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State Adult Literacy and Basic Adult Education

Application Guidelines

I.    General Information

There is $5,325,000 in State funding available through this request for proposals for instructional programs in Adult Literacy Education.  $2,928,750 will be available to applicants from New York City.  The remaining $2,396,250 will be available to applicants from the rest of the State. These funds may also cover support services, such as educational counseling and guidance, which complement the instructional programs offered by the applicant agency. Successful applicants will be funded for July 1, 2008 through June 30, 2009. These funds cannot be used to supplant other federal, State or local funds expended for adult education and family literacy programs and services.

Agencies funded through other adult literacy funding must demonstrate how these funds will expand their existing program’s capacity, including increasing the number of students served; increasing the number of instructional hours and/or contact hours; increasing the number of sites for instruction.

Also, agencies must be able to report on students served by this program, separately from students served by programs funded under Title II of the Workforce Investment Act.

The following organizations are eligible to apply:

• Community-based organizations of demonstrated effectiveness;
• Volunteer organizations of demonstrated effectiveness;
• Institutions of higher education;
• Educational opportunity centers;
• Libraries
• Public housing authorities;
• Other non–profit agencies and organizations institutions which have the ability to provide literacy services to adults and families; and
• Consortia of the agencies, organizations, institutions, libraries, or authorities described above.

II.      General Program Requirements

The funding will support programs of instruction in adult basic education, English for speakers of other languages (ESOL) and adult secondary education (preparation for the General Educational Development (GED) test) designed to:

• Assist adults to become literate and obtain the knowledge and skills necessary for employment and self-sufficiency;
• Assist adults who are parents to obtain the educational skills necessary to become full partners in the educational development of their children, and;
• Assist adults in the completion of a secondary school education.

Please note the following restriction:

• Education in a language other than English will not be supported as a stand-alone service.  Basic education in another language can only be supported if integrated into English Language literacy classes to achieve English language educational gains.

Eligible program participants include individuals who have attained 16 years of age and are not enrolled or not required to be enrolled in secondary school under New York State law, and who:

• Lack sufficient mastery of basic educational skills to enable them to function effectively in society; or
• Do not have a secondary school diploma or its recognized equivalent, and have not achieved an equivalent level of education; or
• Are unable to speak, read, or write the English language.

Programs shall operate in accordance with the following guidelines developed by the New York State Education Department (SED) for adult education programs.

• Staff Development
• Paid instructional staff members will attend a minimum of ten hours of staff development per year, related to their program area.
• All new instructional staff will attend the pre-service training through the NYS Regional Adult Education Network (RAEN).
• High-Quality Information Management System
• Programs will implement an automated individual student record database and will comply with the Federal National Reporting System (NRS) requirements for adult education programs. (See Program Accountability).
• Programs will use a standard participant intake form (see Participant Assessment and Follow-up).
• Programs will implement standard participant assessment and post-testing procedures (see Participant Assessment and Follow-up).
• Programs will use the standard survey instrument in conducting participant follow-up surveys (see Participant Assessment and Follow-up).
• Special Requirements for GED Preparation Programs
• Every individual enrolled in a GED Preparation program shall earn satisfactory scores on the Official Practice Test (OPT) before being referred to take the GED test. 
• Satisfactory OPT scores are a minimum of 410 in each sub-test, and a minimum of 2250 for the total score.
• All individuals referred to the GED Test must submit a properly completed and signed GED Test Referral Form indicating that the program is referring the individual to take the test.
• The preparation program’s five digit Program Code must be included on the GED Test Referral Form.

III.       Application Process

Each proposal must include the following:

• Application Cover Page
• Abstract
• Program Narrative Description
• Performance Target Worksheet
• Program Component Worksheet
• Program Component Information Sheet
• Budget Category and Narrative Forms
• FS-20 Budget
• Signed Statement of General Assurances
• Signed Certifications Regarding Lobbying; Debarment, Suspension and other Responsibility Matters; and Drug-Free Workplace Requirements and Non-Construction Programs

Proposals will only be considered from applicants who provide instructional services.  For purposes of ALE funding, providing staff development to a corps of volunteer tutors is considered an instructional service.   A proposal from a consortium of agencies, which combine to provide comprehensive services, must describe the roles, responsibilities and operating practices of each agency. One agency must be identified as the lead fiscal agent, but the proposal must include Budget Category and Narrative Forms for each agency in the consortium as well as one for the consortium.  The payee/fiscal agent must be an eligible recipient; and the payee/fiscal agent must also be a direct provider of services.

IV.       Funding Considerations

The maximum individual award is $200,000 per year.

$2,928,750 for eligible applicants from New York City.

The remaining $2,396,250 will be for Rest of State. 

