foa-eta-15-06.pdf

U.S. DEPARTMENT OF LABOR

Employment and Training Administration

Notice of Availability of Funds and Funding Opportunity Announcement for Workforce Data Quality Initiative – Round V

Announcement Type: Initial

Funding Opportunity Number: FOA-ETA-15-06

Catalog of Federal Domestic Assistance (CFDA) Number: 17.261

Key Dates: The closing date for receipt of applications under this Announcement is May 6, 2015. Applications must be received no later than 4:00:00 p.m. Eastern Time.

Addresses: Mailed applications must be addressed to:

U.S. Department of Labor Employment and Training Administration, Office of Grants Management Attention: Steven Rietzke, Grant Officer Reference FOA-ETA-15-06 200 Constitution Avenue, NW, Room N4716 Washington, DC 20210

For complete application and submission information, including online application instructions, please refer to Section IV.

EXECUTIVE SUMMARY:

The Employment and Training Administration (ETA), U.S. Department of Labor (DOL, or the Department, or we), announces the availability of approximately $10 million in grant funds authorized by Section 171(c)(2) of the Workforce Investment Act of 1998 (WIA) and section 169 of the Workforce Innovation and Opportunity Act of 2014 (WIOA) for grants to State Workforce Agencies (SWA) for the Workforce Data Quality Initiative (WDQI). With the passage of the WIOA, WDQI grants become even more vital as states move towards developing and building a more integrated data structure and develop consumer-friendly displays (i.e., scorecards) of program outcome information. WIOA expands on WIA by weaving data collection from both DOL and the Department of Education (ED) in a manner that is unique for the workforce system. Furthermore, we will encourage grantees to align and integrate data systems to support program management, performance reporting, and common case management systems. Additionally, grantees should focus on designing information technology systems which reduce burden and present integrated information to support service provision and inform customer choice. We further encourage grantees to use grant funds to expand access to comprehensive information sharing tools that enable both participants and employers to access programmatic outcomes. The Department has reserved up to 3 percent of this round’s total grant funding (a maximum

- 1 -amount of approximately $300,000) to provide technical assistance to grantees in developing and implementing their State workforce longitudinal administrative databases.

For the remainder of this document, we will interchangeably refer to the databases created as “workforce longitudinal administrative databases” or “workforce longitudinal databases.”

Grants awarded will provide SWAs the opportunity to develop or expand State workforce longitudinal administrative databases. The State workforce longitudinal databases will, at a minimum: 1) include information on programs that provide training, employment services, and unemployment insurance; 2) connect with education data contained in Statewide Longitudinal Data Systems (SLDS) databases; 3) be linked at the individual level to allow for the evaluation of federally and State-supported education and workforce programs; 4) be capable of generating workforce training provider performance information and outcomes in a standardized, easy to understand format (e.g., scorecards), consistent with all applicable Federal and State privacy laws; and 5) lead to better information for customers and stakeholders of the workforce system. Where such longitudinal systems do not exist or are in early development, WDQI grant assistance may be used to design and develop these databases. WDQI grant assistance can also be used to improve upon existing State workforce longitudinal databases. This FOA provides a description of the application submission requirements, outlines the process that eligible entities must use to apply for funds covered by this FOA, and details how grantees will be selected. Additional background information on the WDQI is available at http://www.doleta.gov/performance/workforcedatagrant09.cfm.

I. FUNDING OPPORTUNITY DESCRIPTION

A. PROGRAM PURPOSE

The purpose of WDQI is to support the development and expansion of State workforce longitudinal administrative databases over a three-year grant period. Collecting longitudinal workforce and education data will provide a comprehensive picture of workers' earnings throughout their careers. This data will be important as States implement the new performance reporting requirements to inform consumer choice and support evaluation activities under WIOA. Through analysis, these data will demonstrate the relationship between education and training programs, as well as the benefits of the programs to employment outcomes. These grants will help support the emphasis on accountability and transparency that is a key feature of the recently enacted WIOA and will be funded through section 171(c)(2) of WIA and section 169 of WIOA1 . These grants will

1 The Workforce Innovation and Opportunity Act (“WIOA”, Pub. L. 113-128) was signed into law on July 22, 2014 and takes effect July 1, 2015. The Department will make two awards under this FOA to each selected recipient of WDQI funding. The first award will be made under the authority of WIA and will be subject to WIA’s requirements, including its implementing regulations. The second award will be made after July 1, 2015 and will be subject to WIOA’s requirements, including its implementing regulations. At the time of the second award, the Department will issue a grant modification which will subject the first award to WIOA’s requirements. After the grant

- 2 -http://www.doleta.gov/performance/workforcedatagrant09.cfm also help support the implementation of WIOA by connecting the data infrastructure across programs, enabling states to meet the performance accountability requirements under

WIOA.

