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2008-2013 Workforce Investment Act Title II

I.    General Information

Over $32 million in Federal funds is available through this RFP for direct instructional programs in adult literacy below the post-secondary level.  These funds may also cover support services, such as educational counseling and guidance, which complement the instructional programs offered by the applicant agency. These funds cannot be used to supplant other federal, State or local funds expended for adult education and family literacy programs and services. Successful applicants will be funded for July 1, 2008 through June 30, 2013 pending satisfactory performance and availability of funds, or until the expiration of the current WIA legislation.

II. Eligible Applicants

A. Eligible Applicants

The following organizations are eligible to apply:

• School districts;
• Boards of Cooperative Education Services (BOCES);
• 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 which have the ability to provide literacy services to adults and families; and
• Consortia of the agencies, organizations, institutions, libraries, or authorities described above.

B. Payee ID Form

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

C. 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.

D. NYSED Consortium Policy for State and Federal Discretionary Grant Programs:

Applicants can form a partnership or consortium to apply for the 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. 

E. Not-For-Profit (NFP) Prompt Contracting

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)

III.       General Program Requirements

The funding will support programs of instruction in adult basic education, English Language Learning (ELL) for speakers of other languages and adult secondary education (preparation for the General Educational Development (GED) test). The instructional programs must be 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 NYS 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.

Successful grant applicants will participate in local networking activities to coordinate programs and services with other providers within their local workforce investment areas.  They will:

• Attend local networking meetings conducted by their regional adult education staff development consortium;
• Develop linkages and coordinate program planning with the local One-Stop Centers;
• Develop a coordinated strategy with other literacy providers to meet the literacy needs in the local workforce investment area;
• Support the local one-stop system through the provision of literacy assessment as a core service.

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

1. Staff Development

• Instructional staff members will attend a minimum ten hours of staff development per year, related to their program area.
• All new instructional staff will attend the Adult Education Core Curriculum training (ALECC), an eighteen-hour training through the NYS Regional Adult Education Network (RAEN).
• New program managers and administrators will attend a six-hour Foundations of Adult Education Funding training to be conducted through the RAEN.
• Up to 5% of teachers will be trained in at least one of the eighteen-hour health literacy study circle modules developed by the Harvard School of Public Health. These study circle facilitator guides can be found at:  http://www.ncsall.net/?id=25.  Study circle training will be purchased from the RAEN. 

2. High-Quality Information Management Systems

• 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 have staff trained in and will use the Adult Student Information System and Technical Support (ASISTS) for the collection of student data.
• 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).
• Programs will collect and track data through ASISTS using health literacy indicators that will be added to ASISTS in the 2009-10 program year.  

 3.  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.

IV.       Application Process and Funding

The available funds are divided into four distinct programs. The division of available funds is as follows:

Regional Programs:

WIA, Title II, Adult Basic Literacy Education (ABE)                                  $21,051,260
WIA, Title II, English Language/Civics Education (EL/Civics)                      $7,440,324

Statewide Programs:

WIA, Title II, Correction Education                                                              $  2,890,000
WIA, Title II, ELL Postsecondary Transition                                                $  1,000,000

 In general, funds will be allocated to each Local Workforce Investment Area (LWIB) based on the area’s percentage of the State’s adult population who are under-educated, or of limited English proficiency.  Applicants will compete for funds according to the local workforce investment area(s) they plan to serve. A listing of local workforce investment areas and the funding available to each is included in these guidelines. 

Separate proposals are required for each Local Workforce Investment Area to be served and each program for which the agency is applying.  

Proposals will only be considered from applicants who provide instructional services.  A proposal from a consortium of agencies, however, may include several agencies and organizations, which combine to provide comprehensive services.  The proposals must clarify the roles, responsibilities and operating practices of each agency and the lead fiscal agency must provide at least 25% of the instructional program.

V.        Program Accountability

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 web page www.nrsweb.org. 

