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National Emergency Grant (NEG)

 

Cliff Notes

Prepared By Colorado Department of Labor and Employment

 State NEG Contact Information:

Dawn Garcia -  303.318.8847   dawn.garcia@state.co.us

Mona Barnes -  303.318.8803   mona.barnes@state.co.us

 

February, 2003

Index


1. Grant Description & Funding Information

A.         PGL #02-21-WIA

B.          Targeted industries

C.         Allocation chart

D.         Period of performance

E.          Reporting requirements

F.          Expenditure rate, enrollment rate, & additional funding

2.  Eligibility Determination & Documentation

                  A.    File requirements

                  B.     Eligibility criteria

                  C.    Employer Eligibility

                 D.    Updating the Eligible Employer List 

                 E.     How to obtain copy of list

3.  Service & Marketing Strategies

A.    Identification of potential eligible clients

                   B.     Contacting potential eligible clients

 

4.  Expenditures/Obligations/Accruals

A.    Billing issues

B.     Definitions

C.    Monthly NEG expenditure & participant reports

D.    Timeframe for obligations

E.     State evaluation

5.  Co-enrollments

A.    Co-enrollments

B.     Performance measure impact with co-enrollments

C.    Co-enrollments with TAA

D.    Local eligibility forms

6.  Status/Information Updates

A.    Waiver

B.     Training clarification

C.    Occupational focus on healthcare, teaching, homeland security

D.   NEG Program Modifications

          

7.  Q&A

                   Technical Assistance questions and responses

          8.  Promising Practices

  9.  Date of Update


1.  Grant Description & Funding Information

A.    PGL #02-21-WIA – National Emergency Grant Guidelines

CDLE established the grant guidelines through the release of Policy Guidance Letter (PGL) #02-21-WIA on June 12, 2002 .  To view this PGL, please go to http://www.coworkforce.com/EMP/  and on the lower right side of the page you will see "Other Links". The first link is Program Guidance Letters; if you click on that link, it will take you to the PGL page.  This PGL provides additional information related to eligibility, documentation, and services required under the NEG program.

 

B.   Targeted industries

·        Colorado received a $7.5 million Statewide NEG to serve the at least 3,205 eligible workers dislocated as a result of the September 11, 2001 tragedy.

·        These funds are to be used to support activities for workers dislocated by large layoffs from the finance, telecommunications, technology, airline/aviation, and tourism industries. 

C.   Allocation chart

 

Initial Allocation

Subsequent Allocation

 

 

 

 

Projected

Projected

Pre-determined

Initial

Subsequent

Region

 Clients

 Clients

Cost per client*

 $3.7 Allocation

$3.8 Allocation

Adams

308

312

 $      2,282.78

 $    703,094.75

 $     712,225.85

Arapahoe

123

127

 $      2,282.78

 $    280,781.35

 $     289,912.45

Boulder

123

127

 $      2,282.78

 $    280,781.35

 $     289,912.45

Denver

290

310

 $      2,282.78

 $    662,004.80

 $     707,660.30

El Paso

500

500

 $      2,282.78

 $  1,141,387.59

 $  1,141,387.59

Jeffco

36

39

 $      2,282.78

 $      82,179.91

 $      89,028.23

Larimer

73

77

 $      2,282.78

 $    166,642.59

 $     175,773.69

Rural

37

38

 $      2,282.78

 $      75,000.00

 $      75,000.00

Weld

30

30

 $      2,282.78

 $      68,483.26

 $      68,483.26

CDLE

--

--

--

 $      96,970.67

 $     107,942.44

Total

1520

1560

 

 $  3,557,326.25

 $  3,657,326.25

Unallocated

 

 

 

 $    142,673.75

 $     142,673.75

Total Grant

 

 

 

 $  3,700,000.00

 $  3,800,000.00

*The pre-determined cost per participant is an aggregate cost, an average of all enrollments.  Please do not use this figure as a per-participant service maximum.

D.   Period of performance

·        The initial $3.7 million award is for the period of performance of April 1, 2002 through June 30th, 2003 . 