Applicants are expected to clearly demonstrate their plans to build or expand the workforce longitudinal databases; store and use the data in adherence to all applicable confidentiality laws; develop and produce workforce training provider performance information and outcomes in a standardized, easy to understand format (e.g. scorecards), consistent with all applicable Federal and State privacy laws; and identify what types of analysis they will conduct with their data, while protecting Personally Identifiable Information (PII) for all data collected. The WDQI will provide funding to accomplish a combination of the following objectives:

- Develop or improve State workforce longitudinal databases. Workforce performance information and outcomes are already reported by localities, States, and nationally, so grantees will not be creating entirely new data collection systems.

What will be new, however, is coordinating or expanding/strengthening the coordination of these workforce data sources so individual-level records can be matched to one another across programs and over time.

- Connect with education data contained in SLDS. Enable workforce data to be matched with education data, consistent with all relevant Federal and State privacy and confidentiality laws, to ultimately create longitudinal data systems with individual-level information from pre-kindergarten through post-secondary and into the workforce system. The connection of workforce and education data enables the analysis of individuals’ receipt of both education and training services to help determine ways to maximize the outcomes of these services and the effectiveness of the programs.

- Improve the quality and breadth of the data in workforce longitudinal databases. It is important that data in the workforce longitudinal databases are complete and accurate and include an array of performance information in order to enhance knowledge about the workforce system and the impact of State workforce development programs. Data collection systems might also be improved to strengthen data validity and minimize the reporting burden on State agencies and training providers. These improvements will be especially important under WIOA to help the data collection for Eligible Training Providers, to minimize burden and maximize quality.

- Use longitudinal data to evaluate the performance of federally and State-supported education and job training programs. Policymakers and practitioners can use this data analysis to make programmatic adjustments that improve these programs. Linking education data with workforce data at the individual level will modification, all award funds will be subject to WIOA and its implementing regulations. We expect regulations implementing section 188 of WIOA to be promulgated in summer, 2015.

- 3 -allow for the evaluation of outcomes of federally or State- supported education and workforce programs.

- Provide user-friendly information to help customers select the education and training programs that best suit their needs. This includes the production and dissemination of workforce training provider performance information and outcomes, in a standardized, easy to understand format (e.g., scorecards), consistent with all applicable Federal and State privacy laws. These scorecards contain data to help job seekers make informed decisions about training programs that offer skills training the job seekers need to pursue in-demand jobs and for employers to access workers with the right skills for jobs they want to fill. These scorecards would be publicly searchable by training program of study and would allow anyone, including policy makers, students and researchers, to search labor market information and available training and subsequent outcomes, such as program completion, employment and wage information of participants in these training programs.

Please note that additional guidance will be available later in 2015 to the grantees on the standardized scorecard template required under WIOA. Grantees will be required to follow any DOL guidance on data standardization.

B. OTHER PROGRAM INFORMATION

Launch Point The Department recognizes that States vary in their current capacity with regard to workforce longitudinal databases (referred to throughout this FOA as the “launch point”) and anticipates receiving applications in all three categories described below. In designing their projects, States will determine the relative importance of each of the objectives above based on the State’s launch point for developing a workforce longitudinal database. The Department’s expectations for grantees will differ depending on their launch point, which will fall into one of three categories:

- States without a workforce longitudinal database that are proposing a new or planned workforce longitudinal database;

- States with a partially-developed workforce longitudinal database; or

- States with a comprehensive workforce longitudinal database.

Partnerships with Research Universities or Other Research Entities SWAs without the internal capacity to operate the longitudinal database may need to partner with an external entity (such as a research university, private, for-profit, or non-profit organization) to develop, maintain, and use the workforce longitudinal database, both operationally and for research purposes. A proven model that has been employed by many successful states is to have the State research university build and maintain the workforce longitudinal database. Many State research universities have the capacity to carry out the building of workforce longitudinal administrative databases and are situated advantageously throughout the country.

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Alternative models that maintain PII privacy and confidentiality consistent with Federal and State laws and result in high-quality data systems will also be considered under the WDQI grant program. It is critical that the following considerations are incorporated into any partnership model:

- The research partner chosen by the SWA must have demonstrable capacity to assist in the collection and storage of the longitudinal workforce data.

- The research partner entity must be able to ensure that the data collected will be stored in accordance with local, State, and Federal confidentiality and PII protective provisions.

- The research partner will be responsible for processing data requests, conducting in-depth data analysis, preparing standard reports, responding to requests for additional papers, and reporting on State and local workforce and education issues and trends as requested by external entities, consistent with all applicable Federal and State privacy laws.

