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To obtain a copy of attachment(s), please contact Deloris Norris of the Office of Regional Management at (202) 219-5585. Letter from Doug Ross, Assistant Secretary of Labor, inviting participation in the customer service partnership; ETA's proposed approach to customer service entitled,"Partnering for Customer Service"; List of ETA Regional Administrator addresses. ATTACHMENT 1 Dear ETA Partner: The President's Executive Order No. 12862 requires that all Federal agencies publish customer service plans in September, 1994. During the summer, the Vice President's National Performance Review (NPR) staff worked closely with the Department of Labor, and all other Federal agencies, to design the process for developing customer service plans and standards. Customer service plans are strategies for putting the customers' expressed needs and preferences at the center of government operations. The customer service plan also includes published statements of customer service standards -- expectations of service quality and timeliness which customers can expect of us and by which they can measure our performance. NPR staff specified, among other things, that the plans and the customer service standards be in the hands of customers in September. The standards and our approach to the customer service developmental process are published in the attached paper entitled "Partnering for Customer Service". For a very important reason, we have chosen not to unilaterally publish plans for our ultimate customers at this time. As you know, ETA does not have many direct customers. We work through our partners -- State and local governments, non-profit organizations, and many service providers. Since our partners are, admittedly, more knowledgeable of both our customers needs and of the services being provided, we think it is critical that these partners be part of the process to develop and publish plans. In order to meet the spirit of the Executive Order, however, and to show our commitment to the process, we are publishing standards that ETA will meet in being responsive and making prompt grants-related decisions. We will hold ourselves accountable to these standards in improving our responsiveness to you. We expect our standards will change as a result of our consultations with you. However, we will begin to live by these standards in the interim. This paper is our invitation to you to engage in a collaborative process with us for developing plans and standards for customer service for the people who benefit from our various programs. We believe that, in most cases, the best approach is for standards to be developed and published at the State or local level. By using such an approach, it is our intent that local economic factors and other geographical influences be reflected in the decision-making, and the actual deliverers of service be involved in the setting of service standards. Some standards, such as those of courtesy and fair treatment, will always be relevant. Because a significant number of JTPA Title III Pioneer Program sites are already involved in implementing these customer service delivery improvements and measuring customer satisfaction, we will work with many of them to publish plans directed to their ultimate customers, dislocated workers. As part of this effort, a proposed pioneer site pledge card is being developed, a draft of which is attached. While the dislocated worker customer group is but one segment of laid-off worker customers, this pledge card is a good example of the type of customer service standards we hope to develop in concert with you for all of our customer groups. As we consider how to better serve our customers, we are asking you, our partners, to join with us in the government-wide effort to be more responsive to customer needs. We want to hear your reactions to our proposal to jointly set service standards and design and implement plans to improve our partnership. We particularly want to know how you think we might, as a system, focus on the needs of specific customer groups within our currently program oriented delivery system. For example, how would we design youth services or laid-off worker services that take advantage of the possible synergies across program boundaries? So that we can honor our commitments, please give us your feedback by October 21 as noted in the plan. Please be open in your suggestions for operating this partnering effort. Thank you. Doug Ross Employment and Training Administration Partnering for Customer Service The Department of Labor's Goals -- First Jobs, New Jobs, Better Jobs Secretary of Labor, Robert Reich set four goals as his management priorities for the Department of Labor. These goals form the basis of his performance agreement with the President and are directly focused on the economic success of the American worker and the American employer: First Jobs -- Prepare all Americans for good jobs; New Jobs -- Ease the transition of Americans from job to job; Better Jobs -- Create high performance work places; Reinvent the Department of Labor -- to help create first, new and better jobs. Workers and job seekers need information, assistance, and resources whether they are seeking a first job, a new job or a better job. Businesses need people with the skills and ingenuity to master new technologies and respond to a dynamic economy. The Employment and Training Administration (ETA) is committed to developing a service strategy which focuses on the priority needs and expectations of these customers. We regard our customers as all individuals who need information on or assistance in finding a job, and all employers who need information or assistance in finding qualified workers. This customer focus supports Vice President Gore's recommendations to reinvent government so that it "works better and costs less". ETA has worked with the Vice President's National Performance Review (NPR) in designing elements of this customer service strategy proposal. ETA's Commitment to Customers Our Mission The Employment and Training Administration's mission is to ensure that all Americans have access to the resources they require to successfully manage their job lives, and that U.S. businesses have access to the skilled workers and training resources they need to successfully compete in a global economy. To that end, people should be able to receive quality training and employment services, and have access to good information and useful advice so that they can make sound career and employment decisions. Our Customer Focus Like most federal agencies, ETA's offices are organized around those programs which it has been legislatively authorized to administer. Multiple programs serve and focus on the same customer. Cross-program learning about customer needs and coordinated cross-program action to respond to those needs have not been the norm. If we are to become more adept at understanding our customers' needs and, ultimately, more effective at meeting them, we must, at a minimum, begin to understand how our programmatic activities align and interrelate around specific sets of customers who share a common set of employment and training needs. To more effectively meet these needs, we must move more accountability for fast and creative approaches to solving customer problems to front- line ETA associates. ETA has identified five customer groups which our programs and services target - laid-off workers, youth, marginally attached adult workers, employers