Workforce Innovation Fund Virtual Grantee Orientation July 9 at 3pm EDT

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Today’s Presenters Gina King Wells Office of Workforce Investment Maggie Ewell Office of Grants Management Wells.Gina@dol.gov Ewell.Maggie@dol.gov 202-693-3763 202-693-3160 Carlos Martin Ariam Ferro National Evaluation Coordinator Abt Associates, Inc. Office of Grants Management Ferro.Ariam@dol.gov Carlos_Martin@abtassoc.com 202-693-3968

Overview: Workforce Innovation Fund Roles and Responsibilities Agenda Overview: Workforce Innovation Fund Roles and Responsibilities Grants Packaged Administrative and Fiscal Requirements Evaluation Plan Component Next Steps

Purpose of the WIF Deliver services more efficiently and achieve better outcomes for the dual customer Support cross program cooperation and system reforms to deliver client-centered services Develop education, employment, and training services in partnership with specific employers or industry sectors Build knowledge about effective practices through rigorous evaluation and translating “lessons learned” into the formula funded programs

WIF funded three project types: Project A. New and Untested Ideas Period of Performance WIF funded three project types: Project A. New and Untested Ideas 36 months for implementation and evaluation (June 2015) Project B. Promising Ideas 40 month implementation + 12 months for evaluation (Oct 2016) Project C. Adapting Proven Ideas

Awardees 26 grantees – 4 state workforce agencies; 21 LWIBs; and 1 Section 166 grantee  12 – Project Type A ($1.4-3M) 1 state workforce agency; 9 LWIBs; 1 Section 166 grantee 8 – Project Type B ($3-6M) 1 state workforce agency; 7 LWIBs 6 – Project Type C ($6-12M) 2 state workforce agencies; 4 LWIBs

Emerging Themes Improving training outcomes by developing sector strategies and career pathways, especially to youth Improving efficiency and efficacy of One-Stop service delivery through enhanced online resources and innovative, virtual service delivery Reducing redundancies and improving participant outcomes by designing integrated management information systems and aligning policies and programs

Roles and Responsibilities National Office Leads—Gina Wells, Sara Williams (grant management), Andrala Walker (TA), Savi Swick (evaluation) coordinating TA, evaluation, and grants management Coordination with FPOs Establishing policy guidance Concurrence on some modifications of statements of work  

Roles and Responsibilities Regional Office FPO Primary contact Responds to emergent requests and TA needs Conducts monitoring and oversight Grant modifications

Roles and Responsibilities Contractor Support National Evaluation Coordinator Technical Assistance Coordinator  

Roles and Responsibilities Grant Officer Grant modifications Maintains official grant documents Equipment prior approval

Grant Award Package Grant Award Letter Grant Agreement - Notification of Award Obligation Application for Federal Assistance SF-424 Administrative Costs Solicitation Part I - Statement of Work Evaluation Improvement Plan Part II - Budget Information – SF-424A Part III - Assurances /Certifications Part IV - Special Clauses and Conditions

Grant Award Letter Acknowledgements of Award Payment Management System Information and forms on www.doleta.gov/grants under Payment Information ETA’s on-line Grantee Fiscal Reporting System – SF 9130 Information to access system on www.doleta.gov/grants under Financial Reporting Passwords/PINs are sent separately after supplying the necessary information – Once you receive it please DO NOT LOSE IT!

