Table of contents (Information from 1997 Grant
Application)
LABOR-MANAGEMENT COOPERATION PROGRAM APPLICATION SOLICITATION FOR
LABOR-MANAGEMENT COMMITTEES FY1997
- INTRODUCTION
The following is the final solicitation for the Fiscal Year (FY) 1997 cycle of the
Labor-Management Cooperation Program as it pertains to the support of labor-management
committees. These guidelines represent the continuing efforts of the Federal Mediation and
Conciliation Service to implement the provisions of the Labor-Management Cooperation Act
of 1978 which was initially implemented in FY81. The Act generally authorizes FMCS to
provide assistance in the establishment and operation of plant, area, public sector, and
industry-wide labor-management committees which:
- have been organized jointly by employers and labor organizations representing employees
in that plant, area, government agency, or industry; and
- are established for the purpose of improving labor- management relationships, job
security, and organizational effectiveness; enhancing economic development; or involving
workers in decisions affecting their jobs, including improving communication with respect
to subjects of mutual interest and concern.
The Program Description and other sections that follow, as well as a separately
published FMCS Financial and Administrative Grants Manual, make up the basic guidelines,
criteria, and program elements a potential applicant for assistance under this program
must know in order to develop an application for funding consideration for either a plant,
area-wide, industry, or public sector labor-management committee. Directions for obtaining
an application kit and an optional video tape may be found in Section H. A copy of the
Labor- Management Cooperation Act of 1978, included in the application kit, should be
reviewed in conjunction with this solicitation.
- Program Description
Objectives
The Labor-Management Cooperation Act of 1978 identifies the following seven general
areas for which financial assistance would be appropriate:
- to improve communication between representatives of labor and management;
- to provide workers and employers with opportunities to study and explore new and
innovative joint approaches to achieving organizational effectiveness;
- to assist workers and employers in solving problems of mutual concern not susceptible to
resolution within the collective bargaining process;
- to study and explore ways of eliminating potential problems which reduce the
competitiveness and inhibit the economic development of the plant, area, or industry;
- to enhance the involvement of workers in making decisions that affect their working
lives;
- to expand and improve working relationships between workers and managers; and
- to encourage free collective bargaining by establishing continuing mechanisms for
communication between employers and their employees through Federal assistance in the
formation and operation of labor-management committees.
The primary objective of this program is to encourage and support the establishment and
operation of joint labor-management committees to carry out specific objectives that meet
the forementioned general criteria. The term "labor" refers to employees
represented by a labor organization and covered by a formal collective bargaining
agreement. These committees may be found at either the plant (worksite), area, industry,
or public sector levels. A plant or worksite committee is generally characterized as
restricted to one or more organizational or productive units operated by a single
employer. An area committee is generally composed of multiple employers of diverse
industries as well as multiple labor unions operating within and focusing upon city,
county, contiguous multicounty, or statewide jurisdictions. An industry committee
generally consists of a collection of agencies or enterprises and related labor union (s)
producing a common product or service in the private sector on a local, state, regional,
or nationwide level. A public sector committee consists either of government employees and
managers in one or more units of a local or state government, managers and employees of
public institutions of higher education, or of employees and managers of public elementary
and secondary schools. Those employees must be covered by a formal collective bargaining
agreement or other enforceable labor-management agreement. In deciding whether an
application is for an area or industry committee, consideration should be given to the
above definitions as well as to the focus of the committee.
In FY 1997, competition will be open to plant, area, private industry, and public
sector committees. Public Sector committees will be divided into two sub-categories for
scoring purposes. One sub-category will consist of committees representing state/local
units of government and public institutions of higher education. The second sub-category
will consist of public elementary and secondary schools.
Special consideration will be given to committee applications involving innovative or
unique efforts. All application budget requests should focus directly on supporting the
committee. Applicants should avoid seeking funds for activities that are clearly available
under other Federal programs (e.g., job training, mediation of contract disputes, etc.).
Required Program Elements
- Problem Statement - The application, which should have numbered pages, must
discuss in detail what specific problem(s) face the plant, area, government, or industry
and its workforce that will be addressed by the committee. Applicants must document the
problem(s) using as much relevant data as possible and discuss the full range of impacts
these problem(s) could have or are having on the plant, government, area, or industry. An
industrial or economic profile of the area and workforce might prove useful in explaining
the problem(s). This section basically discusses WHY the effort is needed.
- Results or Benefits Expected - By using specific goals and objectives, the
application must discuss in detail WHAT the labor-management committee as a
demonstration effort will accomplish during the life of the grant. While a goal of
"improving communication between employers and employees" may suffice as one
over-all goal of a project, the objectives must, whenever possible, be expressed in
specific and measurable terms. Applicants should focus on the impacts or changes that the
committee's efforts will have. Existing committees should focus on expansion
efforts/results expected from FMCS funding. The goals, objectives, and projected impacts
will become the foundation for future monitoring and evaluation efforts.