·        The final award will be for the period of performance, July 1, 2003 through March 31, 2004 , and will be allocated based on demonstrated need. 

E.   Reporting Requirements

The National Emergency Grant has a monthly reporting requirement.  Each month the State is required to provide a comprehensive narrative and statewide program statistics spreadsheet to USDOL.  A chart capturing local information has been developed and emailed to each local contact.   Please email the monthly reports to Dawn Garcia dawn.garcia@state.co.us  and Mona Barnes mona.barnes@state.co.us no later than the 6th of each month, beginning with July of 2002.  Please ensure that reports are submitted on time, as our turnaround time at the State level is quite limited.

F.    Expenditure Rate, Enrollment Rate, & Additional Funding

·        The NEG award is for “up to” $7.5 million; however, the federal grant agreement specifies that only $3.7 million will initially be released to the State. 

·        The State will not be eligible to apply for the remaining $3.8 million until 80% of the initial award has been expended, not obligated.   In addition, participant enrollment figures must reflect the plan. 

·        To ensure that the state expends the 80% required before requesting the additional funds, the State will recapture and reallocate any un-obligated dollars to the regions with a demonstrated need prior to the end of the period of performance if spending patterns deviate significantly from the plan.

·        Regions that have expended at least 80% of current funding can apply for additional NEG funds at any time during the period of performance.

 

2.  Eligibility Determination & Documentation

 

A.        File Requirements

The following pieces of documentation must be represented in the files of NEG participants:

 

Eligibility Documentation

·        Eligible to work in the US - Social Security Number verification

·        Selective Service registration verified (when applicable)

·        Job of Dislocation, employer inclusion on Eligible Employer List, and targeted industry

                   Case Management Documentation

·        Initial assessment

·        Release of information form

·        Complaint procedures/EEO

·        Comprehensive assessment (when applicable)

·        IEP/ISS

·        Appropriate notes in Joblink, addressing rationale of service and verifying regular contact

·        Sequential delivery of services noted in Joblink

·        Vouchers, ITA’s and documentation of supportive services (if provided)

·        Documentation of attendance or grades for classroom training

·        Use of eligible training provider – printout from Navigator

 

Exit/Follow-up Documentation

·        Exit Data completed in Joblink

·        Employment verification

                  B. Eligibility Criteria

The NEG follows basic Dislocated Worker Eligibility criteria and requires the employer of dislocation to be on the Eligible Employer List.  Please see Updating the Eligible Employer List below for instructions on how to add an employer.

C.  Employer Eligibility

Eligible employers are required to be from targeted industries that have experienced a lay-off subsequent to September 11, 2001 , and have had 50 or more employees separated from one location (see exceptions below).  A list of eligible employers will be provided from the state Rapid Response Unit and will be updated and disseminated via email to the local NEG contact as new employers are added. Please note that the list itself is confidential and for use of eligibility determination only.  This list of employers cannot be released to the general public.

This information is considered confidential and for use in the Workforce Center only.  Dissemination of this list to outside entities can result in legal fines up to $25,000.

 

                        Exceptions to employer eligibility:

1)      If a company had multiple offices and 20 employees were laid-off in one community and 30 in another, those employees may still be eligible if the local workforce region has a shortage of formula Dislocated Worker funds.

2)      A participant was laid off from a temporary agency due to the loss of a contract with an Eligible Employer.

Clients who have worked for an approved NEG employer through a temporary agency can also be enrolled under the NEG grant. 

·        Please submit the names of the temporary agencies as they are identified as eligible to CDLE for inclusion on the Eligible Employer List. 

·        These additions to the list do not require a formal modification of the NEG grant.

 

               D. Updating the Eligible Employer List

Once the employer is determined to meet the criteria of the grant, Dawn or Mona must be notified so the employer may be included as eligible via a modification to the grant.    The Rapid Response WARN notification form needs to be completed by the local area and include:

·        Company name

·        Date of layoff

·        Numbers affected

·        Rapid Response Status

The grant modification request requires USDOL approval, which has been taking up to 6 weeks to obtain.