Implementation of the NRS in New York State is through the development of the Adult Student Information System AND Technical Support (ASISTS) participant database.  Information about the ASISTS database can be found at the Literacy Assistance Center’s (LAC) website at http://www.lacnyc.org/ALIES/ASISTS/ASISTS.htm.  The ASISTS database allows for data to be accessed and reported by sub-population, program, and class.  The ASISTS database is mandatory and is available to local provider agencies free of charge, including the related 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 NewYork State’s targets for 2006-07 and 2007–2008.  Agencies funded under this RFP are, as a minimum, expected to achieve the targets for 2007-2008. 

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

Core Outcome Measures

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

Required Secondary Outcome Measures

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

Additional Outcome Measures Required for Family Literacy Programs

VI.       Participant Assessment and Follow-up:

Participant Assessment and follow-up requirements apply to all programs funded under this RFP.

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 10 (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 the acceptable standard assessment instruments.  These are the Test of Adult Basic Education (TABE), version 7-8 or 9-10, the BEST Plus and the BEST Literacy.

VII.     Allowable and Non-Allowable Expenditures:

Funds provided through this RFP shall in no way duplicate 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.

Grant funds are intended for direct services to individuals.  The reasonable costs of appropriate support services, such as educational counseling and case management, to supplement the applicant’s instructional program are allowable, but proposals that indicate that such support services can be accessed through collaborations with other agencies and/or provided through other funding sources will be more favorably rated.
 
Allowable expenditures under this RFP include, but are not limited to:

• Instruction;
• Assessment, tracking and documenting student outcomes;
• Student follow-up activities;
• Regional networking with others in the local workforce investment area;
• Curriculum development incorporating scientifically based research;
• Staff development;
• Coordination and planning for integrated family literacy components;
• Counseling and case management;
• Instructional technology, materials and supplies; and
• Administration and supervision of instruction.

Administrative expenditures, which include the providers’ indirect costs, are limited to five percent of the award unless the agency’s approved indirect cost rate is higher than five percent.  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, and accounting/auditing.

Examples of non-allowable expenses include:

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

VIII.    Method of Selecting Grantees and Awarding Grants

Only complete proposals postmarked on or before April 11, 2008 will be reviewed.  A complete proposal is one that contains every item on the Application Checklist in the same order that it is listed on the Application Checklist.  In order to be considered for funding, proposals must receive a minimum score of sixty-five (65) points.

Adult Basic Education and Literacy Services funds will be allocated to each Local Workforce Investment Area (LWIB) according to the percentage of the State's undereducated (as reported in the 2000 Census) in the LWIB. English Language/Civics funds will be allocated based on the 2000 Census count of persons over age 18 who speak another language other than English at home and reported that they speak English  "not well" or "not at all".   Applicants who did not provide services funded by WIA in the previous program year may request up to $100,000.

Proposals for ABE and EL/Civics will be sorted according to the Local Workforce Investment Area(s) they serve and will be reviewed and scored according to the points in the applicable Proposal Narrative and Evaluation Rubric. Grants will be awarded to the highest-ranked proposals in each workforce investment area until the funds allocated for that area are insufficient to fund the next ranked proposal in full.  The next ranked applicant will be given the opportunity to operate a smaller program using the remaining funds.

Proposals for ELL Postsecondary Transition and Corrections Education will be reviewed and scored according to the points applicable Proposal Narrative and Evaluation Rubric.  Grants will be awarded to the highest-ranked proposals Statewide until the funds allocated are insufficient to fund the next ranking proposal in full.  The next ranked proposal will be given the opportunity to operate a smaller program using the remaining funds.  Applicants submitting proposals for ELL Postsecondary Transition may request up to $100,000.  There are no funding limits imposed on proposals to provide Corrections Education.

In the event of a tie score, the applicant with the highest score in the Project Description portion of the Proposal Narrative will be ranked higher.

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.

