EMSC

Elementary, Middle, Secondary & Continuing Education

Literacy Zone Initiative: New York State Welfare Education Program (WEP), 2009-2012

General Information

Literacy Zones is a reform initiative developed by the New York State Board of Regents and the State Education Department to close the achievement gap in urban and rural communities of concentrated poverty and high concentrations of families and individuals with limited literacy or English language proficiency.  Literacy Zones are intended to provide a systemic focus on meeting the literacy needs of communities, from birth through adult.  Funds are available through this Request for Proposals (RFP) for eligible applicants to provide instructional programs in adult literacy below the post-secondary level and support services, such as educational counseling and guidance. 

Mandatory Requirements

  1. Each applicant must geographically define the Literacy Zone it proposes to serve and must use funds to provide effective adult education in the Literacy Zone.  The geographic scope of a Literacy Zone is defined as a neighborhood, zip code, school district, or community; not a county, borough, region, or city. While a Literacy Zone may encompass more than one zip code, the intent is to mobilize services in small areas of concentrated poverty and/or concentrations of limited English language proficiency.  Where services extend over more than one zip code, the zip codes should be adjacent.  Applicants must justify poverty, literacy and English language proficiency need, and family and community needs in the proposed Literacy Zone using such factors as census data, public assistance and food stamp eligibility, community health data, school lunch eligibility, planning data, and data that identifies gaps in accessing benefits, services and supports such as attainment of the Earned Income Tax Credits, health insurance, and food stamps.
  1. Applicants must serve public assistance recipients.
  1. SED is committed to raising performance in underperforming schools.  Applicants may apply for a Literacy Zone if there is no School Under Registration Review (SURR) or School In Need of Improvement (SINI) located in the Literacy Zone.  However, an applicant must include SURR/SINI(s) as part of the coordinated plan for raising literacy and English language proficiency, P-16 through adult in order to be eligible to apply for these funds, if SURR/SINI is located within the Literacy Zone.  The most current list of schools is available at:     http://www.emsc.nysed.gov/irts/accountability/2008-09/March2009-ReleaseSchools3-16addinfo.pdf
  1. Applicants must also establish one or more Family Welcome Center(s) in the Literacy Zone that provides access to a variety of coordinated services and benefits, which support students and their families, and open pathways out of poverty. 
  1. Every Literacy Zone must have a guiding coalition of stakeholders that includes government, education and community leaders with a clear commitment to developing the Literacy Zone over the next three years. Applicants must detail the role of the guiding coalition in the planning and implementation of the Literacy Zone, provide letters of commitment from all stakeholders, and provide evidence of strategic planning. These letters should provide detailed evidence of their role in supporting Literacy Zones.
  1. Applicants must also coordinate with other types of organizations in the Literacy Zone such as:
  • Education (early childhood through adult)
  • Business and Labor
  • Workforce Development and Local Economic Development
  • Health and Mental Health, including programs that provide health literacy and support a healthy start for children
  • Financial Institutions, including Voluntary Income Tax Assistance (VITA) centers
  • Public Broadcasting, Libraries, Museums and other Cultural Institutions
  • County Department of Social Services or New York City Human Resource Administration
  • Community-Based Organizations, service agencies, and foundations
  • Volunteer Organizations and organizations that provide mentoring, service learning, education and research internships, use of licensed professionals as tutors or career models in the school system
  • Independent Living Centers and vocational rehabilitation programs
  • Organizations that provide transition for incarcerated individuals
  • Organizations that provide transition support for returning veterans and their families, including veterans with disabilities
  • Other programs that support community collaborations
  1.  Applicants must provide pathways out of poverty for individuals and families living in the Literacy Zone , including the following:
  • A continuum of literacy from early childhood through adult, including strong support for parent involvement in their child’s literacy development at home and engagement with the school system.
  • Assistance and support for at-risk youth to enable them to complete high school and succeed in postsecondary education or advanced training.
  • Postsecondary transition programs that enable out-of-school youth and adults to attain a high school equivalency diploma and succeed in postsecondary education.
  • Programs that enable out-of-school youth and adults who are receiving public assistance, food stamps, or families with family incomes less than 200% of poverty to obtain and retain employment.
  • Transition programs for youth and adults returning to the community from incarceration.
  • Pathways to citizenship and English language proficiency for limited English language adults.
  • Workforce development programs, including apprenticeship, career and technical education, and career pathways.
  • Support for mature workers and senior citizens to enable them to stay out of poverty.
  • Support for individuals with disabilities and their families.
  • Transition support for returning veterans and their veterans, including disabled veterans.

Pathways out of poverty should be tailored to the needs of individuals and families in the proposed Literacy Zone.  Applicants are not required to provide those pathways that do not meet the particular needs in the proposed Literacy Zone.  The application should address all ten pathways and clearly relate pathways that are being offered to the needs of the Literacy Zone and clearly justify not including specific pathways.

Funding and Project Period

Approximately $1.8 million per year in New York State Welfare Education Program (WEP) funding is expected to be available statewide for 3 years from October 1, 2009 through June 30, 2012.  The NYS Education Department reserves the right to provide additional funding for the initiative if funds become available.  Annual funding levels will be based upon available funds provided in the New York State budget. Only those applications receiving 70 or higher will be eligible for funding.

