PKG00249403-instructions.pdf

U.S. DEPARTMENT OF LABOR

Employment and Training Administration

NOTICE OF AVAILABILITY OF FUNDS AND FUNDING OPPORTUNITY

ANNOUNCEMENT FOR:

Workforce Data Quality Initiative – WDQI Round VII

ANNOUNCEMENT TYPE: Initial

FUNDING OPPORTUNITY NUMBER: FOA-ETA-19-02

CATALOG OF FEDERAL DOMESTIC ASSISTANCE (CFDA) NUMBER: 17.261

KEY DATES: The closing date for receipt of applications under this Announcement is April 24, 2019. We must receive applications no later than 4:00:00 p.m. Eastern Time.

ADDRESSES: Address mailed applications to:

The U.S. Department of Labor Employment and Training Administration, Office of Grants Management Attention: Ms. Melissa Abdullah, Grant Officer Reference FOA-ETA-19-02 200 Constitution Avenue, NW, Room N4716 Washington, DC 20210

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

TABLE OF CONTENTS

EXECUTIVE SUMMARY

I. FUNDING OPPORTUNITY DESCRIPTION

A. Program Purpose B. Program Authority

II. AWARD INFORMATION

A. Award Type and Amount B. Period of Performance

III. ELIGIBILITY INFORMATION

A. Eligible Applicants B. Cost Sharing or Matching C. Other Information

1. Application Screening Criteria

2. Number of Applications Applicants May Submit

3. Eligible Participants

IV. APPLICATION AND SUBMISSION INFORMATION

A. How to Obtain an Application Package B. Content and Form of Application Submission

1. SF-424, “Application for Federal Assistance”

2. Project Budget

3. Project Narrative

4. Attachments to the Project Narrative

C. Submission Date, Time, Process and Address

1. Hardcopy Submission

2. Electronic Submission through Grants.gov

D. Intergovernmental Review E. Funding Restrictions

1. Indirect Costs

2. Administrative Costs

3. Salary and Bonus Limitations

4. Intellectual Property Rights

5. WIOA Infrastructure

6. Use of Grant Funds for Participant Wages

F. Other Submission Requirements

V. APPLICATION REVIEW INFORMATION

A. Criteria

1. Statement of Need

2. Expected Outcomes and Outputs

3. Project Design

4. Third Party Evaluation

5. Organizational, Administrative, and Fiscal Capacity

6. Past Performance – Programmatic Capability

7. Budget and Budget Justification B. Review and Selection Process

1. Merit Review and Selection Process

2. Risk Review Process

VI. AWARD ADMINISTRATION INFORMATION

A. Award Notices B. Administrative and National Policy Requirements

1. Administrative Program Requirements

2. Other Legal Requirements

3. Other Administrative Standards and Provisions

4. Special Program Requirements

C. Reporting

1. Quarterly Financial Reports

2. Quarterly Performance Reports

VII. AGENCY CONTACTS

VIII. OTHER INFORMATION

A. Web-Based Resources B. Industry Competency Models and Career Clusters C. WorkforceGPS Resources D. SkillsCommons Resources

IX. OMB INFORMATION COLLECTION

EXECUTIVE SUMMARY:

The Employment and Training Administration (ETA), U.S. Department of Labor (DOL, the Department, or we) announces the availability of approximately $11,500,000 in grant funds authorized by Section 169 of the Workforce Innovation and Opportunity Act (WIOA) for the Workforce Data Quality Initiative (WDQI). ETA plans to award approximately five grants with a maximum award of $1,000,000 to eligible State Workforce Agencies (SWAs) for the development or enhancement of a state workforce longitudinal administrative database.

Also ETA plans to award three grants (i.e., super grants) with a maximum award amount of $2,181,333 to eligible SWAs for the integration of the state’s case management system;

performance reporting system(s); and/or fiscal reporting system(s) with the state’s longitudinal administrative database. All of these grants have a 36-month period of performance, and cost-sharing is not required for this program. Each interested SWA should submit one complete application. If a SWA submits multiple complete applications, ETA will consider the most recent application received by the closing date of this announcement as the final submission. ETA will not review or consider earlier submissions.

