Back to EMSC Home SED Home Disclaimers and Notices

Employment Preparation Education State Aid

Application
2005-06

The Office of Curriculum and Instructional Support has developed an application for the operation of the 2005-06 Employment Preparation Education (EPE) Program for persons aged 21 and above who do not have a high school diploma. School districts and Boards of Cooperative Educational Services (BOCES) are eligible to apply for program approval.

Pursuant to an amendment to the EPE legislation, the Commissioner has set aside up to $2.5 million to serve individuals aged 21 and over who have been awarded a high school diploma or high school equivalency diploma from a state or territory of the United States, but who fail to demonstrate basic educational competencies. For EPE programs that wish to serve this population, information is included within this application package.

Changes in the 2005-06 EPE Application
Introduction
Instructions
Application (in Word)

Changes in the 2005-06 EPE Application

1. Because the total amount of EPE is anticipated to be higher than last year, 3.12% of the EPE allocation can be generated by persons with a high school diploma who are lacking in literacy skills.

2. A new process for program evaluation is being implemented.

3. To enable the State Education Department to evaluate the effectiveness of occupational and distance learning program offerings, it is now required that all agencies enter appropriate data in their ALIES or Xendirect system.

4. Minimum requirements for program administration have been established based on the amount of contact hours and EPE aid requested.

5. Non-academic programs such as Action for Personal Choice and Career Family and Life Skills may not be offered as stand-alones. Students enrolled in these programs must be co-enrolled in an academic program designed to result in academic gain or a diploma.

6. All testing for distance learning programs must be done in person. There are no exceptions.

7. In past years, occupational program curricula were submitted only for new programs. Curricula for all occupational programs for which the agency wishes to generate EPE aid must be submitted this year.

Introduction

Overview

School districts and BOCES may operate an Employment Preparation Education (EPE) program to provide services for persons aged 21 and above who have not received a high school diploma or its equivalent. Agencies requesting approval to operate an EPE State Aid program in 2005-2006 should complete and submit this application by May 15, 2005. Agencies may request an extension of the filing date to June 15, 2005 by calling the Adult Education and Workforce Development Team at (518) 474-8940. A written request must also be submitted.

Continuation Programs

The Employment Preparation Education (EPE) State Aid program continuation application is intended for school districts or BOCES that have a previously approved comprehensive plan of service. The continuation application eliminates the need for the narrative information and copies of curricula that have previously been provided. The application requires the agency to project the number of adult learners that will be served and the contact hours of instruction that will be generated. Currently approved EPE program providers should use this application process to update and amend their current comprehensive plan of service and to renew program waivers.

New Programs

School districts or BOCES that wish to operate an EPE State Aid program in 2005-06 who have not operated an EPE program since the 1995-96 program year should submit additional materials as detailed in Appendix 1. For assistance in completing the comprehensive plan of service, please call the technical assistance representative listed in Appendix 4.

Applications are available at http://www.nysed.gov/workforce/offices/adult.html.

Services to Individuals with a High School Diploma or High School Equivalency Diploma

Prior to the 2001-02 program year, school districts and BOCES participating in the EPE program could serve only individuals who were over 21 years of age who did not have a high school diploma or a high school equivalency diploma issued by a state or territory of the United States. In the 2000-01 session, the New York State legislature enacted legislation authorizing the Commissioner of Education to set aside up to $2.5 million to serve individuals 21 and above who have a high school diploma or a high school equivalency diploma but "fail to demonstrate basic educational competencies". We anticipate that the EPE allocation for 2005-06 will be $80 million. Because $2.5 million is 3.12% of $80 million, agencies may claim up to 3.12 % of their allocation for this population. This will not affect the amount of EPE aid allocated to your agency. Contact hours should be tracked separately for those with and those without a diploma or equivalency. Agencies choosing to serve these individuals will be asked to submit separate claims for those with and without a diploma or equivalency. Individuals participating in the EPE program must be over 21 years of age regardless of diploma status:

• Commissioner's Regulations define failure to "demonstrate basic educational competencies" as scoring below National Reporting System (NRS) level 5 in reading, mathematics or English for speakers of other languages. This means scoring at or below the following reference points: a grade level score of 8.9 or below in reading or mathematics (a scale score of 566 in reading or 565 in mathematics on the TABE 7-8 test or the TABE 9-10); or

• a score of 506 or below on the BEST Plus test.

Accountability and the National Reporting System (NRS) for Adult Education.

The law and regulations governing the EPE program require that the State Education Department evaluate the effectiveness of all programs receiving EPE state aid. Agencies failing to perform at an adequate level will be required to submit corrective action plans in order to continue receiving EPE state aid and may lose funding entirely. Beginning in the 2002-03 program year, all agencies receiving EPE state aid were required to gather and submit data using an automated individual student record system. Only the Adult Literacy Information and Evaluation System (ALIES) and Xenegrade systems may be used in 2005-06. Contact the Literacy Assistance Center (LAC) at (212) 803-3300 for information on ALIES or go to www.lacnyc.org.

