State Apprenticeship Expansion Formula 3_FOA-ETA-25-31.pdf

U.S. DEPARTMENT OF LABOR

Employment and Training Administration

NOTICE OF AVAILABILITY OF FUNDS AND FUNDING OPPORTUNITY

ANNOUNCEMENT FOR: State Apprenticeship Expansion Formula, Round 3 (SAEF3)

ANNOUNCEMENT TYPE: Initial

FUNDING OPPORTUNITY NUMBER: FOA-ETA-25-31

CATALOG OF FEDERAL DOMESTIC ASSISTANCE (CFDA) NUMBER: 17.285

KEY DATES: The closing date for receipt of applications under this Announcement is 03/18/2025. We must receive applications no later than 11:59 pm Eastern Time.

Submit all applications in response to this solicitation through https://www.grants.gov. For complete application and submission information, including online application instructions, please refer to Section IV.

On approximately February 3, 2025, a Frequently Asked Questions (FAQs) page for this Funding Opportunity will be available at https://www.dol.gov/agencies/eta/grants/apply/find-opportunities. Please check this link frequently for future updates, as additional FAQs may be added.

https://www.dol.gov/agencies/eta/grants/apply/find-opportunities https://www.dol.gov/agencies/eta/grants/apply/find-opportunities

Table of Contents

EXECUTIVE SUMMARY

I. FUNDING OPPORTUNITY DESCRIPTION

A. PROGRAM PURPOSE

B. PROGRAM DESIGN

C. PROGRAM ACTIVITIES

D. PROGRAM AUTHORITY

II. AWARD INFORMATION

A. AWARD TYPE AND AMOUNT

B. PERIOD OF PERFORMANCE

III. ELIGIBILITY INFORMATION

A. ELIGIBLE APPLICANTS

B. COST SHARING

C. OTHER INFORMATION

IV. APPLICATION AND SUBMISSION INFORMATION

A. HOW TO OBTAIN AN APPLICATION PACKAGE

B. CONTENT AND FORM OF APPLICATION SUBMISSION

C. SUBMISSION DATE, TIME, PROCESS AND ADDRESS

D. INTERGOVERNMENTAL REVIEW

E. FUNDING RESTRICTIONS

F. OTHER SUBMISSION REQUIREMENTS

V. APPLICATION REVIEW INFORMATION

A. CRITERIA

B. REVIEW AND SELECTION PROCESS

VI. AWARD ADMINISTRATION INFORMATION

A. AWARD NOTICES

B. ADMINISTRATIVE AND NATIONAL POLICY REQUIREMENTS

C. REPORTING

VII. AGENCY CONTACTS

VIII. OTHER INFORMATION

A. WEB-BASED RESOURCES

B. INDUSTRY COMPETENCY MODELS AND CAREER CLUSTERS

C. WORKFORCEGPS RESOURCES

D. SKILLSCOMMONS RESOURCES

E. REGISTERED APPRENTICESHIP RESOURCES

IX. OMB INFORMATION COLLECTION

APPENDIX A BASE FORMULA FUNDING

APPENDIX B BASE FORMULAS FUNDING AMOUNTS

APPENDIX C SUGGESTED ABSTRACT TEMPLATE

APPENDIX D SUGGESTED PERFORMANCE OUTCOMES AND OUTPUTS TABLE

APPENDIX E SUGGESTED WORK PLAN TEMPLATE

EXECUTIVE SUMMARY

The Employment and Training Administration (ETA), U.S. Department of Labor (DOL, or the Department, or we), announces the availability of approximately $85,000,000 in grant funds authorized by the Further Consolidated Appropriations Act, 2024, Public Law 118-47, Division D, Title I for Round Three of the State Apprenticeship Expansion Formula (SAEF3).

In this round, the Department plans to distribute funds strategically to support the expansion of the National Apprenticeship System. This funding opportunity supports state-identified innovation, sector strategies, and workforce system alignment by assisting new and emerging industries to establish Registered Apprenticeship Programs (RAPs), thereby contributing to a long-term workforce development strategy that promotes prosperity and sustainability.

Of the $85 million available, $50 million will be allocated as Base Formula Funding to states and territories, as defined under 29 CFR 29.2.

Approximately $35 million will be awarded through Competitive Funding. Up to 10 competitive grants will be issued, with individual grants ranging from $1 million to $5 million each.

Applicants may choose to apply for only Base Formula Funding or both Base Formula Funding and Competitive Funding.

SAEF3 Base Formula and Competitive funding both have a period of performance (POP) of 36 months. For more information on the grant POP, please see Section II.B. Period of Performance.