and currently employed workers. These customer groups are the initial basis for our establishment of "customer clusters." Working in teams, and with partners and other experts, team members will bring to bear their programmatic or other expertise and perspective to a customer-focussed set of objectives and tasks. The priority customer groups and the nature of the work to be undertaken by the clusters are just beginning to be defined and will benefit from further discussion with our partners. ETA's Commitment to Customer Service ETA's priority goal is to ensure that our customers are provided with the best quality employment and training services available. We seek to accomplish this goal by advocating, supporting and adhering to the following customer service principles; we want to ensure that customers will be: -- provided with timely assistance which minimizes the period of unemployment faced by a job seeker, or the period of diminished productivity faced by an employer needing skilled workers; -- provided with easy access and customer choice in the delivery of a seamless chain of services with high levels of customer satisfaction; -- provided with a full array of services tailored to the needs of the individual workers and job seekers so that they can receive needed assistance to address the employment barriers and skill development needs which they face; -- provided with a full array of services tailored to the needs of employers so that they can receive assistance in finding the skilled workers they seek; -- provided with high quality services that encourage high levels of usage of available assistance; -- benefited by performance measures that are based on the "best-in-business" to ensure that government services are as good as or better than any provided by the private sector. Over time, these principles need to be translated into clear, measurable service expectations that can be understood by each customer and each member of the service delivery chain. ETA's Commitment to a Partnership Approach We believe that our customers can be best served through a collaborative approach between ETA and our partners. We seek to build on the effective partnership relations that already exist and the many on-going customer service activities that have been initiated at the Federal, State and local levels. As partners, we need now to more fully integrate the efforts underway and operate an even more seamless and customer focused system for the delivery of employment and training services. ETA is committed to this partnership approach. Proposal for a Joint Customer Service Strategy ETA proposes that, as partners, we undertake to develop a joint customer service strategy during 1994 and 1995 to increase our ability to provide high quality, responsive services for our customers. Major components of this strategy include: initiating/expanding methods of identifying customer needs, agreeing on a process for developing customer service standards and designing and implementing plans for achieving customer service standards. Identifying Our Customers' Needs To gain a sound understanding of our customers' needs, we need to obtain their assessment of the services we provide and their suggestions for changes or alternatives. Some of the questions to be answered are: What are your needs for services? Which services are most important to you? How well are we responding to your needs? What additional services could we be providing? How satisfied are you with the services you received? Many State and local agencies have separately implemented customer satisfaction surveys and focus group discussions that are providing useful customer service information. We applaud those efforts and urge their continuation on a regular basis to maintain current information on customer expectations and levels of satisfaction. There will be opportunities for combining surveys and other customer feedback mechanisms for greater efficiency and cost effectiveness. Setting and Communicating Customer Service Standards The most effective customer service improvement plans are based upon a clear set of customer service standards that are known and agreed upon by all service delivery partners. The customer service standards which are developed need to be readily understandable to the customer and publicly communicated so that customers will have an objective basis for judging the effectiveness and responsiveness of the assistance they receive. As partners, we need to decide how we develop customer service standards that are benchmarked against the best-in-business; we need to find answers to such questions as: What level of quality services do our customers expect? What standards of performance are the best-in-business organizations achieving? What level of quality service should we aspire to provide as an employment and training system? While ETA has a history of working cooperatively and collaboratively with its State and grantee partners to identify appropriate measures of performance, to date, these measures typically have been legislatively defined as program outcome measures. These measures are valuable and will continue, but they have not, for the most part, been customer oriented. Program standards need to be augmented with a focus on the service expectations of the ultimate customers -- American workers, job seekers and employers. The employment and training system is asking its partners to join in affirming a commitment to establish customer service standards that are relevant and meaningful to customers. Designing and Implementing Customer Service Plans Based on our understanding of the customers' needs and our agreement on the customer service standards to which our customers should hold us accountable, we will be in the best position to develop joint strategies that are effective at increasing the quality and responsiveness of services to each customer group. ETA's efforts to engage our other partners in discussions of the strengths and weaknesses of our current modes of operations, and in identifying improvement strategies will accelerate through 1994 and 1995. The information obtained will be used to inform the system partners at all levels as we develop recommendations for changing operational policies and procedures for more responsive service delivery and quality outcomes for our customer groups. ETA's Commitment to Serving Partners If we are going to work collaboratively to meet the needs of our ultimate customers, ETA recognizes two important responsibilities: 1) that we have an important obligation to treat you, our partners, like customers; and 2) that we have an obligation to support you in serving our ultimate customers. As our partners, you need to know what you can expect from your Federal partner as we work together to build an improved employment and training system for our customers. As part of our partnership-building process, therefore, we envision soliciting what your needs are from us; setting service standards with you and designing and implementing plans to improve our partnership. Our timeframe would be to begin engaging in our partnership building process in October 1994 and having standards completed by April 1995 which will become operational with the beginning of the new Program Year, July 1, 1995. In the interim, we believe it is important that ETA articulate our commitment to serving our partners in two key areas: responsiveness to requests for information and assistance, and grants administration. ETA pledges to our partners