- Approach - This section of the application specifies HOW the goals and
objectives will be accomplished. At a minimum, the following elements must be included in
all grant applications:
- a discussion of the strategy the committee will employ to accomplish its goals and
objectives;
- a listing, by name and title, of all existing or proposed members of the
labor-management committee. The application should also offer a rationale for the
selection of the committee members (e.g., members represent 70% of the area or plant
workforce).
- a discussion of the number, type, and role of all committee staff persons. Include
proposed position descriptions for all staff that will have to be hired as well as resumes
for staff already on board;
- in addressing the proposed approach, applicants must also present their justification as
to why Federal funds are needed to implement the proposed approach;
- a statement of how often the committee will meet (we require meetings at least every
other month) as well as any plans to form subordinate committees for particular purposes;
and
- for applications from existing committees (i.e., in existence at least 12 months prior
to the submission deadline), a discussion of past efforts and accomplishments and how they
would integrate with the proposed expanded effort.
- Major Milestones - This section must include an implementation plan that
indicates what major steps, operating activities, and objectives will be accomplished as
well as a timetable for WHEN they will be finished. A milestone chart must be
included that indicates what specific accomplishments (process and impact) will be
completed by month over the life of the grant using September 15, 1997, as the start date.
The accomplishment of these tasks and objectives, as well as problems and delays therein,
will serve as the basis for quarterly progress reports to FMCS.
- Evaluation - Applicants must provide for either an external evaluation or an
internal assessment of the project's success in meeting its goals and objectives. An
evaluation plan must be developed which briefly discusses what basic questions or issues
the assessment will examine and what baseline data the committee staff already has or will
gather for the assessment. This section should be written with the application's own goals
and objectives clearly in mind and the impacts or changes that the effort is expected to
cause.
- Letters of Commitment - Applications must include current letters of commitment
from all proposed or existing committee participants and chairpersons. These
letters should indicate that the participants support the application and will attend
scheduled committee meetings. A blanket letter signed by a committee chairperson or other
official on behalf of all members is not acceptable. We encourage the use of individual
letters submitted on company or union letterhead represented by the individual. The
letters should match the names provided under Section 3(b).
- Other Requirements - Applicants are also responsible for the following:
- the submission of data indicating approximately how many employees will be covered or
represented through the labor-management committee;
- from existing committees, a copy of the existing staffing levels, a copy of the by-laws,
a breakout of annual operating costs and identification of all sources and levels of
current financial support;
- a detailed budget narrative based on policies and procedures contained in the FMCS
Financial and Administrative Grants Manual;
- an assurance that the labor-management committee will not interfere with any collective
bargaining agreements; and
- an assurance that committee meetings will be held at least every other month and that
written minutes of all committee meetings will be prepared and made available to FMCS.
Selection Criteria
The following criteria will be used in the scoring and selection of applications for
award:
- The extent to which the application has clearly identified the problems and justified
the needs that the proposed project will address.
- The degree to which appropriate and measurable goals and objectives have been developed
to address the problems/needs of the area. For existing committees, the extent to which
the committee will focus on expanded efforts.
- The feasibility of the approach proposed to attain the goals and objectives of the
project and the perceived likelihood of accomplishing the intended project results. This
section will also address the degree of innovativeness or uniqueness of the proposed
effort.
- The appropriateness of committee membership and the degree of commitment of these
individuals to the goals of the application as indicated in the letters of support.
- The feasibility and thoroughness of the implementation plan in specifying major
milestones and target dates.
- The cost effectiveness and fiscal soundness of the application's budget request, as well
as the application's feasibility vis-a-vis its goals and approach.(7) The overall
feasibility of the proposed project in light of all of the information presented for
consideration; and
- The value to the government of the application in light of the overall objectives of the
Labor-Management Cooperation Act of 1978. This includes such factors as innovativeness,
site location, cost, and other qualities that impact upon an applicant's value in
encouraging the labor-management committee concept.
- Eligibility
Eligible grantees include state and local units of government,
labor-management committees (or a labor union, management association, or company on
behalf of a committee that will be created through the grant), and certain third party
private non-profit entities on behalf of one or more committees to be created through the
grant. Federal government agencies and their employees are not eligible. Third-party
private, non-profit entities which can document that a major purpose or function of their
organization has been the improvement of labor relations are eligible to apply. However,
all funding must be directed to the functioning of the labor-management committee, and all
requirements under Part B must be followed. Applications from third-party entities must
document particularly strong support and participation from all labor and management
parties with whom the applicant will be working. Applicants from third-parties which do
not directly support the operation of a new or expanded committee will not be deemed
eligible, nor will applications signed by entities such as law firms or other third
parties failing to meet the above criteria.
Applicants who received funding under this program in the past for committee operations
are generally not eligible to apply. The only exceptions apply to third-party grantees who
seek funds on behalf of an entirely different committee.
