Background and Purpose

During November 2000, the New York State Department of Labor, with the authorization of the New York State Workforce Investment Board, released a Request for Applications (RFA) to local workforce investment areas across New York State to assess local critical occupational/skill shortages and to develop methods to continually and systematically capture and update this information.

The four main purposes of that project were:

1. To enhance local planning by looking at the nine major policy questions that local boards need to address to shape their local workforce systems;
   
2. To conduct a scan of available information on the local labor market and identify information gaps;
   
3. To identify the occupational and skills needs of businesses;
   
4. To establish methods to regularly collect skills needs requests.
   

As a result of this RFA, 27 local workforce investment areas applied for and were awarded $25,000 in funding to undertake this project. The remaining 6 areas that did not initially apply for these funds are currently being given an additional opportunity to participate in that project.

One of the purposes of that project was to be able to provide locally developed data on skills shortages to the State Workforce Investment Board to help it identify areas to be addressed through state level policy and/or additional funding efforts. Questions number 6, 7 and 8 of the nine major policy questions that local boards were to address under the previous project describe the need to prioritize the most critical skill shortage needs in the local area and those industries to be targeted with the public resources.

Now that some local areas are nearing completion of Phase I, the State Workforce Investment Board has authorized the New York State Department of Labor to develop the following application to allow local workforce areas to request additional funds to address those critical skill shortage areas that were identified through their survey of the local business community and have been prioritized by their local workforce board. The State Board has also stressed the need for a strong role for business involvement in this process. Local workforce investment areas should not be pursuing any of their priorities without the business perspective and business driving the process.

Availability of Funds

Up to $3.3 million in State level WIA funds have been authorized by the State Board to be made available to begin addressing the most critical skill shortage needs identified by the local areas. Local areas are asked to submit an application for funding not to exceed $100,000 using the information developed from their previous project and with the input of the local workforce investment board. Any proposed use of funds must be consistent with allowable activities for State level funds as described in Section 134 of the Workforce Investment Act. Funds may not be used to support administrative costs under this project. Projects must be completed and awarded funds expended by June 30, 2003.

Eligible Applicants

Applicants eligible to receive funding under this project are the authorized Title I grant recipients for those local workforce investment areas, which participated in the previous Assessing Local Skills Shortages project (Phase I). The 6 areas that did not initially apply for Phase I funds are currently being given an additional opportunity to participate in that project. Local areas which have not yet completed Phase I will be eligible for these funds only after they have completed the initial project. Local workforce areas must work with their local workforce investment boards to develop their Phase II applications. The signature of the local board chair on the application is required.
A local area must request certification of their One-Stop system prior to the submission of an application for funding under this RFA. In order to be able to receive these funds, local areas must also have achieved State Certification of their local One-Stop system (for State Certification process information see ososguide).

As a pre-condition to be able to receive any funds which have been awarded, local areas must complete all activities and submit all reports, to the satisfaction of the Department, from Phase I of the Assessing Local Skills Shortages Project. Those reports require information on the results of the local community scan, the Local Board's response to the nine policy questions, a summary of the local areas skills needs (from the data elements in Section IV, Item 3 of the previous RFA), and a description of the local process developed to continuously accept and act upon requests for skills upgrade training (creation of a Skills Training Request List).

Performance Requirements

In addition to the above One-Stop system certification requirement, funding availability for successful applicants will be tied directly to the achievement of certain performance milestones involving specific stated objectives, which must be approved by the Department. Since projects may vary widely in their scope and characteristics, we have not identified these milestones in this RFA. Rather, applicants must develop proposed milestones and include them in their application. These milestones should be tied directly to the accomplishment of specific performance objectives. The Department will separately review and approve proposed objectives and milestones and reserves the right to renegotiate any performance objectives and payment milestones. A final project report detailing the results and outcomes of the project will also be required.

Project Review & Award Process

• The Project Narrative Guidelines set forth below provide an outline of the information that should be addressed in their application and the relative weights that will be given to each section of the application during the review process.
  
• Staff of the New York State Department of Labor will review and score all applications.
  
• A minimum score of 70 points must be achieved in order for an application to be funded.
  
• Any proposal not achieving 70 points may submit further clarification to address identified deficiencies and achieve the necessary points to enable the proposal to be funded.
  
• It is the intent of the New York State Department of Labor to utilize its existing cash management system and NOAs to make these funds available locally for those projects awarded. Funds will be made available on the NOA in accordance with the achievement of the approved performance milestones.

Application Guidelines

The application should be brief and concise, addressing only the specific questions in the four categories outlined below in the Project Narrative Guidelines section. Applications should not exceed 10 single-sided, single-spaced pages, including the project budget. Applications should be prepared using at least a 12- point font.