that: We will improve the promptness of our response to your requests for information and assistance while maintaining the high quality of those responses. We will make grants-related decisions in compliance with all legislated and regulated timelines 100% of the time. Within 45 days of your funding request, we will notify you of funding decisions for JTPA Title III National Reserve Account grants. Within 30 days of receipt, we will notify you of our decisions on your request for modification of your JTPA Title III National Reserve Account grants. Within 30 days of receipt, we will notify you of decisions on your requests to modify your Indian and Native American, Migrant and Seasonal Farmworker, or Older Worker program grants. We offer these initial standards as evidence of our immediate commitment to respond to your service needs. We are committed to analyzing our own internal processes to insure these standards are met. As we build our partnership together, we expect customer service standards for you, our partners, will increasingly reflect your needs and priorities. Improving Customer Service to Adult Dislocated Workers: An Example As another expression of our commitment to the partnership process to improve customer service, we offer this initial example of partnership collaboration with our State and local partners in the EDWAA "pioneer" customer satisfaction initiative. In 1993, ETA conducted focus groups and surveys of dislocated workers. Overall, the survey results indicated that 57% of the dislocated workers thought that the program services were extremely or very helpful. Also, dislocated workers were much more likely to be satisfied when they received occupational training in addition to job search assistance than when they received job search assistance alone. Based on those findings, in 1994, ETA initiated a collaborative effort with our State and local partners to improve customer satisfaction among dislocated workers. More than 100 agencies have volunteered to become "pioneer" sites. ETA is working with these "pioneer" sites to develop statements of customer service expectations which can be publicly communicated and understood by dislocated workers. A draft "pledge card" is attached. The experience from these sites will be used to further identify the service needs and expectations of this customer group, and effective strategies for meeting these needs and expectations. Summary As the partnership embarks on the development of a customer service strategy, the following summarizes our proposed approach: -- The partnership will put its customers first, measuring its success by the satisfaction of the customer and the value added for that customer. -- Customers should experience a seamless, comprehensive system, not a collection of separate programs or different government offices. -- ETA will improve its responsiveness to its partners' needs to facilitate their meeting the needs of the ultimate customers. -- ETA will work with its partners to define goals and objectives for customer satisfaction, customer service standards, and how to accomplish them. -- Customers will be asked for input regarding their needs, requirements, and satisfaction with services. -- Customer service standards will be our promise to the public, will be published or displayed so customers know what they may expect, and will become part of the system's accountability measures. -- As the partnerships move to design and implement new and revised customer-based performance measures, our primary focus will be on outcomes, but process measures will be retained as needed. Next Steps Following the broad circulation of this proposal to all partners in the system, we will begin to convene meetings with partner representatives to discuss, refine, and amend the proposal and agree on the goals, objectives, and process required to achieve them. Subject to general agreement to pursue this strategic approach, we would propose the following next steps for our partnership: -- Share customer satisfaction results from surveys, focus groups and other evaluation tools; -- Identify best practices to serve as the basis for setting customer service standards; and -- Jointly develop customer service plans which include standards, clear products and time frames. -- Initiate a process for improving our responsiveness to meeting the needs of our partners. Agency Contact In addition to any on going sharing of information between you and ETA offices and clusters, we ask that you provide us with your comments on this proposed customer service plan. If you are a State or local partner, please forward your reactions to this proposal to your ETA Regional Administrator. If you are a national grantee partner or nationally-based interest or advocacy group, please forward your comments to: Pat Carroll Room N5637 200 Constitution Avenue N.W. Washington, D.C. 20210 Telephone: (202) 219-8680 X146 Fax: (202) 219-5455 Please provide any comments or suggestions by October 21, 1994. Thank you. DRAFT Dislocated Worker Pioneer Customer Satisfaction Pledge To Our Customers We Pledge To... 1. Treat you with respect and courtesy 2. Give you the widest possible choice of quality services 3. Get you started on a new career as quickly as possible 4. Be accessible and available to meet your needs 5. Help you find the best job for you Change for Tomorrow ..... (Local pledges here) It is our goal to makes changes to better serve you, our customer, so that you: Examples: 1. Can get service within 24 hours of contacting any office 2. Never have to wait in line . . . . . 3. 4. 5. As Partners All Across the Nation! The job training and placement services we provide come to you as a result of a partnership of the federal, state, and local governments and private industry in your community. We have joined together to become "Pioneers" in making sure that you, our customers, are satisfied beyond your expectations. As Pioneers we have developed a vision of where we want to go, a pledge to our customers, and a commitment among all of the partners. Beginning in July 1994, federal state and local Dislocated Worker Program Pioneers commit their organizations to: 1. Exceed the customer's expectations, the first time and every time; 2. Focus on the customer, deliver quality services, and support innovations that will improve program quality, accessibility, and add value at each step of the process; 3. Become fully informed about the local labor markets to better help both participants and employers; 4. Work together to explore options for developing continuous quality improvement efforts in their service delivery systems; 5. Measure and report the impact of service delivery innovations on customer satisfaction; 6. Measure outcomes of services and be accountable to the customers and community; 7. Share information about, and assist with system wide implementation of, effective customer-focused service delivery improvement strategies and processes; 8. Develop effective partnerships and provide seamless connections with other federal, state and local components of the national reemployment system; 9. Demonstrate a commitment to continuous program improvement in our services; and 10. Use state of the art technology to facilitate quick and easy access to information. Tell Us How We're Doing We are dedicated to continuous improvement of our services. If you have any suggestions about how we can better serve our customers: Call Us Now Locally Response Line (666) 555-1212 National Hotline 1-800-XXX-XXXX (JOB LINE? EDW AA4U?)