SWAs proposing to have their workforce longitudinal databases operated by a State university must assure that university staff will work closely with the State education agency. It is important to note that many of the statewide educational data systems or SLDS are also in the design and development stages. If the State’s SLDS only contains K-12 data, applicants will need to connect workforce data to the K-12 SLDS as well as any relevant postsecondary databases. In States where that data is not stored longitudinally, applicants will need to link to available non-longitudinal education data (for example, individual-level post-secondary education data, consistent with the Family Educational Rights and Privacy Act [FERPA]). If a State’s education agency has a partially- or fully-developed SLDS with both K-12 and post-secondary data, the applicant must work with that agency to link the education and workforce data, consistent with FERPA.

When working with a State research university or research organization, applicants should investigate additional security measures that may be required by the Institutional Review Board (IRB) of that university or research organization. The IRB must give approval for the State research institution’s involvement in this partnership. Approval must be based on the applicant’s plan for confidential transfer, storage and usage of data, and protection of

PII.

C. PROGRAM AUTHORITY

This program is authorized by section 171(c)(2) of WIA and section 169 of WIOA2.

2 Please see footnote 1.

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II. AWARD INFORMATION

A. AWARD TYPE AND AMOUNT

Funding will be provided in the form of a grant. ETA has approximately $10 million available to fund approximately 8 grants. You may apply for a ceiling amount of up to $1.2 million. Any grant application with a proposed value greater than $1.2 million will be deemed non-responsive and will not be considered. Awards made under this Announcement are subject to the availability of Federal funds. In the event that additional funds become available, we reserve the right to use such funds to select additional grantees from applications submitted in response to this Announcement.

B. PERIOD OF PERFORMANCE

The period of performance is 36 months with an anticipated start date of July 1, 2015. This performance period includes all necessary implementation and start-up activities.

Applicants must plan to fully expend grant funds during the period of performance while ensuring full transparency and accountability for all expenditures.

III. ELIGIBILITY INFORMATION

A. ELIGIBLE APPLICANTS

Eligible applicants for this grant competition are SWAs in the 50 States, the District of Columbia, the Commonwealth of Puerto Rico, the United States Virgin Islands, American Samoa, Guam, and the Commonwealth of the Northern Mariana Islands which:

- Did not receive a Round IV award under solicitation SGA-DFA-PY-13-05; and

- Have received no more than one award through SGA-DFA-PY-09-10 (Round 1), SGA- DFA-PY-11-01 (Round 2), and SGA-DFA-PY-12-07 (Round 3).

SWAs that have received two WDQI grant awards, as well as SWAs that received a WDQI grant award through SGA-DFA-PY-13-05 are not eligible to apply. These following States’ SWAs are ineligible: Connecticut, Indiana, Kentucky, Mississippi, Nebraska, New Jersey, Ohio, and Virginia. Of those that have received no more than one award through SGA-DFA- PY-09-10 (Round 1), SGA-DFA-PY-11-01 (Round 2), and SGA-DFA-PY-12-07 (Round 3), we do not anticipate funding more than two such applicants through this competition.

Additionally, applicants must be members of the Wage Record Interchange System (WRIS) 2 at the time grant funds are released and must abide by the WRIS2 Data Sharing Agreement (DSA).

- 6 -

B. COST SHARING OR MATCHING

Cost sharing or matching funds are not required for this program. Please note that any resources contributed to the project are considered leveraged resources and do not constitute cost sharing or matching funds. More information on leveraged resources may be found in Section IV.B.2. Applications that include any form of cost sharing or match will not receive additional consideration during the review process. Cost sharing or match is not one of the application screening criteria.

C. OTHER INFORMATION

1. Application Screening Criteria You should use the checklist below as a guide when preparing your application package to ensure that the application has met all of the screening criteria. Note that this checklist is only an aid for applicants and should not be included in the application package. We urge you to use this checklist to ensure that your application contains all required items. If your application does not meet all of the screening criteria, it will not move forward through the merit review process and will not be considered for funding.

Application Requirement Instructions Complete?

The deadline submission requirements are met Section IV.C

If submitted through Grants.gov, the components of the application are saved in any of the specified formats and are not corrupt. (We will attempt to open the document, but will not take any additional measures in the event of problems with opening.)

Section IV.C.

Application does not exceed the ceiling amount of $1.2 million Section II.A

Applicant has registered with SAM and maintains an active account Section IV.B.1

Signed SF-424, Application for Federal Assistance Section IV.B.1

Signed SF-424 includes a DUNS Number Section IV.B.1

SF-424A, Budget Information Form Section IV.B.2

Budget Narrative Section IV.B.2

Project Narrative Section IV.B.3

Abstract Section IV.B.4.a

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Application Requirement Instructions Complete?

Signed Letter certifying that the State has or will have a current WRIS2 DSA prior to the release of funds

Section IV.B.4.b

Signed Letter of Agreement between the State workforce and education agencies

Section IV.B.4.c

2. Number of Applications To Be Submitted Multiple applications from an organization are not allowed. If multiple applications are received, the most recent application submitted will be accepted. If the most recent application is disqualified for any reason, we will not replace it with an earlier application.