Section 169 of WIOA explicitly describes the purpose and objectives of a continuing regimen of rigorous evaluation and research activities to examine the impacts and cost effectiveness of education and workforce programs. WDQI grants support the development of State workforce longitudinal administrative databases such that the databases will ultimately, at a minimum: 1) include information on programs that provide training and employment services; 2) connect with education data; 3) be linked at the individual level; and 4) be capable of generating workforce training provider performance information and outcomes, including but not limited to, information and outcomes relevant to WIOA performance reporting, in a standardized, easy-to-understand format to help customers select the education and training programs that best suit their needs. Where such longitudinal systems do not exist, or are in the early stages of development, WDQI grant assistance may be used to design and develop these databases.

WDQI grant assistance also can be used to improve upon existing state longitudinal administrative databases. The Department will provide technical assistance (both direct and support for peer-to-peer) to SWAs to help ensure the databases meet the terms provided in each grantee’s statement of work. The Department also works closely with the Department of Education (ED) on technical assistance and support activities.

WDQI grants provide funding to eligible SWAs to accomplish all or a combination, of the following objectives:

• Develop or improve the State workforce longitudinal administrative database;

• Connect workforce data with education data contained in the Statewide Longitudinal Data System (SLDS);

• Improve the quality and breadth of the data in workforce longitudinal administrative databases;

• Use longitudinal data to assess the performance of federally and state-supported education and job training programs;

• Provide user-friendly information to help customers select the education and training programs that best suit their needs; and

• Integrate performance, fiscal, and/or, case management systems with the longitudinal administrative database.

Applicants that choose to apply for the WDQI grant award of up to $1,000,000 are expected to clearly demonstrate their plans to build or expand the workforce longitudinal administrative databases and to store and use the data in adherence to all applicable confidentiality laws (20 CFR Part 603). Applicants that choose to apply for the $2,181,333 award are expected to demonstrate that they have an existing database or structure in place that can achieve the objectives outlined above and outline a plan to bridge or integrate the external state data system(s) of their choosing. (This requirement does not apply to applicants that are seeking to receive the $1,000,000 grant award.)

This Funding Opportunity Announcement (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

This Announcement solicits applications for the WDQI program. The purpose of this program is to support the development or expansion of State workforce longitudinal administrative databases. Collecting and analyzing data and conducting research using longitudinal data can provide a comprehensive picture of whether education programs lead to employment in related fields, whether jobseekers are obtaining training-related employment, and the impact of training on workers’ earnings throughout their careers. Through analysis, researchers can identify service delivery strategies that improve employment opportunities, as well as demonstrate the benefits of education and workforce programs on employment outcomes.

Data linkages can help state and local leaders identify effective pathways through education and training services that lead to success in the workforce and can provide individuals with information that helps them make smart choices about their education and career(s).

WDQI grants provide funding to eligible SWAs to accomplish all, or a combination, of the following objectives:

• Develop or improve the State workforce longitudinal administrative database.

SWAs can use this funding to develop a new state workforce longitudinal administrative database or to incorporate new data sources, or expand/strengthen existing data sources into their existing database so individual-level records can be matched across workforce training programs and over time.

• Connect workforce data with education data contained in the Statewide Longitudinal Data System (SLDS). WDQI requires that workforce data be matched with education data, consistent with all relevant Federal and State privacy and confidentiality laws, to ultimately create a state longitudinal administrative database with individual-level information from pre-kindergarten through post-secondary and training into the workforce system. The connection of workforce and education data enables the analysis of individuals’ receipt of both education and training services to http://www.doleta.gov/performance/workforcedatagrant09.cfm help determine ways to maximize the outcomes of these services and improve the effectiveness of the programs.