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Attached is the proposed Core RQC State Operations Handbook containing instructions for conducting Program Reviews and Surveys, including sampling specifications and computed measures. Appendices containing detailed specifications for sampling and computed measures, data entry instructions, and a RQC glossary are under development. To obtain a copy of attachment(s), please contact Deloris Norris of the Office of Regional Management at (202) 219-5585.

1. Federal Register Notice: Designation Procedures for Grantees 2. Advance Notice of Intent Format and Instructions 3. Present Designated Service Area 4. Standard Form 424 ADVANCE NOTICE OF INTENT (ANOI) FOR PROGRAM YEARS 1995-1996 GENERAL INSTRUCTIONS By October 15, 1994, any organization interested in being designated as a JTPA, section 401 grantee for Program Years (PY) 1995-1996, should submit an original and two copies of an ANOI form for any and all areas for which it wants to be considered to: Mr. Thomas Dowd, Chief, Division of Indian and Native American Programs, ATTN: Designation Desk, Room N-4641 FPB, U.S. Department of Labor, 200 Constitution Avenue, N.W., Washington, DC 20210. The Standard Form 424 is not to be used for the ANOI process. The Department of Labor (DOL) will not consider information provided in the ANOI as a final Notice of Intent submission as described in 20 CFR 632.11. The ANOI form is designed to identify geographic service area requests and other information related to designation, including requests for waivers pursuant to section 401(l) of JTPA. This format will allow DOL to expedite the identification of potentially competitive applicants. IDENTIFYING INFORMATION Complete as indicated. Incumbents should specify their current grant number and Division of Indian and Native American Programs' Federal Representative. I. TYPE OF APPLICANT Generally, it is anticipated that only one category will be checked. However, if more than one category is applicable, then more than one should be checked. For example, in the case of a consortium applicant, public or private agency status should also be specified; if "other" is checked, the applicant should describe the nature of its organization. II. WAIVER REQUEST Incumbent grantees requesting a waiver under JTPA section 401(l) should so indicate in this section. Designation waivers apply ONLY to area(s) currently served by a grantee. Grantees requesting a waiver may still compete for additional territory, but they MUST make their intentions known in this section and provide the appropriate details in section III. III. REQUESTED SERVICE AREA(S) Follow the format. Counties and Reservations must be listed separately by State and in alphabetical order. Requests must also be grouped to indicate the current section 401 grantee serving the area(s). If this information is not known, current grantees should phone their DINAP Federal Representative to find out. If a county appears on the list, DINAP presumes the applicant wishes to serve the entire non-reservation part of the county unless otherwise indicated (e.g., Smith County minus the Redstone Reservation). If an applicant believes any additional information should be provided to avoid confusion, it should provide such clarification. For example, if an incumbent has served a county for many years, but has not served a city within that county and now wants to serve that city, it should make that point very clear (e.g., Smith County, including the City of Bluestone). Applicants are required to serve all eligible Native Americans residing in their assigned areas. Only applicants seeking service areas in the States of Oklahoma and Hawaii have the option of serving specific portions of the entire Native American population within such areas. For these States only, such exceptions should be specified (e.g., Smith County, only members of the Apache Tribe). Incumbents should refer to their current geographic service area when indicating additions to or deletions from the Program Years 1993-1994 designations. A copy of your current designated service areas has been included. IV. COMMENTS The comments section is reserved for any additional information that the applicant believes may be of interest to DOL relative to the ANOI process. ADVANCED NOTICE OF INTENT PROGRAM YEARS 1995-1996 NAME OF APPLICANT. APPLICANT'S ADDRESS. TELEPHONE NUMBER. CONTACT PERSON. CURRENT GRANT NO. FEDERAL REPRESENTATIVE. I. TYPE OF APPLICANT (Check one or more of the following) [ ] Indian tribe, band or group [ ] Alaskan Native entity [ ] Hawaiian Native entity [ ] Public or private agency [ ] Consortium [ ] Other: II. WAIVER REQUEST (check only one of the following) [ ] Requesting a waiver for existing service area [ ] Requesting a waiver for existing service area; AND applying for additional service area(s) (provide detail in section III.) [ ] Requesting a waiver for existing service area LESS the following service area(s) (provide detail in section III.) [ ] All other situations: III. REQUESTED CHANGES TO EXISTING SERVICE AREA A. Additions. 1. List all service areas requested which were not assigned to your organization by DOL for PYs 1993-1994. a. State(s) b. County(ies) c. Reservation(s) 2. If known, list the name(s) and State(s) of the current Section 401 grantee(s) serving the additional area(s) requested. a. State(s) b. County(ies) c. Reservation(s) B. Deletions 1. List all service areas served by your organization in PYs 1993-1994. a. State(s) b. County(ies) c. Reservation(s) 2. Has your organization contacted another Section 401 JTPA grantee(s) and requested it to apply to serve the deleted areas(s)? Yes No 3. If yes, has that grantee(s) agreed to apply to serve the deleted area(s)? Yes No 4. If yes, complete the following information (repeat as necessary). a. Deleted area(s) to be served b. Name of State of grantee indicating a willingness to serve the deleted area. IV COMMENTS Billing Code: 4510-30 DEPARTMENT OF LABOR Employment and Training Administration Job Training Partnership Act: Indian and Native American Employment and Training Programs; Final Designation Procedures for Grantees for Program Years 1995-96 AGENCY: Employment and Training Administration, Department of Labor. ACTION: Notice of final designation procedures for grantees. SUMMARY: This document contains the procedures by which the Department of Labor (DOL) will designate potential grantees to receive two-year grants for Indian and Native American Employment and Training Programs under the Job Training Partnership Act (JTPA), and to provide waivers from competition for current successful programs. The designations will be for JTPA Programs Years (PYs) 1995 and 1996 (July 1, 1995 through June 30, 1997). This notice provides necessary information to prospective grant applicants to enable them to submit appropriate requests for designation. DATES: Optional Advance Notices of Intent must be postmarked no later than October 15, 1994. Final Notices of Intent must be postmarked no later than January 1, 1995. ADDRESS: Send an original and two copies of the Advance and Final Notices of Intent to Mr. Thomas Dowd, Chief, Division of Indian and Native American Programs, ATTN: Designation Desk, U.S. Department of Labor, Room N-4641 FPB, 200 Constitution Avenue, N.W., Washington, D.C. 20210. SUPPLEMENTARY INFORMATION: The procedures are basically the same as the previous procedure used for PYs 1993 and 1994. Current successful grantees may receive waivers from