Incumbent Worker System Building Demonstration

The official packet includes Attachment I, Proposal Format for Grant Applications and Attachment II, State Plan Content, transcribed below.

U.S. Department of Labor
Employment and Training Administration
Washington, D.C. 20210
CLASSIFICATION: Incumbent Worker Prog.
CORRESPONDENCE SYMBOL: TG
DATE: October 29, 1998

TRAINING AND EMPLOYMENT GUIDANCE LETTER NO. 7-98

TO: ALL STATE JTPA LIAISONS; ALL STATE WORKER ADJUSTMENT LIAISONS

FROM: DAVID HENSON, Director, Office of Regional Management

SUBJECT: Incumbent Worker System Building Demonstration

1. Purpose. To provide the States information on the availability of Title III Demonstration Funds for Incumbent Worker System Building at the State level for Program Year 1998.

2. References. The Job Training Partnership Act (JTPA), as amended; the JTPA Final Rules, as published in the Federal Register on September 2, 1994; and the Workforce Investment Act of 1998.

3. Background. The U.S. Department of Labor, Employment and Training Administration, (DOL/ETA) has the authority to carry out demonstration projects during Program Year 1998 that provide assistance to new entrants to the workforce and incumbent workers through section 323 of the Job Training Partnership Act.

DOL currently plans to fund four major types of projects under this authority. One type of project, incumbent worker capacity/system building for States, is the subject of this Training and Employment Guidance Letter (TEGL). It will provide for the preparation of a State Plan for incumbent worker training to be developed by appropriate stakeholders within each State, the District of Columbia, and Puerto Rico.

Two other types--incumbent worker training for small firms or regional sectors and incumbent worker training for large firms or industries, will be funded under a “solicitation of grant application.”

A fourth type of project, focusing on individual incumbent workers most “at risk” of being laid off, rather than on firms or partnerships of organizations, is the subject of a separate TEGL.

RESCISSIONS: None
EXPIRATION DATE: Continuing

4. Description of Incumbent Worker State System Building Demonstration. These grants would support the State-level development of strategies and operational plans to respond to incumbent worker training needs in their areas. Authorization effective July 1, 1998, allows for the use of Secretary’s JTPA Title III Discretionary funds under demonstration authority for incumbent worker training. Governors do not have authority at this time to use Title III formula-allotted funds for this purpose. The new Workforce Investment Act authorizes Governors to use a limited proportion of dislocated worker funds for services to incumbent workers.

This demonstration program is intended to support a broad-based nationwide effort to further the development of incumbent worker training strategies. It will provide for the preparation of an initial State Plan for incumbent worker training to be developed by appropriate stakeholders within each State--including employers, organized labor, training providers, economic and workforce development organizations, and other appropriate parties. The projects would be grants with a maximum period of performance of 12 months, not to exceed $50,000 each, with a total not to exceed $2,600,000.

5. Discussion. In order for States to prepare for the development of incumbent worker training strategies, they must first work with stakeholders to determine the following: what the States’ greatest needs are; what already exists in the area of incumbent worker training; what organizations are already working together on this effort; what will be necessary for a broad-based strategy Statewide for incumbent worker training; how much this effort will cost; what funds have already been committed to this effort; how participating organizations, firms, or sectors will be selected to participate; who will represent them; what type of training is needed; how training needs have been documented; who will be eligible for the training; what specific outcome goals will be achieved; how the projects will be managed; and how the projects will be evaluated.

6. Submission of State Applications. States’ Incumbent Worker System Building Demonstration grant applications should be submitted as soon as possible but not later than December 15, 1998, to the appropriate Regional Office. Each State may submit only one response but should coordinate responses between the State Dislocated Worker Unit and JTPA Liaison. A separate copy should be sent at the same time to the following address:

Janice E. Perry, Grant Officer
Attention: Incumbent Worker System Building Demonstration Plan
Employment and Training Administration
U.S. Department of Labor, Room S4203
200 Constitution Avenue, N.W.
Washington, D.C. 20210

Regional Office staff will review the applications for relevance to the program dimensions and the identified needs, and will forward their comments to the National Office. Applications that meet the Department's review criteria will be processed for funding. Those that do not will be returned, accompanied by an identification of key shortcomings. States will be notified of grant awards by January 20, 1999.