The Department’s goals for the SAEF3 Grant program are to:

1. Help states and territories advance the Registered Apprenticeship system as a workforce development strategy and post-secondary education career pathway that maintains the nation’s strong, adaptable, and highly skilled workforce. This includes promoting employment opportunities in quality jobs, which may be characterized by elements such as offering career progression into family sustaining higher wages; benefits that promote economic security and mobility such as health insurance, retirement, workers’ compensation, paid leave and caregiving supports; and opportunities where employers give workers a voice on the job and a free and fair chance to collectively bargain.

2. Support integrated, statewide Registered Apprenticeship strategies and state and territory capacity to engage industry and meet the demand for new programs in both traditional and emerging industries and occupations within the state, such as the education sector, hospitality, care economy (healthcare, childcare, etc.), technology/cybersecurity, public sector, supply chain sector (logistics; warehouse; transportation; infrastructure; goods movement sectors such as global logistics, rail and other freight-related employment; and manufacturing, including but not limited to the manufacturing of semi-conductors and biomanufacturing), advanced manufacturing (collaborative robotics and additive manufacturing), utilities sector (Water and Wastewater System Operations Specialists and energy occupations), resource management, first responder, disaster resilience, response, and recovery, and other emerging and nontraditional sectors and industries.

3. Allow states and territories to build capacity to significantly increase and facilitate Registered Apprenticeship opportunities from start to completion for all American workers particularly underrepresented populations as established in 29 CFR Part 30, where the population’s participation in RAPs is significantly less than would be reasonably expected given the availability of such individuals for apprenticeship in the relevant industry, occupation, or recruitment area, and underserved communities, including veterans, justice-impacted individuals, youth, and those in rural communities.

4. Strengthen the National Apprenticeship System across state lines through the sharing of long-term Registered Apprenticeship strategies, increasing transparency around operational plans, promoting operational consistency among state apprenticeship agencies while allowing for strategic flexibilities that foster innovation within state systems, and enhancing overall transparency among all Registered Apprenticeship stakeholders.

I. FUNDING OPPORTUNITY DESCRIPTION

A. PROGRAM PURPOSE

As part of the third installment of a longer-term strategic investment plan, the Department will award this round of SAEF grants for (1) Base Formula Funding to all States that apply (contingent upon the submission of a responsive application) and (2) an opportunity to apply separately for additional competitive funding for States. States may apply for Base Formula and Competitive Funding grants through separate applications. In alignment with SAEF1 and SAEF2 grants, applicants have two options when applying for this grant program. Provided is a visual to illustrate the possible combination of funds for which applicants can apply:

Options Actions and Requirements (as applicable) Option 1: Apply for Base Formula Funding only

States may choose to apply for the Base Formula funding. Additional information about Base Formula funding is provided below.

Option 2: Apply for Base Formula Funding and Competitive Funding through separate applications

States applying for competitive funding must also apply for Base Formula funding. If applicants apply for Competitive Funding without applying for Base Formula Funding, they will be considered nonresponsive to this announcement.

If an applicant has already been awarded Competitive Funding under prior SAEF grants (SAEF1 and SAEF2), the applicant is not eligible to apply for Competitive Funding under this announcement.

Additional information about Competitive Funding is provided below.

1. Base Formula Funding will support States and territories in building capacity to implement and expand RAPs and pre-apprenticeships leading to RAPs, consistent with the goals established for the SAEF3 program described in the Executive Summary. Additional information about project narrative and budget narrative requirements and allowable activities are described in Appendix A. Base Formula Funding amounts are specified in Appendix B. Applicants that received the SAEF1 and/or SAEF2 grant(s) base funding and are applying for SAEF3 base funding, must show how they have expended SAEF1 and/or SAEF2 grant funds up to the SAEF3 application deadline.

2. Competitive Funding will support States with immediate readiness to adopt multiple innovative research- and evidence-based elements that expand Registered Apprenticeship, as well as the capacity to expend additional funding that supports innovation, sector strategies, and workforce system alignment. Applicants may refer to Program Activities described below for a list of allowable activities. Section IV.B.3. Project Narrative is only applicable to applicants applying for the Competitive Funding. States must submit separate applications (SF-424, SF- 424A, Abstract, Project Narrative, Budget Narrative, and any other relevant application materials) for the Base Formula Funding and Competitive Funding, if applicable. Subject to available funding, States that apply for and are awarded a competitive grant will be able to receive this competitive funding one time (not on an annual basis).