- Allocations
The total FY 1997 appropriation for this program is $1.5 million, of which at
least $725,000 will be available competitively for new applicants. Specific funding levels
will not be established for each type of committee. Instead, the review process will be
conducted in such a manner that at least two awards will be made in each category (plant,
industry, public sector, and area), providing that FMCS determines that at least two
outstanding applications exist in each category. After these applications are selected for
award, the remaining applications will be considered according to merit without regard to
category. A maximum of $400,000 of the $1.5 million appropriation has been reserved for
the limited continuation of FY97-funded grantees. In addition to the competitive
process identified in the preceding paragraph, FMCS will set aside a sum not to exceed
thirty percent of its appropriation to be awarded on a non-competitive basis. These funds
will be used to support industry-specific national-scope initiatives and/or regional
industry models with high potential for widespread replication that have been solicited by
the Director of the Service.
FMCS reserves the right to retain up to an additional five percent of the FY97
appropriation to contract for program support purposes (such as evaluation) other than
administration. In addition, $25,000 has been reserved to support the Ninth National
Labor-Management Conference which will be held in Chicago on April 7-9, 1998
- Dollar Range
and Length of Grants and Continuation Policy
Awards to continue and expand existing labor-management committees (i.e., in
existence 12 months prior to the submission deadline) will be for a period of 12 months.
If successful progress is made during this initial budget period and if sufficient
appropriations for expansion and continuation projects are available, these grants may be
continued for a limited time at a 40 percent cash match ratio. Initial awards to establish
new labor-management committees (i.e., not yet established or in existence less than 12
months prior to the submission deadline), will be for a period of 18 months. If successful
progress is made during this initial budget period and if sufficient appropriations for
expansion and continuation projects are available, these grants may be continued for a
limited time at a 40 percent cash match ratio.The dollar range of awards is as follows:
 | Up to $35,000 in FMCS funds per annum for existing in-plant applicants;
|
 | Up to $50,000 over 18 months for new in-plant committee applicants;
|
 | Up to $75,000 in FMCS funds per annum for existing area, industry and multi-departmental
public sector committees applicants;
|
 | Up to $100,000 per 18-month period for new area, industry, and multi-department public
sector committee applicants. |
Applicants are reminded that these figures represent maximum Federal funds only. If
total costs to accomplish the objectives of the application exceed the maximum allowable
Federal funding level and its required grantee match, applicants may supplement these
funds through voluntary contributions from other sources. Applicants are also strongly
encouraged to consult with their local or regional FMCS field office to determine what
kinds of training may be available at no cost before budgeting for such training in their
applications. A list of our field leadership team and their phone numbers in included in
the application kit.
Match Requirements and Cost
Allowability
Applicants for new labor-management committees must provide at least 10
percent of the total allowable project costs. Applicants for existing committees must
provide at least 25 percent of the total allowable project costs. All matching funds may
come from state or local government sources or private sector contributions, but may
generally not include other Federal funds. Funds generated by grant-supported efforts are
considered "project income," and may not be used for matching purposes.It
will be the policy of this program to reject all requests for indirect or overhead costs
as well as "in-kind" match contributions. In addition, grant funds must not be
used to supplant private or local/state government funds currently spent for these
purposes. Funding requests from existing committees should focus entirely on the costs
associated with the expansion efforts. Also, under no circumstances may business or labor
officials participating on a labor-management committee be compensated out of grant funds
for time spent at committee meetings or time spent in training sessions.
Applicants generally will not be allowed to claim all or a portion of existing
staff time as an expense or match contribution.
For a more complete discussion of cost allowability, applicants are encouraged to
consult the FY97 FMCS Financial and Administrative Grants Manual which will be included in
the application kit.
Application Submission and
Review Process
Applications should be signed by both a labor and management
representative and be postmarked no later than April 19, 1997. No applications or
supplementary materials can be accepted after the deadline. It is the responsibility of
the applicant to ensure that the application is correctly postmarked by the U.S. Postal
Service or other carrier. An original application containing numbered pages, plus three
copies, should be addressed to the Federal Mediation and Conciliation Service,
Labor-Management Program Services, 2100 K Street, NW, Washington, D.C. 20427. FMCS will
not consider videotaped submissions or video attachments to submissions.After the
deadline has passed, all eligible applications will be reviewed and scored initially by
one or more Customer Review Boards. The Board(s) will recommend selected applications will
for further funding consideration. The Director, Labor-Management Program Services, will
finalize the scoring and selection process. The individual listed as contact person in
Item 6 on the application form will generally be only with whom FMCS will communicate
during the application review process.
All FY97 grant applicants will be notified of results and all grant awards will be made
before September 15, 1997. Applications submitted after the April 19 deadline date
or that fail to adhere to eligibility or other major requirements will be administratively
rejected by the Manager, Labor-Management Program Services.
Contact
Individuals wishing to apply for funding under this program should contact the
Federal Mediation and Conciliation Service as soon as possible to obtain an application
kit. These kits and additional information or clarification can be obtained free of charge
by contacting Karen Pierce or Linda Stubbs, Federal Mediation and Conciliation Service,
Labor-Management Program Services, 2100 K Street, NW, Washington, D.C. 20427; or by
calling 202-606-8181.An optional video tape, entitled "How to Apply for a Grant
From FMCS", is also available. The tape, however, will only be sent out after we
receive a specific written request for the video.
__________________________________________
John Calhoun Wells
Director
Federal Mediation and Conciliation Service
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