The application should include a one page line item budget showing the amounts budgeted for the following cost categories: Personnel, Fringe Benefits, Contracted Services (including training services), Travel, Supplies, Space/Utilities, Other Operating Expenses. Accompanying each budgeted line item should be a brief justification describing how the cost was derived and its relevance to the activities of this project.

The application must be signed by an authorized official of the local Title I Grant Recipient and the Chair of the Local Workforce Investment Board.

Applications will be accepted and reviewed on a continuing basis but must be submitted no later than June 30, 2002 to be considered eligible for funding.

Project Narrative Guidelines

In developing the project narrative, address all questions in each of the four categories

Category 1 - Purpose and Activities (25 points)

To effectively implement an initiative to address one of the LWIA priorities identified in Phase I, it should have clear and well-understood goals and a coherent, well-organized set of components and activities. Provide a description of the initiative by answering the following questions:

1. Mission (15 pts) - The initiative should present a clear and consistent mission.
   1. Describe how the Local Area's Skills Assessment process (Phase I) was used to identify the priority skill need addressed in this initiative. Why was this skill need considered a priority?

   2. Who was involved in developing the selection of this priority? How were partners and businesses involved in determining that this skill need was a priority?

   3. What is the specific purpose or outcome desired from the initiative?

   4. Describe how information from former and current customers, including customer satisfaction and complaint information, was used to form the goals of the initiative. Describe also the business community's input into the development of these goals.

2. Activities (10 pts) - The initiative's mission should shape its structure and offerings.
   1. Describe the essential activities in which the local boards, One-Stop partners, business community and other stakeholders will engage. How do these activities support the overall mission of the initiative?

   2. Describe how these activities will help achieve the goals of your initiative.

Category 2 - Organization and Management (25 points)

Effective initiatives are well managed, involve the collaboration of others, and involve continuous improvement. Provide a description of the initiative by answering the following questions:

1. Leadership and Staff Development (5 pts.) - The initiative requires competent leadership. In addition, the initiative should incorporate staff development as a management strategy.
   1. Attach a list of the local collaborators, business partners, One-Stop partners, Local Board and other partners involved in planning and carrying out the initiative (include name, title and affiliation).

   2. How does your initiative ensure that your Local Board is engaged and involved in every activity listed to meet the identified priority skill need?

   3. Describe the process taken to involve Local Board and One-Stop staff in the initiative. How will these activities enhance staff capacities for achieving the goals of the initiative?

   4. How does the initiative ensure local business involvement in the management of the process?

2. Collaboration (5 pts.) - The initiative should describe collaborative efforts to be undertaken.
   1. Describe the types of collaboration you have arranged to carry out your initiative, including the partners you will collaborate with.

   2. What specific purpose does the collaboration serve? How will the collaboration advance the workforce development system?

3. Continuous Improvement (10 pts.) - The initiative should be committed to continuous improvement.
   1. Describe the management practices you will undertake in this initiative to demonstrate continuous improvement.

   2. How are continuous improvement efforts structured and implemented?

   3. How will the data that you collect be used to assess how the priority was addressed and continuously improve it? How do you plan to use this information to sustain/develop the initiative? Describe how the initiative can adapt or be adapted to the changing needs of the coordination efforts.

4. Funding Supplementation (5 pts.) - The initiative should attract stable and diverse funding.
   1. Describe the sources and levels of non-Phase II financial support to be devoted to this initiative?

Category 3 - Workforce Development System Change (20 pts.)

1. Partner Awareness, Strategic Planning and System Readiness (5 pts.)
   1. How will the initiative increase awareness of local issues? How was strategic planning information developed from the Local Skills Assessment grant(Phase I) used in the formation of the initiative's goals?

2. Private Sector Engagement (15 pts.)
   1. How will previously involved, non-partner private sector organizations be recruited for this effort?

   2. Describe the full range of roles the private sector will play in accomplishing the activities described in Category 1.B.

Category 4 - Focus on Results (30 pts.)

1. Outcome Data (15 pts.) - The initiative should establish measurable objectives that reflect the mission and goals set forth in Category 1.A. Describe the data you will collect and report that will measure the success of the activities.
   1. How did you determine the measures that will indicate that you have been successful in conducting this initiative?

   2. How will data be collected and analyzed to assess the overall progress of this initiative?

2. Accomplishments (15 pts.)
   1. What objective and quantifiable results are you looking to accomplish?

   2. What outcomes would you like to accomplish that might not be able to be measured? Please describe.

   3. What effect will this initiative have on your WIA Title I-B local performance measures? On your partners' performance measures?

Submission Information

Applications should be sent to:
Margaret M. Moree, Director
Workforce Development & Training Division
New York State Department of Labor
State Office Building Campus
Building 12, Room 450
Albany, New York 12240