               E.  How to Obtain a Copy of the List

A copy of the most recent list is available by email upon request.  Please contact Dawn Garcia at 303.318.8847 dawn.garcia@state.co.us  or Mona Barnes at 303.318.8803 mona.barnes@state.co.us to request a copy.

3.  Service & Marketing Strategies

A.  Identification of Potentially Eligible Clients

                        The following are possible methods of recruitment:

 

·        MIS reports can be run from the identified NEG employers.  Mike St. Clair developed a Joblink search program for this purpose that was sent out via email in November of 2002.  Please notify Dawn or Mona if you would like the instructions emailed to you. 

·        When affected workers attend a Rapid Response workshop, they utilize a sign in sheet.  Sign in sheets may be obtained by contacting the State Rapid Response unit.  Matching workshop attendees to Joblink registrations targets eligible employers and provides contact information for the registrants. 

·        Contact local training institutions for names of those students that are currently in training and being funded by a Pell Grant. 

·        Co-enrolling TAA eligible clients that meet the employer guidelines of the NEG.

C.  Contacting Potentially Eligible Clients

·        Use the Voice Response system to do a broadcast message to identified clients.  VR can also identify which calls are received so you can mail letters to the remaining clients.

·        UI profiling would require the client to come into the WFC.  This process can be performed utilizing Joblink.  Please contact your State or local MIS representatives for instructions specific to your region.

·        Mass mailings

·        Media based marketing (radio, TV, Newspaper)

4.  Expenditures/Obligations/Accruals

A.  Billing Issues

Local regions need to consider that when someone is enrolled in a training institution, there is usually a drop/add date.  Once a participant has attended past that date and a bill has been received, the tuition can be considered an accrued expense.  The State is currently working with training institutions to outline a process that would verify attendance past the drop/add date.  More information will be forthcoming.

B.  Definitions

·        Obligation – a commitment on behalf of the WFC to incur related service costs.  The services have not been provided, nor has a bill been received.

·        Accrual - Accrued expenses are items of expense that have been incurred during the period but have not yet been paid, but a bill has been received. 

·        Expenditure – An accrual is moved to expenditure once the bill for related services has been paid.         

C.  Monthly NEG Expenditure and Participant Reports

·        Participant - Participant numbers will be reported in real time.

·        Financial – Financial figures will be provided after the 30 days following the reporting month. 

Example:  By Sept 6th, regions will report participant numbers for August and financial data for July.

D.  Timeframe for Obligations

The initially allocated funds cannot be obligated past June 30, 2003 .     

F.  State Evaluation

The State will be reviewing program enrollments and expenditures on, at minimum, a monthly basis.  The NEG program will also be reviewed during Annual Compliance Monitoring.

5.  Co-enrollments

A.     Co-enrollments

Co-enrollments and resource sharing between programs is strongly encouraged, providing that a participant meets eligibility for each program.

 

B.  Performance Measure Impact with Co-enrollments

A good co-enrollment strategy to consider is the use of the NEG for the previously high wage earners that may have presented problems with the replacement wage in DW.  Co-enroll previously lower wage earners in both WIA and NEG.

C.  Co-enrollments with TAA

Co-enroll those eligible for both TAA and NEG, utilizing NEG training funds first.  In addition, the NEG can provide the supportive services that the TAA program does not.

D.  Revising Local Forms

If regions utilize a co-enrollment strategy, please avoid duplicative paperwork.  Basic TAA eligibility documentation provides the same eligibility information required by the NEG (with the added Eligible Employer verification.)  Dislocated Worker case management documentation will still need to be completed and placed in the file. 

6.  Status/Information Updates

A.  Waiver

The State has submitted a waiver request to USDOL, which would allow a transfer of 40% between the WIA Adult and Dislocated Worker programs.  This would allow WFCs more flexibility in leveraging the funding streams.  For example, up to 40% of the funds in the DW program could be transferred to the Adult program; then, in turn, NEG funds could be used to supplement the DW program.  Charges could be backed out of the DW program and moved to the NEG grant for eligible participants. In effect, the Adult and DW programs could gain funding and the NEG funds could be used more efficiently.