competition, and all designations will be for a two-year grant. JTPA section 401 grantees who are presently operating under Pub. L. 102-477, Indian Employment, Training, and Related Services Demonstration Act of 1992, must apply for redesignation under this procedure in order to maintain their service area designation and eligibility for funds under this title, including any requests for a waiver under JTPA section 401(l). JOB TRAINING PARTNERSHIP ACT: INDIAN AND NATIVE AMERICAN PROGRAMS; FINAL DESIGNATION PROCEDURES FOR PROGRAM YEARS 1995-96 Table of Contents: Introduction: Scope and Purpose of Notice I. General Designation Principles II. Waiver Provision III. Advance Notice of Intent IV. Notice of Intent V. Preferential Hierarchy for Determining Designations VI. Use of Panel Review Procedure VII. Notification of Designation/Nondesignation VIII. Special Designation Situations IX. Designation Process Glossary INTRODUCTION: SCOPE AND PURPOSE OF NOTICE: Section 401 of the Job Training Partnership Act (JTPA) authorizes programs to serve the employment and training needs of Indians and Native Americans. Requirements for these programs are set forth in the JTPA and in the regulations at 20 CFR Part 632. The specific organization eligibility and application requirements for designation are set forth at 20 CFR 632.10 and 632.11. Pursuant to these requirements, the Department of Labor (DOL) selects entities for funding under section 401. It designates such entities as potential Native American section 401 grantees which will be awarded grant funds contingent upon all other grant award requirements being met. This notice describes how DOL will designate potential grantees who may apply for grants for Program Years 1995 and 1996. A designated entity may apply for grant funds for PY 1995 and PY 1996 without further competition. The designation process has two parts. The Advance Notice of Intent (see Part III, below) is optional although strongly recommended. The final Notice of Intent (see Part IV, below) is mandatory for all applicants. Any organization interested in being designated as a Native American section 401 grantee should be aware of and comply with the procedures in these parts. The amount of JTPA section 401 funds to be awarded to designated Native American section 401 grantees is determined under procedures described at 20 CFR 632.171 and not through this designation process. The grant application process is described at 20 CFR 632.18 through 632.20. I. GENERAL DESIGNATION PRINCIPLES: Based on JTPA and applicable regulations, the following general principles are intrinsic to the designation process: (1) All applicants for designation shall comply with the requirements found at 20 CFR Part 632, Subpart B, regardless of their apparent standing in the preferential hierarchy (see Part V, Preferential Hierarchy For Determining Designations, below). The basic eligibility, application and designation requirements are found in 20 CFR Part 632, Subpart B. (2) The nature of this program is such that Indians and Native Americans in an area are entitled to program services and are best served by a responsible organization directly representing them and designated pursuant to the applicable regulations. The JTPA and the governing regulations give clear preference to Native American-controlled organizations. That preference is the basis for the steps which will be followed in designating grantees. (3) A State or federally recognized tribe, band or group on its reservation is given absolute preference over any other organization if it has the capability to administer the program and meets all regulatory requirements. This preference applies only to the area within the reservation boundaries. Such "reservation" organization which may have its service area given to another organization will be given a future opportunity to reestablish itself as the "preference" grantee. In the event that such a tribe, band or group (including an Alaskan Native entity) is not designated to serve its reservation or geographic service area, the DOL will consult with the governing body of such entities when designating alternative service deliverers, as provided at 20 CFR 632.10(e). Such consultation may be accomplished in writing, in person, or by telephone, as time and circumstances permit. When it is necessary to select alternative service deliverers, the Grant Officer will continue to utilize input and recommendations from the Division of Indian and Native American Programs (DINAP). (4) In designating Native American section 401 grantees for off-reservation areas, DOL will provide preference to Indian and Native American-controlled organizations as described in 20 CFR 632.10(f) and as further clarified in Part IX (1) Indian or Native American-Controlled Organization of this notice. As noted in (3) above, when vacancies occur, the Grant Officer will continue to utilize input and recommendations from DINAP when designating alternative service deliverers. (5) Incumbent and non-incumbent applicants not granted waivers or seeking additional areas must submit evidence of significant support from other Native American-controlled organizations within the communities (geographic service areas) which they are currently serving or requesting to serve. See Part IV, Notice of Intent, below, for more details. (6) The Grant Officer will make the designations using a two-part process: (a) Those applicants described in Part V (1) of the Preferential Hierarchy For Determining Designations will be designated on a noncompetitive basis if all preaward clearances, responsibility reviews, and regulatory requirements are met. (b) All applicants described in Part V, (2), (3), and (4) of the Preferential Hierarchy For Determining Designations will be considered on a competitive basis for such areas, unless a waiver is granted, and only information submitted with the Notice of Intent, as well as preaward clearances, responsibility reviews, and all regulatory requirements will be considered. (7) Special employment and training services for Indian and Native American people have been provided through an established service delivery network for the past 18 years under the authority of JTPA section 401 and its predecessor, section 302 of the repealed Comprehensive Employment and Training Act (CETA). The DOL intends to exercise its designation authority to preserve the continuity of such services and to prevent the undue fragmentation of existing geographic service areas. Consistent with the present regulations and other provisions of this notice, this will include preference for those Native American organizations with an existing capability to deliver employment and training services within an established geographic service area. Such preference will be determined through input and recommendations from the Chief of DOL's Division of Indian and Native American Programs (DINAP) and the Director of DOL's Office of Special Targeted Programs (OSTP), and through the use of the rating system described in this Notice. Unless a non-incumbent applicant in the same preferential hierarchy as an incumbent applicant grantee can demonstrate that it is significantly superior overall to the incumbent, the incumbent will be designated, if it otherwise meets all of the requirements for redesignation. (8) In preparing application for designation, applicants should bear in mind that the purpose of JTPA, as amended, is "to establish programs to prepare youth and adults facing serious barriers to employment