Dislocated-worker grant application pilot

CLASSIFICATION
     EMPLOYMENT AND TRAINING ADMINISTRATION               WIOA - DWG
                 ADVISORY SYSTEM                          CORRESPONDENCE SYMBOL
            U.S. DEPARTMENT OF LABOR                      OWI
               Washington, D.C. 20210                     DATE
                                                          August 17, 2016

ADVISORY:              TRAINING AND EMPLOYMENT GUIDANCE LETTER NO. 6-16

TO:                    STATE AND LOCAL STAKEHOLDERS IN THE WORKFORCE
                       INNOVATION AND OPPORTUNITY ACT
                       STATE WORKFORCE AGENCIES
                       STATE AND LOCAL WORKFORCE BOARDS AND CHAIRS
                       INDIAN AND NATIVE AMERICAN PROGRAM GRANTEES

FROM:                  PORTIA WU /s/
                       Assistant Secretary

SUBJECT:               Guidance for WIOA Employment Recovery Dislocated Worker Grant
                       (DWG) Alternative Application Submission Pilot

1.      Purpose. The purpose of this program guidance is to provide information and instructions
        on how to participate in a pilot to test an alternative method for applying for a Layoff
        Dislocated Worker Grant (DWG).

        The Employment and Training Administration (ETA) seeks to pilot an alternative method
        for applying for a DWG through www.grants.gov that better aligns with this agency’s
        overall grant processes and requirements.

        ETA intends to accept nine DWG applications through this alternative method of
        application submission. Applications under this pilot will be accepted on a first come –
        first serve basis. Only applicants filing for a DWG from DOL, as authorized by
        Workforce Innovation and Opportunity Act (WIOA) Section 170(b)(1)(A) (hereinafter
        referred to as “Employment Recovery Dislocated Worker Grants for Mass Layoffs and
        Plant Closures”) may use this pilot. Applications for disasters, trade impacted workers,
        dislocated service members and emergency dislocations must be submitted using the
        current DWG electronic application system (e-System) accessible to States and Agencies.
        Upon receipt of nine fundable applications, ETA will close this submission method and
        will remove this TEGL from www.grants.gov. At the end of this pilot, ETA will study the
        effectiveness of using the alternative method for submission and consider the possible
        effectiveness of the pilot on this and other categories of DWGs.

        The current DWG e-System, through which we receive and modify DWG grant
        applications, will remain available for applicants to apply for DWG grants during and
        after this pilot period. At the conclusion of the pilot, if ETA finds this method for
        submission is successful, it will consider phasing out the e-System. Before we make such
        a phase out, we will officially notify and provide guidance to the workforce system
        through a TEGL.


 RESCISSIONS                                              EXPIRATION DATE
 None                                                     Continuing


     Please note that WIOA became law on July 22, 2014, superseding Titles I and II of the
     Workforce Investment Act (WIA) of 1998, and amending the Wagner-Peyser Act and the
     Rehabilitation Act of 1973. The Departments of Labor and Education published a set of
     proposed regulations for implementing WIOA through the posting of five Notice of
     Proposed Rulemakings (NPRMs). These NPRMs were open for public comment until
     June 15, 2015, and the Federal agencies have reviewed, analyzed, and considered all the
     comments received. The Departments made unofficial versions of the Final Rules, both
     the Joint Final Rule and the program specific Final Rules, publically available in June
     2016 while they were under review with the Office of the Federal Register (OFR) so that
     stakeholders could begin to prepare for implementing changes imposed by the final
     regulations. These unofficial versions of the Final Rules may vary slightly from the
     official published documents if minor technical or formatting changes are made during the
     OFR review process. The effective date for both the Joint Final Rule for Unified and
     Combined State Plans, Performance Accountability, and the One-Stop System Joint
     Provisions (Joint Final Rule) and DOL’s Final Rule to implement Titles I and III of WIOA
     is officially 60 days after the date of publication of the Final Rules in the Federal Register,
     which is expected shortly.

2.   References. See Attachment I of this TEGL.

3.   Background. To continue implementation, the Department is issuing a series of WIOA
     Operating Guidance documents which inform the workforce system of the important
     planning and organizational work necessary to comply with the WIOA statutory
     requirements. The Operating Guidance TEGLs provide a framework for program
     activities, and this TEGL is one in a series of the WIOA Operating Guidance.

     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: Section 188 of
     the WIOA, which prohibits discrimination against all individuals in the United States on
     the basis of race, color, religion, sex, national origin, age, disability, political affiliation or
     belief, and against beneficiaries on the basis of either citizenship/status as a lawfully
     admitted immigrant authorized to work in the United States or participation in any WIOA
     Title I—financially assisted program or activity; Title VI of the Civil Rights Act of 1964,
     as amended, which prohibits discrimination on the basis of race, color and national origin;
     Section 504 of the Rehabilitation Act of 1973, as amended, which prohibits discrimination
     against qualified individuals with disabilities; the Age Discrimination Act of 1975, as
     amended, which prohibits discrimination on the basis of age; and Title IX of the Education
     Amendments of 1972, as amended, which prohibits discrimination on the basis of sex in
     educational programs. The grant applicant also assures that it will comply with 29 CFR
     Part 37 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.

4.   Submission Guidance. See Attachment II of this TEGL.


5.   Changes. The DWG program purpose, eligibility requirements and allowable activities
     remain the same as outlined in TEGL No. 02-15 “Operational Guidance of National
     Dislocated Worker Grants, pursuant to the WIOA.” However, the application submission
     requirements under this pilot provides for changes to these parts:
            1. The application must be submitted electronically through www.grants.gov;
            2. The application must consist of the following:
                  SF-424 “Application for Federal Assistance;”
                  SF-424A Project Budget;
                  Budget Narrative;
                  Project Narrative (limited to 20 double-spaced, single sided, 8.5 x 11
                    inches with Times New Roman 12 point text font); and
                  Attachments to the Project Narrative. The application requires two
                    attachments – Abstract and DWG Program Summary. These documents
                    will summarize the project scope, outcomes, common measures, and cost
                    per participant.