 

B.  Training Clarification

“Training services” that can be provided under the NEG are NOT just Tier 3 services (certificate or degree programs).  Training can include intensive services such as updating computer skills and improving soft skills, in addition to occupational training.

 

C.  Occupational Focus on Healthcare, Teaching, and Homeland Security

The overall goal of the grant it to provide training opportunities based on client interest and demand occupations.   The grant was written with a focus on targeted affected industries and move retrained participants to positions in Healthcare, Education, and Homeland Security.  Since Colorado ’s overall economy is still slow, any placement, regardless of industry, is considered a success.

·        Colorado Department of Education is currently accepting applications for Alternative Teaching Licensure; please refer to http://www.cde.state.co.us/cdeprof/wizard3.asp for more information.

 

D.  NEG Program Modifications

1.      Submitted to USDOL: 9-17-02  

      Response received: verbal approval on 10-28-02

2.   Submitted to USDOL: 11-16-02

      Response received: approval on 01-24-03

3.   Submitted to USDOL: 01-31-03

      Response received:

 

7.   Promising Practices

The intent of this section is to highlight Promising Practice nationally, as well as locally.  Once practices have been identified, they will be included as additional information items.

Promising Practices can also be accessed via the Internet at www.promising-practices.org.

 

 

 8.  Q&A

In terms of co-enrollments, can you explain to me what is acceptable client co-enrollment, specifically with training, WIA, Wagner-Peyser?
WIA Adult, Dislocated Worker, Youth, TAA, and most discretionary grants may be considered acceptable co-enrollments if the participant meets eligibility criteria for both programs.  The NEG should be considered somewhat of a specialized DW program; so the additional eligibility criteria may be an issue for some participants.  Just be careful that the employer is on the list provided in the NEG PGL, and the layoff is verified. Wagner Peyser is a non-training program, but a person could be registered and active in Joblink while in the NEG program if he/she is considered work ready.

I have identified participants from DW that I want to co-enroll in the NEG. What pieces of documentation do I need to add to the file?

The only additional piece of documentation required for the NEG is to ensure that the employer of dislocation is on the Eligible Employer List.  UI screen printouts or correspondence, layoff letters, or Rapid Response workshop attendance sheets can all be used to document the employer. 

What if the participant was laid off from a temp agency associated with an eligible employer?

Per recent guidance from USDOL, we can add temp agencies without a formal modification to the grant.  If the agency is already listed with the employer, then documentation will need to be provided that verifies the participant’s layoff due to loss of contract with the eligible employer.  Just because a staffing agency is on the list does not mean that all layoffs from that agency will be eligible, only the ones associated with a specific eligible employer.

How do I add a new employer to the list?

Each employer added requires a Federal modification to the grant, and is submitted through CDLE.  Please provide (at a minimum) the company name, date of layoff, the number of affected workers, and local Rapid Response status to Dawn Garcia or Mona Barnes at CDLE.  This information should be formatted on the WARN notification form.  Please contact Dawn, Mona, or any member of the Rapid Response team if you need a copy of this form.

How do I gather required information on an uncooperative employer?

Media, such as newspapers, can provide some supporting information and, in some cases, the letters provided at separation can also help fill in the blanks.  Please forward all the information you can gather, with or without employer cooperation, to CDLE.  We can further research and submit whatever information we can.  There already have been instances in which we have submitted partial employer data on a modification request with the notation that the employer was unwilling to provide information.

A customer may have been laid off in another state and therefore the employer will not be on our NEG list of employers.  How can I make this customer eligible?

If the employer appears on another state’s NEG list, obtain verification and that will suffice for eligibility.  If you cannot document this, we will either need to add that employer to the grant or serve that customer with Dislocated Worker funding.

Why does it take so long to add employers?

Once the NEG grant modification request is compiled, it goes through a short signature process at the State level before it is sent to USDOL in Washington . USDOL must review the request at the National level as well as the regional level.  Recommendations are made by both offices and forwarded to the Grant Officer in Washington for final approval.  This process has been taking approximately 6 weeks.

 

How do I enroll a participant into NEG in Joblink?