• Improve the quality and breadth of the data in workforce longitudinal administrative databases. It is important that data in the workforce longitudinal administrative databases are complete, accurate, and relevant to understand the impact of State workforce development programs on job seekers and employers. Data collection processes should be streamlined and standardized to ensure that the data are valid.

• Use longitudinal data to evaluate the performance of federally and State-supported education and job training programs. Evidence-based decision making is the foundation for effective program management and strategic planning. Longitudinal administrative databases provide business intelligence for policymakers and stakeholders to make programmatic adjustments in an effort to improve education and workforce programs.

• Provide user-friendly information to help customers select the education and training programs that best suit their needs. These state-customized scorecards contain data to help job seekers make informed decisions about programs that offer skills training needed to pursue in-demand jobs. Publicly-searchable-by-training provider and program-of-study scorecards allow anyone, including policymakers, 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.

• Integrate performance, fiscal, and/or case-management systems with the longitudinal administrative database. Integration across multiple components of state data systems is a vital step towards improved program management that would enhance state data analytics capabilities. WDQI grants become even more vital as states move towards developing and building a more integrated data system structure, as envisioned under WIOA. ETA believes that these system enhancements will better enable SWAs to develop comprehensive information sharing tools (e.g., mobile applications, dashboards, or interactive scorecards) that enable such individuals and entities as case managers, fiscal departments, or performance staff, to name a few, to access the longitudinal administrative data system for their specific professional needs.

Linking information from longitudinal data systems, state-based wage-data-matching systems, and cross-program/ departmental systems has the potential to further improve workforce data quality.

In addition to the objectives outlined above, Section 169 of WIOA explicitly describes the purpose and objectives of a continuing regimen of rigorous evaluation and research activities to examine the impacts and cost effectiveness of education and workforce programs. This has long been a goal of the Department and was the driving idea behind the WDQI grant initiative.

Longitudinal administrative databases are useful tools for longer-term research and evaluation projects. The knowledge gained through data analytics can help states improve the effectiveness of their programs, identify shifts in the labor market, and design services to better meet their customer’s needs. Sustainability beyond the use of Federal funding for these systems is of particular interest to the Department; applications will be scored on criteria that assess the applicants’ proposed plans for sustaining activities beyond the three-year grant period, including the integration activities required within the super grant.

OTHER PROGRAM INFORMATION

Launch Point (LP) The Department recognizes that States vary in their current capacity with regard to longitudinal administrative databases (referred to throughout this FOA as the “launch point”) and expectations for grantees will differ depending on their launch points. The Department anticipates receiving applications in all three categories as described below:

• LP1 - States without a workforce longitudinal administrative database that are proposing to create a workforce longitudinal administrative database;

• LP2 - States with a partially developed workforce longitudinal administrative database; or

• LP3 - States with a comprehensive workforce longitudinal administrative database.

Partnerships with Research Universities or Other Entities

SWAs without the internal capacity to operate the longitudinal administrative database may need to partner with an external entity (such as a research university or a private, for-profit, or non-profit organization) to develop, maintain, and use the workforce longitudinal administrative database, both operationally and for research purposes. In addition, SWAs with existing partnerships with external entities may propose to maintain those partnerships, and SWAs may propose partnerships with external entities for reasons other than lack of internal capacity. SWAs proposing to have their workforce longitudinal administrative databases operated by an outside entity should ensure that staff work closely with the State education agency. A proven model that has been employed by many successful states is to have a State research university build and maintain the workforce longitudinal administrative database.

Alternative models that maintain the privacy and confidentiality of personally identifiable information (PII) consistent with Federal and State laws and result in high-quality databases will also be considered under the WDQI grant program.

If an SWA chooses to partner with a research university or other research entity, the following must be considered in the development of the partnership model:

• The research partner must have a demonstrated capacity to assist in the collection and storage or linkage of the longitudinal workforce administrative data;

• The research partner must be able to ensure that the data collected will be stored, accessed, and used in accordance with local, State, and Federal confidentiality and PII protective provisions; and

• 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.