B. PROGRAM DESIGN

While SAEF3 grantees and their strategies will be unique to specific needs, demographics, and geographic location, each State will share a set of common design elements. These common design elements include the requirements for RAPs and the quality framework for pre-apprenticeship programs described in Training and Employment Notice (TEN) No. 23-23.

Registered Apprenticeship Programs

RAPs are a proven model of job preparation, validated by DOL or a DOL-recognized State Apprenticeship Agency (SAA), which combine paid On-the-Job Learning (OJL) with a mentor, with Related Instruction (RI) to progressively increase workers’ skill levels and wages. RAPs are also a business-driven model that provide an effective way for employers to recruit, train, and retain highly skilled workers. RAPs allow workforce partners, educators, and employers to develop and apply industry standards to training programs, thereby increasing the skills, quality, and productivity of the workforce. Graduates of RAPs receive nationally recognized, portable credentials, and their training may be applied toward further post-secondary education.

RAPs are authorized under the National Apprenticeship Act of 1937 (29 U.S.C. 50 et seq.) and the program is implemented via regulations at 29 C.F.R. Parts 29 and 30. The Office of Apprenticeship (OA), in conjunction with SAAs, registers programs for federal purposes, ensures that RAPs meet applicable federal and State laws and regulations covering RAPs, issues certificates of completion to apprentices, encourages the development of new programs through outreach and technical assistance, protects the safety and welfare of apprentices, and ensures equal employment opportunity for apprentices.

Applicants may refer to https://www.apprenticeship.gov/employers/registered-apprenticeship-program for more information on the key elements of a RAP.

Quality Pre-apprenticeship Programs https://www.dol.gov/sites/dolgov/files/ETA/advisories/TEN/2023/TEN%2023-23/TEN%2023-23.pdf https://www.apprenticeship.gov/employers/registered-apprenticeship-program https://www.apprenticeship.gov/employers/registered-apprenticeship-program

A pre-apprenticeship program (29 CFR 30.2) is a training model designed to assist individuals who do not currently possess the minimum academic or skills requirements for selection into an apprenticeship program to meet the minimum selection criteria established in a program sponsor’s apprenticeship standards required under part 29 of this chapter (29 CFR part 29) and which maintains at least one documented partnership with a RAP. It involves a form of structured workplace education and training in which an employer, employer group, industry association, labor union, labor management partnership, community-based or faith-based organization, or educational institution collaborate to provide formal instruction that will introduce participants to the competencies, skills, and materials used in one or more occupations.

For the purposes of this FOA, pre-apprenticeship programs must include the following five elements to be considered a quality pre-apprenticeship program:

1. Partnership with RAP sponsors. Quality pre-apprenticeship programs should be designed and delivered with input from at least one RAP sponsor. A pre-apprenticeship program’s educational and pre-vocational services prepare individuals to meet the entry requisites of one or more RAPs and occupations.

2. Sustainability through partnerships. To support their ongoing sustainability, quality pre-apprenticeship programs establish partnerships with entities to collaboratively promote the use of RAPs as a preferred means for employers to develop a skilled workforce and to create quality career opportunities and pathways for individuals.

Partnerships may include RAP sponsors, DOL-funded intermediaries who develop programs or provide training to programs, community and faith-based organizations, advocacy organizations that represent underserved populations, labor organizations, joint labor-management organizations, educational institutions (including high schools and community colleges), and the public workforce system.

3. Meaningful training combined with hands-on experience replicating a workplace that does not displace paid employees. Quality pre-apprenticeships provide hands-on training to individuals in a workplace, simulated lab experience, or work-based learning environment, which does not supplant a paid employee, but effectively simulates the industry and occupational conditions and standards of the partnering RAPs while observing proper supervision and safety protocols. Pre-apprenticeship programs ideally provide opportunities to obtain an industry-recognized credential, as well as potential stipends or wages when funding allows.

4. Access to career and supportive services. Quality pre-apprenticeship programs provide or otherwise ensure access to career and supportive services during the program, which may continue after a pre-apprentice enters a RAP. Services may include both financial and non-financial supports such as stipends, career counseling, career exploration, mentoring, transportation assistance, childcare, dependent care, rehabilitative services, textbooks, tools, emergency grants, and other types of services necessary for an individual to succeed in pre-apprenticeship programs and RAPs.

5. Strategies that increase Registered Apprenticeship opportunities for underrepresented or underserved populations facing significant barriers to employment in the Registered Apprenticeship labor force.