IX.       Specific Program Requirements

EL Civics Programs

EL Civics programs will expand English literacy services, as well as provide an integrated program of services that incorporate English literacy and civics education.   Civics education is defined by the USDOE as an educational program that emphasizes contextualized instruction on the rights and responsibilities of citizenship, naturalization procedures, civic participation, and U.S. history and government to help students acquire the skills and knowledge to become active and informed parents, workers, and community members. Immigrants and other limited English proficient persons must not only master English but also be able to understand and navigate governmental, educational and workplace systems and key American institutions, such as banking and health care.

Corrections Education and other Institutionalized Individuals Programs

Programs provide academic services for basic education, special education programs, English literacy programs, and secondary school credit programs.  Priority is given to programs that serve individuals who are likely to leave the correctional institution within five years of participation in the program.

Correctional institution means any –

• prison
• jail
• reformatory
• work farm
• detention center
• halfway house, community rehabilitation center

English Language Learner Postsecondary Transition

Programs are to provide educational access and support for ELL students to progress further and faster along career pathways.  The intent of this set aside is to pair ELL and professional-technical instructors in the classroom to concurrently advance student gains in English language acquisition and professional-technical skills.  Classes are in programs that build toward degrees, certificates and/or entry into or advancement in registered apprenticeship programs to prepare students for employment in high-demand occupations.
 

• All students must meet WIA, Title II eligibility requirements and be pre and post-tested on the BEST Plus and/or the BEST Literacy at the start of the program and must be post-tested upon program completion, or at the end of the academic year, whichever occurs first.  Results must be recorded in ASISTS.
• A plan for continued gains and reaching English language proficiency must be developed for students who transition into professional-technical programs who have not yet reached language proficiency. 
• An instructor from basic skills and an instructor from the professional-technical program must jointly instruct in the same classroom with at least a 50 percent overlap of the instructional time. 
• Programs are expected to incorporate a rigorous planning process involving adult basic education, workforce education, and student services to ensure the success of the program. 
•  There is an expectation that administrators and faculty from ELL education and workforce education participate as equal partners in creating a joint program of instruction. 
• The expectation for educational delivery is that the mode of instruction incorporates joint ELL and professional-technical faculty planning and instructing together in the classroom, resulting in both literacy and workforce skills gains. 
• Student progress is to be evaluated jointly by ELL and professional-technical faculty, and program effectiveness is to be evaluated jointly by all involved faculty and administrators.

Submission Instructions

Please submit one original and 2 copies of the complete proposal postmarked by April 11, 2008 to:

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

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:

The Project Narrative must be no more than ten [10] 8.5” x 11” single spaced pages with one-inch margins. Double space between the headings and the text.  Use a 12-point Times Roman or Arial font.  The Budget Narrative and Category Forms are not included in this page limit.  The Program Target Worksheet, Program Component Worksheet, and Program Component Information Sheet are not included in this limit.

We will reject any application that does not follow these standards or exceeds the page limit.

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

The application must include a budget narrative for each category of expenditure that is required for the grant (Professional Salaries, Support Staff Salaries, Purchased Services, Supplies and Materials, Travel Expenses, Employee Benefits, Indirect Cost, BOCES Services, Minor Remodeling, and Equipment) and a Budget Summary Form (FS-20).  The Budget Summary Form (FS-20) can be accessed at http://www.oms.nysed.gov/cafe/forms.html   The budget narrative and category forms must 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. 

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 totals from each of the Budget Narrative and Category Form must correspond to amounts shown on the Budget Summary Form (FS-20).  Please be sure to check your math. 

Only 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.

Adult Basic Education and Literacy Services

2008 – 2009 Allocations by Local Workforce Investment Areas

APPLICATION FORM (in Word)

2008-2010 ELL TRANSITION RFP RATING SHEET (in Word)

2008-2013 LITERACY RFP RAING SHEET - ADULT BASIC EDUCATION AND LITERACY SERVICES, EL CIVICS, CORRECTIONS EDUCATION (in Word)