When working with a State research university or research organization, applicants must 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.

B. PROGRAM AUTHORITY

WIOA Section 169 authorizes this program.

II. AWARD INFORMATION

A. AWARD TYPE AND AMOUNT

Funding will be provided in the form of a grant to successful applicants.

We expect availability of approximately $11,500,000 to fund approximately eight grants (five grant awards up to $1,000,000 and three grant awards up to $2,181,333). A state submitting an application to develop a new database or enhance an existing state longitudinal administrative database may apply for a ceiling amount of up to $1,000,000 (any grant application of this type with a proposed value greater than $1,000,000 will be deemed non-responsive and will not be considered in the merit review process). A state submitting a proposal to integrate the state longitudinal administrative database with performance reporting, fiscal reporting and/or a case management system may apply for a ceiling amount up to $2,181,333 (any grant application of this type with a proposed value greater than $2,181,333 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, 2019. 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

The following organizations are eligible to apply:

• State Workforce Agencies (SWAs) - SWAs in the 50 States, the District of Columbia, the Commonwealth of Puerto Rico, the U.S. Virgin Islands, American Samoa, Guam, and the Commonwealth of the Northern Mariana Islands.

Among the eligible applicants listed above, SWAs planning to apply for the $1,000,000 award that:

• Received a Round VI WDQI grant (FOA-ETA-17-01) are ineligible to apply for this opportunity. The following States’ SWAs currently have Round VI grants and, therefore, are ineligible for this reason: Alabama, Indiana, Iowa, Kentucky, Massachusetts, Mississippi, Missouri, and Rhode Island.

A SWA is eligible to apply for the super grant ($2,181,333 award) if it:

• Currently has a comprehensive longitudinal administrative database (LP3) and is positioned to integrate an external data system into its longitudinal administrative database, and

• Did not receive a Round VI WDQI grant (FOA-ETA-17-01). The following States’ SWAs currently have Round VI grants and, therefore, are ineligible for this reason: Alabama, Indiana, Iowa, Kentucky, Massachusetts, Mississippi, Missouri, and Rhode Island.

B. COST SHARING OR MATCHING

This program does not require cost sharing or matching funds. Including such funds is not one of the application screening criteria and applications that include any form of cost sharing or match will not receive additional consideration during the review process. Instead, the agency considers any resources contributed to the project beyond the funds provided by the agency as leveraged resources. Section IV.B.2 provides more information on leveraged resources.

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.

Application Requirement Instructions Complete?

The deadline submission requirements are met Section IV.C

Eligibility Section III.A

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.2

Application Federal funds request does not exceed the ceiling amount of $1,000,000 or

$2,181,333, as appropriate Section II.A

SAM Registration Section IV.B.1

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

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

2. Number of Applications Applicants May Submit

We will consider only one application from each state. If we receive multiple applications from the same state, we will only consider the most recently received application that met the deadline. 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 https://www.doleta.gov/grants/find_grants.cfm, contains all of the information and links to forms needed to apply for grant funding.

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, composed of the SF-424A and Budget Narrative;

3. Project Narrative; and

4. Attachments to the Project Narrative.

http://www.grants.gov/ http://www.doleta.gov/grants/find_grants.cfm

You must 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 https://www.grants.gov/web/grants/forms/sf-424-family.html#sortby=1.

• In the address field, fill out the nine-digit (plus hyphen) zip code. Nine-digit zip codes can be looked up on the USPS website at https://tools.usps.com/go/ZipLookupAction!input.action.

• 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, the signature of the Authorized Representative on the SF-424 certifies that the organization is in compliance with the Assurances and Certifications form SF-424B (available at https://www.grants.gov/web/grants/forms/sf-424-family.html#sortby=1). You do not need to submit the SF-424B 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 38.25.