Pre-apprenticeship expansion efforts include, but are not limited to, the following:

1. Growing the pre-apprenticeship model into the in-demand industries (please refer to priority industries and occupations listed in the Executive Summary) and expanding on the use of the pre-apprenticeship model in the Workforce Innovation and Opportunity Act (WIOA) and other workforce or education programs that lead to RAP enrollment during the grant period of performance;

2. Supporting Registered Apprenticeship Equal Employment Opportunity efforts and the recruitment of underrepresented populations and underserved communities into pre-apprenticeship programs. These efforts can also include extending pre-apprenticeship programs for new populations and into new communities, including rural and urban neighborhoods; and

3. Building on existing pre-apprenticeship program expansion efforts already in place to maximize the use of resources and minimize the duplication of efforts, ultimately ensuring the core customers of the Registered Apprenticeship system are served efficiently.

Pre-apprenticeship programs funded through this grant must directly lead to enrollment in RAPs during the grant POP. Pre-apprenticeship programs funded under this grant should ensure that the skills and competencies being developed align with industry needs. It is allowable and encouraged for grant-funded pre-apprentice completers to receive grant-funded services in a

RAP.

C. PROGRAM ACTIVITIES

This section applies to applicants applying for competitive funding.

Applicants applying for the Competitive Funding option must expand upon the work plan for the Base Formula Funding option. Applicants must serve a statewide geographic scope. The geographic scope is the physical service area in which awarded applicants will serve participants. The expanded work plan must:

1. Contain pertinent data to show and consider shortages and/or saturation in occupations.

DOL wants to ensure States receive appropriate funding and resources to build up and expand their Registered Apprenticeship ecosystem.

2. Consider the State population distribution and describe how the State can increase access to and facilitate RAPs from start to completion. This includes plans to meet Utilization Goals for individuals with disabilities under 29 C.F.R. 30.7.

3. Describe how pipelines to opportunities across industries will be built and how the State intends to reach new and emerging industries and occupational sectors, and how States will build buy-in from stakeholders.

4. Include a detailed description of activities the applicant plans to initiate, charting out quarterly milestones for the 36-month POP. When an applicant applies for, and receives, subsequent rounds of funding in later years, subject to the availability of funding, they will update and/or make changes in their Project Narrative, Budget Narrative, and

SF424A.

In addition to the expanded work plan described above, applicants for the Competitive Funding option must select a minimum of two activities from the list below. These activities support 1) State innovation, 2) sector strategies, and 3) workforce system alignment.

1. Provide a range of training services that support individuals, particularly from underrepresented populations and underserved communities, enrolled in a RAP, that may include Related Instruction reimbursement; OJL reimbursement; development of curricula and standards for apprenticeship; online and technology-based learning;

accelerated and competency-based training that integrates academic and occupational skills training; and apprenticeship training costs and other supportive services. (See Section IV.E. Funding Restrictions for more information).

2. Provide incentive funding to employers to support new or expand existing RAPs in targeted industries.

3. Plan and implement a Pay-for-Performance (PFP) model, a payment model that provides financial incentives for meeting certain performance measures and outcomes. For more information, see Section IV.E. Funding Restrictions, “Use of Funds for Pay-for- Performance (PFP) Models.”

4. Establish statewide intermediaries or industry hubs to facilitate the adoption and expansion of RAPs, including but not limited to developing new occupations, providing TA, and adding employers.

5. Provide direct funding for a range of pre-apprenticeship programs that lead to enrollment in a RAP. Includes pre-apprenticeship activities that support underrepresented populations and underserved communities and increase opportunities to create career pathways for youth and adults.

6. Expand RAP opportunities for youth (between the ages of 16 and 24). Includes establishing and expanding partnerships that commit to expanding RAPs and/or pre-apprenticeship programs that lead to RAP enrollment for youth through coordination with industry, workforce intermediaries, labor organization, State Educational Agencies (SEAs) and Local Educational Agencies (LEAs), community colleges, youth-serving and community-based organizations, CTE programs, and other stakeholders.

7. Assist industries in creating RAPs for entry level occupations that are critical to the nation and develop strong career pathways or incumbent worker strategies that encourage employees to stay and grow through upskilling and credential attainment.

8. Promote innovation within RAPs to assist individuals with disabilities, such as increasing awareness and use of assistive technology and other new and emerging technology, as appropriate, as well as targeted outreach, recruitment, and retention activities identified in 29 C.F.R. 30.8.

9. Strategizing and implementing employer engagement methodologies to increase RAP adoption for in-demand industries and occupations within the State; conducting internal assessments as the basis of continuous improvement (i.e., improving time frame for registering new programs); and committing to data sharing, system change, and governance requirements to comply with the law and ensure a strong and modernized Registered Apprenticeship system.