7. Inquiries. Inquiries about the Demonstration should be directed to Douglas Holl, Office of Worker Retraining and Adjustment Programs at (202) 219-5577, ext. 115.

8. Attachments.

I. Proposal Format for Grant Applications
II. State Plan Content

Attachment I: Proposal Format for Grant Application

(Maximum 10 pages)

1. Overview; goals for the planning process

a. Describe the State’s current activities in the incumbent worker field.

b. Describe the State’s goals for this effort.

2. Strategy for Statewide Efforts

a. Describe what will be necessary for a broad-based strategy Statewide for incumbent worker training; how much this effort will cost; and what funds have already been committed to this effort.

b. Describe how this effort will plan for the selection of organizations, firms, or sectors to participate in incumbent worker activities and who will represent them in the planning and implementation processes.

3. Stakeholders to be Targeted

a. Identify the organizations in your State which are already working on incumbent worker training.

b. Describe what stakeholders will be included in the planning process and their relevance to this effort.

4. Needs for Incumbent Worker Training

a. Describe what already exists in the area of privately-funded and publicly-funded incumbent worker training and what organizations are already working together on this effort. Describe how these needs were determined.

b. Describe the goals for the planning effort in the area of need identification. How will training needs be documented? Who will be eligible for the training?

5. Training Providers

a. Identify potential issues related to selection of training providers, and describe how the plan will address these issues.

6. Outcome Goals

How will the specific outcome goals for incumbent worker training be determined? How might achievement of goals be measured?

7. Management of Projects

a. How will this system-building project be managed? Include the name of project manager and the organization.

b. How will the planning activity address the management of prospective incumbent worker training projects?

8. Budget

a. Describe how much money you have budgeted for this effort, including specific line items as contained in Standard Form 424A.

b. Describe each line item, indicating the basis for each cost. The maximum allowable total of grant funds is $50,000 per State. Identify any non-system building grant funds devoted to this effort.

9. Time line

Using a chart format, indicate the activities which will take place during the project's period of performance (up to 12 months) to complete the State plan.

10. Evaluation

    Describe how this demonstration project will be evaluated. What would the State consider to be an effective demonstration project?

11. Additional Information

    Please provide any additional information you feel is necessary to understand your State’s plan for Incumbent Worker Training.

Attachment II: State Plan Content

Plans will be due to DOL by the end of the eleventh month of the grant period. While it is expected that each initial State Plan for Incumbent Worker Training will vary, such plans should address the core issues identified in the grant applications.

1. Achievement of Goals

a. What were your goals for the planning process for incumbent worker system building?

b. Did you achieve your goals? If not, why not?

2. Participation in Statewide Efforts

a. What organizations, firms, or sectors participated in the Statewide planning efforts?

b. Were there any major problems, issues, or successes you confronted or achieved during this statewide effort?

3. Participation of Stakeholders

a. What major stakeholders were involved in the planning process for incumbent worker training system-building?

b. Were there other stakeholders who should have been involved? Why were they not involved?

c. Are they any lessons you learned about the participation of various stakeholders?

4. Need Identification

a. What were your goals for identification of need in the Statewide planning process for incumbent worker system-building?

b. What additional needs were identified?

5. Training Providers

a. What efforts have been achieved as far as identification of training providers?

b. How have training providers been identified and selected?

6. Outcome Goals

a. What outcome goals have been identified for incumbent worker training?

b. How did you determine specific outcome goals?

7. Project Management

a. Describe how the project has been and will be managed.

b. Include the name of the project manager and the organization.

8. Budget

a. How much money was expended for the incumbent worker effort?

b. What were the individual line items?

9. Time line

a. What activities took place during the 12 month period of performance to complete the State plan?

b. If there were any activities not completed during the period of performance, explain why they were not completed.

10. Evaluation

    a. Describe the results of the evaluation of the incumbent worker training effort.

    b. What are the lessons learned from the evaluation that can be utilized in the State’s future efforts with incumbent worker training?