The 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 up to two other goals as appropriate.

In Appendix 3 are New York State’s targets for 2003-2004, 2004–2005 and 2005-06.

The SED is now implementing a corrective action process for provider agencies. An agency will not be considered for funding if it is in corrective action and has not submitted an acceptable corrective action plan. Corrective action will be based on the following criteria:

• In 2004-05, agencies that fail to submit NRS data, or submitted late or non-compliant data will be placed under corrective action.

• In 2005-06, agencies will be evaluated based on three factors:

  • The total percentage of students in levels 1-5 in ABE/ASE and in levels 1-6 in ESL who advance one or more educational functioning levels;

  • the percentage of students who are unemployed who have an employment goal assigned – target is 70%, and;

  • the percentage of students with a goal of attaining a GED or high school diploma who have entering postsecondary education as an additional goal – target is 50%.

Agencies will also be expected to exceed the federal target for follow-up of 50%.

Data on Occupational and Distance Learning Programs

The New York State Education Department plans to conduct detailed analyses on the impact and reach of distance learning and occupational educational classes offered by adult education programs in New York State. The ALIES software currently allows the entry of distance education and occupational education offerings for the purposes of program management and reporting.

To permit the above-mentioned analyses, all programs submitting data beginning on August 31, 2005, must make sure that the following information is entered into the ALIES or Xendirect databases:

• All distance learning and occupational education offerings. They must designate these offerings as distance or occupational education by entering the appropriate information. In addition, programs must designate the programs offered such as GRASP, GED on TV, etc. Please contact ALIES or Xenegrade support if you need technical assistance on how to enter this information.

• Enrollment information for above offerings.

• Demographic information for students enrolled in above offerings.

• Contact hours, test scores, goals and outcomes for students in above offerings.

When preparing data for NRS data submissions, funding sources that will include all distance learning and occupation education courses should be selected.

Program Administration

With the implementation of the NRS, it is increasingly important that programs have sufficient administrative staff to comply with all of the requirements of the EPE program. Our experience has been that, when agencies are out of compliance with the NRS or submit late or inaccurate applications, claim forms or program data, a major reason for this is that there are no or insufficient administrative staff with clear responsibility for program management. For this reason, SED has established minimum requirements for program administration.

• $500,000 or 70,000 contact hours of EPE – Programs must have a full-time administrator (1.00 FTE)

• $250,000 to $499,999 or 50,000 to 69,999 contact hours – Programs must have a .75 FTE administrator

• $100,000 to $249,999 or 20,000 to 49,999 contact hours – Programs must have a .5 FTE administrator

• No program should have less than a .25 FTE administrator or a administrator working less than 10 hours per week.

This administrative time should be fully dedicated to program administration without instructional or other non-administrative duties. Please complete the section on page 21 indicating administrative staff dedicated to your EPE program.

Attendance Policy

Because EPE state aid reimburses the school for contact hours of service already provided, it is essential that agencies document student attendance appropriately. Attendance should be documented in such a way that every hour of attendance claimed for every student can be verified. Attendance rosters must be certified by the classroom teachers. Documentation must be kept on file for audit purposes. Computerized attendance records will not suffice unless they have the same level of detail and same certification as the original classroom roster. Rounding to the nearest hour or portion of an hour is acceptable as long as rounding is done both up and down in a consistent way. Policies should also be in place regarding enrollment and absenteeism. On page 18 please describe your agency’s attendance policy and method for keeping records.

Programs Operated in Other School Districts

BOCES may operate EPE programs in school districts within their supervisory area. Individual school districts can operate programs within the boundaries of another district as long as a consortia arrangement is established.

• BOCES – While BOCES can operate EPE programs in school districts within their supervisory area without a written agreement, it is advisable that these programs operate with the full consent and knowledge of the superintendent of schools. SED encourages BOCES to develop written agreements with school districts detailing the services provided. Please enter on page 19 the names of all school districts in which the BOCES operates programs. Indicate if any of these programs operate through a cooperative services agreement in which the school district’s EPE rate is claimed.

• School Districts - School districts that operate programs within the boundaries of another district through a must have a signed consortia agreement between the school superintendents detailing the services provided. EPE is claimed at the lead district’s EPE rate. On page 19, enter the names of all school districts with which your district has a consortia arrangement. Copies of the signed agreements need not be submitted, but should be kept on file.