D. PROGRAM AUTHORITY

The Further Consolidated Appropriations Act, 2024, Public Law 118-47, Division D, Title I authorizes this program. This appropriation allows the Department to award funds to "expand opportunities through RAPs only registered under the National Apprenticeship Act." Recipients must spend these funds on activities that will create or assist in the creation of RAPs. This program will support the development of new, or the expansion of existing, RAPs, as described in 29 CFR Parts 29 and 30, or the development of new, or the expansion of existing, pre-apprenticeship programs that lead to enrollment in a RAP within the grant period of performance.

II. AWARD INFORMATION

A. AWARD TYPE AND AMOUNT

Funding will be provided in the form of a grant.

For SAEF3 funding, we expect availability of approximately $85 million to award to States, as defined under 29 CFR 29.2, with Base Formula Funding described in Appendix B and up to 10 additional grants through the competitive portion of this announcement described above. You may apply for: (1) an amount up to the Base Funding amount specified in Appendix B, or (2) the Base Funding amount specified in Appendix B plus a separate application for a ceiling amount of up to $5 million for the competitive portion. Awards made under this Announcement are subject to the availability of federal funds. If additional funds become available, we reserve the right to use such funds to select additional grantees from applications submitted in response to this Announcement. The Department reserves the right to change this amount depending on the quantity and quality of applications submitted.

B. PERIOD OF PERFORMANCE

The period of performance is 36 months with an anticipated start date of 07/01/2025. This performance period includes all necessary implementation and start-up activities.

As specified in the Executive Summary, both funding options (Base Formula and Competitive) will have a grant Period of Performance (POP) of 36 months. The Department is committed to awarding Base Formula Funding (based on a formula) and providing opportunities for eligible States to apply for Competitive Funding (i.e., those that have not previously received SAEF1 and SAEF2 Competitive Funding). Continuation of funding to grantees is subject to the discretion of DOL and contingent upon the availability of funds, satisfactory progress of the grantee’s project, and adequate stewardship of federal funds. DOL intends to provide funding on an ongoing basis contingent upon the availability of such funds.

III. ELIGIBILITY INFORMATION

A. ELIGIBLE APPLICANTS

The term “State” means any of the 50 States of the United States, District of Columbia, or any Territory or possession of the United States, as defined under 29 CFR 29.2 “State”. For the purposes of this FOA, the eligible 54 U.S. States and territories include all 50 States of the United States, District of Columbia, and territories and whose Active Apprentices exceeds 100 apprentices, i.e., Guam, Puerto Rico, and American Samoa. Only States with more than 100 active registered apprentices (as of FY 24 data) are eligible to apply for both the Base and Competitive funds. Territories that have fewer than 100 active registered apprentices, i.e. The Commonwealth of the Northern Mariana Islands and The U.S. Virgin Islands, may only apply for the base funding of up to $75,000 and are not eligible to apply for competitive funding. To view the Office of Apprenticeship’s FY 2024 Data and Statistics, please visit https://www.apprenticeship.gov/data-and-statistics.

https://www.apprenticeship.gov/data-and-statistics

States (the Governor’s, or other chief elected officials, Office) must identify the State agency that will be the grant recipient (e.g., State Workforce Agency eligible for funding under Title I of the Workforce Innovation and Opportunity Act (WIOA), State Educational Agency, or an SAA).

Only this entity will have responsibility for administering the project and will serve as the grant’s fiscal agent. For States with federally recognized SAAs, the SAA must be included as a partner if the State agency applicant is not the SAA, and the partnership must be documented in the application through a letter of commitment from the Head of the SAA. Each State is limited to one Base Formula Funding application and one Competitive Funding application (if not previously awarded Competitive Funding under SAEF1 or SAEF2) for consideration under this opportunity.

A letter from the Governor (or other chief elected official) must be included in both the Base Formula Funding application and the Competitive Funding application to designate the Agency authorized to submit the State’s application(s). This letter must also demonstrate the State’s commitment to this grant effort. Specifically, the letter must:

1. Describe specifically how the Governor or chief elected official plans to support the expansion of quality and innovative RAPs being developed or expanded.

2. Designate the State agency to be the recipient of the award(s). For States with federally recognized SAAs, the SAA must be included as a partner if the State agency applicant is not the SAA. For States that do not have a federally recognized SAA, the State must commit to work in partnership with the federal Office of Apprenticeship within the State.