for participation in the labor force by providing job training and other services that will result in increased employment and earnings, increased education and occupational skills, and decreased welfare dependency, thereby improving the quality of the work force and enhancing the productivity and competitiveness of the Nation." II. WAIVER PROVISION: In accordance with the JTPA Amendments of 1992, section 401(l) (designation to receive a 2-year grant) states: The competition for grants under this section shall be conducted every 2 years, except that if a recipient of such a grant has performed satisfactorily under the terms of the existing grant agreement, the Secretary may waive the requirement for such competition on receipt from the recipient of a satisfactory 2-year program plan for the succeeding 2-year grant period. The Department is implementing this waiver provision for the next two-year designation period (PY 1995-96). All incumbent grantees who have performed "satisfactorily" both programmatically and administratively under their present grant may receive a waiver for the next two-year designation period. The responsibility review criteria at 20 CFR 632.11(d) of the current regulations serves as the baseline instrument to determine "satisfactory" performance. A waiver may be requested by submitting an Advance Notice of Intent (ANOI) by October 15, 1994. A list of grantees granted waivers will be published no later than November 15, 1994. Grantees, including tribes serving areas in addition to their reservations, NOT meeting the waiver requirements set forth in the above paragraph will be subject to the competitive process published in this solicitation. Incumbent grantees receiving a waiver will be required to submit only a Standard Form (SF) 424 "Application for Federal Assistance" for currently designated service area(s) by January 1, 1995. Nonincumbent applicants who qualify for Preferential Hierarchy Status 1 may apply by January 1, 1995 for and may be designated to serve their Hierarchy 1 service area(s). Tribes and organizations participating in the employment and training demonstration project under Pub. L. 102-477 qualify for waiver consideration. This is an initial approach to the waiver process. It is subject to change in the future resulting from experience and the Department's desire to make the process equitable. III. ADVANCE NOTICE OF INTENT: The purpose of the Advance Notice of Intent process is to provide section 401 applicants, prior to the submission of a final Notice of Intent, with information relative to potential competition. While DOL encourages the resolution of competitive request at the local level prior to final submission, the Advance Notice of Intent process also serves to alert those whose differences cannot be resolved of the need to submit a complete final Notice of Intent. Although the Advance Notice of Intent process is not mandated by the regulations, participation in the advance process by prospective section 401 applicants is strongly recommended. The Advance Notice of Intent process allows the applicant to identify potential incumbent and non-incumbent competitors, to resolve conflicts if possible and to prepare a final Notice of Intent with advance knowledge of potential competing requests. It should be emphasized, however, that the Advance Notice of Intent process does not ensure that all potential competitors have been identified. Some applicants may opt not to submit an Advance Notice of Intent; others may change geographic service area request in the final Notice of Intent. Therefore, as noted above, final submissions should be prepared with these possibilities in mind, unless a waiver has been granted. Although the regulations permit incumbents to submit no more than a Standard Form 424 "Application for Federal Assistance" (SF 424) for their existing geographic service areas, this choice may not be in the incumbent's best interests in the event of unanticipated competition. The SF 424 is not to be used for the advance notification process. As in the PY 1993-1994 designation process, DOL will utilize the Advance Notice of Intent to expedite the identification of potentially competitive applicants in situations where waivers have NOT been granted. All organizations interested in being designated as section 401 grantees should submit an original and two copies of an Advance Notice of Intent. The Advance Notice is to be postmarked no later than October 15, 1994, or 15 calendar days after the date of publication of this FEDERAL REGISTER Notice. An organization may submit only one Advance Notice of Intent for any and all areas for which it wants to be considered. The Advance Notice of Intent is to be sent to the Chief, Division of Indian and Native American Programs, at the address cited above. Complete instructions for the Advance Notice of Intent process will be mailed to all current grantees on or about October 1, 1994. Incumbents will also receive a description of their present geographic service area at this time. New applicants may request copies of the Advance Notice of Intent instructions by writing to the Chief, Division of Indian and Native American Programs, at the address cited above. DOL's first step in the designation process is to determine which areas have more than one potential applicant for designation, and whether any waivers have been granted. For those areas for which more than one organization submits an Advance Notice of Intent, each such organization will be notified of the situation, and will be apprised of the identity of the other organization(s) applying for that area. Such notification will consist of providing affected applicants (including incumbents who have not submitted Advance Notices of Intent) with copies of all Advance Notices submitted for their requested areas. The notification will state that organizations are encouraged to work out any conflicting requests among themselves, and that a final Notice of Intent should be submitted by the required postmark of January 1, 1995, deadline (see Part IV, Notice of Intent, below). Under the Advance Notice of Intent process, it is DOL policy that, to the extent possible within the regulations, a geographic service area and the applicant that will operate a section 401 program in that area are to be determined by the Native American community to be served by the program. In the event the Native American community cannot resolve differences, applicants should take special care with their final Notices of Intent to ensure that they are complete and fully responsive to all matters covered by the preferential hierarchy and rating systems discussed in this notice. Information provided in the Advance Notice of Intent process shall not be considered as a final submission as referenced at 20 CFR 632.11. The Advance Notice of Intent is a procedural mechanism to facilitate the designation process. The regulations do not provide for formal application for designation through the Advance Notice of Intent. IV. NOTICE OF INTENT: Even though an ANOI has been submitted, all applicants must submit an original and two copies of a final Notice of Intent, postmarked not later than January 1, 1995, consistent with the regulations at 20 CFR 632.11. Final Notices of Intent may also be delivered in person not later than the close of business on the first business day of the designation year. Exclusive of charts or graphs and letters of support, the Notice of Intent should not exceed 75 pages of double-space unreduced