[Federal Register: May 22, 1997 (Volume 62, Number 99)]
[Page 28161-28174]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]

[[Page 28161]]


Part V

Department of Labor

Employment and Training Administration
Department of Education
Office of Vocational and Adult Education

School-to-Work Opportunities Act; Indian Program Development and 
Implementation Grants; Application Procedures; Notice

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Employment and Training Administration


Office of Vocational and Adult Education

School-to-Work Opportunities Act; Indian Program Development and 
Implementation Grants; Application Procedures

AGENCIES: Employment and Training Administration, Labor. Office of 
Vocational and Adult Education, Education.

ACTION: Notice of availability of funds and solicitation for Indian 
Program Grant Applications (SGA).


competitions for Indian Program Development and Implementation Grants 
to enable local partnerships to begin development or implementation of 
School-to-Work Opportunities initiatives that serve Indian youth and 
involve schools funded by the Bureau of Indian Affairs (BIA). The 
School-to-Work Opportunities initiatives funded under this competition 
will offer Indian youth access to School-to-Work Opportunities programs 
that will prepare them for first jobs in high-skill, high-wage careers 
and further postsecondary education and training.

DATES: Applications for grant awards will be accepted commencing May 
22, 1997. The closing date for receipt of applications is July 21, 
1997, at 4 p.m. (Eastern Time) at the address below. Telefacsimile 
(FAX) applications WILL NOT BE HONORED.

ADDRESSES: Applications shall be mailed to: U.S. Department of Labor, 
Employment and Training Administration, Division of Acquisition and 
Assistance, Attention: Ms. Laura Cesario, Reference: SGA/DAA 97-016, 
200 Constitution Avenue NW, Room S-4203, Washington, D.C. 20210.

FOR FURTHER INFORMATION CONTACT: Ms. Laura Cesario, Division of 
Acquisition and Assistance, telephone: (202) 219-7300, ext. 111 (this 
is not a toll-free number). This solicitation will also be published on 
the Internet on the Employment and Training Administration's Home Page 
at http://www/doleta.gov.

Part I: Supplementary Information

Section A. Purpose

    The Departments of Education and Labor are reserving funds 
appropriated for FY96 under the School-to-Work Opportunities Act (the 
Act) (Public Law 103-239) for a competition for Indian Program Grants 
authorized under Title II, Subtitle C of the Act. Grants under this 
competition will be awarded to local partnerships that serve Indian 
youth and involve Bureau of Indian Affairs (BIA) funded schools. 
Successful partnerships under this competition must demonstrate the 
capacity to either develop or implement local School-to-Work 
Opportunities initiatives serving Indian youth. Approximately $750,000 
is available for awards under this notice. The Departments expect to 
award approximately 4 development grants of about $30,000 each and up 
to 7 implementation grants ranging in amounts between $75,000 and 
$100,000 each under this notice. Award decisions will be published on 
the Internet under the Department's Home Page at
    Local Partnerships may apply for either a development grant, an 
implementation grant, or both. The competitions have been structured to 
allow those partnerships that have been engaged in planning and 
development activities, including those funded under last year's 
solicitation, to apply for an implementation grant without jeopardizing 
their opportunities for receiving a development grant. However, local 
partnerships who intend to be considered for either a development or 
implementation grant competitions must submit separate applications for 
each competition. The amount of any award will be based on a number of 
factors, including the scope, quality, and comprehensiveness of the 
proposed initiative as well as the size of the population to be served.
    The Departments intend to conduct future competitions for Indian 
Program Grants, on an annual basis, under the School-to-Work 
Opportunities Act of 1994. A local partnership may receive only one (1) 
development or implementation grant under this notice, with grant 
renewals for up to five years (award plus four option years) to be 
awarded based on availability of funds and the demonstrated progress of 
the grantee.

Section B. Application Process

1. Eligible Applicants
    The definitions for ``Local Partnership'' and ``Bureau-funded 
School'' are included in this solicitation due to their critical nature 
and their overall application in the eligibility determination. All 
other terms defined in the Act are hereby incorporated and applied to 
this solicitation.
(A) Local Partnership Definition
    An entity that meets the definition of ``local partnership,'' as 
defined below, proposes to serve Indian youth, and involves Bureau-
funded schools, is eligible to apply for an Indian Program Grant for 
either development or implementation of School-to-Work Opportunities 
    ``Local Partnership'' is defined in the Act to mean an entity 
responsible for School-to-Work Opportunities programs funded under this 
competition and that--
    (a) Consists of tribal organizations responsible for economic 
development, employment, job training, and education (such as tribal 
business councils, local chapters of tribal business councils, tribal 
departments of education), employers (including tribal businesses or 
school-based enterprises where applicable), representatives of Bureau-
funded schools and local postsecondary educational institutions 
(including representatives of area vocational education schools and 
tribal colleges where applicable), local educators (such as teachers, 
counselors, or administrators), representatives of labor organizations 
or nonmanagerial employee representatives, students and parents; and
    (b) May include other entities, such as--
    (1) Employer organizations;
    (2) Community-based organizations;
    (3) National trade associations working at the local level;
    (4) Industrial extension centers;
    (5) Rehabilitation agencies and organizations;
    (6) Registered apprenticeship agencies;
    (7) Local vocational education entities;
    (8) Proprietary institutions of higher education (as defined in 
section 481(b) of the Higher Education Act of 1965 (20 U.S.C. 1088(b)) 
that meet the eligibility and certification requirements under Title IV 
of such Act (20 U.S.C. 1070 et seq.);
    (9) Local government agencies;
    (10) Parent organizations;
    (11) Teacher organizations;
    (12) Vocational student organizations;
    (13) Private industry councils established under sections 402 of 
the Job Training Partnership Act (29 U.S.C. 1512);