     Attachment II of this document provides detailed instruction for submission of the
     application and for each of the components listed above.
6.   Inquiries. Direct questions as follows:
     Programmatic - Crystal Antiri at [email protected]
     Submission – Diane Easterling at [email protected]

7.   Attachments.
     Attachment I: References
     Attachment II: Submission Guidance
     Attachment III: Project Summary

Attachment (official PDF: https://www.dol.gov/sites/dolgov/files/ETA/advisories/TEGL/2016/TEGL_6-16_Attachment_1_Acc.pdf)

Attachment I

                                  References

   WIOA (Pub. L. 113-128) Title I
   TEGL No. 2 -15, Operational Guidance for National Dislocated Worker Grants,
    pursuant to the Workforce Innovation and Opportunity Act (WIOA or Opportunity
    Act), dated July 1, 2015
   Workforce Investment Act: National Emergency Grants – Application Procedures,
    Federal Register Notice, Vol. 69, No. 81, pages 23052-23081, dated April 27, 2004
   TEGL No. 17-05, Common Measures Policy for the Employment and Training
    Administration’s (ETA) Performance Accountability System and Related Performance
    Issues, dated February 17, 2006
   TEGL No.10-09, Implementing Priority of Service for Veterans and Eligible Spouses
    in all Qualified Job Training Programs Funded in whole or in part by the U.S.
    Department of Labor (DOL), dated November 10, 2009
   TEGL 15-10, Increasing Credential, Degree, and Certificate Attainment by
    Participants of the Public Workforce System, dated December 15, 2010
   TEN 49-11, Reporting on Attainment of Industry Recognized Credentials, dated June
    6, 2012

Attachment (official PDF: https://www.dol.gov/sites/dolgov/files/ETA/advisories/TEGL/2016/TEGL_6-16_Attachment_2_Acc.pdf)

Attachment II

        SUBMISSION GUIDANCE FOR EMPLOYMENT RECOVERY
            DISLOCATED WORKER GRANTS (DWG) PILOT


EXECUTIVE SUMMARY:
The Employment and Training Administration (ETA), U.S. Department of Labor (DOL, or the
Department, or we), announces a pilot for an alternative DWG application process that should
only be used for those seeking an Employment Recovery DWG for mass layoffs or plant
closures. Applications for disasters, emergency dislocations, Trade - impacted workers, and
military service members must continue to use the Dislocated Worker Grant electronic
application system (e-System).

PROGRAM PURPOSE
Employment Recovery DWGs are discretionary awards that temporarily expand service capacity
at the State and local levels through time-limited funding assistance in response to major
economic dislocations under section 170(b)(1)(A) of the Workforce Innovation and Opportunity
Act (WIOA). These DWGs provide direct services and assistance to dislocated workers.

The purpose of this program is to temporarily expand capacity to serve dislocated workers, in
order to meet the increased demand for WIOA employment and training services. The goal of
these services is to enhance the employability and earnings of the laid off workers, helping them
to find sustainable jobs. For applications under this TEGL, the significant dislocation event must
be a mass layoff or plant closure affecting 50 or more workers.

The DWG program provides funding to temporarily expand service capacity at the state and
local levels in response to significant dislocation events. Significant events are those that create
a sudden need for assistance that one cannot reasonably expect accommodation within the on-
going operations of the formula-funded Dislocated Worker program, including the discretionary
resources reserved at the state level.

ALLOWABLE ACTIVITIES
Career services, as defined in WIOA section 134(c)(2), are allowable and may include outreach,
intake, labor exchange services, initial and comprehensive assessments, referrals, provision of
labor market information, provision of information on eligible training providers, and provision
of information on the availability of supportive services.

Training services, as defined in WIOA section 134(c)(3), are allowable and may include
occupational training, on-the-job training, entrepreneurial training, customized training, and
transitional jobs as defined in WIOA section 134(d)(5). For on-the-job training, grantees may
use DWG funds to reimburse up to 50 percent of the wage rate for on-the-job training
participants, and up to 75 percent if certain criteria are met as outlined in WIOA section
134(c)(3)(H). The use of DWG funds for training are subject to the same limitations or
requirements as delineated in WIOA and its implementing regulations.

Transitional jobs provide subsidized work experiences and are an allowable training service for
DWG participants. WIOA section 134(d)(5) sets an expenditure cap on transitional jobs of ten


percent of the amount of funds provided to a local area to carry out the Adult and Dislocated
Worker programs in the area for a program year. This requirement is extended to DWGs.

Supportive services, as defined in WIOA section 134(d)(2), are allowable for DWG participants
receiving career services and training services. The use of DWG funds for supportive services is
subject to the requirements delineated in WIOA section 134(d)(3) and the terms and conditions
of the grant.

PROGRAM AUTHORITY
This program is authorized by WIOA section 170(b)(1)(A).

AWARD INFORMATION
DOL expects this pilot to fund up to nine Employment Recovery DWGs for Mass Layoffs and
Plant Closures. Awards made under this pilot are subject to the availability of Federal funds.
DOL can fund applications for DWGs in whole or in part. DOL typically awards DWGs on an
incremental basis with the release of subsequent funding increments based on demonstrated
need, as evidenced by enrolled participants, accrued expenditures and a reasonable cost per
participant. ETA uses the quarterly ETA 9130 financial reports submitted by grantees to monitor
such accrued expenditures. Grantees may request funding for DWGs after they have expended
70 percent of the prior Program Year Dislocated Worker Formula funds award. Cash
disbursements from the Federal level to the grantees, which are tracked in real time via the
Payment Management System (PMS), may also be used to verify the usage of funds between
quarterly reporting periods. Additionally, the grantee must provide an explanation/justification
for additional funding that addresses how the funds will be used, as well as any changes in
project requirements that do not align with the initial planning assumptions. Since the ETA 9130
does not delineate local expenditures, local board applicants must provide documentation in the
application supporting a 70 percent expenditure rate.

DOL provides further guidance on financial management and reporting definitions in ETA
TEGL 28-10, “Federal Financial Management and Reporting Definitions”, which we will update
to include changes affected by the release of the Uniform Guidance at 2 CFR Part 200 and the
DOL exceptions at 2 CFR Part 2900.

If a DWG project funding need exceeds the approved award amount, a grantee may request
supplemental funding to complete the project. Similar to the release of incremental funding, the
award of supplemental funds is based on demonstrated need, as evidenced by enrolled
participants, accrued expenditures and a reasonable cost per participant. ETA will neither review
nor approve a request for supplemental funding, if the 70 percent expenditure rate has not been
met.

Once awarded, modifications, supplemental and incremental requests must be submitted as
follows:
       o Modifications - Must be submitted directly to the Federal Project Officer
       o Incremental - Must be submitted directly to the Federal Project Officer
       o Supplemental - Must be submitted using Grants.gov as instructed in this guidance

Additional information on the grant terms mentioned above can be found in TEGL 02-15
“Operational Guidance of National Dislocated Worker Grants, pursuant to the Workforce
Innovation and Opportunity Act (WIOA or Opportunity Act).”


PERIOD OF PERFORMANCE
Generally, planned durations for DWG projects should not exceed 24 months. However, DWG
funds may be expended during the months remaining in the program year in which the award is
made, plus the subsequent two program years. (A program year is the twelve-month period from
July 1 through June 30.)

ELIGIBILITY
DWG applications should be submitted within 120 days of a qualifying significant dislocation
event to facilitate the timely delivery of reemployment services to the affected workers. The
targeted participants are eligible for assistance upon notification of layoff (receipt of an
individual layoff notice or the date of the company’s layoff announcement), or the date of the
layoff itself.