IV. APPLICATION AND SUBMISSION INFORMATION

A. HOW TO OBTAIN AN APPLICATION PACKAGE

This FOA, found at www.Grants.gov and http://www.doleta.gov/grants/find_grants.cfm, contains all of the information and links to forms needed to apply for grant funding.

Applicants should note that hyperlinks to portions of the FOA are included in various parts of the Announcement. Applicants are required to comply with all parts of the FOA, including those parts found at the hyperlinks.

B. CONTENT AND FORM OF APPLICATION SUBMISSION

Applications submitted in response to this FOA must consist of four separate and distinct parts: (1) the SF-424 “Application for Federal Assistance;” (2) Project Budget; (3) Project Narrative; and (4) attachments to the Project Narrative. It is your responsibility to ensure that the funding amount requested is consistent across all parts and sub-parts of the application.

1. SF-424, “Application for Federal Assistance” You must complete the SF-424, “Application for Federal Assistance” (available at http://apply07.grants.gov/apply/FormLinks?family=15). The SF-424 must clearly identify the applicant and must be signed by an individual with authority to enter into a grant agreement. Upon confirmation of an award, the individual signing the SF-424 on behalf of the applicant is considered the Authorized Representative of the applicant. As stated in block 21 of the SF-424 form, signature of the Authorized Representative on the SF-424 certifies that the organization is in compliance with the Assurances and Certifications form SF-424B (available at

- 8 -http://apply07.grants.gov/apply/FormLinks?family=15 http://apply07.grants.gov/apply/FormLinks?family=15). The SF-424B is not required to be submitted with the application.

In addition, the applicant’s Authorized Representative’s signature in block 21 of the SF-424 form constitutes assurance by the applicant of compliance with the following requirements in accordance with 29 CFR 37.20.

As a condition to the award of financial assistance from the Department under Title I of the Workforce Innovation and Opportunity Act3 , the grant applicant assures that it will comply fully with the nondiscrimination and equal opportunity provisions of the following laws: Section 188 of the WIOA, which prohibits discrimination against all individuals in the United States on the basis of race, color, religion, sex, national origin, age, disability, political affiliation or belief, and against beneficiaries on the basis of either citizenship/status as a lawfully admitted immigrant authorized to work in the United States or participation in any WIOA Title I—financially assisted program or activity; Title VI of the Civil Rights Act of 1964, as amended, which prohibits discrimination on the bases of race, color and national origin; Section 504 of the Rehabilitation Act of 1973, as amended, which prohibits discrimination against qualified individuals with disabilities; The Age Discrimination Act of 1975, as amended, which prohibits discrimination on the basis of age; and Title IX of the Education Amendments of 1972, as amended, which prohibits discrimination on the basis of sex in educational programs. The grant applicant also assures that it will comply with WIOA’s implementing regulations when they are promulgated and all other regulations implementing the laws listed above. This assurance applies to the grant applicant's operation of the WIOA Title I-financially assisted program or activity, and to all agreements the grant applicant makes to carry out the WIOA Title I-financially assisted program or activity. The grant applicant understands that the United States has the right to seek judicial enforcement of this assurance.

Requirement for DUNS Number All applicants for Federal grant and funding opportunities are required to have a DUNS number, and must supply their DUNS Number on the SF-424. The DUNS Number is a nine-digit identification number that uniquely identifies business entities. If you do not have a DUNS Number, you can get one for free through the D&B website: http://fedgov.dnb.com/webform/displayHomePage.do. As authorized under 2 CFR 25, grant recipients authorized to make subawards must be aware of the following requirements related to DUNS Numbers:

• Grant recipients must notify potential subawardees that no entity may receive a subaward from you unless the entity has provided its DUNS number to you.

3 Please see footnote 1.

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• Grant recipients may not make a subaward to an entity unless the entity has provided its DUNS number to you.

Requirement for Registration with SAM

Applicants must register with the System for Award Management (SAM) before submitting an application. Instructions for registering with SAM can be found at https://www.sam.gov/portal/public/SAM/#1. A recipient must maintain an active SAM registration with current information at all times during which it has an active Federal award or an application under consideration. To remain registered in the SAM database after the initial registration, the applicant is required to review and update the registration at least every 12 months from the date of initial registration or subsequently update its information in the SAM database to ensure it is current, accurate, and complete. For purposes of this paragraph, the applicant is the entity that meets the eligibility criteria and has the legal authority to apply and to receive the award.

2. Project Budget You must complete the SF-424A Budget Information Form (available at http://apply07.grants.gov/apply/FormLinks?family=15). In preparing the Budget Information Form, you must provide a concise narrative explanation to support the budget request, explained in detail below.