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(B) Involvement of Bureau of Indian Affairs' (BIA) Funded Schools
    In addition to meeting the definition of a ``local partnership'', 
applicants seeking funding under this notice must demonstrate that any 
funds awarded under this competition will be used to develop and/or 
implement initiatives serving Indian youth, and involving schools 
funded by the Bureau of Indian Affairs.
    * Partnerships may demonstrate service to Indian youth and
involvement by Bureau-funded schools by demonstrating that their 
proposed School-to-Work initiatives will provide direct services to 
students enrolled in Bureau-funded schools.
    ``Bureau-funded school'' as defined in Section 1139 (3) of the 
``Education Amendments of 1978'' means:
    (a) A Bureau school--a Bureau of Indian Affairs-operated elementary 
or secondary day or boarding school or a BIA-operated dormitory for 
students attending a school other than a Bureau school.
    (b) A contract school--an elementary or secondary school or a 
dormitory that receives financial assistance for its operation under a 
contract or agreement with the BIA under Section 102, 103(a), or 208 of 
the Indian Self-Determination and Education Assistance Act.
    (c) A school for which assistance is provided under the Tribally 
Controlled Schools Act of 1988.
    * However, the Departments recognize that there are several
geographic areas throughout the country which contain high 
concentrations of Indian youth that are not served by the school 
systems supported by the Bureau of Indian Affairs. Partnerships that 
include non-Bureau-funded schools serving Indian youth may be eligible 
to apply for funding under certain circumstances. For example, 
involvement by a Bureau-funded school in a partnership may consist of a 
single Bureau-funded school being included within a partnership while 
other non-Bureau-funded schools serving Indian youth participate in 
those partnerships as well. Therefore, a partnership may be eligible to 
apply for funding even where included in the partnership are one or 
more non-Bureau-funded schools and the involvement of Bureau-funded 
schools consists of a collaborative, consultative, or close advisory 
relationship. In such a case, services are not necessarily provided 
directly to the Bureau-funded school's students, but there remains a 
measurable benefit to both the partnership and the Bureau-funded school 
or schools. Thus, a partnership meeting all other eligibility 
requirements, including that of serving Indian youth, but located in a 
geographical area or State in which there are few, if any, Bureau-
funded schools, may nonetheless be eligible for funding under this 
    Applicants must provide convincing evidence that strategies devised 
and initiatives mounted will, in fact, meet the intent of establishing 
the collaborative, consultative or close advisory relationship which 
results in measurable benefits to the Bureau-funded school as 
stipulated by the Departments. Applicants establishing collaborative, 
consultative or advisory relationships with Bureau-funded school(s) 
within their partnerships are advised to develop mutually beneficial 
initiatives, activities and endeavors which are consistent with the 
parameters discussed in Title II of the Act and further illustrated in 
Part II, Section C of this solicitation.
    In accordance with section 221 of the Act, only those applicants 
that provide sufficient information determining their eligibility 
against the criteria as stated above will be considered for funding 
under this solicitation. The Departments intend to pre-screen all 
applications against the aforementioned eligibility criteria prior to 
the panelists' review and will not consider any applications that do 
not contain the required assurances and determining information. 
Applicants will not have the opportunity to submit additional or 
revised information should a determination be made that the partnership 
does not meet the eligibility criteria.
    Entities described in Section 501(c)(4) of the Internal Revenue 
Code that engage in lobbying activities are not eligible to receive 
funds under this SGA. The Lobbying Disclosure Act of 1995, Public Law 
No. 104-65,109 stat.691, that became effective January 1, 1996, 
prohibits the award of federal funds to these entities if they engage 
in lobbying activities.
2. Submission of Application
    Applicants must submit an original and three (3) copies of the 
application. The application shall consist of five distinct parts: (I) 
detachable description addressing the eligibility criteria, (II) 
budget, (III) abstract, (IV) program narrative, and (V) appendices. To 
ensure a comprehensive and expedient review, applicants must submit an 
application formatted as seen below:

Table of Contents

I. Eligibility Requirements
    Part I must contain detailed information as described in Part I, 
Section B(1) of this notice and, for prescreening purposes, should be 
separate and easily detachable from the remainder of the application.
II. Budget
    Part II shall contain the Standard Form (SF) 424, ``Application for 
Federal Assistance,'' (Appendix A) and SF 424A, ``Budget'' (Appendix 
B). All copies of the 424 Form must have original signatures of the 
designated fiscal agent and must indicate in item 11 whether the 
application is to be considered for development or implementation 
funding. Applicants shall indicate on the SF-424 the organization's IRS 
status, if applicable. The Catalog of Federal Domestic Assistance 
number is 17.249. In addition, the budget shall include--on a separate 
page(s)--a detailed cost break-out of each line item on Budget Form 
424A. Further, the Departments recommend that applicants break out line 
item costs illustrating those items charged under the administrative 
costs cap discussed in Part III of this notice.
III. Abstract
    Part III shall consist of a one-page abstract summarizing the 
essential components and key features of the partnership's plan.
IV. Program Narrative
    Part IV shall contain the program narrative that demonstrates the 
applicant's plan and capabilities in accordance with the evaluation 
criteria contained in this notice. Applicants must describe their plan 
in light of each of the Evaluation Criteria in Part III, Section B of 
this notice. No cost data or reference to price shall be included in 
this part of the application. Applicants must limit the program 
narrative section to no more than 40 double-spaced pages, on one side 
only. Applications that fail to meet the page limitation requirement 
will not be considered.
V. Appendices
    All applicable appendices including letters of support, resumes and 
organizational charts should be included in this section. The safeguard 
assurance, as required under Part II, Section D, ``Safeguards'', of 
this notice, should be included in all applications as Appendix A. The 
Departments recommend that all appendix entries be cross-referenced 
back to applicable sections in the program narrative.