APPLICANTS
Eligible applicants for DWG funds include:

    1. A designated state or outlying area WIOA program agency;
    2. Local Workforce Development Board;
    3. Entities eligible to receive funding under 166(c) of WIOA (the Indian and Native
      American Program provision);
    4. Entities determined to be appropriate by the Governor of the State or outlying area
      involved; and
    5. Entities that demonstrate to the Secretary of Labor the capability to effectively respond to
      circumstances relating to particular dislocations.

In cases where the state is not the applicant, ETA expects the applicant to work collaboratively
with their respective state workforce development agency to ensure that Rapid Response efforts
are coordinated, and to assist in subsequent performance and fiscal reporting requirements where
the state is responsible for data collection and report submission.

PARTICIPANTS
In order to be eligible to receive employment and training assistance under an Employment
Recovery DWG for Mass Layoffs and Plant Closures, an individual must be:

        1.    A dislocated worker;
        2.    A civilian employee of the Department of Defense or the Department of Energy
           employed at a military installation that is being closed, or that will undergo
           realignment, within the next 24 months after the date of the determination of
           eligibility;
        3.    An individual who is employed in a non-managerial position with a Department of
           Defense contractor, who is determined by the Secretary of Defense to be at risk of
           termination from employment as a result of reductions in defense expenditures, and
           whose employer is converting operations from defense to nondefense applications in
           order to prevent worker layoffs; or
        4.    A member of the Armed Forces who--
           a. was on active duty or full-time National Guard duty;
           b. is involuntarily separated (as defined in section 1141 of title 10, United States
              Code) from active duty or full-time National Guard duty; or


           c. is separated from active duty or full-time National Guard duty pursuant to a special
              separation benefits program under section 1174a of title 10, United States Code, or
              the voluntary separation incentive program under section 1175 of that title;
           d. is not entitled to retired or retained pay incident to the separation described in
              subclause (b); and
           e. applies for such employment and training assistance before the end of the 180-day
              period beginning on the date of that separation.

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 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 http://wdr.doleta.gov/directives/corr_doc.cfm?DOCN=2816 .

APPLICATION AND SUBMISSION INFORMATION
HOW TO OBTAIN AN APPLICATION PACKAGE
Please find the links and forms needed to apply for grant funding through this pilot application
process at: www.grants.gov and http://www.doleta.gov/grants/find_grants.cfm

CONTENT AND FORM OF APPLICATION SUBMISSION
Applications submitted in response to this must consist of five separate and distinct parts:

   (1) SF-424 “Application for Federal Assistance;”
   (2) SF-424A Project Budget;
   (3) Budget Narrative;
   (4) Project Narrative; and
   (5) Attachments to the Project Narrative
The applicant 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
       http://apply07.grants.gov/apply/forms/sample/SF424_2_1-V2.1.pdf.
     In the address field, fill out the 9 digit (plus hyphen) zip code. 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
http://apply07.grants.gov/apply/forms/sample/SF424B-V1.1.pdf). 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 29 CFR 37.20.

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:
http://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.

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 can 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 will contact the applicant directly to discuss next steps.

(2) SF-424A Project Budget
The applicant must complete the SF-424A Budget Information Form (available at:
http://apply07.grants.gov/apply/forms/sample/SF424A-V1.0.pdf). In preparing the Budget
Information Form, you must provide a concise narrative explanation to support the budget
request, explained in detail below.

(3) Budget Narrative
Budget Narrative: The budget narrative must provide a description of costs associated with each
line item on the SF-424A.


Use the following guidance for preparing the budget narrative:

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

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

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

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 quantity and 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
quantity and unit cost per item. Supplies include all tangible personal property other than
“equipment” (see 2 CFR 200.94 for the definition of Supplies).

Contractual: Identify each proposed contract, including project operators, and specify its
purpose and estimated cost. If applicable, identify any subrecipient agreements, including
purpose and estimated costs. See 2 CFR 200.308(c)(6) for more information on the distinction
between contractor and subrecipient.

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

Indirect Costs: If you include indirect costs in the budget, then include either:

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

      or

      b) if you meet the requirements to use the 10% de minimis rate as described in 2 CFR
      200.414(f), then include a description of the modified total direct costs base (see 2 CFR
      200.68 for definition) used in the calculation along with the amount of the base, and the
      total indirect costs requested based on the 10% de minimis rate. See Section 5 under
      “Funding Restrictions” for more information. Additionally, the following link contains


      information regarding the negotiation of Indirect Cost Rates at DOL:
      http://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).

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.

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

The Project Narrative is limited to 20 double-spaced, single-sided, 8.5 x 11 inch pages with
Times New Roman 12 point text font and 1 inch margins. We will not read or consider any
materials beyond the specified 20-page limit in the application review process. You must
number the Project Narrative beginning with page number 1.

The following instructions provide all of the information needed to complete the Project
Narrative. Carefully read and consider each section, and include all required information in your
Project Narrative. You must use the same section headers identified below for each section of
the Project Narrative:

   a. Statement of Need
   Applicants must clearly describe the need for services in quantitative and qualitative terms.
   Specifically, applicants must address the need as outlined below:

   Type of Dislocation
   The applicant must describe the type of dislocation (i.e. Single, Industry-Wide, or
   Community Impact) this application will address.
   • Single – Dislocation at one or more companies where the dislocation from each company
     impacts 50 or more workers. If at least one company has a dislocation of 50 or more
     workers, companies with smaller dislocations may be included if the primary event caused
     or contributed to the smaller dislocations.

   • Industry -Wide – Multiple company dislocations from companies in the same industry as
     determined by the two-digit code level in the North American Industrial Classification
     System (NAICS). Dislocations of less than 50 workers may be included in an industry-
     wide DWG application when at least one company of 50 or more is included in the
     application and the additional companies are in the same NAICS two-digit code level.

   • Community Impact – Multiple small dislocations occurring over a period of up to twelve
     months that have significantly increased the total number of unemployed individuals in a
     designated regional or local workforce area. Community impact grants typically serve


      rural areas where the employer base is predominantly smaller companies with less than 50
      employees each. The project must have a total of 50 impacted workers.

   A description of the dislocation event must also be included, specifically,
           The date(s) of the event and cause and effect of the worker dislocations.
           If there is more than one employer dislocation and if they are related (same
              industry, a manufacturer/supplier relationship, located in the same rural area,
              etc.).
           If additional dislocations are expected, the applicant must describe the anticipated
              impact on the local area.

   The applicant must provide the following information for each employer to be included in the
   project:
        Company Name
        Address
        Type of Lay-Off Notification and Date(s) (i.e.: WARN, Public Announcement,
           Other)
        Layoff Date(s)
        Number of workers affected
        Number of Planned participants
        Labor Organization Representation

Rapid Response Activities
Describe how outreach was provided to the affected workers and if Rapid Response surveys
were collected to determine the level of need for reemployment services. The narrative should
also explain how the number of planned participants was determined.