Budget Narrative: The budget narrative must provide a description of costs associated with each line item on the SF-424A. It should also include a description of leveraged resources provided (as applicable) to support grant activities.

Use the following guidance for preparing the budget narrative:

a. Personnel – List all staff positions by title (both current and proposed). Give the annual salary of each position, the percentage of each position’s time devoted to the project, the amount of each position’s salary funded by the grant, and the total personnel cost for the period of performance.

b. Fringe Benefits – Provide a breakdown of the amounts and percentages that comprise fringe benefit costs such as health insurance, FICA, retirement, etc.

c. Travel – Specify the purpose, mileage, per diem, estimated number of in-state and out-of-state trips, and other costs for each type of travel.

d. Equipment – Identify each item of equipment to be purchased which has an estimated acquisition cost of $5,000 or more per unit (or if your capitalization level is less than $5,000, use your capitalization level) and a useful lifetime of more than one year (see 2 CFR 200.33 for the definition of Equipment). List the quantity and unit cost per item. Items with a unit cost of less than $5,000 are supplies. In general, we do not permit the purchase of equipment during the last funded year of the grant.

- 10 -https://www.sam.gov/portal/public/SAM/%231

e. Supplies – Supplies include all tangible personal property other than

“equipment” (see 2 CFR 200.94 for the definition of Supplies). The detailed budget should identify categories of supplies (e.g. office supplies). List the quantity and unit cost per item.

f. Contractual – Identify each proposed contract and specify its purpose and estimated cost. If applicable, identify any subrecipient agreements, including purpose and estimated costs. See Section VI.B.2.f. for more information on the distinction between contractor and subrecipient.

g. Construction – Construction costs are not allowed and this line must be left as zero. Minor alterations to adjust an existing space for grant activities (such as a classroom alteration) may be allowable. We do not consider this as construction and the costs must be shown on other appropriate lines such as Contractual.

h. Other – List each item in sufficient detail for us to determine whether the costs are reasonable or allowable. List any item, such as stipends or incentives, not covered elsewhere here.

i. Indirect Costs – If indirect costs are included in the budget, then include either,

a) the approved indirect cost rate with a copy of the Negotiated Indirect Cost Rate Agreement (NICRA), a description of the base used to calculate indirect costs along with the amount of the base, and the total indirect costs requested, or

b) if you meet the requirements to use the 10% de minimis rate as described in 2 CFR 200.414(f), then include a description of the modified total direct costs base (see 2 CFR 200.68 for definition) used in the calculation along with the amount of the base, and the total indirect costs requested based on the 10% de minimis rate. See Section IV.B.4. and Section IV.E.1. for more information. Additionally, the following link contains DOL-specific information:

http://www.dol.gov/oasam/boc/dcd/index.htm.

Note that the entire Federal grant amount requested (not just one year) must be included on the SF-424, SF-424A, and budget narrative.

No leveraged resources should be shown on the SF-424 and SF-424A. Leveraged resources should be described in the budget narrative. The requested Federal grant amount listed on the SF-424, SF-424A, and budget narrative must be the same. The funding amount included on the SF-424 will be considered the official funding amount requested if any inconsistencies are found.

- 11 -http://www.dol.gov/oasam/boc/dcd/index.htm

3. Project Narrative

a) Preparing the Project Narrative

• The Project Narrative must demonstrate your capability to implement the grant project in accordance with the provisions of this Announcement. It provides a comprehensive framework and description of all aspects of the proposed project. It must be succinct, self-explanatory, and well organized so that reviewers can understand the proposed project.

• The Project Narrative is limited to 25 double-spaced single-sided 8.5 x 11 inch pages with Times New Roman 12 point text font and 1 inch margins.

Any materials beyond the specified page limit will not be read or considered in the application review process. You must number the Project Narrative beginning with page number 1.

The following instructions provide all of the information needed to complete the Project Narrative. You should carefully read and consider each section, and include all required information in your Project Narrative. The Project Narrative will be evaluated using the evaluation criteria identified in Section V.A. You must use the same section headers identified below for each section of the Project Narrative:

(1) Statement of Need Applicants must submit a Statement of Need that clearly describes the applicant’s launch point (which is the current status of the State’s workforce longitudinal database as described in Section I.A.1.) and capacity;

partnerships with state research universities or other research entities; the extent to which the SWA (or the lead research/data-sharing entity) has developed data-sharing partnerships; established longitudinal linkages among the different data sources; and produced useful analysis based on linked data. Applicants must identify their launch point. Expectations for grantees will differ depending on their launch point which, as described in Section I.A.1., will fall into one of three categories:

• States without a workforce longitudinal database that are proposing a new or planned workforce longitudinal database.