V.        Program Accountability

Program accountability requirements apply to all programs. 

Under the federal National Reporting System (NRS) for adult literacy programs, New York State, and ultimately, local service providers will be evaluated based on performance indicators.  All successful applicants must submit data based on the federal requirements of the National Reporting System (NRS).  Information on the NRS may be found on the webpage www.nrsweb.org. 

Implementation of the NRS in New York State has occurred through the development of the Adult Student Information System and Technical Support System (ASISTS).  Information on the ASISTS database can be found at the Literacy Assistance Center’s (LAC) webpage www.asists.org.  The ASISTS database allows for data to be accessed and reported by sub-population, program, and class.  The ASISTS database is available to local provider agencies free of charge, including the related necessary training and technical assistance.

SED has negotiated core performance targets with the US Department of Education.  All program participants must have the goal of advancing an educational functioning level or obtaining a GED or high school diploma. The individual participant can identify other goals as appropriate. 

Below are New York State’s targets for 2007–2008.

New York State’s Performance Targets
Adult Basic Education and Literacy Services and Family Literacy Programs

In addition to the core outcome measures, the NRS establishes the following secondary outcome measures that SED is requiring for all funded agencies.

 
The following table identifies the additional NRS outcome measures required for Family Literacy programs.  Several examples of related behavioral outcomes are also included.

More information on the above behavioral outcomes can be found on the web at:
http:/www.emsc.nysed.gov/workforce/evenstart/parentinged/home.html.

VI.       Participant Assessment and Follow-up

Participant Assessment and follow-up requirements apply to all programs.

Initial student assessment should take place within the first twelve (12) hours of instruction.  All students will be tested at intervals necessary to determine status and progress. The following intervals are recommended:

• Students in a class that meets for nine (9) hours or less per week should be post-tested at the end of each 100 instructional hours.
• Students in a class that meets for ten (10) hours or more per week should be post-tested at the end of each 200 instructional hours.
• Students in a tutorial program should be post-tested at least every fifty (50) instructional hours.
• Student assessment and post-testing should be accomplished with acceptable standard assessment instruments.  The TABE, version 7-8 or 9-10 may be used to show gain on all levels. Presently the BEST Plus and the BEST Literacy tests are acceptable to measure English language acquisition. 

VII.     Allowable and Non-Allowable Expenditures

Funds provided through this RFP shall in no way duplicate reimbursement or other funding provided by the New York State Education Department or any other federal, State or local government entity.  Funds cannot be used to supplant other federal, state or locally funded programs.

Funds for adult basic education and literacy services and family literacy programs are intended for direct services to individuals, 90% must be used for instructional costs.  The reasonable costs of appropriate support services to supplement the applicant’s instructional program are allowable, such as educational counseling and guidance.
 
Allowable instructional expenditures under this RFP include:

• Instruction (salaries of teachers and aides, classroom materials)
• Assessment, tracking and documenting student outcomes (NRS)
• Student follow-up activities
• Instructional technology, materials and supplies
• Supervision of instruction
• Staff travel to instructional sites
• Curriculum development incorporating scientifically based research
• Staff development (For purposes of Adult Literacy Education funds, providing staff development to corps of volunteer tutors is considered instructional costs.)

Administrative and other non-instructional expenditures are limited to ten percent of the award. Included in the administrative expenditures is the providers’ SED approved indirect costs. Examples of indirect costs include depreciation on buildings and equipment, the costs of operating and maintaining facilities, and general administration and general expenses, such as the salaries and expenses of executive officers, personnel administration, janitorial service, security services, liability insurance and accounting/auditing.  Examples of other expenditures include regional networking with others in the local workforce investment area and counseling and case management.

Examples of non-allowable expenses include:

• Advertising for purposes other than the recruitment of students or public relations for other than reporting progress
• Promotional items and memorabilia, except as identified above as allowable advertising
• Meetings relating to fund-raising
• Child care
• Student stipends
• Student tuition
• Expenditures on general purpose equipment, e.g. office furnishings, air conditioning, reproduction and printing equipment
• Capital improvements which add permanent value
• Student field trips
• Transportation for students
• Alcoholic beverages
• Staff travel to conferences

VIII.    Method of Selecting Grantees and Awarding Grants

In order to be considered for funding, proposals must receive a minimum score of fifty (50) points.  Applications will be categorized according to the region they serve – New York City and the rest of the State.

The applications will be reviewed and rated by two reviewers.  A third review will be performed if there is a difference of at least 20 points between the two scores.  Final scores of the reviewers will be added and averaged. 

Applications will be ranked in order of final average score in the region they serve.  In the event of a tie score, the applicant with the highest score on item #3 -- Project Description in the Proposal Narrative will be ranked higher.

