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2009-2011 State Adult Literacy and Basic Adult Education - New York City

General Information

There is $3,798,300 per year in State funding available through this grant for instructional programs in Adult Literacy Education in New York City.  These funds may also cover support services, such as educational counseling and guidance, which complement the instructional programs.  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 or other state or local funds.

Eligible Agencies

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.

Agencies are limited to filing one application.

When submitting an application that will not be part of a consortium, subcontracting is limited to 25% of the annual budget. Subcontracting is defined as non-employee direct personal services and related incidental expenses, including travel. 

Funding and Project Period

$3,798,300 is available per year for grants in New York City for the period from July 1, 2009 through June 30, 2011.  The maximum individual award is $200,000. Funding in the second year is contingent upon funds being appropriated in the State budget.

General Program Requirements

The funding must 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;

• 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.

• At least 50% of the participants served under this fund source must be at the lowest two National Reporting System’s (NRS) Educational Functioning Levels of Adult Basic Education and English Language Learning. The link to the NRS web site is in the Program Accountability section of this RFP.

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 twelve hours of staff development per year, related to their program area.

• All new instructional staff will attend the Adult Literacy Education Core Curriculum  training through the NYS Regional Adult Education Network (RAEN). Volunteer (unpaid) instructors may be exempted from this requirement.

• 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.

Program Accountability

Under the Federal 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 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 United States 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 2008–2009.    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.

 

Required Secondary Outcome Measures
NRS Outcome Measure	Description
Reduction in Public Assistance	Participant’s Temporary Assistance for Needy Families (TANF) grant, or equivalent public assistance grant, is reduced or eliminated.
Achieved Citizenship Skills	Participant attains the skills needed to pass the United States citizenship exam.
Voting Behavior	Participant registers to vote or votes for the first time.
General Involvement in Community Activities	Participant increases involvement in any of the following: Attending or organizing meetings of neighborhood, community or political organizations; Volunteering to work for such organizations; Contributing to the support of such organizations; and Volunteering to work on community improvement activities.

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

Additional Outcome Measures Required for Family Literacy Programs
NRS Outcome Measure	Description	Examples of Behavioral Outcomes
Increased involvement in children’s education	Helping children more frequently with their schoolwork. Increased contact with children’s teachers to discuss children’s education. More involved in children’s school, such as attending school activities and parent meetings and volunteering to work on school projects.	The parent takes an interest in what and how his or her child is learning.  There is an ongoing exchange of information between the parent and child’s teacher.
Increased involvement in children’s literacy-related activities	Reading to children. Visiting a library. Purchasing books or magazines for children.	The parent helps the child select books based on the child’s interests and skill level.  The parent connects stories to the child’s experiences.   The parent finds ways to extend child’s learning beyond what is required in the educational setting.

 

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

Participant Assessment and Follow-up

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. 

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.

Allowable instructional expenditures under this grant 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
• Indirect Costs
• Rental of classroom space. Proposal must describe how the rent is calculated and to whom it is paid. Agencies cannot charge classroom space to this project if the space is owned by the agency. Classroom space, including heat and utilities cannot be more than 10% of the total program budget.

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
• Non-consumable materials or equipment for students, such as backpacks, T-shirts, computers, I-pods
• 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.

Method of Selecting Grantees and Awarding Grants

In order to be considered for funding, proposals must receive a minimum average score of seventy (70) points. 

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 event of a tie score, the applicant with the highest score on item #3 -- Project Description in 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.

Grants in the amount of the budget, as adjusted, will be awarded to the highest-ranked proposals until the funds are insufficient to fund the next ranked proposal in full.  The next ranked applicant will be given the opportunity to operate a smaller program. 

The New York State Education Department reserves the right to reject all applications received or cancel this grant 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. When forming a consortium, the fiscal agent must provide a minimum of 25% of direct personal services.
• 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.  School districts, Charter Schools, BOCES, public colleges and universities, public libraries, and the Research Foundation for SUNY and CUNY are some of the exempt entities.  For a complete list, see: http://www.osc.state.ny.us/vendrep/documents/vrdocrules.pdf.

Vendors are invited to file the required Vendor Responsibility Questionnaire online via the New York State VendRep System or may choose to complete and submit a paper questionnaire. 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/wps/portal.  Vendors should also refer to the VendRep System checklist, which can be found at http://www.osc.state.ny.us/vendrep/documents/checklist.pdf.

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 may contact the State Education Department or the OSC Help Desk for a copy of the paper form.

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 Process

Each proposal must include the following:

• Application Cover Page (signed in blue ink)
• Abstract
• Proposal Narrative 
• Program Component Worksheet
• Program Component Information Sheet
• Budget Category and Narrative Forms
• Assurances
• FS-20 Budget (a separate document, signed in blue ink)
• Payee ID Form (if applicable, also a separate document)

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

State Adult Literacy and Basic Adult Education Grant Grants Processing Unit

Room 674 EBA

New York State Education Department

Albany, NY  12234

Due Date:  Postmarked by August 7, 2009.

Applications should be clearly marked State Adult Literacy and Basic Adult Education-New York City

Page Limits and Standards:

Limit the Proposal 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 the first year of the program 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 http://www.oms.nysed.gov/cafe/forms/PIform.doc.

 

APPLICATION FORM (in Word)

SCORING RUBRIC (in Word)

Last Updated: July 16, 2009