The applicant must also describe how the information provided in the Rapid Response surveys
was used to support the requested funding amount, including the education and training needs of
the affected workers, as well as the workers’ interest in participating in education and training.
The applicant must describe whether the layoff event or plant closure will necessitate the use of a
transition center or if one has already been established.

Also required is a description of the affected workers’ expected barriers to employment, their
occupational and transferable needs, and their need for supportive services. If Rapid Response
surveys were not collected, the applicant must discuss if participants have already sought
reemployment services through American Job Centers or a transition center, and how the
planned participant number and needs were determined in the absence of Rapid Response data.

If more than four months have passed since the outreach was provided, the applicant must
provide an explanation of why there is still an expectation that these workers will seek
reemployment services via the proposed DWG project.

The Affected Labor Market
The applicant must discuss the affected area’s high-growth industries/in-demand occupations,
including other initiatives in process (e.g. economic development, workforce development)
which align with this proposed DWG project.


   b. Expected Outcomes and Outputs
   Clearly identify the outcomes that will result from the project. Outcomes are the measurable
   results of the project. The description must address how the anticipated outcomes will be
   achieved, and how they may benefit the identified participants.

      The number of planned participants entering employment at exit (second and fourth
       quarters after exit), planned median earnings, planned credential rate and planned
       measurable skill gains rate for participants.

      A calculation of the total cost per participant: (DWG funding request / total planned
       participants = total cost per participant).

      A breakdown of the projected enrollments and expenditures for each of the project’s
       reemployment services. This information must include costs, number of participants and
       cost per participant for each of the following activities:
           o Career Services
           o Training
           o Work-based Learning
           o Transitional Jobs
           o Supportive Services
           o Needs Related Payment

For your convenience, we have included a format (Attachment III) that may be used to provide
this information. This format is not required; however, it is included as a guide to assist in your
response to this requirement.

   c. Project Design
   The applicant must propose methods that the project will use to address the stated outcomes,
   outline a plan that describes the scope and details of how the project will accomplish the
   proposed work, and include timelines for completion of that work. At a minimum, the
   applicant must include:

   Explanation of the service delivery mechanisms.
      o Identify the proposed project operator(s) and the service area for each.
              The number of participants each project operator will serve
              The project operator funding level
              The project operator start and end date
      o Explain how services will be delivered (American Job Centers, transition centers,
         etc.).
      o Note if services will be delivered across state borders, and if Memoranda of
         Understanding (MOUs) are in place.
      o Request the use of applicable waivers for the DWG project.
      o Identify how services will be aligned and coordinated with other workforce
         development initiatives that may be in place to serve the targeted population.

   Description of Services that will be provided.
      o Career services
      o Supportive services (These services must reflect local area policy)


       o Training/education to be provided via those entities on the Eligible Training Provider
         List (ETPL).
       o Work-based learning opportunities to be provided (Registered Apprenticeships, on-
         the-job training, customized training, etc.)

   d. Budget and Budget Justification
   Applicants must provide a project budget and budget narrative based on the activities
   outlined in the project narrative. At a minimum, an applicant must:
   • demonstrate how proposed expenditures will help support project activities;
   • describe costs associated with each line item on the SF-424A; and
   • include a description of which costs will be paid by the grant.

(5) Attachments to the Project Narrative
In addition to the Project Narrative, you must submit the required attachments identified below.
Clearly label all attachments as “Attachments.” We will only exclude those attachments listed
below from the page limit.

Save all files with descriptive file names of 50 characters or less and only use standard characters
in file names: A-Z, a-z, 0-9, and underscore (_). File names may not include special characters
(e.g. &,–,*, %,/,#), periods (.), blank spaces or accent marks, and must be unique (i.e., no other
attachment may have the same file name). You may use an underscore (example:
my_Attached_File.pdf) to separate a file name.

Required Attachments
You must include the following attachments with the application package.

a. Abstract
   You must submit an up to two-page abstract summarizing the proposed project, including, but
   not limited to, the scope of the project and proposed outcomes. The abstract must include the
   applicant’s name, applicant’s city and state, project type and title, qualifying event, funding
   request, project service area, targeted sectors, number of participants to be served, the total
   cost per participant, description of other aligned initiatives, the proposed project summary and
   project point of contact information. The abstract is limited to two-page double-spaced single
   sided 8.5x11 inch pages with 12 point text font and 1 inch margins. When submitting in
   grants.gov, this document must be uploaded as an attachment to the application package and
   specifically labeled “Abstract.”

b. DWG Program Summary
   Applicants provide information on the WIOA primary indicators of performance and cost per
   participants enrolled in the project. Applicants must identify the planned employment rate for
   both the 2nd and 4th quarters after exit, median earnings in the 2nd quarter after exit, credential
   rate, and measureable skill gains rate for participants in the project and breakdown the cost per
   participant for all career and training services to be provided during the project. The summary
   must include an estimate of planned enrollments and expenditures for project services.
   (Attachment III) Indirect Cost Rate Agreement: If you are requesting indirect costs based on
   a Negotiated Indirect Cost Rate Agreement approved by your Federal Cognizant Agency,
   attach the most recently approved Agreement.


  Needs Related Payment (NRP) Policy: If you are requesting NRPs, attach the state and/or
  local policy and procedures: Please note, NRPs offered in a DWG must adhere to the state
  and/or local area policies and procedures that are in place for all customers, and may not be
  specifically created for DWG participants.

FUNDING RESTRICTIONS
All proposed project costs must be necessary and reasonable and in accordance with Federal
guidelines. Determinations of allowable costs will be made in accordance with the Cost
Principles, now found in the Office of Management and Budget (OMB) Uniform Administrative
Requirements, Cost Principles, and Audit Requirements for Federal Awards (Uniform
Guidance), codified at 2 CFR Part 200 and at 2 CFR Part 2900 (Uniform Guidance-DOL
specific). Disallowed costs are those charges to a grant that the grantor agency or its
representative determines not to be allowed in accordance with the Cost Principles or other
conditions contained in the grant. Applicants, whether successful or not, will not be entitled to
reimbursement of pre-award costs.

Indirect Costs
As specified in the Uniform Guidance Cost Principles, indirect costs are those that have been
incurred for common or joint objectives and cannot be readily identified with a particular final
cost objective. An indirect cost rate is required when an organization operates under more than
one grant or other activity, whether Federally-assisted or not. You have two options to claim
reimbursement of indirect costs.

Option 1: You may use a NICRA or Cost Allocation Plan (CAP) supplied by the Federal
Cognizant Agency. If you do not have a NICRA/CAP or have a pending NICRA/CAP, and in
either case choose to include estimated indirect costs in your budget, at the time of award the
Grant Officer will release funds in the amount of 10% of salaries and wages to support indirect
costs. Within 90 days of award, you must submit an acceptable indirect cost proposal or CAP to
your Federal Cognizant Agency to obtain a provisional indirect cost rate. (See Section IV.B.4.
for more information on NICRA submission requirements.)

