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The State Education Department does not discriminate on the basis of age, color, religion, creed, disability, martial status, veteran status, national origin, race, gender, genetic predisposition or carrier status, or sexual orientation in its educational programs, services and activities. Portion of any publication designed for distribution can be made available in a variety of formats, including Braille, large print or audiotape, upon request. Inquiries regarding this policy of nondiscrimination should be directed to the Department’s Office for Diversity, Ethics, and Access, Room 530, Education Building, Albany, NY 12234.

Application Guidelines

I. General Information

Approximately $35 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, 2006 through June 30, 2008 pending satisfactory performance and availability of funds, or until the expiration of the current WIA legislation.

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.*

*A single fiscal agent must be identified by the consortium. Members of consortia are not considered true subcontractors because they operate under arrangements that do not create an agent-like relationship and are not contracts “for” the State. Third-party contracts deemed to be “for” the State are subject to approval by the Comptroller under section 112 of State Finance Law. In such situations, the third-party contracts entered into between the State Contractor and the Third Party Contractor for those goods or services are contracts “for” the State, and are subject to OSC approval under section 112 of State Finance Law. In addition, in such a situation, the third-party contracts must be let in accordance with the procurement statutes applicable to the originating State agency (competitively bid), except where the use of the State Contractor is specifically provided for by law. For further information See OSC Bulletin No. G-220 at http://www.osc.state.ny.us/agencies/gbull/g220.htm.

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 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 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 pre-service training through the NYS Regional Adult Education Network (RAEN).

• New program managers and administrators will attend training for new administrators to be conducted by SED, scheduled for September 2006.

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 use the Individual Student Record Form (ISRF) (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).

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.

III. Application Process

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

In general, funds will be allocated to each local workforce investment area 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 attached.

Separate proposals are required for each local workforce investment area to be served and each program for which the agency is applying. Each proposal must include the following:

• Application Cover Page

• Abstract

• Application Checklist

• Program Narrative Description of the proposed program

• Performance Target Worksheet

• Program Component Worksheet

• Program Component Information Sheet

• Budget Category and Narrative Form

• 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.  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.

IV. 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 Literacy Information and Evaluation System (ALIES) participant database. Information about the ALIES database can be found at the Literacy Assistance Center’s (LAC) website at www.lacnyc.org/ALIES/. The ALIES database allows for data to be accessed and reported by sub-population, program, and class. The ALIES database is available to local provider agencies free of charge, including the related training and technical assistance.

All successful applicants must maintain an automated individual student record database. Programs that do not use the ALIES database will be required to provide the LAC with an electronic file on a scheduled basis, specifically formatted with the necessary data for input into the ALIES database. Layout and formatting requirements are available from the LAC.

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 2004-2005, 2005-06 and 2006–2007. Agencies funded under this RFP are, as a minimum, expected to achieve the targets for 2005-2006.

SED is now implementing a corrective action process for provider agencies regarding the maintenance and timely submission of quality data. An agency will not be considered for funding if it is in corrective action regarding its 2005-06 data and has not made satisfactory progress in implementing its corrective action plan.

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 at http:/www.emsc.nysed.gov/workforce/evenstart/parentinged/home.html.

V. 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, and the BEST Plus.

SED has developed Individual Student Record Form (ISRF) in conjunction with the implementation of the ALIES database. It is available on the LAC web page at www.lacnyc.org/ALIES/forms/ISRF/.pdf and also on the Adult Education and Workforce Development Team site at www.emsc.nysed.gov/workforce/offices/adult.html. In addition, a standard follow-up survey form for use in determining the attainment of participant outcomes can be found as an appendix to the NRS Manual available at http://www.lacnyc.org/ALIES/NRS_support/#nrs_manual_nys.  The standard form is required for follow-up on participants in programs.

VI. 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. The reasonable costs of appropriate support services to supplement the applicant’s instructional program are allowable, such as educational counseling and guidance.

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, including 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, without prior permission;

• Capital improvements which add permanent value;

• Alcoholic beverages.

VII. Method of Selecting Grantees and Awarding Grants

Competitive Process

Adult Basic Education and Literacy Services and Services in One-Stop Centers funds will be allocated to each workforce investment area according to the percentage of the state's undereducated (as reported in the 2000 Census) and unemployed (according to the most recent data available from the New York State Department of Labor) in the area. 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". Proposals will be sorted according to the local workforce investment area(s) they serve and will be reviewed and ranked within the local workforce investment area according to the points system described below. 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. In the event of a tie score the applicant with the highest score in item 3 of the proposal narrative will be awarded the grant.

Funds for Family Literacy, Workplace Literacy and Corrections Education and other Institutionalized Individuals will be competitive 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.

General

In order to be considered for funding, proposals must receive a minimum score of sixty-five (65) points.

Proposed budgets will be reviewed and items deemed inappropriate, unallowable or inconsistent with the specific program requirements outlined in Section VIII of the RFP will be eliminated.

The New York State Education Department reserves the right to call applicants for clarification of their proposals.

To the extent possible, the New York State Education Department will make awards to responsible applicants who demonstrate the ability to perform successfully under the terms and conditions of this request for proposals. Consideration will be given to such matters as applicant integrity, compliance with public policy, record of past performance, and financial and technical resources.

Incomplete proposals and proposals from applicants who are in corrective action for 2005-06 performance reporting and have not made acceptable progress in implementing their corrective action plan will not be considered.

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.

VIII. 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.

Family Literacy Programs

These funds cannot be used to support instructional programs for children and youth under age sixteen.

Family literacy programs have a strong adult literacy component that complements the other required program components. Therefore, applicants for family literacy funding must operate SED approved adult literacy programs.

Funding for Family Literacy is available to broaden the scope of the Adult Basic Education and English Literacy program, to offer intergenerational literacy programs. They must integrate all of the following four program 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.

Adult program participants must meet the eligibility requirements for the WIA Title 2 Adult Basic Education and English Literacy Services program and be the parent(s) or primary caregiver(s) of a child(ren) birth up to age 16 years. The adult primary caregiver and at least one child must participate in the Family Literacy program.

Proposals for Family Literacy funding will identify the partner agencies, and include signed agreements delineating the role and responsibilities of each in meeting the goals and objectives of the program. The partner providing the children’s education and development component will be specified, along with a description of that provider’s qualifications, expertise and capacity.

Workplace Literacy Programs

Programs will expand literacy opportunities for union members and other workers, as well as encourage the establishment of job related literacy and basic skills education. All participants must meet WIA Title II eligibility requirements. Instruction can be directly related to the ability to perform occupational tasks, but cannot teach specific occupational skills. Instruction must be conducted at a work site.

On-Site Literacy Services at One-Stop Centers

The following conditions apply for a proposal to provide services at a One-Stop Center:

• The proposal must be specific to the needs of the community served by the One-Stop Centers.

• The services must be provided at the One-Stop Center, or at a satellite site at close proximity to the One-Stop Center.

• A letter of endorsement and support from the chief operating officer of the One-Stop Center must be submitted with the proposal. The letter will accept this grant in lieu of cash or services expected from the WIA, Title II Workforce Investment Board partner through a cost allocation plan.

• There will be only one award for each One-Stop Center.

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 –

(a) prison
(b) jail
(c) reformatory
(d) work farm
(e) detention center
(f) halfway house, community rehabilitation center

ATTACHMENT

Adult Basic Education and Literacy Services
2006 – 2007 Allocations by Local Workforce Investment Areas

Application Forms (Separate Word Document)

03/09/2006