Grants in the amount of the budget, as adjusted, will be awarded to the highest-ranked proposals in each geographic region until the funds allocated for that region are insufficient to fund the next ranked proposal in the region in full.  The next ranked applicant will be given the opportunity to operate a smaller program.  If funds remain after all eligible applicants serving that region have been funded, the remaining funds will be assigned to the other region and awarded to those remaining unfunded applicants from the other region in rank order. Once these remaining funds have been allocated to the other region, and there are insufficient funds to fully fund the next ranking proposal, the next ranked applicant will be given the opportunity to operate a smaller program with the remaining funds.

Proposed budgets will be reviewed and items deemed inappropriate, unallowable or inconsistent with project or program activities will be eliminated.

The New York State Education Department reserves the right to reject all proposals received or cancel this RFP if it is in the best interest of the Department.

NYSED Consortium Policy for State and Federal Discretionary Grant Programs:

Eligible applicants can form a partnership or consortium to apply for this grant.  In order to do so, the partnership or consortium must meet the following requirements:

1. The partnership or consortium must designate one of the participants to serve as the applicant and fiscal agent for the grant.  The applicant agency must be an eligible grant recipient.  All other consortium members must be eligible grant participants, as defined by the program statute or regulation.

2. In the event a grant is awarded to a partnership/consortium, the grant or grant contract will be prepared in the name of the applicant agency/fiscal agent, not the partnership/consortium, since the group is not a legal entity.
3. The applicant agency/fiscal agent must meet the following requirements:
   
   
   • Must be an eligible grant recipient as defined by statute
   • Must receive and administer the grant funds and submit the required reports to account for the use of grant funds;
   • Must require consortium partners to sign an agreement with the fiscal agent that specifically outlines all services each partner agrees to provide.
   • Must be an active member of the partnership/consortium, except where SUNY or CUNY Research Foundations are the fiscal agent.
   • Cannot act as a flow-through for grant funds to pass to other recipients.  NYSED may establish a minimum level of direct service to be provided by the fiscal agent.
   • Is PROHIBITED from subgranting funds to other recipients.  The fiscal agent is permitted to contract for services with other consortium partners or consultants to provide services that the fiscal agent cannot provide itself.
   • Must be responsible for the performance of any services provided by the partners, consultants, or other organizations and must coordinate how each plan to participate. 

   Vendor Responsibility

   State law requires that the award of state contracts be made to responsible vendors. Before an award is made to a not-for-profit entity, a for-profit entity, a private college or university or a public entity not exempted by the Office of the State Comptroller, the Department must make an affirmative responsibility determination. The factors to be considered include: legal authority to do business in New York State; integrity; capacity- both organizational and financial; and previous performance. Before an award of $100,000 or greater can be made to a covered entity, the entity will be required to complete and submit a Vendor Responsibility Questionnaire.

   Vendors are invited to file the required Vendor Responsibility Questionnaire online via the New York State VendRep System. To enroll in and use the New York State VendRep System, see the VendRep System instructions at: http:\\www.osc.state.ny.us/vendrep/systeminit.htm or go directly to the VendRep System online at https://portal.osc.state.ny.us.

   For direct VendRep System user assistance, the OSC Help Desk may be reached at 866-370-4672 or 518-408-4672 or by email at helpdesk@osc.state.ny.us. 

   Vendors opting to file a paper questionnaire can obtain the appropriate questionnaire from the VendRep website: http://www.osc.state.ny.us/vendrep/templates.htm or will receive it with the award letter.

   Not-For-Profit (NFP) Prompt Contracting

   Chapter 166 of the Laws of 1991 added Article XI-B (The Prompt Contracting Law) to the State Finance Law promoting prompt contracting with NFP organizations.

   More specifically, the Prompt Contracting Law sets time frames for processing contracts and related documents; provides for written directives, waivers of interest, and advances/loans to Not-for-Profits (NFPs) when those time frames cannot be met; and requires interest payments to NFPs when contract payments are late due to untimely processing of contracts and no advance or loan was provided. For information on loans for NFPs from the Short-Term Revolving Loan Fund, refer to Bulletin A-268. This bulletin explains the procedure to follow when contracting with NFPs.

   Chapter 648 of the Laws of 1992 made several changes to Article XI-B. The 1992 revisions provided more reasonable time frames for processing local grant awards and federally funded contracts; allowed for state agencies and NFPs to waive interest payments under certain circumstances; eliminated interest penalties for contracts executed and funded in whole or in part for services rendered in a prior fiscal year; and limited the amount of time a state agency may suspend time frames to four and one-half months.