Option 2: Any organization that has never received a negotiated indirect cost rate, with the
exceptions noted at 2 CFR 200.414(f) in the Cost Principles, may elect to charge a de minimis
rate of 10% of modified total direct costs (see 2 CFR 200.68 for definition) which may be used
indefinitely. If you choose this option, this methodology must be used consistently for all
Federal awards until such time as you choose to negotiate for an indirect cost rate, which you
may apply to do at any time. (See 2 CFR 200.414(f) for more information on use of the de
minimis rate.) For WIOA grants, all costs charged as a result of the de minimis rate will be
counted towards the administrative cost limitation specified below.

Administrative Costs
An entity that receives a grant to carry out a DWG project or program may not use more than 10
percent of the amount of the grant to pay administrative costs associated with the program or
project. If the state is the grantee and one or more local areas operate the DWG program, the
state may retain up to five percent of the award amount for administrative costs and the project
operator(s) may retain up to 10 percent of the award amount (for a total of 15 percent).
Administrative costs may be negotiated with the applicant. If the direct recipient/grantee is also
the project operator, the administrative cost limit is 10 percent.


For grants that are incrementally funded, the administrative limitations apply to each increment.
Administrative costs are defined in WIOA section 3(1). The Grant Award terms and conditions
will specify the limitation of administrative costs. Administrative costs do not need to be
identified separately from program costs on the SF-424A Budget Information Form. However,
they must be tracked through the recipient’s accounting system. To claim any administrative
costs that are also indirect costs, the applicant must obtain an Indirect Cost Rate Agreement from
its Federal Cognizant Agency or be eligible to use the 10 percent de minimis rate, as specified
above.

Salary and Bonus Limitations
None of the funds appropriated under the heading “Employment and Training” in the
appropriation statute(s) may be used by a recipient or subrecipient of such funds to pay the salary
and bonuses of an individual, either as direct costs or indirect costs, at a rate in excess of
Executive Level II. This limitation does not apply to contractors providing goods and services as
defined in the Audit Requirements of the OMB Uniform Guidance (see 2 CFR 200 Subpart F).
Where States are recipients of such funds, States may establish a lower limit for salaries and
bonuses of those receiving salaries and bonuses from subrecipients of such funds, taking into
account factors including the relative cost-of-living in the State, the compensation levels for
comparable State or local government employees, and the size of the organizations that
administer Federal programs involved including Employment and Training Administration
programs. See Public Law 113-235, Division G, Title I, section 105, and Training and
Employment Guidance Letter number 05-06 for further clarification:
http://wdr.doleta.gov/directives/corr_doc.cfm?DOCN=2262.

Intellectual Property Rights
Pursuant to 2 CFR 2900.13, to ensure that the Federal investment of DOL funds has as broad an
impact as possible and to encourage innovation in the development of new learning materials,
the grantee will be required to license to the public all work created with the support of the grant
under a Creative Commons Attribution 4.0 (CC BY) license. Work that must be licensed under
the CC BY includes both new content created with the grant funds and modifications made to
pre-existing, grantee-owned content using grant funds.

This license allows subsequent users to copy, distribute, transmit and adapt the copyrighted work
and requires such users to attribute the work in the manner specified by the grantee. Notice of
the license shall be affixed to the work. For general information on CC BY, please visit
http://creativecommons.org/licenses/by/4.0.

Instructions for marking your work with CC BY can be found at
http://wiki.creativecommons.org/Marking_your_work_with_a_CC_license.

Questions about CC BY as it applies to this specific funding opportunity should be submitted to
the ETA Grants Management Specialist specified in section VII.

Only work that is developed by the recipient in whole or in part with grants funds is required to
be licensed under the CC BY license. Pre-existing copyrighted materials licensed to, or
purchased by the grantee from third parties, including modifications of such materials; remain
subject to the intellectual property rights the grantee receives under the terms of the particular
license or purchase. In addition, works created by the grantee without grant funds do not fall
under the CC BY license requirement.


The purpose of the CC BY licensing requirement is to ensure that materials developed with
funds provided by these grants result in work that can be freely reused and improved by others.
When purchasing or licensing consumable or reusable materials, the grantee is expected to
respect all applicable Federal laws and regulations, including those pertaining to the copyright
and accessibility provisions of the Federal Rehabilitation Act.

Separate from the CC BY license to the public, the Federal Government reserves a paid-up,
nonexclusive and irrevocable license to reproduce, publish, or otherwise use, and to authorize
others to use for Federal purposes: i) the copyright in all products developed under the grant,
including a subaward or contract under the grant or subaward; and ii) any rights of copyright to
which the recipient, subrecipient or a contractor purchases ownership under an award (including,
but not limited to, curricula, training models, technical assistance products, and any related
materials). Such uses include, but are not limited to, the right to modify and distribute such
products worldwide by any means, electronically or otherwise. The grantee may not use Federal
funds to pay any royalty or license fee for use of a copyrighted work, or the cost of acquiring by
purchase a copyright in a work, where the Department has a license or rights of free use in such
work. If revenues are generated through selling products developed with grant funds, including
intellectual property, DOL treats such revenues as program income. Such program income is
added to the grant and must be expended for allowable grant activities.

If applicable, the following needs to be on all products developed in whole or in part with grant
funds:
        “This workforce product was funded by a grant awarded by the U.S.
        Department of Labor’s Employment and Training Administration. The
        product was created by the grantee and does not necessarily reflect the
        official position of the U.S. Department of Labor. The U.S. Department of
        Labor makes no guarantees, warranties, or assurances of any kind, express
        or implied, with respect to such information, including any information on
        linked sites and including, but not limited to, accuracy of the information or
        its completeness, timeliness, usefulness, adequacy, continued availability, or
        ownership. This product is copyrighted by the institution that created it.”

Review and Selection Process
The Grant Officer, in conjunction with ETA staff, will carefully review applications against the
DWG operating guidance.

Grants awarded will be based on the applicant’s signature on the SF-424, including electronic
signature via E-Authentication on http://www.grants.gov, which constitutes a binding offer by
the applicant.

AWARD ADMINISTRATION INFORMATION
Award Notices
ETA will post all award notifications on the ETA Homepage (http://www.doleta.gov).
Recipients/grantees will receive a Grant Award package which will include an executed copy of
the DWG Agreement and a Notice of Award (NOA) that will indicate the effective date for the
use of funds and any special terms and conditions.