Any applications that do not include this letter will be considered nonresponsive; further, Competitive Funding applications that do not include this letter will be considered non-responsive and will not move forward through the merit review process. If more than one State entity applies from a State, ETA, in consultation with the Governor (or other chief elected official), will make the determination as to which agency's application will be considered. Only one Base Formula Funding award and Competitive Funding award per State will be executed.

A State awarded Competitive Funding under SAEF1 or SAEF2 is not eligible to apply for Competitive Funding under this announcement.

This letter from the Governor or other chief elected official must be submitted as an attachment and clearly labeled as “Governor’s Letter.”

Letters sent separately from the application will not be considered.

Optional Partners: May include, but are not limited to, relevant organizations from the following list: tribal nations; Community Based Organization (CBO) or Minority Serving Institution (MSI) or Minority Serving Institutions’ Organization or Association (MSIs are defined as HBCUs, HSIs, AANAPISIs, Tribal Colleges, and institutions with a primary focus on serving persons with disabilities and/or those in rural communities); workforce intermediaries, such as workforce development boards, labor unions and labor-management organizations, and private non-profit service providers; other organizations to support outreach and training activities, such as: industry-led training organizations, industry intermediaries, unions, or non-profit educational organizations; Small Business Development Centers; American Job Centers;

community organizations that provide social support and/or wrap-around/supportive services;

YouthBuild programs; foundations and philanthropic organizations; WIOA programs; federally-funded employment programs; adult education and higher-education partners; disability service providers; faith-based organizations; State agencies administering federal funding from the Departments of Transportation, Defense, Commerce, Veterans Affairs, Education, Health and Human Services, Interior’s Bureau of Indian Affairs, and Agriculture; State transportation agencies; and any other State agency administering a federally-funded program that would help the grantee further the goals of the Department.

B. COST SHARING

This program does not require cost sharing. Including such funds is not one of the application screening criteria and applications that include any form of cost sharing 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 Requirements Instructions Complete?

The deadline submission requirements are met Section IV.C

Eligibility Section III.A 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

The Application for Federal Assistance request for Base Formula Funding does not exceed the amount specified in

Appendix B

II.A

The Application for Federal Assistance request for Competitive Funding does not exceed $5 million (if applicable)

II.A

SF-424, Application for Federal Assistance for Base Formula Funding

Section IV.B.1

SF-424, Application for Federal Assistance for Competitive Funding (if applicable)

Section IV.B.1

SF-424 forms include a Unique Entity Identifier (UEI) Section IV.B.1 SF-424A, Budget Information Form for Base Formula

Funding option Section IV.B.2

Application Requirements Instructions Complete?

SF-424A, Budget Information Form for Competitive

Funding option (if applicable) Section IV.B.2

Governor's Letter for Base Formula Funding option Section

III.A

Governor's Letter For Competitive Funding option (if

Section III.A

Letter from Head of SAA where the SAA is a required partner Section III.A

Abstract for Base Formula Funding option Section

IV.5

Abstract for Competitive Funding option (if applicable) Section

IV.5

Budget Narrative for Base Formula Funding option Section

IV.B.2

Budget Narrative for Competitive Funding option (if

Section IV.B.2

Project Narrative for Base Formula Funding detailed in Appendix A

Appendix A

Project Narrative for Competitive Funding (if applicable) Section IV.B.3 State Work plan Appendix A or Section IV.B.3.c.(1)

2. Number of Applications Applicants May Submit

We will consider only one Base Formula Funding application and one Competitive Funding application from each organization. If we receive multiple applications of either the Base Formula Funding or Competitive Funding from the same organization, we will only consider the most recently received application that met the deadline.

3. Eligible Participants

For the purposes of this grant program, eligible participants are persons 16 years of age and older who receive a direct, grant-funded service. The purpose of these funds is to support new apprentices, individuals interested in entering a RAP, individuals in pre-apprenticeship programs leading to enrollment in a RAP, retention of registered apprentices, and apprentices completion of a RAP. To encourage active apprentices to stay in their program and increase retention, grant funds may be used for registered apprentices already enrolled in a RAP.

Participants may be directly served with grant funds under the Base Formula Funding option.

However, targets for participants served will not be required for Base Formula Funding.

Applicants must set targets for Participant and Apprentice Outcomes and Expanding Registered Apprenticeship Program Outputs for the Competitive Funding option. Please see Section

IV.B.3.b Expected Outcomes and Outputs and Appendix D Suggested Performance Outcomes and Outputs Table. If applicants select activities that do not directly result in Participant Outcomes or Program Outputs, they must propose targets related to their proposed activities.