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Applicants must limit the appendices to no more than 20 pages. 
Applications that fail to meet the page limitation requirement will not 
be considered.
3. Late Applications
    Any application received after the exact date and time specified 
for receipt at the office designated in this notice will not be 
considered, unless it is received before awards are made and it--
    (a) Was sent by registered or certified mail not later than the 
fifth calendar day before the date specified for receipt of 
applications (e.g., an application submitted in response to a 
solicitation requiring receipt of applications by the 20th of the month 
must have been mailed/post marked by the 15th of that month); or
    (b) Was sent by the U.S. Postal Service Express Mail Next Day 
Service to addressee not later than 5:00 P.M. at the place of mailing 
two working days prior to the date specified for receipt of 
applications. The term ``working days'' excludes weekends and Federal 
    The term ``post marked'' means a printed, stamped, or otherwise 
placed impression (exclusive of a postage meter machine impression) 
that is readily identifiable, without further action, as having been 
supplied or affixed on the date of mailing by an employee of the U.S. 
Postal Service.
4. Hand-Delivered Applications
    It is preferred that applications be mailed at least five days 
prior to the closing date. To be considered for funding, hand-delivered 
applications must be received by 4:00 P.M., Eastern Time, on the 
HONORED. Failure to adhere to the above instructions will be a basis 
for a determination of nonresponsiveness. Overnight express mail from 
carriers other than the U.S. Postal Service will be considered hand-
delivered applications and MUST BE RECEIVED by the above specified date 
and time.
5. Period of Performance
    The period of performance will be twelve (12) months from the date 
of award by the Department of Labor. Since all awards must be made by 
September 30, 1997 under this competition, the Departments recommend 
that all applicants use September 30, 1997-October 31, 1998 as both 
budgetary and project award periods.
6. Option to Extend
    These Indian Program Grants may be extended for up to four 
additional years at the discretion of the Federal Government, based 
upon the availability of funds and the demonstrated progress of the 
grantee under this School-to-Work Opportunities initiative. While the 
Departments encourage grantees funded for developmental initiatives 
during last year's competition to apply for Implementation funding, it 
remains the Departments' desire to continue the developmental 
investment until a partnership is ready to successfully compete and 
receive Implementation funding under this initiative.
    Consistent with the School-to-Work Opportunities Act, the 
Departments expect that over time, Federal funds, added to this grant, 
will decrease. Funds awarded under this notice are considered ``venture 
capital'' for the establishment of School-to-Work Opportunities systems 
serving Indian youth. Likewise, local partnerships will eventually 
assume responsibility for maintaining School-to-Work Opportunities 
systems with other Federal, State and local resources.
7. Reporting Requirements/Deliverables
    If awarded a grant, the local partnership will be required to 
provide the following:
1. Quarterly and Final Reports
    * Quarterly financial reports as required by the grant award
    * Quarterly narrative reports on progress made and problems
encountered in accomplishing the proposed plan and that indicate, where 
relevant, the corrective action(s) proposed to address developmental or 
implementation problems; and
    * Annual reports at year-end on the activities and
accomplishments of the local partnership's School-to-Work Opportunities 
2. Deliverables
    * At a minimum, preparing an assessment of accomplishments
and results at each program year-end suitable for dissemination to 
other Indian communities and partnerships.
    * Acting as a host to outside visitors from other Indian
communities or local partnerships interested in developing and 
implementing School-to-Work Opportunities initiatives in settings with 
similar characteristics.

Part II. Program Description

Section A. Background

    The United States is the only industrialized nation that lacks a 
comprehensive and coherent system to help its youth acquire the 
knowledge, skills, abilities, and information about the labor market 
necessary to make an effective transition from school to career-
oriented work. Three-fourths of America's high school students do not 
attain four-year college degrees. Many of them do not possess the basic 
academic and occupational skills necessary for entry into high-skill, 
high-wage careers in the changing workplace or to pursue further 
education. The School-to-Work Opportunities Act of 1994 created a 
national framework for high-quality, statewide school-to-work 
transition systems that enable young Americans to identify and navigate 
paths to productive and progressively more rewarding roles in the 
    Partnerships serving Indian youth face particular challenges in 
implementing School-to-Work Opportunities initiatives:
    1. High unemployment and relatively few high-skill, high-wage 
employment opportunities often characterize the areas to be served, 
making it more difficult to secure employer participation, work-based 
learning opportunities, and career-track jobs for Indian youth who 
complete a School-to-Work Opportunities program. Therefore, creative 
strategies must be developed to make full use of the capacity of local 
institutions to include a variety of alternative work-based learning 
environments (ie. tribal businesses, school-based enterprises and 
entrepreneurial training) and to support intensive efforts to enhance 
diverse employer involvement. Partnerships should strive to engage 
employers by offering them a range of opportunities for participating 
in the design and implementation of School-to-Work Opportunities 
systems, including membership on councils and partnerships; assistance 
in setting standards, designing curriculum and determining outcomes; 
providing worksite experience for teachers; helping to recruit other 
employers; and providing worksite experience for students, such as 
mentoring, job shadowing, unpaid work experiences, supported work 
experiences, and paid work experiences.
    2. High dropout rates, unequal access to quality educational 
experiences and the lack of relevant information regarding career 
options often plague such high challenge, remote service areas. School-
to-Work Opportunities initiatives can offer alternative learning 
environments, creative approaches to academic and technical subjects 
and relevant and engaging school-based and work-based activities that 
can encourage