Administrative Program Requirements
All grantees will be subject to all applicable Federal laws, regulations—including the OMB’s
Uniform Guidance, and the terms and conditions of the award. The grant(s) awarded under this
will be subject to the following administrative standards and provisions:
      a. Non-Profit Organizations, Educational Institutions, For-profit entities and State, Local
         and Indian Tribal Governments – 2 CFR Part 200 (Uniform Administrative
         Requirements, Cost Principles, and Audit Requirements for Federal Awards) and 2 CFR
         2900 (DOL’s Supplement to 2 CFR Part 200).
      b. All recipients must comply with the applicable provisions of the Workforce Innovation
         and Opportunity Act (WIOA), Public Law No. 113-328, 128 Stat. 1425 (codified as
         amended at 29 U.S.C. 3101 et seq.)1 . Note that section 186(a) of WIOA allows
         unsuccessful applicants to file administrative appeals.
      c. All entities must comply with 29 CFR Part 93 (New Restrictions on Lobbying), 29 CFR
         Part 94 (Government-wide Requirements for Drug-Free Workplace (Financial
         Assistance)), 29 CFR Part 98 (Government-wide Debarment and Suspension, and drug-
         free workplace requirements), and, where applicable, 2 CFR Part 200 (Audit
         Requirements).
      d. 29 CFR Part 2, subpart D—Equal Treatment in Department of Labor Programs for
         Religious Organizations; Protection of Religious Liberty of Department of Labor Social
         Service Providers and Beneficiaries.
      e. 29 CFR Part 31—Nondiscrimination in Federally Assisted Programs of the Department
         of Labor—Effectuation of Title VI of the Civil Rights Act of 1964.
      f. 29 CFR Part 32—Nondiscrimination on the Basis of Handicap in Programs or Activities
         Receiving Federal Financial Assistance.
      g. 29 CFR Part 35— Nondiscrimination on the Basis of Age in Programs or Activities
         Receiving Federal Financial Assistance from the Department of Labor.
      h. 29 CFR Part 36—Nondiscrimination on the Basis of Sex in Education Programs or
         Activities Receiving Federal Financial Assistance.
      i. 29 CFR Part 38—Implementation of the Nondiscrimination and Equal Opportunity
         Provisions of the Workforce Innovation and Opportunity Act.
      j. 29 CFR Parts 29 and 30—Labor Standards for the Registration of Apprenticeship
         Programs, and Equal Employment Opportunity in Apprenticeship and Training, as
         applicable.
      k. General Terms and Conditions of Award—See the following link:
         http://www.doleta.gov/grants/pdf/2015template.pdf.
      l. Special Terms and Conditions of Award - If applicable, special terms and conditions will
         be included in the award package.

Other Legal Requirements

Religious Activities
The Department notes that the Religious Freedom Restoration Act (RFRA), 42 U.S.C. Section
2000bb, applies to all Federal laws and their implementation. If an applicant organization is a
faith-based organization that makes hiring decisions on the basis of religious belief, it may be
entitled to receive Federal financial assistance under WIOA Title I and maintain that hiring
practice even though Section 188 of the Act contains a general ban on religious discrimination in

1
    Please see footnote 1 regarding the applicability of WIOA and its implementing regulations.


employment. If a faith-based organization is awarded a grant, the agency will provide the
organization with information on how to request such an exemption.

Lobbying or Fundraising the U.S. Government with Federal Funds
In accordance with Section 18 of the Lobbying Disclosure Act of 1995 (Public Law 104-65) (2
U.S.C. 1611), non-profit entities incorporated under Internal Revenue Service Code Section
501(c) (4) that engage in lobbying activities are not eligible to receive Federal funds and grants.
No activity, including awareness-raising and advocacy activities, may include fundraising for, or
lobbying of, U.S. Federal, State or Local Governments (see 2 CFR 200.450 for more
information).

Transparency Act Requirements
You must ensure that you have the necessary processes and systems in place to comply with the
reporting requirements of the Federal Funding Accountability and Transparency Act of 2006
(Pub. Law 109-282, as amended by section 6202 of Pub. Law 110-252) (Transparency Act), as
follows:

     Except for those excepted from the Transparency Act under sub-paragraphs 1, 2, and 3
      below, you must ensure that you have the necessary processes and systems in place to
      comply with the subaward and executive total compensation reporting requirements of
      the Transparency Act, should they receive funding.
     Upon award, you will receive detailed information on the reporting requirements of the
      Transparency Act, as described in 2 CFR Part 170, Appendix A, which can be found at
      the following website: http://edocket.access.gpo.gov/2010/pdf/2010-22705.pdf

The following types of awards are not subject to the Federal Funding Accountability and
Transparency Act:
    (1) Federal awards to individuals who apply for or receive Federal awards as natural
        persons (i.e., unrelated to any business or non-profit organization he or she may own or
        operate in his or her name);
    (2) Federal awards to entities that had a gross income, from all sources, of less than
        $300,000 in the entities' previous tax year; and
    (3) Federal awards, if the required reporting would disclose classified information.
Safeguarding Data Including Personally Identifiable Information (PII)
Applicants submitting applications in response to this must recognize that confidentiality of PII
and other sensitive data is of paramount importance to the Department of Labor and must be
observed except where disclosure is allowed by the prior written approval of the Grant Officer or
by court order. By submitting an application, you are assuring that all data exchanges conducted
through or during the course of performance of this grant will be conducted in a manner
consistent with applicable Federal law and TEGL NO. 39-11 (issued June 28, 2012). All such
activity conducted by ETA and/or recipient/s will be performed in a manner consistent with
applicable state and Federal laws.

By submitting a grant application, you agree to take all necessary steps to protect such
confidentiality by complying with the following provisions that are applicable in governing their
handling of confidential information:
        1. You must ensure that PII and sensitive data developed, obtained, or otherwise
          associated with DOL/ETA funded grants is securely transmitted.


