full application.
The Operating Plan must include the following elements:
1. Regular Projects
--Updated information since submission of the application that is not
required in a grant modification:
--The layoff schedules (i.e., dates and number of affected workers) for
all approved target group employers.
[[Page 23069]]
--Status and results of all required Rapid Response activities, as
applicable.
Copies of signed agreements with each proposed Project Operator,
including:
--A completed planning form (ETA 9103).
--A line item budget specifying costs for staff salaries and fringe
benefits, staffs travel, facilities and communications, supplies,
equipment, assessment and instructional materials, training, supportive
services, indirect costs, Needs-related Payments, and administration of
NRPs. Costs must be delineated between administrative and program
costs.
--A staffing plan that describes proposed staffing by job title, full-
time equivalent staff to be assigned, salary, and benefits rates for
each staff position.
--Listing of all sites and organizations that will provide services to
participants, including a description of service coordination
arrangements with One-Stop Center operators and partners.
--Summary profile of the reemployment barriers that have been
identified among the target group of participants and description of
the implications of the profile on the project service design.
--Description of the job placement strategy for the project, including
services to be provided to both participants and employers.
--Copy of local area service policies `` specifically training,
supportive services and NRPs--that will be used on the project, as
authorized to be modified by the grant award.
--Description of the role to be played by the local Workforce
Investment Board(s) in management and oversight of the project.
--Description of the monitoring responsibilities and procedures that
will be followed by the grantee.
If the grantee has requested administrative and project management
funds in excess of the cost limitation,
--A workplan, line item budget and staffing for the activities to be
undertaken.
2. Disaster Projects (Temporary Employment Component)
--Description of the coordination between FEMA (and other agencies,
such as HUD and HHS) and the project including what services each
entity is contributing towards the recovery needs of the affected area.
--Updated information on all community planning activities completed to
date.
--Status of participant recruitment activities.
--Copies of signed agreements with each proposed Project Operator,
including:
--A completed planning form (ETA 9103).
--A line item budget specifying costs for staff salaries and fringe
benefits, staffs travel, supportive services, indirect, needs-related
payments, and administration of NRPs. Costs must be delineated between
administrative and program costs.
--A staffing plan that describes proposed staffing by job title, full--
time equivalent staff to be assigned, salary, and benefits rates for
each staff position.
--Worksite Plans detailing all planned worksites, by county, and
including:
--Specific jobs to be performed and wage levels for each;
--Number of supervisors/crew leaders and ratio of supervisors/crew
leaders to workers;
--Employer of record for the workers;
--Description of worksite training provided to workers;
--Identification of special equipment required to perform work and
source of funding for the equipment;
--Description of the responsibilities for paying wages and the controls
for ensuring participant time limits are complied with;
--Description of policies governing supportive services to
participants; and
--Description of the monitoring responsibilities and procedures that
will be followed by the grantee.
3. Trade-WIA Dual Enrollment Projects
--Updated information since submission of the application that is not
required in a grant modification:
--The layoff schedules (i.e., dates and number of affected workers) for
all approved target group employers.
--Status and results of all required Rapid Response activities, as
applicable.
--Description of policies governing:
--Training services (if applicable), and
--Supportive services, including relocation assistance.
--Description of responsibilities and procedures for:
--Participant assessment,
--Participant employment planning, and
--Participant case management.
Where different state organization entities are responsible for
administering the TAA and WIA programs:
--A description of the procedures that are being used to co-enroll and
integrate funding sources into a single plan of assistance to project
participants.
--Copies of signed agreements with each proposed Project Operator,
including:
--A completed planning form (ETA 9103).
--A line item budget specifying costs for staff salaries and fringe
benefits, staff travel, facilities and communications, supplies,
equipment, assessment and instructional materials, training, supportive
services, indirect, needs-related payments, and administration of NRPs.
Costs must be delineated between administrative and program costs.
--A staffing plan that describes proposed staffing by job title, full-
time equivalent staff to be assigned, salary, and benefits rates for
each staff position.