As a condition to the award of financial assistance from the Department of Labor under Title I WIOA, the grant applicant assures that it will comply fully with the nondiscrimination and equal opportunity provisions of the following laws, including: Section 188 of the WIOA, which, as interpreted through Departmental regulations, prohibits discrimination against all individuals in the United States on the basis of race, color, religion, sex (including pregnancy, childbirth, and related medical conditions, transgender status, and gender identity), national origin (including limited English proficiency), age, disability, political affiliation or belief, and against beneficiaries on the basis of either citizenship status 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 as a recipient of WIOA Title I financial assistance (as defined at 29 CFR 38.4(zz)), it will comply https://www.grants.gov/web/grants/forms/sf-424-family.html#sortby=1 https://www.grants.gov/web/grants/forms/sf-424-family.html#sortby=1 https://tools.usps.com/go/ZipLookupAction!input.action https://www.grants.gov/web/grants/forms/sf-424-family.html#sortby=1 with 29 CFR part 38 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 must have a DUNS number, and must supply their DUNS Number on the SF-424. The DUNS Number is a nine-digit identification number that uniquely identifies business entities. If you do not have a DUNS Number, you can get one for free through the D&B website: https://fedgov.dnb.com/webform/displayHomePage.do.

Grant recipients authorized to make subawards must meet these 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.

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

(See, Appendix A to 2 CFR section 25.)

Requirement for Registration with SAM Applicants must register with the System for Award Management (SAM) before submitting an application. Find instructions for registering with SAM at https://www.sam.gov.

A recipient must maintain an active SAM registration with current information at all times during which it has an active Federal award or an application under consideration. To remain registered in the SAM database after the initial registration, the applicant is required to review and update the registration at least every 12 months from the date of initial registration or subsequently update its information in the SAM database to ensure it is current, accurate, and complete. For purposes of this paragraph, the applicant is the entity that meets the eligibility criteria and has the legal authority to apply and to receive the award. If an applicant has not fully complied with these requirements by the time the Grant Officer is ready to make a Federal award, the Grant Officer may determine that the applicant is not qualified to receive a Federal award and use that determination as a basis for making a Federal award to another applicant.

2. Project Budget You must complete the SF-424A Budget Information Form (available at:

https://www.grants.gov/web/grants/forms/sf-424-family.html#sortby=1). In https://fedgov.dnb.com/webform/displayHomePage.do https://www.sam.gov/ 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. The Budget Narrative should also include a section describing any leveraged resources provided (as applicable) to support grant activities. Leveraged resources are all resources, both cash and in-kind, in excess of this award. Valuation of leveraged resources follows the same requirements as match. Applicants are encouraged to leverage resources to increase stakeholder investment in the project and broaden the impact of the project itself.

Each category should include the total cost for the period of performance. Use the following guidance for preparing the Budget Narrative.

Personnel: List all staff positions by title (both current and proposed) including the roles and responsibilities. For each position give the annual salary, the percentage of time devoted to the project and the amount of each position’s salary funded by the grant, and the total personnel cost for the period of performance. Do not include names and other personal information in the Budget Narrative.

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

Travel: For grantee staff only, specify the purpose, number of staff traveling, mileage, per diem, estimated number of in-state and out-of-state trips, and other costs for each type of travel.

Equipment: Identify each item of equipment you expect to purchase 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 item, quantity, and the unit cost per item.

Items with a unit cost of less than $5,000 are supplies, not “equipment”. In general, we do not permit the purchase of equipment during the last funded year of the grant.

Supplies: Identify categories of supplies (e.g. office supplies) in the detailed budget and list the item, quantity, and the unit cost per item. Supplies include all tangible personal property other than “equipment” (see 2 CFR 200.94 for the definition of Supplies).