2. To ensure that such PII is not transmitted to unauthorized users, all PII and other
    sensitive data transmitted via e-mail or stored on CDs, DVDs, thumb drives, etc., must
    be encrypted using a Federal Information Processing Standards (FIPS) 140-2
    compliant and National Institute of Standards and Technology (NIST) validated
    cryptographic module. You must not e-mail unencrypted sensitive PII to any entity,
    including ETA or contractors.
3. You must take the steps necessary to ensure the privacy of all PII obtained from
    participants and/or other individuals and to protect such information from
    unauthorized disclosure. You must maintain such PII in accordance with the ETA
    standards for information security described in TEGL NO. 39-11 and any updates to
    such standards we provide to you. Grantees who wish to obtain more information on
    data security should contact their Federal Project Officer.
4. You must ensure that any PII used during the performance of your grant has been
    obtained in conformity with applicable Federal and state laws governing the
    confidentiality of information.
5. You further acknowledge that all PII data obtained through your ETA grant must be
    stored in an area that is physically safe from access by unauthorized persons at all
    times and the data will be processed using recipient issued equipment, managed
    information technology (IT) services, and designated locations approved by ETA.
    Accessing, processing, and storing of ETA grant PII data on personally owned
    equipment, at off-site locations e.g., employee’s home, and non-recipient managed IT
    services, e.g., Yahoo mail, is strictly prohibited unless approved by ETA.
6. Your employees and other personnel who will have access to
    sensitive/confidential/proprietary/private data must be advised of the confidential
    nature of the information, the safeguards required to protect the information, and that
    there are civil and criminal sanctions for noncompliance with such safeguards that are
    contained in Federal and state laws.
7. You must have policies and procedures in place under which your employees and
    other personnel, before being granted access to PII, acknowledge their understanding
    of the confidential nature of the data and the safeguards with which they must comply
    in their handling of such data as well as the fact that they may be liable to civil and
    criminal sanctions for improper disclosure.
8. You must not extract information from data supplied by ETA for any purpose not
    stated in the grant agreement.
9. Access to any PII created by the ETA grant must be restricted to only those employees
    of the grant recipient who need it in their official capacity to perform duties in
    connection with the scope of work in the grant agreement.
10. All PII data must be processed in a manner that will protect the confidentiality of the
    records/documents and is designed to prevent unauthorized persons from retrieving
    such records by computer, remote terminal or any other means. Data may be
    downloaded to, or maintained on, mobile or portable devices only if the data are
    encrypted using NIST validated software products based on FIPS 140-2 encryption. In
    addition, wage data may only be accessed from secure locations.
11. PII data obtained by the recipient through a request from ETA must not be disclosed to
    anyone but the individual requestor except as permitted by the Grant Officer or by
    court order.
12. You must permit ETA to make onsite inspections during regular business hours for the
    purpose of conducting audits and/or conducting other investigations to assure that you
    are complying with the confidentiality requirements described above. In accordance


       with this responsibility, you must make records applicable to this Agreement available
       to authorized persons for the purpose of inspection, review, and/or audit.
    13. You must retain data received from ETA only for the period of time required to use it
       for assessment and other purposes, or to satisfy applicable Federal records retention
       requirements, if any. Thereafter, you agree that all data will be destroyed, including
       the degaussing of magnetic tape files and deletion of electronic data.
Record Retention
You must follow Federal guidelines on record retention, which require you to maintain all
records pertaining to grant activities for a period of at least three years from the date of
submission of the final expenditure report. See 2 CFR 200.333-.337 for more specific
information, including information about the start of the record retention period for awards
that are renewed quarterly or annually, and when the records must be retained for more than
three years.
Use of Contracts and Subawards
You must abide by the following definitions of contract, contractor, subaward, and
subrecipient:
    Contract: Contract means a legal instrument by which a non-Federal entity (defined as a
    state, local government, Indian tribe, institution of higher education (IHE), nonprofit
    organization, for-profit entity, foreign public entity, or a foreign organization that carries
    out a Federal award as a recipient or subrecipient) purchases property or services needed
    to carry out the project or program under a Federal award. The term as used in this FOA
    does not include a legal instrument, even if the non-Federal entity considers it a contract,
    when the substance of the transaction meets the definition of a Federal award or
    subaward (see definition of Subaward below).

    Contractor: Contractor means an entity that receives a contract as defined above in
    Contract.
    Subaward: Subaward means an award provided by a pass-through entity (defined as a
    non-Federal entity that provides a subaward to a subrecipient to carry out part of a
    Federal program) 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. A subaward may
    be provided through any form of legal agreement, including an agreement that the pass-
    through entity considers a contract.
    Subrecipient: Subrecipient means a non-Federal entity that receives a subaward from a
    pass-through entity to carry out part of a Federal program; but does not include an
    individual that is a beneficiary of such program. A subrecipient may also be a recipient
    of other Federal awards directly from a Federal awarding agency.
    You must follow the provisions at 2 CFR 200.330-.332 regarding subrecipient
    monitoring and management. Also see 2 CFR 200.308(c)(6) regarding prior approval
    requirements for subawards. When awarding subawards, you are required to comply
    with provisions on government wide suspension and debarment found at 2 CFR Part 180
    and codified by DOL at 29 CFR Part 98.


Closeout of Grant Award
Any entity that receives an award under this Announcement must close its grant with ETA at
the end of the final year of the grant. Information about this process may be found in ETA’s
Grant Closeout FAQ located at http://www.doleta.gov/grants/docs/GCFAQ.pdf.

OTHER ADMINISTRATIVE STANDARDS AND PROVISIONS
Except as specifically provided in this guidance, our acceptance of an application and an award
of Federal funds to sponsor any programs(s) does not provide a waiver of any grant
requirements and/or procedures. For example, the OMB Uniform Guidance requires that an
entity’s procurement procedures ensure that all procurement transactions are conducted, as
much as practical, to provide full and open competition. If an application identifies a specific
entity to provide goods or services, the award does not provide the justification or basis to sole
source the procurement, i.e., avoid competition.

SPECIAL PROGRAM REQUIREMENTS
ETA Evaluation
The program or project will be required to participate in an evaluation of overall performance
of ETA grants and require the cooperation of the recipient as a condition of award.
Performance Goals
Please note that applicants will be held to outcomes provided and failure to meet those
outcomes may result in technical assistance or other intervention by ETA, and may also have a
significant impact on decisions about future grants with ETA.

REPORTING
You must meet DOL reporting requirements. Specifically, you must submit the reports and
documents listed below to DOL electronically:
Quarterly Financial Reports
A Quarterly Financial Status Report (ETA 9130) is required until such time as all funds have
been expended or the grant period has expired. Quarterly reports are due 45 days after the end
of each calendar year quarter. On the final Financial Status Report, you must include any
subaward amounts so we can calculate final indirect costs, if applicable. You must use DOL’s
Online Electronic Reporting System and information and instructions will be provided to
grantees.

Quarterly Performance Reports
Recipients/grantees will be provided with formal guidance about the data and other
information that is required to be collected and reported on either a regular basis or special
request basis. Recipients must submit a quarterly progress report (QPR) within 45 days after
the end of each calendar year quarter. The report must include quarterly information on grant
activities, performance goals, and milestones. The last QPR will serve as the grant’s Final
Performance Report. This report must provide both quarterly and cumulative information on
the grant activities. It must summarize project activities, employment outcomes and other
deliverables, and related results of the project, and must thoroughly document the training or
labor market information approaches that you used.


Performance Outcome Measures
On July 1, 2016, the performance accountability provisions authorized by WIOA became
operational (see WIOA sec. 506(a)). Section 116(b) of WIOA establishes performance
accountability measures for the core programs of WIOA Adult, Dislocated Worker, and Youth
(all Title I); the Adult Education and Family Literacy (Title II); Wagner-Peyser Act
Employment Service (as amended by Title III); and Vocational Rehabilitation Services (as
amended by Title IV). DOL established these performance accountability measures to ensure
accountability for the outcomes of participants served by those programs.