Grants are limited to up to $300,000 per year per Literacy Zone served.  Literacy Zones funded with federal WIA Title II funding are not eligible to apply.   If an applicant wishes to serve more than one Literacy Zone, it must submit a separate application.  Literacy Zone funds cannot be used to supplant other federal, State or local funds expended for adult education and family literacy programs and services.  No carryover of unspent funds will be permitted with this program.

Eligible Applicants

The following organizations are eligible to apply:

  • School districts;
  • Boards of Cooperative Education Services (BOCES);

NYSED Consortium Policy for State and Federal Discretionary Grant Programs

A proposal from a consortium may include other agencies and organizations, which combine to provide comprehensive services.  The proposal 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.

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 also be eligible grant participants, as defined by the program statute or regulation.
  1. 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.
  1. 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 has established a minimum level of 25% of direct service be provided by the fiscal agent.
    • Is PROHIBITED from sub-granting 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. 

Program Services

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). State WEP funds may only be used for adult education purposes.  The instructional programs that are eligible for funding are those that:

  • 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.
  • Assist adults in the completion of a secondary school education and transition into post-secondary education and/or training.
  • Assist adults in obtaining knowledge to make responsible decisions regarding spending, savings and debt management (financial literacy).
  • Assist adults in developing the capacity to obtain, process, and understand basic health information and services needed to make appropriate health decisions and better navigate the health care system (health literacy). 
  • Offer intergenerational (family) literacy programs that integrate all of the following components:
    • adult literacy training for parents that leads to economic self-sufficiency;
    • interactive literacy activities between parents and their children;
    • training for parents regarding how to be the primary teacher for their children and full partners in the education of their children;
    • and age-appropriate education to prepare children for success in school and life experiences.

Please note the following restrictions:

  • 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.
  • Funding under this request for proposals may only be used for adult education purposes.

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 Literacy Zone.  They will:

  • Develop a coordinated literacy strategy, Pre-Kindergarten through Postsecondary (P-16) and adult, that will raise literacy and English language proficiency for individuals and families throughout the community through connections to adult education; alternative education; incarcerated transition; early childhood programs; high school graduation; and transition to postsecondary education or advanced training. 
  • Develop linkages and services to increase the effectiveness of parent involvement with schools, including low-performing schools as identified under Title 1 of No Child Left Behind.
  • Develop linkages with Independent Living Centers and vocational rehabilitation programs to serve individuals with disabilities and their families.
  • Develop linkages with business and labor and coordinate program planning with local workforce development and local economic development systems.
  • Develop partnerships with health and mental health agencies; financial institutions; arts and culture including libraries, public broadcasting and museums; community social service agencies and private not-for-profit and volunteer sectors.
  • Develop one or more Family Welcome Center(s) that provide on-site or connect to the following services:
    • Adult education classes scheduled to accommodate participants including parents of school-age children.
    • Health literacy instruction to raise the ability of parents and other adults to access the health care system, prevent illness and manage chronic disease.
    • Financial literacy instruction to raise the ability of parents and other adults to manage their money, avoid predatory lending, and build assets.
    • Internet access for students to contact https://www.mybenefits.ny.gov/selfservice/  and to operate the web-based Adult Student Information System and Technical Support (ASISTS) data system.
      • Access to health information and classes through collaborating with local health professionals.
      • A resource library of culturally sensitive materials for adult education students.
      • Referral services to other educational programs, and medical, legal, counseling, housing, job training, vocational rehabilitation, and career and technical education services.
      • Screening and referral to GED testing.
      • Transition to postsecondary education, workforce development, occupational training or employment.
  • Develop and connect adult education students and their families with pathways out of poverty, including the following:
  • The continuum of literacy services available for students in early childhood through adulthood, including strong support for parent involvement in their child’s literacy development and home and with the school.
  • Assistance and support for at-risk youth to enable them to complete high school and succeed in postsecondary education.
  • Postsecondary transition programs that enable out-of-school youth and adults who lack a high school diploma or the equivalent to attain a GED and succeed in postsecondary education.
  • Programs that enable out of school youth and adults who are receiving public assistance, food stamps, or with family incomes at less than 200% poverty to obtain and retain employment.
  • Workforce development programs including apprenticeship, career and technical education programs, and career pathways that provide sustainable employment.
  • Incarcerated transition for youth and adults returning to the community from incarceration.
  • Pathways to citizenship for limited English language adults.
  • Support for mature workers and senior citizens to enable them to stay out of poverty.
  • Support for individuals with disabilities and their families including pathways to employment.
  • Transition support for veterans and their families, including support for disabled veterans.
  • Develop comprehensive referral arrangements with the following types of organizations:
  • pre-kindergarten through postsecondary education (P-16) and adult agencies and programs, including Partners include the public school system, postsecondary institutions, trade schools, apprenticeship training, Head Start, Liberty Partnerships and Even Start programs, programs that help at risk youth to stay in school and graduate, adult education programs funded by the Education Department that serve the Literacy Zone, career and technical education programs for youth and adults and NCLB Title I programs that have a strong emphasis on supporting parents in meeting their responsibilities under the No Child Left Behind Act. 
  • business, labor, workforce development, and local economic development, including connections to One-Stop Career Centers and school-business partnerships.
  • health and mental health agencies, including hospitals, health maintenance organizations and health literacy providers.
  • financial institutions, including banks, credit unions and financial literacy providers, as well as Voluntary Income Tax Assistance (VITA) centers.
  • arts and cultural institutions, including libraries, public broadcasting, and museums.
  • community and volunteer agencies, including local departments of social services, literacy volunteers, vocational rehabilitation, and independent living centers. 