Contractual: Under the Contractual line item, delineate contracts and subawards separately. Contracts are defined according to 2 CFR 200.22 as a legal instrument by which a non-Federal entity purchases property or services needed to carry out the project or program under a Federal award. A subaward, defined by 2 CFR 200.92, means an award provided by a pass-through entity to a subrecipient for the subrecipient to carry out part of a Federal award received by the pass-through entity. It does not include payments to a contractor or payments to an individual that is a beneficiary of a Federal program.

For each proposed contract and subaward, specify the purpose and activities to be provided, and the estimated cost.

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 you must show the costs on other appropriate lines such as Contractual.

Other: Provide clear and specific detail, including costs, for each item so that we are able to determine whether the costs are necessary, reasonable, and allocable.

List any item, such as stipends or incentives, not covered elsewhere here.

Indirect Costs: If you include an amount for indirect costs (through a Negotiated Indirect Cost Rate Agreement or De Minimis) on the SF-424A budget form, then include one of the following:

a) If you have a Negotiated Indirect Cost Rate Agreement (NICRA), provide an explanation of how the indirect costs are calculated. This explanation should include which portion of each line item, along with the associated costs, are included in your cost allocation base. Also, provide a current version of the

NICRA.

or

b) If you intend to claim indirect costs using the 10 percent de minimis rate, please confirm that your organization meets the requirements as described in 2 CFR 200.414(f). Clearly state that your organization has never received a Negotiated Indirect Cost Rate Agreement (NICRA), and your organization is not one described in Appendix VII of 2 CFR 200, paragraph (D)(1)(b).

Applicants choosing to claim indirect costs using the de minimis rate must use Modified Total Direct Costs (see 2 CFR 200.68 below for definition) as their cost allocation base. Provide an explanation of which portion of each line item, along with the associated costs, are included in your cost allocation base. Note that there are various items not included in the calculation of Modified Total Direct Costs. See below the definitions to assist you in your calculation.

2 CFR 200.68 Modified Total Direct Cost (MTDC) means all direct salaries and wages, applicable fringe benefits, materials and supplies, services, travel, and up to the first $25,000 of each subaward (regardless of the period of performance of the subawards under the award). MTDC excludes equipment, capital expenditures, charges for patient care, rental costs, tuition remission, scholarships and fellowships, participant support costs and the portion of each subaward in excess of $25,000. Other items may only be excluded when necessary to avoid a serious inequity in the distribution of indirect costs, and with the approval of the cognizant agency for indirect costs.

The definition of MTDC in 2 CFR 200.68 no longer allows for any sub-contracts to be included in the calculation. You will also note that participant support costs are not included in modified total direct cost. Participant support costs are defined below.

2 CFR 200.75 Participant Support Cost means direct costs for items such as stipends or subsistence allowances, travel allowances, and registration fees paid to or on behalf of participants or trainees (but not employees) in connection with conferences, or training projects.

See Section IV.B.4. and Section IV.E.1 for more information. Additionally, the following link contains information regarding the negotiation of Indirect Cost Rates at DOL: https://www.dol.gov/oasam/boc/dcd/index.htm.

Note that the SF-424, SF-424A, and Budget Narrative must include the entire Federal grant amount requested (not just one year).

Do not show leveraged resources on the SF-424 and SF-424A. You should describe leveraged resources in the Budget Narrative.

Applicants should list the same requested Federal grant amount on the SF-424, SF-424A, and Budget Narrative. If minor inconsistencies are found between the budget amounts specified on the SF-424, SF-424A, and the Budget Narrative, ETA will consider the SF-424 the official funding amount requested. However, if the amount specified on the SF-424 would render the application nonresponsive, the Grant Officer will use his or her discretion to determine whether the intended funding request (and match if applicable) is within the responsive range.

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.

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

The Project Narrative is limited to 20 double-spaced single-sided 8.5 x 11 inch pages with Times New Roman 12 point text font and 1 inch margins.

You must number the Project Narrative beginning with page number 1.

We will not read or consider any materials beyond the specified page limit in the application review process.