Notification of Award Obligation Project title Grant awardees' identifying information DOL identifying information (for the first grants) Period of performance Award amount Regulations and cost principles Signatures

Grantee’s original proposal Statement of Work Grantee’s original proposal Includes Technical Proposal, Evaluation Plan, and required attachments Evaluation Improvement Plan Budget

Special Clauses and Conditions Budget Line Item Flexibility Indirect Cost Rate and Cost Allocation Plan Transparency Information Special Conditions Federal Project Officer Equipment Program Income Intellectual Property Rights Evaluation Reports—Quarterly Financial and Performance Reports

Redaction details are in your congratulatory letter Redaction in Action Redaction details are in your congratulatory letter PII information is in your award package Submit redacted technical proposals to williams.sara@dol.gov Deadline: July 16th

Our Expectations of You: The New DOL Grantee Our Expectations of You: A program that is designed to focus on customer needs and to address those needs A program that meets the requirements of Federal law and regulation A program in compliance with Workforce Innovation Fund requirements, OMB Requirements and Generally Accepted Accounting Principles. A high quality program that is backed up by a high quality proposal

What you can expect from us: The New DOL Grantee What you can expect from us: Assistance with regulations & requirements On site technical assistance & monitoring Assistance with fiscal & programmatic issues

Uniform Administrative Requirements 29 CFR Part 97 - Governments 29 CFR Part 95 – for Institutions of Higher Education, Nonprofits, for-profits 25

Grant Management Requirements Financial Administration Program Income Non-federal audits Property Management and sub-awards Equipment & supplies Intellectual property Procurement Sub-grants Reports and Records After-the-Award requirements including closeout

Equipment 2 CFR 225: Equipment defined as nonexpendable tangible personal property having a useful life of more than one year and an acquisition cost of $5000 or more. 29 CFR 95.2(n) 29 CFR 97.32 YouthBuild Orientation June 14-15, 2011 27

Prior Approval for Equipment Submit detailed description to Federal Project Officer Requested in writing Must be approved Before costs are incurred YouthBuild Orientation June 14-15, 2011 28

Quarterly financial reports Federal Reporting Quarterly financial reports Basic ETA-9130 Quarterly performance and narrative reports Separation of Formula and WIF funds and cost allocation

Open and free competition Procurement Procurement Requirements Open and free competition Procurement Regulations: 29 CFR 97.36 or 95.44

Procurement of Evaluation Contractor WIF grants required to have evaluation contractor May or may not have named contractor in SOW Must demonstrate compliance with procurement requirements at 29 CFR 97.36 Does not necessarily require RFP or bids

Intellectual Property Government retains: license to use, reproduce and publish Language to be included on products All work developed under grant must be licensed Creative Commons Attribution 3.0 Notice of license affixed to work

Creative Commons 3.0 license Allows subsequent users to copy, distribute, transmit and adapt the copyrighted work Requires users to attribute the work in the manner specified by the Grantee. Notice of the License shall be affixed to the copyrighted work Also called CC BY

Products/Learning Materials What counts as “work” or “new learning materials”? Copyrightable works created by grant recipients, consortium members, subrecipients, and subcontractors If grants funds are used to create a derivative work from an existing copyrighted work in developing materials for the grant, then the grant work must be licensed under Creative Commons 3.0

Federal Cost Principles Set of government-wide rules Now codified at 2 CFR Cost principles Define conditions for charging costs Types of Allowable costs Allowable Unallowable Allowable with conditions

Applicable WIA Regulations 20 CFR 667.200, Administrative Rules, Costs and Limitations 20 CFR 667.260, Prohibition on Real Property 20 CFR 667.300, Reporting Requirements 20 CFR 667.410, Oversight Roles and Responsibilities 20 CFR 667.500 & 667.510, Resolution 20 CFR 667.700, Procedure to Impose Sanctions

It’s all very simple… Written Policies and Sound Business Practices Followed Consistently Over Time With Each Funding Stream Treated Equally With All Costs Being Necessary and Reasonable Would be done similarly by a Prudent Person Ensuring Proportionate Share and Benefits Received

WIA definition of administrative costs 10% limit Measured against grant award amount Compliance measured at end of grant HANDOUT

No restrictions on specific activities Funding Restrictions No restrictions on specific activities Grant activities must benefit the grant

Monitoring Sub-Grantees Incorporates 20 CFR 667.410 “Each recipient and sub-recipient must conduct regular oversight and monitoring of its WIA activities and those of its subrecipients and contractors in order to: (1) Determine that expenditures have been made against the cost categories and within the cost limitations specified in the Act and the regulations in this part; (2) Determine whether or not there is compliance with other provisions of the Act and the WIA regulations and other applicable laws and regulations; and (3) Provide technical assistance as necessary and appropriate.”