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Indian youth to remain in school until completion. To achieve such 
objectives, School-to-Work systems need to engage youth as early as 
possible. Career awareness and exploration activities allow Indian 
youth exposure to a range of high-skill, high-wage careers, the level 
of skills and abilities necessary in such occupations, and insight into 
the relevance of classroom education and the overall value of learning. 
Further, professional development and stakeholder education remains a 
critical piece towards the building of School-to-Work systems. In-
service training programs and outreach initiatives are essential 
towards developing relevant and engaging curriculum, teaching 
methodologies and assessments which let students make the critical 
connections between the classroom environment and the world of work.
    3. Economic and geographic factors may create uneven educational 
and employment opportunities among Indian youth, thus requiring that 
careful consideration be given to enhancing both the access and 
availability of opportunities. Therefore, partnerships are encouraged 
to link School-to-Work initiatives with existing educational reform 
strategies, workforce development initiatives and economic development 
plans. By doing so, partnerships will initiate School-to-Work systems 
capable of equipping tribal youth with the skills and abilities to take 
high-skill, high-wage positions within tribal government, targeted 
tribal industries, or outside of the tribe in the larger labor market. 
Further, communities with highly skilled, highly trained youth will aid 
the success of tribal economic development initiatives through the 
encouragement of entrepreneurial ventures and the recruitment of 
targeted industries and employers interested in developmental ventures 
on tribal lands.
    Under this competition, federal funds will be used as ``venture 
capital'' to establish School-to-Work Opportunities systems serving 
Indian youth. Local partnerships applying for development grants should 
be ready to use funds to involve Bureau-funded schools in establishing 
cooperative linkages and planning innovative methods of providing 
School-to-Work services for Indian youth. Local partnerships applying 
for implementation grants should be ready to implement School-to-Work 
initiatives involving Bureau-funded schools by building on and 
enriching existing promising programs such as tech-prep education, 
career academies, youth apprenticeship, school-based enterprises, job 
training and previous related efforts funded by the BIA. However, the 
purpose of funding under the School-to-Work Opportunities initiative is 
not simply to augment existing programs, but rather to build systems 
that provide opportunities for all students to achieve the benefits and 
outcomes of the School-to-Work Opportunities initiative. Building 
comprehensive systems will likely involve a combination of enhancing 
existing programs, establishing linkages among them, and developing an 
effective framework that connects both existing and new programs in a 
meaningful way. Through involvement in the School-to-Work Indian 
Program Grants, tribal organizations are expected to build over time 
the kind of School-to-Work Opportunities Systems that best meet their 

Section B. Objectives

    The School-to-Work Opportunities initiative provides for a 
substantial degree of State and local flexibility and experimentation, 
but all State systems, individual local initiatives and Indian Program 
initiatives will share several common features and basic program 
components as required by the School-to-Work Opportunities Act of 1994. 
A School-to-Work Opportunities initiative under this competition must 
include the following common features and basic program components:
    1. The basis of the School-to-Work Opportunities system is--
    (a) The integration of school-based learning and work-based 
    (b) The integration of academic and occupational learning; and
    (c) The establishment of effective linkages between secondary and 
postsecondary education.
    2. School-to-Work Opportunities systems will--
    (a) Provide participating students with the opportunity to complete 
career majors;
    (b) Incorporate the system components described below (school-based 
learning, work-based learning, and connecting activities);
    (c) Provide participating students, to the extent practicable, with 
strong experience in and understanding of all aspects of the industry 
the students are preparing to enter; and
    (d) Provide all students with equal access to the full range of 
such system components (including both school-based and work-based 
learning components) and related activities, such as recruitment, 
enrollment, and placement activities, except that nothing in this 
notice shall be construed to provide any individual with an entitlement 
to services.
    3. School-to-Work Opportunities initiatives must incorporate three 
basic program components:
    (a) School-Based Learning, that includes--
    * Career awareness and career exploration and counseling
(beginning at the earliest possible age, but not later than the 7th 
grade) in order to help students and school dropouts who may be 
interested to identify, and select or reconsider, their interests, 
goals, and career majors, including those options that may not be 
traditional for their gender, race, or ethnicity;
    * Initial selection by interested students and school
dropouts of a career major not later than the beginning of the 11th 
    * A program of study designed to meet the same academic
content standards established for all students, including, where 
applicable, standards established under the Goals 2000: Educate America 
Act, and to meet the requirements necessary to prepare a student and 
school dropouts for postsecondary education and the requirements 
necessary to earn a skill certificate;
    * A program of instruction and curriculum that integrates
academic and vocational learning (including applied methodologies and 
team-teaching strategies), and incorporates instruction, to the extent 
practicable, in all aspects of an industry, appropriately tied to the 
career of a participant;
    * Regularly scheduled evaluations involving ongoing
consultation and problem solving with students and school dropouts to 
identify their academic strengths and weaknesses, academic progress, 
workplace knowledge, goals, and the need for additional learning 
opportunities to master core academic and vocational skills; and
    * Procedures to facilitate the entry of students and school
dropouts participating in a School-to-Work Opportunities initiative 
into additional training or postsecondary education programs, as well 
as to facilitate the transfer of the students and school dropouts 
between education and training programs.
    (b) Work-based learning, that includes--
    (1) Mandatory activities--
    * Work experience;
    * A planned program of job training and work experiences
(including training related to pre-employment and employment skills to 
be mastered at progressively higher levels) that are coordinated with 
learning in the school-based learning component described above and are 
relevant to the career

[[Page 28166]]

majors of students and school dropouts lead to the award of skill 
    * Workplace mentoring;
    * Instruction in general workplace competencies, including
instruction and activities related to developing positive work 
attitudes, and employability and participative skills; and
    * Broad instruction, to the extent practicable, in all
aspects of the industry.
    (2) Permissible activities--Such component may include such 
activities as paid work experience, job shadowing, school-sponsored 
enterprises, or on-the-job training.
    (c) Connecting Activities, that include--
    * Matching students and school dropouts with the work-based
learning opportunities of employers;
    * Providing, with respect to each student and school
dropout, a school site mentor to act as a liaison among the student and 
the employer, school, teacher, school administrator, and parent of the 
student, and, if appropriate, other community partners;
    * Providing technical assistance and services to employers,
including small-and medium-sized businesses, and other parties in--
    (A) Designing school-based learning components as described above, 
work-based learning components as described above, and counseling and 
case management services; and
    (B) Training teachers, workplace mentors, school site mentors, and 
    * Providing assistance to schools and employers to integrate
school-based and work-based learning and integrate academic and 
occupational learning into the program;
    * Encouraging the active participation of employers, in
cooperation with local education officials, in the implementation of 
local activities described in this Part as school-based learning, work-
based learning, or connecting activities;
    (A) Providing assistance to participants who have completed the 
program in finding an appropriate job, continuing their education, or 
entering into an additional training program; or
    (B) Linking the participants with other community services that may 
be necessary to assure a successful transition from school to work;
    * Collecting and analyzing information regarding post-
program outcomes of participants in the School-to-Work Opportunities 
initiative, to the extent practicable and appropriate for Indian 
programs, on the basis of socioeconomic status, gender, and disability, 
and on the basis of whether the participants are students with limited-
English proficiency, school dropouts, disadvantaged students, or 
academically talented students; and
    * Linking youth development activities under the School-to-
Work Opportunities initiative with employer and industry strategies for 
upgrading the skills of their workers.