   Chapter 292 of the Laws of 2007 added further amendments to Article XI-B. The 2007 amendments prohibit state agencies from requiring NFPs, as a prerequisite of the execution of a contract, to waive claims for interest that would otherwise be due; provide that a contract is deemed to continue, and the contract remains in effect when a state agency does not timely notify an NFP of an intent to terminate the contract; require that any waivers of interest be subject to the Office of the State Comptroller’s (OSC’s) approval and provide for the calculation and payment of interest to NFPs when OSC non-approves a waiver of interest; require state agencies to report prompt contracting information to OSC for inclusion in annual reports; and expand the NFP contracting advisory committee to sixteen members, require meetings at least quarterly, and expand the scope of the committee’s responsibility.

   A key objective of the Prompt Contracting Law is to expedite the contract process, and corresponding payments with NFPs to avoid service interruptions and financial hardships for these organizations. OSC advises that state agencies take measures to ensure compliance with the requirements of the Prompt Contracting Law. To this end, state agencies should maximize their use of the standard contract boilerplate, including simplified renewal documents, written directives, and valid waivers of interest when contracting with NFPs.

   State agencies utilizing waivers of interest should ensure that the waiver is signed and dated by the NFP, includes an explanation for the retroactive contract start date, and satisfies required time frames set by the law.

   Note: The Prompt Contracting Law requirements pertain to all grant contracts with NFPs, including those that fall below the $50,000 threshold for the Comptroller’s prior approval.

   Source:  OSC A-Bulletin A-316 (update effective January 1, 2008)

   Application Instructions

   Please adhere to the following instructions or your application will not be considered for review.

   Required Signature(s):  The original signature of the Chief School Administrator/Officer must appear on the Application Cover Page in blue ink.

   Number of Copies:  Please submit one original and two (2) copies of the complete proposal to:

   Tom Orsini
   Adult Education and Workforce Development
   New York State Education Department
   Room 307 EB
   Albany, NY 12234

   Due Date:  Postmarked by April 21, 2008

   Application Checklist:  Please use the Application Checklist to ensure that you send a complete application package.  Incomplete applications will not be considered for review.

   Page Limits and Standards:

   Limit the Project Narrative to no more than ten (10) pages and use the following standards:

   • A page is 8.5” x 11” (on one side only) with one-inch margins (top, bottom, and sides).  Charts/tables are not required to adhere to this standard.
   • Single space all text in the application narrative; double space between titles, headings, footnotes, quotations, references, and captions, as well as all text in charts, figures, and graphs.  Use a Times Roman or Arial font in a 12-point size.
   • Please do not include any materials not required by this RFP, e.g. newspaper articles, annual reports, letters of support from non-collaborating partners, etc.

   We will reject any application if:

   • You apply these standards and exceed the page limit; or
   • You apply other standards and exceed the equivalent of the page limit.

   Budget Category and Narrative Forms and Budget Summary Form (FS-20)

   Include a budget narrative on the Budget Category and Narrative Form for each category of expenditure proposed for the grant (e.g., Professional Salaries, Support Staff Salaries, Purchased Services, Supplies and Materials, etc.).  The narrative should include sufficient detail to allow reviewers to understand what the funds will be used for and the relationship between the proposed expenditures and project activities and goals. 

   Also complete a Budget Summary Form (FS-20) available at http://www.oms.nysed.gov/cafe/FS10orFS20.htm   The totals from each of the Budget Category Forms must correspond to amounts shown on the Budget Summary Form (FS-20).  Please be sure to check your math.  Please keep the FS-20 as a document separate from the application document.
   Equipment items with a unit cost that equals or exceeds $5,000 should be included under Equipment, Code 20.  Equipment items under $5,000 should be included under Supplies and Materials, Code 45.

   General information about the categories of expenditures, general information on allowable costs and applicable federal costs principles and administrative regulations are available in the Fiscal Guidelines for Federal and State Aided Grants.  Refer to the Application Guidance for additional specific requirements and information about the allowable and non-allowable activities for the program.

   The approved copy of the Budget Summary Form (FS-20) will be returned in a window envelope to the contact person at the address completed on page one.  Please make sure that the contact information is accurate, legible, and confined to the address field.  Please do not make any modifications to the Budget Category Forms.

   Payee ID Form

   The Payee ID Form is used to establish an identifying number that enables organizations (e.g., community-based organizations) to receive funds from the State Education Department. The form is to be submitted with each proposal from applicants that are not a BOCES or public school district. (BOCES and public school districts have BEDS codes for this purpose.)  The Payee ID Form may be accessed at www.oms.nysed.gov/cafe/forms.html.

   APPLICATION FORM (In Word)

   RATING SHEET (In Word)