Under WIOA, the workforce system is aligned to provide integrated services to job seekers and
employers, while maximizing the use of data and increasing accountability. To further these
goals and promote consistency across DOL-funded programs, several additional programs
under ETA will also adopt the WIOA performance measures, including National Dislocated
Worker Grants (DWG). DWGs awarded June 30, 2016 or later will adopt the new WIOA
measures for their participants. Current DWGs will continue to collect and report aggregate
grant data under approved OMB form 9104 until the grant has ended.

Individual Record Submission
The Department developed a Participant Individual Record Layout, or PIRL, which identifies
data elements for all impacted programs. On April 27, 2016, the Department published an
information collection request (ICR) announcement in the Federal Register, 81 Fed. Reg.
24888, which included a revised PIRL based on public comment received through the 60-day
comment period as part of the overall Paperwork Reduction Act process. Within this ICR, the
Department has identified the data elements to be collected for each of the aforementioned
programs, beginning on July 1, 2016. This layout is available to the public at:
www.doleta.gov/performance/reporting/. The ICR was approved by OMB on June 30, 2016;
The Department now requires DWG grantees to report under these new requirements.
Additional guidance regarding reporting requirements is forthcoming.

CONTACTS
For further information on the grant submission requirements, please contact Andrea Hill,
Grants Management Specialist, Office of Grants Management, at (202) 693-3542. Applicants
should e-mail all technical questions to [email protected]. This Announcement is available
on the ETA Web site at http://www.doleta.gov/grants and at http://www.grants.gov.

OTHER INFORMATION
Transparency
DOL is committed to conducting a transparent grant award process and publicizing
information about program outcomes. Posting grant applications on public websites is a means
of promoting and sharing innovative ideas. For all applications submitted in response to this
guidance, we will publish the Abstracts and selected information from the SF-424 for all
applications on the Department’s public website or similar publicly accessible location.
Additionally, we will publish a version of the Project Narrative for all those applications that
are awarded grants, on the Department’s website or a similar location. We will publish no
other attachments to the application. We will not publish the Project Narratives and Abstracts
until after we have announced the grant award. In addition, information about grant progress
and results may also be made publicly available.


    DOL recognizes that grant applications sometimes contain information that an applicant may
    consider proprietary or business confidential information, or may contain personally
    identifiable information (PII). Proprietary or business confidential information is information
    that is not usually disclosed outside your organization and disclosing this information is likely
    to cause you substantial competitive harm.

    PII is any information that can be used to distinguish or trace an individual’s identity, such as
    name, social security number, date and place of birth, mother’s maiden name, or biometric
    records, and any other information that is linked or linkable to an individual, such as medical,
    educational, financial, and employment information2.

    We will publish the abstracts in the form originally submitted, without any redactions.
    Applicants should not include any proprietary or confidential business information or PII in
    this summary. In the event that an applicant submits proprietary or confidential business
    information or PII, DOL is not liable for the posting of this information contained in the
    Abstract. The submission of the grant application constitutes a waiver of the applicant’s
    objection to the posting of any proprietary or confidential business information contained in
    the Abstract. Additionally, the applicant is responsible for obtaining all authorizations from
    relevant parties for publishing all PII contained within the Abstract. In the event the Abstract
    contains proprietary or confidential business information or PII, the applicant is presumed to
    have obtained all necessary authorizations to provide this information and may be liable for
    any improper release of this information.

    By submission of this grant application, the applicant agrees to indemnify and hold harmless
    the United States, the U.S. Department of Labor, its officers, employees, and agents against
    any liability or for any loss or damages arising from this application. By such submission of
    this grant application, the applicant further acknowledges having the authority to execute this
    release of liability.

    In order to ensure that proprietary or confidential business information or PII is properly
    protected from disclosure when DOL posts the winning Project Narratives, applicants whose
    Project Narratives will be posted will be asked to submit a second redacted version of their
    Project Narrative, with any proprietary, confidential commercial/business information, and PII
    redacted. You should remove all non-public information about the applicant’s and consortium
    members’ staff (if applicable) as well.

    The Department will contact the applicants whose Project Narratives will be published by
    letter or email, and provide further directions about how and when to submit the redacted
    version of the Project Narrative.

    Submission of a redacted version of the Project Narrative will constitute permission by the
    applicant for DOL to make the redacted version publicly available. We will also assume that
    by submitting the redacted version of the Project Narrative, the applicant has obtained the
    agreement to the applicant’s decision about what material to redact of all persons and entities
    whose proprietary, confidential business information, or PII is contained in the Project
    Narrative. If an applicant fails to provide a redacted version of the Project Narrative within 45

2
  OMB Memorandum 07-16 and 06-19. GAO Report 08-536, Privacy: Alternatives Exist for Enhancing Protection of Personally
Identifiable Information, May 2008, http://www.gao.gov/new.items/d08536.pdf.


days of DOL’s request, DOL will publish the original Project Narrative in full, after redacting
only PII. (Note that the original, unredacted version of the Project Narrative will remain part
of the complete application package, including an applicant’s proprietary and confidential
business information and any PII.)

We encourage applicants to maximize the grant application information that will be publicly
disclosed, and to exercise restraint and redact only information that clearly is proprietary,
confidential commercial/business information, or PII. The redaction of entire pages or sections
of the Project Narrative is not appropriate, and will not be allowed, unless the entire portion
merits such protection. Should a dispute arise about whether redactions are appropriate, DOL
will follow the procedures outlined in the Department’s Freedom of Information Act (FOIA)
regulations (29 CFR Part 70).

DOL will protect redacted information in grant applications from public disclosure in
accordance with Federal law, including the Trade Secrets Act (18 U.S.C. § 1905), FOIA, and
the Privacy Act (5 U.S.C. § 552a). If DOL receives a FOIA request for your application, we
will follow the procedures in DOL’s FOIA regulations for responding to requests for
commercial/business information submitted to the government, as well as all FOIA exemptions
and procedures. See 29 CFR § 70.26. Consequently, it is possible that application of FOIA
rules may result in release of information in response to a FOIA request that an applicant
redacted in its “redacted copy.”

Attachment (official PDF: https://www.dol.gov/sites/dolgov/files/ETA/advisories/TEGL/2016/TEGL_6-16_Attachment_3_Acc.pdf)

Attachment III

                               DWG Project Summary
                             Project Number __________
                     Grant Award Period ____________________

Planned Employment Rate (2nd Quarter after Exit)
Planned Employment Rate (4th Quarter after Exit)
              Planned Median Earnings
               Planned Credential Rate
       Planned Measureable Skill Gains Rate


                              COST PER PARTICIPANT
  Total DWG Funding             Total Planned    Projected Cost per Participant
        Request                  Participants


             PROJECTED ENROLLMENTS AND EXPENDITURES FOR
                    CAREER AND TRAINING SERVICES

                                               # Participants
                                Cost                              Cost per Participant
                                              Receiving Service
   Career Services
       Training
Work based Learning
      (Registered
 Apprenticeships, OJT,
Customized Training, etc.)
  Transitional Jobs
 Supportive Services
   Needs Related
     Payments