Section C. Examples of Allowable Activities

    Funds awarded under this competition to a partnership serving 
Indian youth and involving Bureau-funded schools may be used only for 
activities undertaken to develop or implement the local partnership's 
plan that will provide opportunities for Indian youth to participate 
successfully in a School-to-Work Opportunities initiative.
1. Development Grants
    Eligible partnerships that have not fully developed a plan for the 
implementation of a School-to-Work Opportunities system may apply for 
development grants. These funds may support a wide range of planning 
and development activities. These grants are designed for situations in 
which an eligible partnership may not be ready to move forward with 
implementation of a School-to-Work Opportunities initiative, but 
intends to compete for implementation grants in future rounds of 
competition. Eligible partnerships seeking development grants must 
describe the planning and development activities for the School-to-Work 
Opportunities initiative that the partnership proposes to undertake 
during the 12-month grant period. The plan should include activities 
funded from this grant as well as from other sources. Examples of 
development activities that may be conducted with funds awarded under 
an Indian Program Grant are similar to those stipulated under section 
205 of the Act and as illustrated below--
    1. Initiating a planning process aimed at building a School-to-Work 
Opportunities initiative;
    2. Identifying or establishing an appropriate structure to 
administer a School-to-Work Opportunities initiative;
    3. Further expanding eligible partnerships as defined in this 
notice to participate in the design, development and administration of 
the School-to-Work Opportunities initiative;
    4. Building consensus among local stakeholders and supporting 
planning and development activities to provide guidance in creating the 
School-to-Work Opportunities plan;
    5. Initiating pilot projects to test key components of program 
design such as designing and testing common intake systems for students 
participating in School-to-Work Opportunities initiatives, and 
determining methods to integrate program data bases;
    6. Analyzing current statutory, regulatory and administrative 
impediments to the creation of a School-to-Work Opportunities 
    7. Assessing staff training and development needs for participation 
in a School-to-Work Opportunities initiative;
    8. Preparing the strategic plan required for submission of a 
proposal for an implementation grant. The plan should describe the 
progress expected to be achieved in the planning and development 
process by the end of the 12-month grant period. This should include 
expected ``next steps.''
2. Implementation Grants
    Eligible partnerships that have developed and are ready to 
implement a plan for a School-to-Work Opportunities initiative may 
apply for implementation grants. These funds may be used to support a 
wide range of activities providing School-to-Work Opportunities for 
Indian youth. Examples of implementation activities that may be 
conducted with funds awarded under an Indian Program Grant are similar 
to those stipulated in section 215 of the Act and as illustrated below:
    1. Recruiting and providing assistance to employers, including 
small- and medium-sized businesses, tribal businesses and school-based 
enterprises, to provide the work-based learning components in the 
School-to-Work Opportunities initiative;
    2. Establishing consortia of employers, including tribal businesses 
and school-based enterprises, to support the School-to-Work 
Opportunities initiative and provide access to jobs related to the 
career majors of students;
    3. Supporting or establishing intermediaries (selected from among 
the members of the local partnership) to perform the connecting 
activities described above in Part II. B., ``Objectives,'' and to 
provide assistance to Indian youth in obtaining jobs and further 
education and training;
    4. Designing or adapting innovative school curricula that can be 
used to integrate academic, vocational, and occupational learning, 
school-based and work-based learning, and secondary and postsecondary 
education for all students in the area served;
    5. Providing training to work-based and school-based staff on new 
curricula, student assessments, student guidance,

[[Page 28167]]

and feedback to the school regarding student performance in connection 
with the School-to-Work Opportunities Initiative;
    6. Establishing, in schools participating in a School-to-Work 
Opportunities initiative, a graduation assistance program to assist at-
risk students, low-achieving students, and students with disabilities, 
in graduating from high school, enrolling in postsecondary education or 
training, and finding or advancing in jobs;
    7. Providing career exploration and awareness services, counseling 
and mentoring services, college awareness and preparation services, and 
other services (beginning at the earliest possible age, but not later 
than the 7th grade) to prepare students for the transition from school 
to work;
    8. Providing supplementary and support services, including child 
care and transportation, when such services are necessary for 
participation in a local School-to-Work Opportunities initiative;
    9. Conducting or obtaining an in-depth analysis of the local labor 
market and the generic and specific skill needs of employers to 
identify high-demand, high-wage careers to target;
    10. Integrating school-based and work-based learning into existing 
job training programs for school dropouts;
    11. Establishing or expanding school-to-apprenticeship programs in 
cooperation with registered apprenticeship agencies and apprenticeship 
    12. Assisting participating employers, including small- and medium-
sized businesses, tribal businesses and school-based enterprises, to 
identify and train workplace mentors and to develop work-based learning 
    13. Promoting the formation of partnerships between Bureau-funded 
schools and other elementary and secondary schools (including middle 
schools) and local businesses as an investment in future workplace 
productivity and competitiveness;
    14. Designing local strategies to provide adequate planning time 
and staff development activities for teachers, school counselors, 
related services personnel, and school site mentors, including 
opportunities outside the classroom that are at the worksite;
    15. Enhancing linkages between after-school, weekend, and summer 
jobs, career exploration, and school-based learning;
    16. Obtaining the assistance of organizations and institutions that 
have a history of success in working with school dropouts and at-risk 
and disadvantaged youths in recruiting such Indian youth who are at-
risk or school dropouts to participate in a local School-to-Work 
Opportunities initiative;
    17. Conducting outreach to all students in a language and manner 
that most appropriately and effectively meets their needs and responds 
to the needs of their community;
    18. Experimenting with providing work-based learning opportunities 
both inside and outside the Indian community;
    19. Developing, in conjunction with Title I of the Elementary and 
Secondary Schools Act or other funds, improvements in the Bureau-funded 
and other elementary and middle schools that serve the Indian community 
in order to reduce the long-term dropout rate of Indian youth;
    20. Developing and implementing techniques that will increase the 
college enrollment of Indian youth in the targeted area;
    21. Utilizing complementary initiatives within the targeted area 
such as comprehensive sports and recreation programs, after-school 
programs, and community development activities;
    22. Encouraging Indian youth to design and initiate innovative 
work-based learning activities operated within a school setting; and
    23. Developing and implementing school-based and work-based 
learning and connecting activities that are related to the tribal 
organization's economic development plan.