type. Final Notices of Intent are to be sent to the Chief, Division of Indian and Native American Programs (DINAP), at the address cited above. Final Notice of Intent Contents: (as outlined at 20 CFR 632.11) -- A completed and signed SF-424, "Application for Federal Assistance"; -- An indication of the applicant's legal status, including articles of incorporation or consortium agreement as appropriate; -- A clear indication of the territory being applied for, in the same format as the ANOI; -- Evidence of community support from Native American- controlled organizations; and -- Other relevant information relating to capability, such as service plans and previous experience which the applicant feels will strengthen its case, including information on any unresolved or outstanding administrative problems. Final Notices of Intent must contain evidence of community support. Incumbent and non-incumbent State and Federally- recognized tribes need not submit such evidence regarding their own reservations. However, such entities are required to provide such evidence for any area which they wish to serve beyond their reservation boundaries. The regulations permit current grantees requesting their existing geographic service areas to submit an SF 424 in lieu of a complete application, whether or not a waiver has been granted. As noted earlier in this notice, current grantees, other than tribes, bands or groups (including Alaskan Native entities) requesting their existing areas and NOT granted a waiver, are encouraged to consider submitting a full Notice of Intent (even if their geographic service area request has not changed) in the event that competition occurs. Tribes, bands or groups (including Alaskan Native entities) should consider submitting a full Notice of Intent if they currently serve areas beyond their reservation boundaries and have NOT been granted a waiver for these areas. Applicants are encouraged to modify the geographic service area requests identified in their Advance Notice of Intent to avoid competition with other applicants. Applicants should not add territory to the geographic service area requests identified in the Advance Notice of Intent. Any organization applying by January 1, 1995, for non-contiguous geographic service areas shall prepare a separate, complete Notice of Intent for each such area unless currently designated for such areas. It is DOL's policy that no information affecting the panel review process will be solicited or accepted past the regulatory postmarked or hand delivered deadlines (see Part VI, Use of Panel Review Procedure, below). All information provided before the deadline must be in writing. This policy does not preclude the Grant Officer from requesting additional information independent of the panel review process. V. PREFERENTIAL HIERARCHY FOR DETERMINING DESIGNATION: In cases in which only one organization is applying for a clearly identified geographic service area and the organization meets the requirements at 20 CFR 632.10(b) and 632.11(d), DOL shall designate the applying organization as the grantee for the area. In cases in which two or more organizations apply for the same area (in whole or in part), and no waivers have been granted, DOL will utilize the order of designation preference described in the hierarchy below. The organization will be designated, assuming all other requirements are met. The preferential hierarchy is: (1) Indian tribes, bands or groups on Federal or State reservations for their reservation; Oklahoma Indians only as specified in Part VIII, Special Designation Situations, below; and Alaskan Native entities only specified in Part VIII, Special Designation Situations, below. (2) Native American-controlled, community-based organizations as defined in Part IX (1) of the glossary in this notice, with significant support from other Native American- controlled organizations within the service community, This includes tribes applying for geographic service areas other than their own reservations. When a non-incumbent can demonstrate in its application, by verifiable information, that it is potentially significantly superior overall to the incumbent, and the incumbent has not been granted a waiver, a formal competitive process will be utilized which may include a panel review. Such potential will be determined by the consideration of such factors as the following: completeness of the application and quality of the contents; documentation of past experience, Native American-controlled organizational support; understanding of area training and employment needs and approach to addressing such needs; and the capability of the incumbent. If there is no incumbent, and therefore no waivers granted, new applicants qualified for this category would compete against each other. (3) Organizations (private nonprofit or units of State or local governments) having a significant Native American advisory process, such as a governing body chaired by a Native American and having a majority membership of Native Americans. (4) Non-Native American-controlled organizations without a Native American advisory process. In the event such an organization is designated, it must develop a Native American advisory process as a condition for the award of a grant. The Chief, DINAP, will make determinations regarding hierarchy, geographic service areas, eligibility of new applicants and the timeliness of submissions. He may convene a task force to assist in making such determinations. The role of the task force is that of a technical advisory body. The Chief, DINAP, will ultimately advise the Grant Officer in reference to which position an organization holds in the designation hierarchy. Within the regulatory time constraints of the designated process, the Chief, DINAP, will utilize whatever information is available. The applying organization must supply sufficient information to permit the determination to be made. Organizations must indicate the category which they assume is appropriate and must adequately support that assertion. VI. USE OF PANEL REVIEW PROCEDURE: A formal competitive process may be utilized under the following circumstances: (1) The Chief, DINAP, advises that a new applicant qualified for the second category of the hierarchy appears to be potentially significantly superior overall to an incumbent Native American-controlled, community-based organization with significant local Native American community support, and the incumbent has not been granted a waiver. (2) The Chief, DINAP, advises that more than one new applicant is qualified for the second category of the hierarchy, and the incumbent grantee has not reapplied for designation. (3) The Chief, DINAP, advises that two or more organizations have equal status in the third or fourth categories of the hierarchy, when there are no applicants qualified for the first and second categories, and no waivers have been granted. When competition occurs, the Grant Officer may convene a review panel of Federal Officials to score the information submitted with the Notice of Intent. The purpose of the panel is to evaluate an organization's capability, based on its application, to serve the area in question. The panel will be provided only the information described at 20 CFR 632.11 and submitted with the final Notice of Intent. The panel will not give weight to simple assertions. Any information must be supported by adequate and verifiable documentation, e.g., supporting references must contain the name of the contact person, an address and