The following instructions provide all of the information needed to complete the Project Narrative. Carefully read and consider each section, and include all required information in your Project Narrative. The agency will evaluate the Project Narrative 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 clearly articulate the need for a state workforce longitudinal administrative database including the nature and scope of any identified problems and consequences of not addressing the need.

The state’s launch point must be identified/labeled (as described in Section I.A as LP1, LP2, or LP3) and described.

LP1: Proposals from applicants with new or planned workforce longitudinal administrative database must include a discussion on why the state has decided to develop a workforce longitudinal administrative database and what purpose it will serve.

LP2: Applicants with partially developed workforce longitudinal databases must include a discussion on the current status of the state’s workforce longitudinal administrative database and how this funding will allow for a comprehensive database.

LP3: Applicants with comprehensive databases must include a discussion on the current status of the state’s database and the need to expand the breadth of data collected, particularly workforce data.

Super Grant: Applicants that intend to apply for the super grant opportunity to integrate their workforce longitudinal administrative database with the state case management, performance reporting, and/or fiscal reporting systems first must identify as LP3, having a comprehensive database, and clearly state their intention to apply for the system(s) integration opportunity. In addition to the requirement of discussing the current status and need to expand, as stated in the paragraph above, super grant applicants must clearly describe the need to integrate IT infrastructure across multiple components of state data systems.

All applicants must briefly describe the current status of the state’s SLDS, if any, including any current plans to further develop the state’s SLDS. The status description must include the ability to link K-12 and post-secondary education records to workforce records.

If the applicant is planning to partner with a research entity, or has existing partnerships, the application must describe why the state chose to outsource the activity (e.g., describe limitations of capacity, or decision to maintain an existing partnership).

All applicants must explain plans for sustaining these workforce longitudinal administrative databases beyond the three-year grant period, including how their planned or existing MOUs and Data Sharing Agreements (DSAs) will be renewed with their partners to ensure continued maintenance and analysis of the workforce longitudinal administrative database. Super grant applicants also must propose plans for sustaining integration activities beyond the three-year grant period. Continued Federal funding cannot be guaranteed, so applicants should consider identify alternative funding sources.

(2) Expected Outcomes and Outputs Clearly identify the outcome(s) and output(s) that will result from the project. Outcomes are the measurable results of the project. They are the positive benefits or negative changes or measurable characteristics that occur as a result of project activities or outputs.

Outputs are tangible products or services that result from the project.

For example, say a community college receives a grant to address a need for more workers in all health-related fields. An outcome of the project is an increase in graduates in health-related fields by five percent. An output of the project is the creation of three additional courses in health-related fields.

Applicants must clearly identify and list the proposed outcomes and outputs (i.e., deliverables such as products, features, benchmarks) that will result from the project. These outcomes and outputs must help address the needs and objectives the applicant identified in the Statement of Need. Outputs must be expressed as deliverables that can be shared with the Department at the end of the grant period.

The applicant must provide the state’s objective, in a sentence or two, for each of the following major activities listed below (each item is associated with the appropriate applicant type(s) as noted in parentheses):

• Creating or expanding workforce longitudinal database (all applicants);

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

• Developing or expanding the capacity to match workforce and education data (all applicants);

• Using data for analysis of workforce and education programs (LP3);

• Producing and disseminating workforce training provider performance information and outcomes (LP2 and LP3);

• Creating user-friendly portals to inform consumer choice (LP2 and LP3); and

• Integrating the longitudinal administrative database with an external IT data system such as the performance reporting system (applicants for the super grant opportunity).

(3) Project Design

Applicants must outline a plan that describes the scope and required activities and work necessary to accomplish the project requirements listed below according to the state’s launch point and interest in applying for the system(s) integration opportunity. The project design must include a timeline for the completion of work that will be updated quarterly throughout the grant period of performance.

Applicants must account for all functions or activities identified in the application, cite factors that might accelerate or decelerate the work and state the reason for taking the proposed approach rather than other approaches, and identify any potential barriers and describe how the project will be able to overcome those barriers. DO NOT include proprietary information in the application.