--Listing of all sites and organizations that will provide services to
participants, including a description of service coordination
arrangements with One-stop Center operators and partners.
--Summary profile of the reemployment barriers that have been
identified among the target group of participants and description of
the implications of the profile on the project service design.
--Description of the job placement strategy for the project, including
services to be provided to both participants and employers.
--Description of the monitoring responsibilities and procedures that
will be followed by the grantee.
If the grantee has requested administrative funds in excess of the
cost limitation:
--A workplan, line item budget and staffing for the administrative
activities to be undertaken.
For each NEG, the Operating Plan will be one source of information
to be reviewed by ETA staff in determining future funding needs for the
project. The existence and completeness of the Operating Plan will be a
pre-condition for the release of additional funding increments.
B. Project Oversight
In addition to the review of the Project Operating Plan, each
project will be reviewed on-site at least once by ETA staff. The
purpose of this review will be to verify core compliance factors such
as participant eligibility and adequate financial management, assess
the effectiveness of participant service policies and processes in
achieving project performance goals, and evaluate
[[Page 23070]]
the need for funds to complete the project. This review will occur
between six months following the date of grant award and the project
midpoint. This review will include the operations of both the grantee
and the project operators. Where multiple project operators are
involved, the grantee will be expected to participate in the review of
operations at the project operator level.
For Disaster projects, on-site reviews will generally occur within
six months of the grant award.
C. Project Performance Reporting
Each grant recipient will be required to submit electronically to
the Grant Officer a Quarterly Report Form (ETA 9104) on actual
performance to date. The report will include the same factors as the
Cumulative Quarterly Planning Form (ETA 9103) in the grant document. A
copy of this form is included in Appendix A. This report is due within
45 calendar days following the end of each Program Year quarter.
Part VIII: Grant Modifications
Grant modifications will be required in the following
circumstances:
a. To include additional layoffs that are within the scope of the
approved grant award;
b. To change the project performance period;
c. To add or change project operators;
d. Change contact individuals or information for the grantee or any
project operator;
e. To change any of the project design parameters that results in
an increase of more than 10 percent in the approved cost per
participant;
f. To change the approved indirect cost rate;
g. To increase the amount of approved funding for supportive
services, Needs-Related Payments and/or administration of Needs-Related
Payments;
h. To lower the end-of-project performance goals.
i. To request an additional funding increment within the total
funding approved by the Secretary
Requests under a, b, c or d that do not require a change in the
amount of the approved grant award can be approved by the Regional
Office. All other modifications requests will require the approval of
the Grant Officer.
Grantees may request a modification to add new employers or layoffs
in local areas that are not included in the approved grant award only
if the modification is submitted within the same Program Year in which
the grant award was made.
The content of the modification request will be determined by the
nature of the requested change. As appropriate, revisions to applicable
grant application forms and narrative will be submitted. Applicants
will be notified of approval or non-approval of a complete request
within 30 days of receipt by ETA.
In general, where there is a need to increase the amount of funding
approved by the Secretary for a project, a new application for NEG
funds must be submitted. These submission requirements have been
identified in Part IV. B. There are limited cases where the need for
additional funding can be accommodated through a modification to a
funded project. These cases are:
--Adding the workforce investment employment-related services component
to a Disaster project;
--Increasing the number of participants and/or costs (i.e., based on
documented service needs) for the approved target group in the grant
award based on project implementation;
--Adding to the approved target group additional eligible workers at
the employer sites identified in the approved grant award.
Additions to the approved target group will be limited to employer
sites identified in the approved grant and to workers who become
eligible for assistance within 90 calendar days following the grant
award.
In the above cases, all workers must be eligible and be able to be
enrolled in the project within 180 days following grant award and will
be expected to complete services within the approved project
performance period, or as modified.
Any request for additional funding for a current project will
require an approval decision by the Secretary.