For the purposes of the SAEF3 FOA, reportable individuals are not participants. A “reportable individual” is 1) an individual that has been impacted by the development or expansion of a grant-funded registered apprenticeship program; and 2) is enrolled in a RAP; and 3) is at least 16 years old. This individual is enrolled in a RAP that was developed or expanded with grant funds and is, therefore, impacted by the grant, but does not receive a direct, grant-funded participant-level service. For the purposes of this FOA, the target under “Participant and Apprentice Outcomes” entitled “Total number of individuals enrolled in a RAP that was developed using SAEF grant funds” is the target for reportable individuals. For reporting purposes, participants as well as reportable individuals are reported into WIPS.

Among the individuals eligible to receive services, the Department is particularly interested in the following groups:

• Unemployed workers: For the purposes of this FOA, we define “unemployed worker” as an individual who is without a job and who wants and is available to work. This can include the long-term unemployed, such as individuals who have been unemployed for six months or more, and youth who have dropped out of school and are seeking their first full-time job.

• Dislocated workers: For the purposes of this FOA, this term refers to individuals who were terminated or laid-off or have received a notice of termination or lay-off from employment or were self-employed but are now unemployed.

• Incumbent workers: For the purposes of this FOA, incumbent workers are individuals already in a registered apprenticeship program (i.e., they are currently a registered apprentice) before enrollment in the grant. To qualify as an incumbent worker, an individual must have an established and documented employment history with the employer associated with the RAP for six months or more.

• Underemployed workers: This term refers to individuals who are not currently connected to a full-time job commensurate with the individual’s level of education, skills, or wage and/or salary earned previously, or who have obtained only episodic, short-term, or part-time employment.

You may also propose projects that could include some services for individuals who do not fall into one of the four targeted categories listed above, as long as services for these individuals align with the primary intent and focus of the proposed project and support placement into a RAP within the grant period of performance. This includes proposing projects to meet Utilization Goals for Individuals with Disabilities under 29 C.F.R. 30.7. As noted in 30.7(a), "The Administrator of OA has established a utilization goal of 7 percent for employment of qualified individuals with disabilities as apprentices for each major occupation group within which the sponsor has an apprenticeship program" (eCFR :: 29 CFR Part 30 -- Equal Employment Opportunity in Apprenticeship). While this is permissible, you may only provide services to a limited number of individuals who do not fall into one of the four targeted categories listed above, and your project must still primarily focus on providing services to workers in one or more of those four targeted categories.

https://www.ecfr.gov/current/title-29/subtitle-A/part-30 https://www.ecfr.gov/current/title-29/subtitle-A/part-30 https://www.ecfr.gov/current/title-29/subtitle-A/part-30

Veterans’ Priority for Participants

38 U.S.C. 4215 requires grantees to provide priority of service to veterans and spouses of certain veterans for the receipt of employment, training, and placement services in any job training program directly funded, in whole or in part, by DOL. The regulations implementing this priority of service are at 20 CFR Part 1010. In circumstances where a grant recipient must choose between two qualified candidates for a service, one of whom is a veteran or eligible spouse, the veterans’ priority of service provisions require that the grant recipient give the veteran or eligible spouse priority of service by first providing him or her that service. To obtain priority of service, a veteran or spouse must meet the program’s eligibility requirements. Grantees must comply with DOL guidance on veterans’ priority.

ETA’s Training and Employment Guidance Letter (TEGL) No. 10-09 (issued November 10, 2009) provides guidance on implementing priority of service for veterans and eligible spouses in all qualified job training programs funded in whole or in part by DOL. TEGL No.

10-09 is available at https://www.dol.gov/agencies/eta/advisories/training-and-employment-guidance-letter-no-10-09.

IV. APPLICATION AND SUBMISSION INFORMATION

A. HOW TO OBTAIN AN APPLICATION PACKAGE

This FOA, found at www.Grants.gov and https://www.dol.gov/agencies/eta/grants/apply/find-opportunities 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. 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.

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/forms/forms-repository/sf-424-family).

• 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 organization’s legal name on the SF-424 should match its name registered in the System for Award Management at www.sam.gov. If unsure of the legal name of your organization, visit www.sam.gov to confirm.

https://www.dol.gov/agencies/eta/advisories/training-and-employment-guidance-letter-no-10-09 https://www.dol.gov/agencies/eta/advisories/training-and-employment-guidance-letter-no-10-09 http://www.Grants.gov https://www.dol.gov/agencies/eta/grants/apply/find-opportunities https://www.dol.gov/agencies/eta/grants/apply/find-opportunities https://www.grants.gov/forms/forms-repository/sf-424-family https://tools.usps.com/go/ZipLookupAction!input.action http://www.sam.gov http://www.sam.gov

• The organization’s Employer Identification Number (EIN) and Unique Entity Identification (UEI) Number should match its information in www.sam.gov. If unsure of the EIN or UEI of your organization, visit www.sam.gov to confirm.