• States with partially-developed workforce longitudinal database.

• States with comprehensive workforce longitudinal databases.

Capacity and Objectives Proposals from applicants with new or planned workforce longitudinal database must include comprehensive descriptions of the potential capacity existing in their States to create a longitudinal workforce data system.

Applicants with partially-developed workforce longitudinal databases must include a comprehensive discussion of the opportunities that exist in their

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State to expand and fully implement the workforce longitudinal database.

Applicants with comprehensive workforce longitudinal data systems must include a comprehensive discussion of the need to expand the breadth of workforce data collected. Applicants must integrate information about the current status of any existing workforce longitudinal database with the plan to proceed forward under this grant opportunity.

The applicant must clearly describe the State’s need and objectives for each of the following major activities that DOL expects applicants to undertake in creating, upgrading, and using its workforce longitudinal database (each item below notes in parentheses which applicant type(s) it applies to):

• Creating or expanding workforce longitudinal data system (all applicants);

• Improving the quality of workforce data (all applicants);

• Developing or expanding the capacity to match workforce and education data and ensuring adherence to the requirements of FERPA, 20 U.S.C. 1232g, which only permits the non-consensual disclosure of PII from these systems in limited circumstances (all applicants);

• Using data for analysis that will help policymakers and practitioners understand the performance of workforce and education programs.

Applicants should describe the policy questions that the State seeks to answer, and how the system will support answering those questions (all applicants);

• Producing and disseminating workforce training provider performance information and outcomes to the public in a standardized, easy to understand format (e.g., scorecards or integrated data platforms), consistent with all applicable Federal and State privacy laws, with their completed systems within the three-year grant period (all applicants);

and

• Creating user-friendly portals to publicize the data in ways that help consumers choose between different education and training programs (applicants with a partially or fully developed workforce longitudinal data system).

State Longitudinal Education Data System (SLDS) Status Applicants must describe the status of the SLDS in their State. Applicants will have to work with the State education agency to determine whether that State has begun to plan for their SLDS, has a partially-developed SLDS, or has a fully-implemented SLDS. The application must include a detailed description of the SLDS plan and clearly identify which sets of education data

- 13 -are part of the SLDS. If neither of these exists, the applicant must indicate which education data sets they will incorporate into their workforce longitudinal database until the State education agency is able to generate an

SLDS.

Sustainability Applicants must explain plans for sustaining these workforce longitudinal databases beyond the 3-year grant period, including how their planned or existing MOUs and DSAs will be renewed with their partners to ensure continued maintenance and analysis of the workforce longitudinal database.

Continued Federal funding cannot be guaranteed, so applicants must describe alternative funding sources in this section.

(2) Project Deliverables Applicants must clearly identify and list the proposed deliverables (products, features, benchmarks) that will result from the project for each of the requirements that the State will be addressing in work funded under this grant. These deliverables should help address the needs and goals the applicant identified in the Statement of Need. Deliverables must be expressed as products or features that can be measured at the end of the grant period.

(3) Project Design Applicants must propose methods that will be used to achieve the stated outcomes and outputs and outline a plan of action that describes the scope of the data system and provides details on how the proposed work will be accomplished including timelines for completion of work. Cite factors that might speed up or slow down the work and state the reason for taking the proposed approach rather than other approaches. Identify any potential barriers and describe how the project will be able to overcome those barriers.

For the development or enhancement of a State workforce longitudinal database, applicants must address the following elements:

1. Database Design, Data Quality Assurance, and Proposed Uses Applicants with no workforce longitudinal database must provide a complete project plan that outlines system specifications, confidentiality measures, and data analysis functionality, and a detailed description of the intended design of data content and usage.

Applicants with a fully-developed or partially-developed workforce longitudinal database must clearly describe the existing database design, including its confidentiality measures and data analysis functionality, and

- 14 -provide a detailed description of the intended design for expansions to data content and usage.

All applicants must specify the planned or actual record layout for the data files that will be contained in their workforce longitudinal databases. This layout must include the format for the data records, and the format and definition of each included data field. With WIOA implementation taking effect on July 1, 2015, the Department encourages applicants to begin incorporating data fields for the workforce and education programs required under WIOA.

Applicants must also demonstrate the actual or intended use of the following database design element:

• Personal Identifier

Applicants must explain how the database will be developed or has been developed using the social security number (SSN) as a unique personal identifier for individuals entering into the workforce system, in addition to jobseekers and employees already in the workforce system. The SSN is already in use throughout the workforce system and will allow States to gather this data longitudinally in order to accurately track movement into and out of workforce and education systems. Collection of the client’s SSN is not required throughout the workforce system and may not be required as a condition of receiving workforce development services. Although it is nearly uniformly collected on a voluntary basis, DOL recognizes that the workforce longitudinal databases will be restricted to those individuals having supplied their SSN and therefore may not represent a complete database of all persons who are receiving workforce development services. Applicants must also describe the capacity of the workforce longitudinal databases to link, consistent with FERPA, to unique identifiers in the SLDS.