The requirements are broken out by the launch point. Please refer to your launch point section below for your specific requirements.

For Applicants with New or Planned Databases (LP1)

The application must address the following:

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

Applicants must specify the planned layout for the data files that will be contained in the databases. This layout must include the format for the data records and the format and definition of each included data field. Applicants are encouraged to incorporate data elements from the Participant Individual Record Layout (PIRL) for the workforce and education programs required under WIOA.

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

• Personal Identifier:

Applicants must explain how the database will be developed using the social security number (SSN) or tax identification number as a unique personal identifier for individuals entering into the workforce system, in addition to job seekers 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.

For most programs, DOL recognizes that SSNs are collected on a voluntary basis; therefore, DOL understands that the workforce longitudinal administrative databases will be restricted to those individuals having supplied their SSN and thus 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 Family Education Rights and Privacy Act (FERPA) requirements, to unique identifiers in the SLDS. Specifically, for 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.

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

(b) Scope of Longitudinal Workforce Data:

Applicants must list the programs that will be included in the database and the plan to match data across each program. At a minimum, the database must include disaggregated individual-record data (including wage record information) for the following:

• WIOA title I programs;

• Adult Education and Family Literacy (AEFLA) program, authorized under WIOA title II;

• Vocational Rehabilitation (VR) program, authorized under Title I of the Rehabilitation Act, 1973, as amended by WIOA title IV;

• Employment Service program authorized under the Wagner-Peyser Act, as amended by WIOA title III;

• Trade Adjustment Assistance for Workers program under the Trade Act of 1974, title II, as amended, 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; and

• Federal employment data.

Applicants are also encouraged to include data from other education and human services programs such as: Temporary Assistance for Needy Families; Supplemental Nutrition Assistance Program; Registered Apprenticeship; and data from other similar programs that may yield workforce-related outcomes.

(c) Partnership with the State Education Agency Applicants must describe how they will establish or maintain a relationship with the State education agency to link data between education and workforce databases, consistent with FERPA; where applicable, this relationship must include the State education agency leading the SLDS initiative. As specified in Section IV.B.4, the applicant must provide (as an attachment) a signed letter of agreement or letter of intent between the State workforce and education agencies.

(d) Other Inter- and Intra-state Agency Partnerships Participant data may be supplied by organizations within the SWA as well as outside agencies within and across State lines. Partnerships with state economic, human services, and other agencies provide an opportunity to match individual-level data to the workforce longitudinal database. Applicants must describe, in detail, their strategy for developing partnerships with agencies inside and outside the state workforce system. These partnerships include (but are not restricted to) agencies such as the state revenue department, Department of Motor Vehicles, and other agencies outside of the SWA, where UI, WIOA, or other programs are administered in full or in part in that agency.

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.

(e) Data Sharing Agreements (DSA) For each program data set included in the workforce longitudinal administrative database, applicants must submit copies of DSAs with the agencies that are responsible for the collection, retention, use, and release of the programmatic data. DSAs included as attachments to the Project Narrative will not count against the page limit.

The DSA must outline the storage, permissible use, ongoing maintenance, and disposition 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.

DSAs that involve the disclosure of unemployment compensation (UC) information must:

• Include a description of the specific information to be disclosed and the purposes for which the information is sought.

• Include a description of the specific information to be disclosed and the purposes for which the information is sought.

• Require the recipient to use disclosed information only for purposes authorized by law and consistent with the written agreement it entered into meeting the requirements of 20 CFR 603.10.

• Include a description of the methods and timing of requests for information and responses to those requests, including the format to be used.

• Provide for paying the State UC agency for any costs of furnishing the information. Grant funds may be used to pay costs associated with any disclosure of UC information if not more than an incidental amount of staff time and no more than nominal processing costs are involved in making the disclosure.

• Include a statement that those who may receive information under the agreement will be limited to those with…