The enrollment is completed once the ‘DI’ program code has been entered with a start date in Joblink.  The screens used will be the same as a WIA enrollment.

 

Are supportive services available under the NEG?

Yes, supportive services, as guided by local policy, are services available under the NEG.

Can staff costs be charged to the NEG?

Yes, appropriate staff costs can be leveraged against the NEG funding.  As co-enrollments occur, please be sure to back out associated staff time charging from the co-enrolled program and debit the NEG. 

How far can I backdate a NEG registration?

Several factors may apply.  The Golden Rule is that you cannot backdate past the period of performance of the grant, which began April 1, 2002 .  If a layoff occurred in July 2002 the enrollment cannot precede the layoff since the participant would not have met eligibility criteria at that point.  Sequential delivery of service does apply, so be sure that backdating registrations captures the appropriate services.

Can I take credit for a credential or training that the employer provided?

If the employer provided training, but not the testing, prior to separation, the testing/credential can be paid for under the NEG and credit can be taken if the training provided is on the Eligible Training Provider list (ETP).  If the provider is not on the ETP, the testing can be paid for from supportive services (depending on local policy) but cannot count as a credential.

 

Does the ETP apply to NEG participants?

Yes, training must occur through an ETP.

 

Will each region be evaluated on the basis of the performance measurements listed in the grant?
 The original grant was submitted with performance measures attached.  The performance measures are as follows:

Entered Employment Rate         75%

Wage Replacement Rate           90%

Customer Satisfaction               70%

Since the NEG is a demonstration grant and not tied to formula dollars, the State will not evaluate based on the above listed performance measures.  Please ensure that planned versus actual enrollments and expenditures be met as actual expenditures and enrollments.  By doing this, we ensure the 2nd allocation of funding. A good strategy to consider is to use the NEG for the previously high wage earners that may have presented problems with the replacement wage in DW.
 

Will these cases require the normal DW/WIA Follow-up?
Since the NEG is not tied to formula funding, the State will not be requiring follow-up specific to NEG, only as required by the program on co-enrollment.   
       
 If a customer is laid off by an approved NEG company, but has since gone to work for another company making significantly less than he had been, can this customer still qualify for NEG services?

Yes, since the job he currently holds pays significantly less than the job he was laid off from, this job would be considered “stop gap employment” and the job he was laid off from prior to this employment would be considered the job of dislocation.

If a customer was laid off from an approved NEG company after 9/11 but before the scheduled date listed on the Colorado NEG list for the mass layoff, are they still qualified?
Yes, USDOL has given us leeway to go ahead and serve these people with NEG funds as long as they were laid off after 9/11.   

For those people who were in the reserve guard and were ordered to active duty due to the events of 9/11 and then were later released, would they be NEG eligible?

And, for Vets who were on active duty and but were planning on retiring soon, but then were ordered to stay on active duty (past the time they were planning on staying) due to the events of 9/11, would they be eligible for NEG after they were finally allowed to leave to active duty?

They are not eligible under the NEG.  We would assume that the Vets would retire, especially after having to extend their stay in the military as a result of 9/11.  And, of course, both would be eligible for VETS services and the individuals in the reserve would probably qualify for UI. 

If a person was laid off from an eligible NEG employer after 9/11, but currently he/she is working a fulltime job, would he/she still be eligible for NEG training services? 

This situation will require additional justification and documentation.  If the training will help this individual get back into his/her chosen field of work, then yes, it would be appropriate to provide services through NEG.  If they have returned to work in their chosen field, but that field is still struggling and advancement opportunities in this field are few and far between, then training could be provided to this client in order to get them into a different high demand occupation.  However, Labor Market Information (LMI) must be documented for that career field to show that the field is in high demand; otherwise providing training would not be appropriate.  If a client is working a “stop gap” job and has accepted an income that is significantly less than what he/she was making before, then training would be acceptable in order to get this client back to making a rate of pay comparable to previous wages.

  

9.  Date of Update

Established 2-20-03

All Applicable Rights Reserved, Copyright 2004 Colorado Department of Labor and Employment