BILLING CODE 4510-30-P
[[Page 23071]]
Appendix A--Application and Reporting Forms
[GRAPHIC] [TIFF OMITTED] TN27AP04.014
[[Page 23072]]
[GRAPHIC] [TIFF OMITTED] TN27AP04.015
[[Page 23073]]
[GRAPHIC] [TIFF OMITTED] TN27AP04.016
[[Page 23074]]
[GRAPHIC] [TIFF OMITTED] TN27AP04.017
[[Page 23075]]
[GRAPHIC] [TIFF OMITTED] TN27AP04.018
[[Page 23076]]
[GRAPHIC] [TIFF OMITTED] TN27AP04.019
[[Page 23077]]
[GRAPHIC] [TIFF OMITTED] TN27AP04.020
[[Page 23078]]
[GRAPHIC] [TIFF OMITTED] TN27AP04.021
[[Page 23079]]
[GRAPHIC] [TIFF OMITTED] TN27AP04.022
[[Page 23080]]
[GRAPHIC] [TIFF OMITTED] TN27AP04.023
BILLING CODE 4510-30-C
[[Page 23081]]
Appendix B--ETA Regional Administrators
Region 1
Mr. Joseph Stoltz, Regional Administrator, U.S. Department of
Labor Employment and Training Administration, J.F.K. Federal
Building, Room E-350, Boston, MA 02203, Phone: (617) 788-0170 Fax:
(617) 788-0101, URL: http://www.doleta.gov/regions/reg01bos/.
Note: This Regional office serves the following states:
Connecticut, Maine, Massachusetts, New Hampshire, Rhode Island, and
Vermont.
Region 2
Ms. Lenita Jacobs-Simmons, Regional Administrator, U.S.
Department of Labor ETA, Suite 825 East, The Curtis Center, 170
South Independence Mall West, Philadelphia, PA 19106, Phone: (215)
861-5200.
Note: This Regional office serves the following states:
Delaware, Washington DC, Maryland, Pennsylvania, Virginia, and West
Virginia.
Region 3
Helen N. Parker, Regional Administrator, U.S. Department of
Labor Employment and Training Administration, Atlanta Federal
Center, Rm. 6M12, 61 Forsyth Street, Atlanta, GA 30303, Phone: (404)
562-2092 Fax: (404) 562-2149.
Note: This Regional office serves the following states: Alabama,
Florida, Georgia, Kentucky, Mississippi, North Carolina, South
Carolina, and Tennessee.
Region 4
Joseph Juarez, Regional Administrator, U.S. Department of Labor
Employment & Training Administration, 525 Griffin Street, Room 317,
Dallas, TX 75202, Phone: (214) 767-8263 Fax: (214) 767-5113, Email:
juarez.joseph@dol.gov.
Note: This Regional office serves the following states:
Arkansas, Louisiana, New Mexico, Oklahoma, Colorado, Montana, North
Dakota, South Dakota, Utah, Wyoming, and Texas.
Region 5
Byron Zuidema, Regional Administrator, U.S. Department of Labor
Employment & Training Administration, 230 South Dearborn Street,
Room 638, Chicago, IL 60604, Phone: (312) 353-0313 Fax: (312) 353-
4474, Email: zuidema.bryon@dol.gov.
Note: This Regional office serves the following states:
Illinois, Indiana, Michigan, Minnesota, Ohio, Iowa, Kansas,
Missouri, Nebraska, and Wisconsin.
Region 6
John Humphreys, Acting Regional Administrator, U.S. Department
of Labor Employment & Training Administration, P.O. Box 193767 71
Stevenson St., Suite 830, San Francisco, CA 94119-3767, Phone: (415)
975-4610 Fax: (415) 975-4612.
Note: This Regional office serves the following states: Arizona,
California, Hawaii, Nevada, Alaska, Idaho, Oregon, Washington, and
Guam.
[FR Doc. 04-9338 Filed 4-26-04; 8:45 am]
BILLING CODE 4510-30-P