Section D. Safeguards

    The Departments apply the following safeguards to School-to-Work 
Opportunities programs funded under this competition:
    1. No student in a School-to-Work Opportunities system shall 
displace any currently employed worker (including a partial 
displacement, such as a reduction in the hours of non-overtime work, 
wages, or employment benefits).
    2. No School-to-Work Opportunities program shall impair existing 
contracts for services or collective bargaining agreements, and no 
program under this competition that would be inconsistent with the 
terms of a collective bargaining agreement shall be undertaken without 
the written concurrence of the labor organization and employer 
    3. No student participating in a School-to-Work Opportunities 
program shall be employed or fill a job--
    a. When any other individual is on temporary layoff, with the clear 
possibility of recall, from the same or any substantially equivalent 
job with the participating employer; or
    b. When the employer has terminated the employment of any regular 
employee or otherwise reduced its workforce with the intention of 
filling the vacancy so created with a student.
    4. Students shall be provided with adequate and safe equipment and 
safe and healthful workplaces in conformity with all health and safety 
requirements of Federal, State, and local law.
    5. Nothing in this notice shall be construed so as to modify or 
affect any Federal or State law prohibiting discrimination on the basis 
of religion, gender, age, or disability.
    6. Funds awarded under this competition shall not be expended for 
wages of students or workplace mentors participating in any part of a 
School-to-Work Opportunities system.
    7. The grantee shall implement and maintain such other safeguards 
as the Departments may deem appropriate in order to ensure that School-
to-Work Opportunities participants are afforded adequate supervision by 
skilled adult workers, or to otherwise further the purposes of school-
    An applicant must provide an assurance, as appendix A, that the 
foregoing safeguards will be implemented and maintained throughout the 
school-to-work system.

Section E. Waivers

    Under Title V of the Act, the Secretaries may waive certain Federal 
requirements that impede the ability of a State or local partnership to 
carry out the purposes of the Act. Only local partnerships in States 
with approved School-to-Work Opportunities plans may apply for waivers. 
A local partnership that seeks a waiver should contact its State 
School-to-Work Contact to determine what documentation is required and 
to whom it should be sent. In May, 1995, the National School-to-Work 
Opportunities Office issued a document entitled ``School-to-Work 
Opportunities Waiver and Plan Approval Process Questions and Answers.'' 
This document contains answers to many of the questions that localities 
may have when preparing their waiver requests. Local Partnerships 
interested in applying for waivers should contact the National School-
to-Work Opportunities Office or their State School-to-Work Contact for 
a copy of the waiver document.

Part III. Indian Program Grants Competition Requirements

Section A. Administrative Cost Cap

    The Departments are applying the 10 percent cap on administrative 
costs contained in section 215(b)(6) of the Act to local partnerships 
receiving implementation grants directly under this competition. 
Section 215(b)(6) of

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the Act applies the 10 percent administrative cap to subgrants received 
by local partnerships from a State. The Departments have concluded that 
applying the 10 percent cap to local partnerships under this 
competition is consistent with the Act's intent and its broader 
limitations on administrative costs.
    All definitions in the Act apply to local School-to-Work 
Opportunities systems funded under this and future Indian Program Grant 
competitions. Since the Act does not contain a definition of the term 
``administrative costs'' as used in section 217 of the Act, the 
Departments will apply the following definition to this and future 
competitions for Indian Program Grants.
    The term ``administrative costs'' means the activities of a local 
partnership that are necessary for the proper and efficient performance 
of its duties under the Indian Program Grant pursuant to the School-to-
Work Opportunities Act and that are not directly related to the 
provision of services to participants or otherwise allocable to the 
program's allowable activities listed in Title II of the Act. 
Administrative costs may be either personnel or non-personnel costs, 
and may be either direct or indirect. Costs of administration include 
those costs that are related to this grant in such categories as--
    A. Costs of salaries, wages, and related costs of the grantee's 
staff engaged in--
    * Overall system management, system coordination, and
general administrative functions;
    * Preparing program plans, budgets, and schedules, as well
as applicable amendments;
    * Monitoring of local initiatives, pilot projects,
subrecipients, and related systems and processes;
    * Procurement activities, including the award of specific
subgrants, contracts, and purchase orders;
    * Developing systems and procedures, including management
information systems, for ensuring compliance with the requirements 
under the Act;
    * Preparing reports and other documents related to the Act;
    * Coordinating the resolution of audit findings;
    B. Costs for goods and services required for administration of the 
School-to-Work Opportunities system;
    C. Costs of system-wide management functions; and
    D. Travel costs incurred for official business in carrying out 
grants management or administrative activities.

