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State Adult Literacy and Basic Adult Education
Announcement of Funding Opportunities
 

Application (In Word)

FS-20

Performance Target Worksheet

Scoring Sheet (In Word)

Application Guidelines
 

General Information

$3 million in State funding is available through this request for proposals for instructional programs in Adult Literacy Education. $2,040,000 million will be available to applicants from New York City. The remaining $960,000 will be available to applicants from the rest of the State. These funds may also cover support services, such as educational counseling and guidance, which complement the instructional programs offered by the applicant agency. Successful applicants will be funded for November 1, 2007 through June 30, 2008. These funds cannot be used to supplant other federal, State or local funds expended for adult education and family literacy programs and services.

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

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

The following organizations are eligible to apply:
 

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

General Program Requirements

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

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

Please note the following restriction:
 

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

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

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

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

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

Application Process

Each proposal must include the following:
 

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

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

Funding Considerations

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

$2,040,000 for eligible applicants from New York City.

The remaining $960,000 will be for Rest of State.

Program Accountability

Program accountability requirements apply to all programs.

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

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


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

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

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

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

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

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

Participant Assessment and Follow-up

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

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

• Students in a class that meets for nine (9) hours or less per week should be post-tested at the end of each 100 instructional hours.

• Students in a class that meets for ten (10) hours or more per week should be post-tested at the end of each 200 instructional hours.

• Students in a tutorial program should be post-tested at least every fifty (50) instructional hours.
   

Student assessment and post-testing should be accomplished with acceptable standard assessment instruments. The TABE, version 7-8 or 9-10 may be used to show gain on all levels. The READ may be used for students in NRS level 1 to show gain to level 2. Presently the BEST Plus and the ESLOA tests are acceptable to measure English language acquisition.

SED has developed a standard participant intake form with the NYC Literacy Assistance Center in conjunction with the implementation of the ASISTS database. The current version of the form is available on the LAC webpage 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 form for use in determining the attainment of participant outcomes can be found as an appendix to the NRS Manual available at www.lacnyc.org/ALIES/NRS_support/#nrs_manual_nys . The standard form is required for follow-up on participants in programs.

Allowable and Non-Allowable Expenditures

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

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

Allowable instructional expenditures under this RFP include:
 

• Instruction (salaries of teachers and aides, classroom materials)

• Assessment, tracking and documenting student outcomes (NRS)

• Student follow-up activities

• Instructional technology, materials and supplies

• Supervision of instruction

• Staff travel to instructional sites

• Curriculum development incorporating scientifically based research

• Staff development (For purposes of Adult Literacy Education funds, providing staff development to corps of volunteer tutors is considered instructional costs.)

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

Examples of non-allowable expenses include:
 

• Advertising for purposes other than the recruitment of students or public relations for other than reporting progress

• Promotional items and memorabilia, except as identified above as allowable advertising

• Meetings relating to fund-raising

• Child care

• Student stipends

• Student tuition

• Expenditures on general purpose equipment, e.g. office furnishings, air conditioning, reproduction and printing equipment, without prior permission

• 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 score of fifty (50) points. Applications will be categorized and scored according to the region they serve – New York City and the rest of the State. The applications will be reviewed and rated by two reviewers. A third review will be performed if there is a difference of at least 20 points between the two scores. Final scores of the reviewers will be added and averaged. Grants in the amount of the budget, as adjusted, will be awarded to the highest-ranked proposals in each geographic category subject to the funding limits established for New York City and the rest of the state until the funds allocated for that funding source 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 allocated to that region. If funds still remain after all eligible applicants serving that region have been funded, the remaining funds will be assigned to the other region and awarded to the remaining proposals in rank order. In the event of a tie score, the applicant with the highest score in the proposal 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.


NYSED Consortium Policy for State and Federal Discretionary Grant Programs:


NYSED oversees many discretionary grant programs. These programs require NYSED to issue discretionary funds through a competitive grant RFP (unlike allocational grant programs where grant funds are allocated by formula, e.g. Title I Part A, Title II Part A, Title IV Part A). The statute pertaining to a grant program may require or permit a cooperative arrangement of grant applicants/participants, for the mutual benefit of the grant participants. In such cases, the participants 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:
   a. Must be an eligible grant recipient as defined by statute;
   b. Must receive and administer the grant funds and submit the required reports to account for the use of grant funds;
   c. Must require consortium partners to sign an agreement with the fiscal agent that specifically outlines all services each partner agrees to provide.
   d. Must be an active member of the partnership/consortium, except where SUNY or CUNY Research Foundations are the fiscal agent.
   e. 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.
   f. 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.
   g. 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.
    

Application Instructions

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

Required Signature(s):

The original signature of the Chief School Administrator/Officer must appear on the Application Cover Page in blue ink.

Number of Copies:

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

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

Due Date:

Postmarked by September 5, 2007

Application Checklist:

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

Page Limits and Standards:

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

• A page is 8.5” x 11” (on one side only) with one-inch margins (top, bottom, and sides). Charts/tables are not required to adhere to this standard.

• Single space all text in the application narrative; double space between titles, headings, footnotes, quotations, references, and captions, as well as all text in charts, figures, and graphs. Use a Times Roman or Arial font in a 12-point size.

• Please do not include any materials not required by this RFP, e.g. newspaper articles, annual reports, letters of support from non-collaborating partners, etc.

• We will reject any application if:

            • You apply these standards and exceed the page limit; or

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

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

Include a budget narrative on the Budget Category and Narrative Form for each category of expenditure proposed for the grant (e.g., Professional Salaries, Support Staff Salaries, Purchased Services, Supplies and Materials, etc.). The narrative should include sufficient detail to allow reviewers to understand what the funds will be used for and the relationship between the proposed expenditures and project activities and goals.
Also complete a Budget Summary Form (FS-20). 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.
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.

08/16/2007