• 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/forms/forms-repository/sf-424-family). You do not need to submit the SF-424B with the application.

a. Requirement for Unique Entity Identifier

All applicants for federal grant funding must have a Unique Entity Identifier (UEI) and must supply their UEI on the SF-424. The UEI is a 12-character (alpha-numeric) code that uniquely identifies all entities. Any entity registering to do business with the government is required to have one. UEIs are issued by SAM.gov and are a part of an entity's record in the Entity Information section of SAM.gov. If you do not have a UEI, you can get one for free at https://sam.gov.

Grant recipients authorized to make subawards must meet these requirements related to UEI:

• Grant recipients must notify potential subawardees that no entity may receive a subaward unless the entity has provided its UEI.

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

(See Appendix A to 2 CFR Part 25.)

b. 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 grants.gov/forms/forms-http://www.sam.gov http://www.sam.gov https://www.grants.gov/forms/forms-repository/sf-424-family https://sam.gov https://www.sam.gov https://www.grants.gov/forms/forms-repository/sf-424-family repository/sf-424-family). In preparing the Budget Information Form, you must provide a concise narrative explanation to support the budget request, explained in detail below.

a. 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 estimated cost for the period of performance. Use the following guidance for preparing the Budget Narrative.

Personnel: List all staff positions by title (including individuals hired by an employment contract) 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.

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 estimated costs for each type of travel.

Equipment: Identify each item of equipment you expect to purchase that has an estimated acquisition cost of $10,000 or more per unit (or if your capitalization level is less than $10,000, use your capitalization level) and a useful lifetime of more than one year (see 2 CFR Part 200.1 for the definition of Equipment). List the item, quantity, and the unit cost per item.

Items with a unit cost of less than $10,000 are supplies, not “equipment.” In general, we do not permit the purchase of equipment during the last funded year of the grant.

Supplies: Identify the cost of supplies (e.g., general office supplies, desk/chairs, laptops/printers, other specialty items) in the detailed budget per category. Except for general office supplies, list the item, quantity, and the unit cost per item. Supplies include all tangible personal property other than “equipment” (see 2 CFR Part 200.1 for the definition of Supplies).

Contractual: Under the Contractual line item, delineate contracts and subawards separately.

Contracts are defined according to 2 CFR Part 200.1 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 Part 200.1 means an award provided by a pass-through entity to a subrecipient for the subrecipient to contribute to the goals and objectives of the project by carrying 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.

https://www.grants.gov/forms/forms-repository/sf-424-family

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 items, such as stipends or incentives, not covered elsewhere.

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 15 percent de minimis rate, please confirm that your organization meets the requirements as described in 2 CFR Part 200.414(f). Clearly state that your organization does not have a current negotiated (including provisional) rate, and is not one described in 2 CFR Part 200, Appendix VII(D)(1)(b).

Applicants choosing to claim indirect costs using the de minimis rate must use Modified Total Direct Costs (defined by DOL below) 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 the definitions below to assist you in your calculation.

• Modified Total Direct Cost (MTDC) Definition: To avoid a serious inequity in the distribution of indirect costs, DOL defines MTDC as all direct salaries and wages, applicable fringe benefits, materials and supplies, services, travel, and up to the first $50,000 of each subaward or subcontract (regardless of the period of performance of the subawards and subcontracts 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 or subcontract in excess of $50,000.

• You will also note that participant support costs are not included in modified total direct costs. Participant support costs are defined below.

• 2 CFR Part 200.1 Participant Support Cost means direct costs that support participants (see definition for Participant in § 200.1) and their involvement in a Federal award, such as stipends, subsistence allowances, travel allowances, registration fees, temporary dependent care, and per diem paid directly to or on behalf of participants.

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/agencies/oasam/centers-offices/office-of-the-senior-procurement-executive/cost-price-determination-division.

Indirect-type costs (such as top management salaries, financial oversight, human resources, payroll, personnel, auditing costs, accounting and legal, etc. used for the general oversight and administration of the organization) must not be classified as direct costs; these types of costs are recovered as part of charging the de minimis or NICRA rate. 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.