telephone number. The factors listed below will be considered in evaluating the capability of the applicant. In developing the Notice of Intent, the applicant should organize his documentation of capability to correspond with these factors. (1) Operational Capability -- 40 points. (20 CFR 632.10 and 632.11) (a) previous experience in successfully operating an employment and training program serving Indians and Native Americans of a scope comparable to that which the organization would operate if designated -- 20 points. (b) Previous experience in operating other human resources development programs serving Indians or Native Americans or coordinating employment and training services with such programs--10 points. (c) Ability to maintain continuity of services to Indian or Native American participants with those previously provided under JTPA -- 10 points. (2) Identification of the training and employment problems and needs in the requested area and approach to addressing such problems and needs -- 20 points. (20 CFR 632.2) (3) Planning Process -- 20 points. (20 CFR 632.11) (a) Private sector involvement -- 10 points. (b) Community support as defined in Part IX (1), Designation Process Glossary, and documentation as provided in Part I (5), General Designation Principles -- 10 points. (4) Administrative Capability -- 20 points. (20 CFR 632.11) (a) Previous experience in administering public funds under DOL or similar administrative requirements -- 15 points. (b) Experience of senior management staff to be responsible for a DOL grant -- 5 points. VII. NOTIFICATION OF DESIGNATION/NONDESIGNATION: The Grant Officer will make the final designation decision giving consideration to the following factors: the review panel's recommendation, in those instances where a panel is convened; input from DINAP, the Office of Special Targeted Programs, the DOL Employment and Training Administration's Office of Grant and Contracts Management and Office of Management Services, and the DOL Office of the Inspector General; and any other available information regarding the organization's financial and operational capability, and responsibility. The Grant Officer's decisions will be provided to all applicants by March 1, 1995, as follows: (1) Designation Letter. The designation letter signed by the Grant Officer will serve as official notice of an organization's designation. The letter will include the geographic service area for which the designation is made. It should be noted that the Grant Officer is not required to adhere to the geographical service area requested in the Final Notice of Intent. The Grant Officer may make the designation applicable to all of the area requested, a portion of the area requested, or if acceptable to the designee, more than the area requested. (2) Conditional Designation Letter. Conditional designations will include the nature of the conditions, the actions required to be finally designated and the time frame for such actions to be accomplished. (3) NONDESIGNATION Letter. Any organization not designated, in whole or in part, for a geographic service area requested will be notified formally of the NONDESIGNATION and given the basic reasons for the determination. An applicant for designation that is refused such designation, in whole or in part, may file a Petition for Reconsideration in accordance with 20 CFR 632.13, and subsequently, may appeal the NONDESIGNATION to an administrative law judge under the provisions of 20 CFR Part 636. If an area is not designated for service through the foregoing process, alternative arrangements for service will be made in accordance with 20 CFR 632.12. VIII. SPECIAL DESIGNATION SITUATIONS: (1) Alaskan Native Entities. DOL has established geographic service areas for Alaskan Native employment and training based on the following: (a) the boundaries of the regions defined in the Alaskan Native Claims Settlement Act (ANCSA); (b) the boundaries of major subregional areas where the primary provider of human resource development related services is an Indian Reorganization Act (IRA)-recognized tribal council, and (c) the boundaries of one Federal reservation in the State. Within these established geographic service areas, DOL will designate the primary Alaskan Native-controlled human resource development services provider or an entity formally designated by such provider. In the past, these entities have been regional nonprofit corporations, IRA-recognized tribal councils and the tribal government of the Metlakatla Indian Community. DOL intends to follow these principles in designating Native American Grantees in Alaska for Program Years 1995 and 1996. (2) Oklahoma Indians. DOL has established a service delivery system for Indian employment and training programs in Oklahoma based on a preference for Oklahoma Indians to serve portions of the State. Generally, geographic service areas have been designated geographically as countywide areas. In cases in which a significant portion of the land area of an individual county lies within traditional jurisdiction of more than one tribal government, the service area has been subdivided to a certain extent on the basis of tribal identification information in the most recent Federal Decennial Census of Population. Wherever possible, arrangements mutually satisfactory to grantees in adjoining or overlapping geographic service areas have been honored by DOL. DOL intends to follow these principles in designating Native American grantees in Oklahoma for Program Years 1995 and 1996 to preserve continuity and prevent unnecessary fragmentation. IX. DESIGNATION PROCESS GLOSSARY: In order to ensure that all interested parties have the same understanding of the process, the following definitions are provided: (1) Indian or Native American-Controlled Organization. This is defined as any organization with a governing board, more than 50 percent of whose members are Indians or Native Americans. Such an organization can be a tribal government, Native Alaskan or Native Hawaiian entity, consortium, or public or private nonprofit agency. For the purpose of hierarchy determinations, the governing board must have decision-making authority for the section 401 program. (2) Service Area. This is defined as the geographic area described as States, counties, and/or reservations for which a designation is made. In some cases, it will also show the specific population to be served. The service area is defined by the Grant Officer in the formal designation letter. Grantees must ensure that all eligible population members have equitable access to employment and training services within the service area. (3) Community Support. This is evidence of active participation and/or endorsement from Indian or Native American- controlled organizations within the geographic service area for which designation is requested. While applicants are not precluded from submitting attestations of support from individuals, the business community, State and local government offices, and community organizations that are not Indian or Native American-controlled, they should be aware that such endorsements do not meet DOL's definitional criteria for community support. Signed at Washington, D.C., this day of 1994 THOMAS M. DOWD PAUL A. MAYRAND Chief Director Division of Indian and Office of Special Targeted Native American Programs Programs JAMES C. DELUCA Grant Officer Office of Grants and Contracts Management, Division of Acquisition and Assistance

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