Section B. Evaluation Criteria

    Under the School-to-Work Opportunities Indian Program Grants 
competition announced in this notice, a careful evaluation of 
applications will be made by technical review panel(s). Each panelist 
will evaluate the applications against the criteria listed below. The 
government may elect to award grant(s) without discussions with the 
offerer(s). In such situations, an award based on the offerer's 
signature on the SF-424 constitutes a binding offer.
Evaluation Criteria: Development Grants
    The Government will use the following evaluation criteria and 
associated point values in evaluating applications for development 

    Evaluation Criterion 1: Vision of a local School-to-Work 
Opportunities initiative incorporating the elements described in Part 
II of this notice.
    Points: 30.
    Considerations: In applying this criterion, reviewers will 
    1. How well does the vision of an integrated delivery system for 
School-to-Work Opportunities incorporate the common features and basic 
system components described in Part II of this notice?
    2. How clearly are the problems and/or inefficiencies of current 
programs and approaches understood and articulated?
    3. How clearly does the partnership articulate how it envisions 
integrating promising existing programs into a comprehensive School-to-
Work Opportunities system?
    4. How well does this vision incorporate realistic strategies to 
ensure that ``all students'' have opportunities to participate in 
School-to-Work initiatives?
    5. How well does the vision address the needs of the tribal 
economic development plan and the local labor market within which the 
targeted area is located?
    6. How well does the vision convey the partnership's connection 
between the proposed School-to-Work Opportunities system and overall 
education reform?

    Evaluation Criterion 2: Approach to collaboration, planning and 
    Points: 30.
    Considerations: In applying this criterion, reviewers will 
    1. Does the eligible partnership include all of the required 
representatives as defined in Part I, section B.1 of this notice?
    2. Whether other appropriate officials and organizations necessary 
to achieve the objectives of the application are also represented.
    3. To what extent will employers and representatives of workers 
participate in the development of the plan?
    4. Are the roles and responsibilities of each partner well 
articulated and substantive?
    5. Is the plan likely to lead to a broad consensus about the design 
of the School-to-Work Opportunities system?
    6. Is the proposal clear on who will have the day-to-day 
responsibilities for the grant and how major decisions will be made?

    Evaluation Criterion 3: Feasibility and soundness of the 
development plan. 
    Points: 25.
    Considerations: In applying this criterion, reviewers will 
    1. Are the planned activities likely to prepare the eligible 
partnership to implement a School-to-Work Opportunities initiative?
    2. To what extent has progress already been made?
    3. Are staff development and training needs fully considered?
    4. To what extent has the partnership envisioned pilot testing of 
key components toward the establishment of a comprehensive framework 
for implementation?
    5. Does the development process fully take advantage of technology?
    6. Whether the approach to identifying and overcoming anticipated 
barriers to the development of the partnership's School-to-Work plan is 
    7. Whether the management plan and related timeline of activities 
included in the application are appropriate to the goals and outcomes 
to be achieved.
    8. Are key personnel to be used on the project qualified to 
undertake proposed activities?

    Evaluation Criterion 4: Commitment to the planning and development 
    Points: 15.
    Considerations: In applying this criterion, reviewers will 
    1. To what extent are Federal or other local resources being 
utilized to finance planning and development activities towards the 
development of a comprehensive School-to-Work system?
    2. To what extent will the partnership provide in-kind support and 
resources towards the development of the system?
    3. Whether resources available are adequate to support the 
activities proposed.

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Evaluation Criteria: Implementation Grants
    The Government will use the following evaluation criteria and 
associated point values in evaluating applications for implementation 

    Evaluation Criterion 1: Comprehensive Local School-to-Work 
Opportunities System.
    Points: 40.
    Considerations: In applying this criterion, reviewers will 
    A. 20 Points--The extent to which the partnership has designed a 
comprehensive local School-to-Work Opportunities plan that--
    1. Includes effective strategies serving Indian youth and involving 
Bureau-funded schools that integrates school-based and work-based 
learning, integrates academic and vocational education, and establishes 
linkages between secondary and postsecondary education;
    2. Is likely to produce systemic change that will have substantial 
impact on the preparation of all tribal area students for a first job 
in a high-skill, high-wage career and in increasing their opportunities 
for further learning;
    3. Ensures that all tribal youth will have a full range of options, 
including options for higher education, additional training and 
employment in high-skill, high-wage jobs;
    4. Ensures coordination and integration with existing school-to-
work systems, and with related programs financed from State and private 
sources, with funds available from Federal education and training 
programs(such as the Job Training Partnership Act and the Carl D. 
Perkins Vocational and Applied Technology Education Act); and where 
applicable, communities designated as Empowerment Zones or Enterprise 
Communities (EZ/EC);
    5. Serves a geographic area that reflects the needs of the local 
labor market and targets occupational clusters that represent growing 
industries in the partnership's geographic area and specified in the 
tribal economic development plan.
    6. Includes an effective strategy for assessing and addressing the 
academic and human service needs of students and dropouts within the 
tribal community, making improvements or adjustments as necessary, with 
particular emphasis on the coordination of various human services 
provided within the tribal community.
    B. 20 Points--The extent to which the partnership's plan 
demonstrates its capability to achieve the statutory requirements and 
to effectively put in place the system components in Title I of the 
School-to-Work Opportunities Act, including--
    1. A work-based learning component that includes the statutory 
``mandatory activities'' and that contributes to the transformation of 
workplaces into active learning components of the education system 
through an array of sequentially enriching permissible learning 
activities such as job shadowing, school-sponsored enterprises, 
entrepreneurial initiatives, and paid work experiences.
    2. A school-based learning component that provides students with 
high-level academic and technical skills consistent with academic 
standards that the State or Bureau establishes for all students, 
including, where applicable, standards established under the Goals 2000 
Educate America Act;
    3. A connecting activities component to provide a functional link 
between students' school and work activities, and between workplace 
partners, educators, community organizations, and other appropriate 
    4. Effective processes for assessing skills and knowledge required 
in career majors, and issuing portable skill certificates that are 
benchmarked to high-quality standards such as those States will 
establish under the Goals 2000: Educate America Act, and for 
periodically assessing and collecting information on student outcomes, 
as well as a realistic strategy and timetable for implementing the 
    5. A flexible School-to-Work Opportunities system that allows 
students participating in the local system to develop new career goals 
over time, and to change career majors and;
    6. Effective strategies for: providing staff development for 
teachers, worksite mentors and other key personnel; developing model 
curricula and innovative instructional methodologies, including 
processes for infusing culturally sensitive issues, values and beliefs, 
expanding career and academic counseling in elementary and secondary 
schools; and utilizing innovative technology-based instructional 