Applicants must provide a clear description of how they will develop or improve data validation measures and other quality assurance measures used to promote the quality, completeness, validity, and reliability of the data collected.

Applicants must clearly lay out the plans they will develop or improve to protect the confidentiality of these individual data records, including but not limited to robust protection of PII. The method for storing, transferring, analyzing, and sharing data must be detailed in accordance with State and Federal confidentiality provisions, including but not limited to FERPA.

2. Scope of Longitudinal Workforce Data

Applicants must clearly identify which programs are or will be included in the data system and the plan to match data with each

- 15 -program throughout the longitudinal data system. Applicants should also discuss, in detail, any potential barriers to sharing data with partner agencies, and discuss feasible proposed solutions to overcome these barriers. At a minimum, the data systems must include disaggregated individual record data (including wage record information) for the following:

• WIOA Title I;

• Adult Education and Literacy;

• Title I of the Rehabilitation Act, as amended;

• Wagner-Peyser Act;

• Trade Adjustment Assistance and Trade Readjustment

Allowances program data;

• UI wage record information from quarter to quarter measuring employment and income earning gains;

• UI benefit data including demographic information associated with UI benefit payments;

• Federal employment data (available through DOL’s Federal

Employment Data Exchange System); and

• Existing State education agency data (including early childhood, K-12, and post-secondary education student demographic data, test scores, teachers, graduation rates, and transcripts).

Applicants are also encouraged to include data from other education and human services programs such as: TANF; Supplemental Nutrition Assistance Program (Food Stamps); Registered Apprenticeship4 and data from other similar programs which may yield workforce-related outcomes.

3. Integration of Efforts with State Education Authorities Applicants must describe how they will establish or maintain a relationship with the State education agency leading the SLDS initiative to link data between education and workforce databases, consistent with FERPA, to support longitudinal data analyses and provide performance information from secondary and post-secondary training providers to the workforce system and consumers. Specifically:

• SWAs where the workforce longitudinal database is emerging or undeveloped, applicants must describe their plans to match the data between the education and workforce databases.

• SWAs with a partially-developed or comprehensive workforce longitudinal databases must describe new approaches to link these

4 Reed, Debbie, et. al, (2012). “An Effectiveness Assessment and Cost-Benefit Analysis of Registered Apprenticeship in 10 States” – Mathematica Policy Research, Inc. Employment and Training Administration. .

- 16 -databases with education entities collecting comparable education data. As specified in Section IV.B.4.c, the applicant must provide (as an attachment) a signed letter of agreement between the State workforce and education agencies.

4. Inter- and Intra-State Agency Partnerships Workforce data may be supplied by organizations within the SWA as well as outside agencies within and across State lines. Applicants must describe, in detail, their strategy to create, sustain, strengthen, or expand partnerships and maintain working relationships within and outside the State workforce system. Applicants must indicate which organizations will participate in the WDQI, along with their authority and willingness to provide regular access to their data.

These partnerships include (but are not restricted to) agencies such as the State revenue department or other agency outside of the SWA, where UI, WIOA, or other programs are administered in full or in part in that agency. Moreover, partnerships with State economic, human services, or other agencies provide an opportunity to match individual level data to the workforce longitudinal database. Applicants must clearly describe the existing or proposed partnerships and briefly describe the data that the partner will be providing for the initiative.

Applicants must clearly describe their plan for peer-to-peer technical assistance with other states on their promising practices in developing these databases and data matching systems.

Documentation of proposed and/or existing partner relationships may include brief descriptions of existing or proposed MOUs, letters of support, and/or detailed plans for working relationships and shared responsibilities. In all cases, partnerships must be forged to gather relevant workforce and education data. Note that States with a developed or partially-developed workforce longitudinal database should focus on describing maintenance and expansion of partnerships. Applicants should also clearly describe potential barriers (including legislative barriers) to data-sharing among partner agencies, along with strategies to overcome such barriers, as appropriate. With implementation of WIOA on the horizon, applicants are encouraged to create or expand partnerships and push for the adoption of common data elements among the state and local agencies that manage the programs required under WIOA.

5. Integration of State-based Wage Data Matching Systems Applicants must describe how they will use funds to advance their ability to expand their wage data matching infrastructure to improve performance reporting for the workforce system, including reporting of outcomes for eligible training providers. The description should include how this integration will support the successful

- 17 -implementation of the performance accountability requirement under

WIOA.