Non-Credit Full Time Equivalency (FTE) Arrangements

Agencies operating EPE programs frequently enter into agreements with community colleges to provide remedial programs for students seeking to improve their basic skills before enrolling in credit-bearing programs. Community colleges are eligible to receive non-credit FTE funding through SUNY to support these programs. Non-credit FTE funding can support programs serving students who are under 21 with or without a high school diploma. If these remedial programs are operated by a school district or BOCES, students can be co-enrolled in both the EPE and college program. EPE “eligible” students are eligible to generate EPE State aid, and the community college can provide funding to support the non-EPE eligible students and other allowable costs. If your agency operates a program combining EPE aid and Non-Credit FTEs, please describe on page 20 the details of the arrangement. Include the name of the college, the roles and responsibilities of the two agencies, the number of students being served by FTEs and by EPE, the programs offered, the revenues expected to be generated by each source, the expected expenditures from each source, and any other details of the contractual arrangement, including administrative costs. Teachers of these programs must be employed by the school district or BOCES.

Final Decisions Contingent Upon State Budget

At the time of this application’s mailing, the 2005-06 New York State budget has not been passed. The total amount of funds that will be allocated to the EPE program is unknown at the time of this writing although SED anticipates that $80 million will be available. Therefore, program approval for EPE State Aid will be tentative pending passage of the State budget. Any changes in EPE State Aid program requirements enacted in the State budget will be addressed through an amendment process upon enactment of the budget. Approvals for the EPE State Aid program are for the period July 1, 2005 through June 30, 2006. Any waivers received in the program year 2004-05 must be renewed as part of this application.

EPE Manual - The EPE Manual is available at www.nysed.gov/workforce/. EPE programs should be managed in accordance with the Manual. All agency program coordinators should download this document and provide copies to appropriate staff.

Instructions

Agency Eligibility

Local school districts or Boards of Cooperative Educational Services that have been approved previously by the State Education Department to operate an EPE State Aid program are eligible to apply. Educational agencies that have not previously been approved to operate an EPE State Aid program should refer to Appendix 1 for additional requirements.

Participant Eligibility

Participants who are 21 years or older who do not have a high school diploma or the equivalency issued by any state or territory of the United States can generate EPE aid.

Participants who have a high school diploma or a high school equivalency diploma but fail to demonstrate basic educational competencies can also generate EPE aid (see page 1).

Instructions

All agencies must complete and submit the sections of the application described below:

• Cover Sheet:  This form must be completed with an original signature of the Superintendent or Chief Administrative Officer.

• Program Component Worksheet:  Complete the worksheet for each program component for which the agency is requesting approval in 2005-2006. The five component worksheets are: traditional adult education instruction, distance learning adult education instruction, high school credit courses, adult occupational education courses, and work experience.

• EPE Program Components Summary Sheet:  Provide the total number of projected contact hours and students for each program component for which the agency is requesting approval in 2005-06. This information should be reentered from the individual program component worksheets.

• Attendance Policy:  Include a description of your attendance policy by completing page 18. Include all of the information requested.

• Programs Operated in Other District:  List all school districts in which your agency operates an EPE program by completing page 19.

• Non-Credit FTEs:  If applicable, complete page 20. Include the name of any community college with which your agency has entered into an agreement to operate a program jointly funded by EPE state aid and Non-Credit FTEs. Include all of the information requested.

• Budget Summary:  Complete the budget summary on page 21. Include estimates of all your anticipated EPE expenditures for 2005-06. This is not a binding document (i.e. it does not prevent you from spending more or less in any budget category). It is meant to provide general information on your fiscal planning for the upcoming year. The total should equal the EPE funding you are requesting. Include information on program administration.

• Statement of General Assurances:  This form requires an original signature of the Superintendent or Chief Administrative Officer.

Financial Process

Agencies will submit an EPE Interim Report and Claim Form and a Final Claim Form.

• EPE Claim Form SA 160.1 and Interim Report. This form must be submitted to the Adult Education and Workforce Development Team by February 19, 2006. The form is used to determine the EPE hours through December 31, 2005 that will be claimed for EPE aid and to project total EPE hours through June 30, 2006. This form will be available on line in the fall of 2005.

• EPE Claim Form SA 160.2. This form must be submitted to the Adult Education and Workforce Development Team by September 15, 2006 to claim EPE hours through June 30, 2006. This form will also be available on line in the fall of 2005.

Waivers

Agencies seeking to waive requirements of the Commissioner’s Regulations concerning class size and length of program must request a formal waiver as part of the application process. Refer to Appendix 2 (page 25).

Description of Program Components

With the exception of occupational programs, all students in programs supported by EPE aid must be enrolled in an academic program designed to result in academic gain or the attainment of a GED or high school diploma. Students in non-academic programs must be co-enrolled in an academic program designed to result in academic gain or a diploma. This means that no student should be enrolled in a stand-alone non-academic program such as Action for Personal Choice, CFLS (traditional and distance learning), or Citizenship Home Study.