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.
    • 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. 
    • Annual Literacy Zone summits will be conducted by NYSED to share best practices in building effective partnerships; providing instruction reading, language, math, health literacy, financial literacy, technological literacy and family literacy; and increasing parent involvement in their children’s education.  Training will be provided to pilot work readiness curricula.  Agencies are required to set aside 4% of the budget to support training and summit costs.

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 and financial 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.

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 New York State’s targets for 2008-09 that agencies funded under this RFP are, at a minimum, expected to achieve.  New York State’s Performance Targets Core Outcome Measures

Educational Gain (Advancing an Educational Functioning Level):

2009-2010 State Targets

Proposed 2009-2010 Agency Targets

 

Adult Basic Education – Beginning Literacy

 

38

 

Adult Basic Education – Beginning Basic Education

39

 

Adult Basic Education – Intermediate Low

39

 

Adult Basic Education – Intermediate High

33

 

Adult Basic Education – low adult secondary education

36

 

 

 

 

ESL – beginning Literacy EL

36

 

ESL – low beginning EL

55

 

ESL – high beginning EL

52

 

ESL – low Intermediate EL

48

 

ESL – high intermediate EL

48

 

ESL – advanced EL

42

 

Received a GED or Secondary School Diploma (For Adult Secondary Education – High)

85

 

Other Goals Entered Employment

85

 

Retained Employment

85

 

Entered Post-secondary Education or Training

84

 

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

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 U.S. 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.

NRS Family Literacy Outcome Measures

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 their 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 of extending child’s learning beyond what is required in the educational setting.

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 9-10, the BEST Plus and the BEST Literacy.

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. Allowable expenditures under this RFP include:

  • Instruction;
  • Administration and supervision of instruction;
  • Up to 50% of the salary of a community partnership coordinator;
  • Counseling and case management;
  • Instructional technology, materials and supplies:
  • Staff development;
  • Assessment, tracking and documenting student outcomes;
  • Networking
  • Rent for program services in the Family Welcome Center
  • Curriculum development incorporating scientifically based research;
  • Coordination and planning for integrated family literacy components.

At least 85% of the grant funds must be used for instruction. Allowable instructional expenditures under this RFP include:

  • Direct instructional cost (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
  • Grant funds should include at least a half-time community partnership coordinator and one full-time case manager/counselor who increase the effectiveness of instruction by connecting effective adult literacy with benefits, other services and funding streams, instructional enhancements, and connections that increase the National Reporting System outcomes for literacy students served in the Literacy Zone.
  • 4% of grant funds must be reserved to support an annual Literacy Zone training summit and training costs for work readiness curricula and other research-based instruction that will be rolled out by SED during the contract period.

Administrative expenditures including indirect costs are limited to five percent (5%) 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.  Non-allowable expenses include:

  • Advertising for purposes other than the recruitment of students
  • Public relations for other than reporting progress;
  • Promotional items and memorabilia;
  • Meetings relating to fund-raising;
  • General purpose equipment, e.g. office furnishings, air conditioning, reproduction and printing equipment;
  • Student travel;
  • Award certificates;
  • Capital improvements;
  • Food and alcoholic beverages. 

No more than 25% of the grant funds may be sub-contracted out.  The 25% subcontracting applies only to agencies not part of a consortium.

Method of Awarding Grants

Only complete proposals postmarked on or before due date 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 70 points.  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.  Budgets that include inappropriate and/or unallowable proposed expenditures will receive a reduced score.

Grants in the amount of the budgets, as adjusted, will be made to the highest ranking applicants until funds are insufficient to fund the next ranking applicant in full. That applicant will be given the opportunity to run a smaller program than proposed in their application.  If the applicant declines that opportunity, the next ranking applicant will be offered the opportunity, and so on.  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.

Submission Instructions

Please submit one original and 2 copies of the complete proposal postmarked July 20, 2009 to: Grants Management, Room 674 EBA New York State Education Department Albany, NY 12234  Use the Application Checklist to ensure that you send a complete application package.  Incomplete applications will not be reviewed.

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, Program Target Worksheet, Program Component Worksheet, letters of commitment, the Literacy Zone Planning Calendar, and Program Component Information Sheet are not included in this limit. Applications that do not follow these standards or exceeds the page limit will not be reviewed.

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 equal the amounts 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.

APPLICATION FORM (in Word)
Last Updated: June 3, 2009