    Evaluation Criterion 2: Quality and Effectiveness of the Local 
    Points: 25.
    Considerations: In applying this criterion, reviewers will 
    1. Whether the partnership's plan demonstrates an effective and 
convincing strategy for continuing the commitment of required partners 
and other interested parties in the local School-to-Work Opportunities 
system. As defined in this solicitation, partners must include tribal 
organizations (such as tribal business councils or local chapters of 
tribal business councils, tribal departments of education), employers 
(both within and surrounding the targeted area where applicable and 
including tribal businesses and school-based enterprises), 
representatives of Bureau of Indian Affairs' funded schools, local 
educational agencies and local postsecondary educational institutions 
(including representatives of area vocational education schools and 
tribal colleges, where applicable), local educators(such as teachers, 
counselors, or administrators), representatives of labor organizations 
or nonmanagerial employee representatives, parents, and students;
    2. Whether the partnership's plan demonstrates an effective and 
convincing strategy for continuing the commitment of workplace partners 
and other interested parties such as community based organizations and 
others experienced and focused on dealing with the distinctive needs of 
Indian youth in the local School-to-Work Opportunities system;
    3. The effectiveness of the partnership's plan to include private 
sector representatives and tribal business leaders as joint partners 
with tribal educators in both the design and implementation of the 
local School-to-Work Opportunities system;
    4. The extent to which the local partnership has developed 
strategies to provide a range of opportunities for workplace partners 
to participate in the design and implementation of the local School-to-
Work Opportunities system, including membership on councils and 
partnerships; assistance in setting standards, designing curricula, and 
determining outcomes; providing worksite experiences for teachers; 
helping to recruit other employers; and providing worksite learning 
activities for students such as mentoring, job shadowing, unpaid work 
experiences, and paid work experiences;
    5. The extent to which the roles and responsibilities of the key 
parties and any other relevant stakeholders are clearly defined and are 
likely to produce the desired changes in the way students are prepared 
for the future;
    6. The extent to which the partnership demonstrates the capacity to 
build a quality local School-to-Work Opportunities system; and
    7. Whether the partnership has included methods for sustaining and 
expanding the partnership, as implementation expands in scope and size.

    Evaluation Criterion 3: Participation of All Students.

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    Points: 20.
    Considerations: In applying this criterion, reviewers will refer to 
the definition of the term ``all students'' as applicable in Title I, 
section 4(2) of the Act, and consider--
    1. The extent to which the partnership will implement effective 
strategies and systems to provide all students with equal access to the 
full range of components specified in sections 102 through 104 of the 
Act and related activities such as recruitment, enrollment, and 
placement activities, and to ensure that all tribal youth have 
opportunities to participate in School-to-Work Opportunities 
    2. Whether the partnership has identified potential barriers to the 
participation of any students, and the degree to which it proposes 
effective ways of overcoming these barriers;
    3. The degree to which the partnership has developed realistic 
goals and methods for assisting young women to participate in School-
to-Work Opportunities components leading to employment in high-
performance, high-paying jobs, including non-traditional jobs;
    4. The partnership's methods for ensuring safe and healthy work 
environments for students, including strategies for encouraging tribal 
schools to provide students with general awareness training in 
occupational safety and health as part of the school-based learning 
component, and for encouraging workplace partners to provide risk-
specific training as part of the work-based learning component, as well 
as the extent to which the partnership has developed realistic goals to 
ensure environments free from racial and sexual harassment; and
    5. The extent to which the partnership's plan provides for the 
participation of a significant number or percentage of Indian youth 
within the system, including Indian youth located in particularly 
remote areas in School-to-Work Opportunities activities listed under 
Title I of the Act.

    Evaluation Criterion 4: Management plan.
    Points: 15.
    Considerations: In applying this criterion, reviewers will 
    1. The feasibility and effectiveness of the partnership's strategy 
for using other resources, including private sector or Tribal 
resources, to maintain the system when Federal resources under the 
School-to-Work Opportunities Act are no longer available;
    2. The extent to which the partnership's management plan 
anticipates barriers to implementation and proposes effective methods 
for addressing barriers as they arise;
    3. Whether the plan includes feasible, measurable goals for the 
School-to-Work Opportunities system, based on performance outcomes 
established under section 402 of the Act, and an effective method for 
collecting information relevant to the local partnership's progress in 
meeting its goals;
    4. Whether the plan includes a regularly scheduled process for 
improving or redesigning the School-to-Work Opportunities system based 
on performance outcomes established under section 402 of the Act;
    5. The extent to which the resources requested will be used to 
develop information, products, and ideas that will assist other local 
partnerships as they design and implement local systems; and
    6. The extent to which the partnership will limit equipment and 
other purchases in order to maximize the amounts spent on delivery of 
services to students.
    7. Are key personnel under the plan qualified to perform the 
required activities, including maintaining the essential partnership?
    The panel results are advisory in nature and not binding on the 
Grants Officer. Final funding decisions will consider such factors as: 
geographic balance, diversity of programmatic approaches, 
replicability, sustainability, and innovation.

    Signed at Washington D.C., this 16th day of May 1997.
Patricia W. McNeil,
Assistant Secretary for Vocational and Adult Education, Department of 
Raymond J. Uhalde,
Acting Assistant Secretary for Employment and Training, Department of 


Appendix A: Application for Federal Assistance, SF Form 424 Appendix 
B: Budget Form, SF 424 (a)


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[FR Doc. 97-13415 Filed 5-21-97; 8:45 am]