WIF Evaluation Goals WIF goal was to “Emphasize building knowledge…through rigorous evaluation and translating ‘lessons learned’.” Meaning: Each grantee will perform an own evaluation of its innovation. The evaluation type must be appropriate to the innovation. The evaluation design must be rigorous. The evaluation must contribute to the same evidence base from which the innovation was designed. The grantee must hire a third-party evaluator. Abt, the national evaluation coordinator, will work with grantees’ evaluators to ensure consistent and high quality evaluations.

WIF Evaluation Types WIF funded three levels of projects: Type A. New and Untested Ideas Type B. Promising Ideas Type C. Adapting Proven Ideas Evaluation Plan Review Factors: Factor 1. Appropriate Level of Rigor Factor 2. Plan Details Factor 3. Workforce Knowledge Contribution Factor 4. Third-Party Evaluator or Evaluator Procurement

Evaluation Improvement Plans Abt has created EIPs for each grantee based on the nature of the innovation, logic models, evaluation plan, and evaluation budgets proposed. Some of the needed improvements are related to SGA requirements, and can be satisfied immediately (where applicable) with the following: Factor 1: A statement of the commitment to change evaluation type. Factor 3: A statement regarding the evidence base and expected contributions. Factor 4: A statement regarding third-party evaluator procurement practices. Other improvements relate to the details of the evaluation design. These can be satisfied as the third-party evaluators are procured and evaluation designs expanded in the early grant stages.

WIF Evaluation Next Steps Individual calls with the NEC to discuss: Overall evaluation process Remaining SGA requirements, if any Evaluation documents included in applications (logic model, evaluation plan, evaluation budget) Evaluation Improvement Plans (EIPS) provided to each grantee and methods for implementing them Third-Party Evaluator Procurement and Expected Early Deliverables Schedule and Next Steps The NEC will work with the third-party evaluators after they are procured. DOL will have a WIF TA Provider to communicate with grantees. The NEC will collaborate with the TA Provider regularly.

(Please CC your FPO on all correspondences) WIF NEC Contact Information For any questions before July 31, and to notify the NEC regarding successful third- party evaluator procurement: WIF@abtassoc.com (Please CC your FPO on all correspondences) As evaluators are procured, they will join the NEC internal document and communications platforms.

Evaluation Timeline Grantees must: Revise evaluation plans from applications to satisfy SGA requirements (July 31) Procure third-party evaluators as soon as possible (before mid- September) Grantees should include coordination with the NEC in the scopes of work for their third-party evaluators, and budget appropriately for the third-party evaluator Have third-party evaluators submit fully detailed plans to the NEC (before mid-December) The NEC will work with the third-party evaluators and the WIF TA Provider to communicate with grantees for the remainder of the grant (including evaluation-based extensions).

Next Steps July 9, 3pm EDT– Virtual Grantee Orientation July 10-18–Individual Grantee Calls with National Evaluation Coordinator July 31–Revised Evaluation Plans and SOWs due July 31–Deadline for Evaluation Plan modifications October 30-31– In-Person Grantee Orientation Email Workforce.innovation@dol.gov with POC

Resources http://etareporting.workforce3one.org Introduction to Financial Reporting: http://www.workforce3one.org/view/3000914758141611670 Financial Management Principles: http://www.workforce3one.org/view/3000914831758578573 Introduction to Grant Applications and Forms: http://www.workforce3one.org/view/3000914831964994677 Introduction to Procurement Requirements: http://www.workforce3one.org/view/3000914833849989433 9130 Financial Form and Instructions: http://www.doleta.gov/grants/docs/ETA-9130- straightSF269grants.pdf

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