6. Confidentiality Applicants must describe the methods and procedures (e.g., through demonstrating existence of or plans to develop MOUs, letters of intent, and DSAs) for assuring the security and confidentiality of the collection, storage, and use of all data contained in the workforce longitudinal database, including protection of PII. Applicants must describe how confidentiality in research, evaluation, and performance management will be maintained. The applicant must also explain the security responsibilities of the SWA and its partners.

Applicants must describe the confidentiality procedures that will be used to protect PII, including requirements for the actual collection of data, data transmission, maintenance of computerized data files, reporting and publication of data, and compliance with State and Federal PII privacy and confidentiality statutes and regulations.

Applicants must also describe under what circumstances PII data will be made available, to whom, and to what level of specificity, in accordance with confidentiality laws. Applicants should consult recommendations released from the National Institute of Standards and Technology on the protection of PII5

Applicants must identify staff-level positions that will be granted access to confidential data and the corresponding level of access for each position. For example, generally, employees of State research universities are State employees, are therefore considered agents of the State workforce or education agencies, and are granted access to or restricted from sensitive data and PII based upon State laws.

Staff that will be granted access to confidential data are expected to observe rules set by the State university’s IRB. Additionally, it can be assumed, for the purpose of this application, that all proposed employees will be subject to Federal laws governing data-sharing, transfer of data, and PII confidentiality, including but not limited to the requirements of FERPA, 20 U.S.C. 1232g and 34 CFR Part 99.

7. Data-Sharing Agreements (DSAs) For each program included in the workforce longitudinal database, applicants must submit copies of DSAs with the agencies that house the programmatic data. DSAs included as attachments to the Project Narrative will not count against the page limit. The DSA must outline

5 McCallister, Erika, Grance, Tim, & Scarfone, Karen. “Guide to Protecting the Confidentiality of Personally Identifiable Information (PII). National Institute of Standards and Technology, U.S. Department of Commerce.

Special Publication 800-122. Retrieved from http://csrc.nist.gov/publications/nistpubs/800-122/sp800-122.pdf.

- 18 -the storage, use, and ongoing maintenance of the data and address the following requirements:

• How data will be exchanged between partners;

• The purposes for which the data will be used;

• How and when the data will be disseminated;

• Which entity maintains control of the data;

• Which entity actually owns the data;

• The intended methods of ensuring confidential collection, use and storage of the data; and

• Which entities inside and outside of the data-sharing agreements will have access to the data.

DSAs that involve the disclosure of PII from education records must:

• Designate the entity collecting the data as the authorized representative of the State educational authority to evaluate a federally or State supported education program;

• Specify: (a) the PII to be disclosed; (b) the purpose for which the PII is disclosed to the authorized representative as stated in 34 CFR 99.35; and (c) a description of the activity with sufficient specificity to make clear that the work falls within the exception of 34 CFR 99.31(a)(3), including a description of how the PII will be used;

• Require the authorized representative to destroy the PII when it is no longer needed for the purpose specified;

• Specify the time period in which the PII must be destroyed; and

• Establish policies and procedures, consistent with FERPA and other Federal and State confidentiality and privacy provisions, to protect PII from further disclosure (except back to the disclosing entity) and unauthorized use, including limiting use of PII to only authorized representatives with legitimate interests in the evaluation of a Federal or State-supported program. DSAs also should contain specific plans for secure data transfer and storage.

- 19 -

Grantees should consider developing DSAs with the DOL to obtain individual-level data for various programs for which DOL is the data administrator. The Department encourages the production of full- or limited-scope public use data files that will be hosted by the SWA or an agreed upon designated host.

8. Planned Reports/Deliverables Applicants creating a workforce longitudinal database must include their plans to produce reports that provide information about statewide performance of the workforce system. Applicants with partially- or fully-developed workforce longitudinal databases must describe the policy questions that they will use the longitudinal data systems to answer. All applicants must also include a description of the types of analysis and research projects that will be conducted with the workforce longitudinal database to improve program performance and enhance customer choice. All applicants must address how data from each partner will be incorporated into these reports, and how stakeholders can use the reports to improve the workforce system. Not every partner must be included in each report, but each partner should be represented in at least one report.

Applicant must also describe the extensive research and analysis products that will be generated beyond the regular reporting and analysis requirements.

All applicants must describe their plan to produce and disseminate reports and workforce provider performance information and outcomes to the public in a standardized, easy to understand format (e.g. scorecards or integrated digital platforms), consistent with all applicable Federal and State privacy laws. These deliverables are for statewide use and, though DOL reserves the right to request access to these planned reports, submission of these deliverables to DOL is not required. Please note that additional guidance will be available later in 2015 to the grantees on the standardized scorecard template required under WIOA.

(4) Organizational, Administrative, and Fiscal Capacity Provide detailed information on the applicant organization’s current mission, structure, staffing, and relevant experience. Describe how these factors contribute to the ability of the organization to conduct the program requirements and meet program expectations.