Assessment Requirement – The regulations require that all students enrolled in EPE programs be assessed. Traditional and distance learning programs must pre and post-test students. All testing must be done in person with the teacher or test administrator present. Testing instruments can not be mailed. Please see the New York State NRS Manual at http://www.emsc.nysed.gov/workforce/offices/adult.html for testing guidelines.

For the 2005-06 school year, the five EPE program components are:

• Traditional Adult Education Instruction – Includes the following programs:

1. Adult Basic Education (ABE)

2. General Educational Development (GED) test preparation

3. English for Speakers of Other Languages (ESOL)

4. Basic Education in Native Language (BENL)

5. Family Literacy

6. Job Club

7. Action for Personal Choice, and

8. Career, Family and Life Skills (CFLS)

Only appropriately trained staff can offer Action for Personal Choice or Career, Family and Life Skills programs. Contact the Regional Adult Education Network (RAEN) Director in your region for information on appropriate training.

• Distance Learning Adult Education Instruction – Programs approved by the New York State Education Department in which students are not present in a classroom but where instruction is supervised by a teacher. Includes the following program models:

1. Giving Ready Adults a Study Program (GRASP)

2. External High School Diploma Program (EDP)

3. GED Connection

4. Career, Family and Life Skills (CFLS) Home Study

5. ESOL Home Study

6. Crossroads Café

7. Learn to Read

8. Another Page

9. Math Basics

10. Citizenship Home Study

11. Health Promotion Home Study

Agencies offering the GED Connection and GRASP distance learning models are expected to meet or exceed the same GED pass rate as traditional classroom programs.

Agencies requesting approval for any distance learning programs for which they were not approved in the 2004-2005 school year must provide the following information:

• Justification of the need for the program in the geographic area served by the school district;

• a plan of operation for the program during the 2005-06 school year including as many details as possible; and

• assurance that teachers for such program areas will receive specific and appropriate training before operating the program. Agencies should contact their RAEN director for information on the appropriate training.

Agencies seeking approval for distance learning programs that were previously approved must continue to meet the guidelines for operating the program as stated in the Statement of General Assurances. The Adult Education and Workforce Development Team must approve any changes in hours of service or program design. The formula for claiming contact hours for distance learning adult education programs can be found in section 300 of the EPE Manual.

• High School Credit Courses – Credit bearing courses in which adults (21 years of age or over) can participate to pursue their high school diploma. A certified teacher in a classroom setting provides this instruction.
   

• Adult Occupational Education Courses – Secondary level occupational education courses for adults of at least 100 hours in length. Districts and BOCES must identify programs by Classification of Instructional Program (CIP) code (Appendix 5 - page 30) and submit curricula for SED approval. In recent years, only curricula for new occupational programs was required to be submitted. This year, curricula for all occupational programs must be submitted for approval.
   

• Work Experience Programs – Unpaid, structured and supervised appropriate work activities/tasks for a specified period of time in a public or private, profit or not-for-profit setting that enhance and support a written educational plan for the adult student. Agencies wishing to offer a work experience program for the first time in 2005-06 must submit a detailed program description and curriculum. Agencies that have previously submitted approved curricula for the work experience program do not need to resubmit these curricula. The guidelines for work experience programs are described below.

Basic Requirements for an EPE-funded Work Experience Program

• Total program hours are defined as the total hours of classroom instruction, plus the total hours of work for each individual in this component. Programs offering between 20-40 hours of classroom instruction per week, plus work, must request a waiver from the Adult Education and Workforce Development Team. Total program hours may not exceed 40 hours per week.
   

• Supervision – All work experience components must be coordinated, supervised, or directed by an individual who meets the following qualifications and who is employed by the local school district or BOCES claiming the EPE State Aid:

For public school programs other than in New York City and Buffalo, the individual must have a valid New York State teaching certificate (Provisional or Permanent) or a New York State adult education teaching certificate.
OR
For programs operating within New York City or Buffalo, the individual must have a New York City or Buffalo license.

• Work Site Visitation – Each student must be visited by a work experience coordinator, supervisor or director on a regular basis throughout the entire work experience component. These visits should be documented in the student folder. Each student should be visited at least once a week at the work site. In addition, each student must be supervised on the job by an appropriate individual (employee, supervisor, manager, owner, etc) at the work site who will monitor the student’s progress towards specific skills and goals, and will be responsible for recording the student’s daily attendance.

In addition to the above criteria, agencies must ensure that:

• All participants fall under the guidelines for generating EPE,

• individual student folders are kept documenting work experience, attendance and related information such as work site visits and student progress,

• the agency has a system in place to track job placements or other outcomes that may result from work experience, and;

• all contact hours must be documented.

• Generation of EPE Aid for Work Experience Programs – Instructional hours and work experience hours completed in work experience components which are offered as a part of traditional adult education programs may generate EPE State Aid as follows:

  Classroom instruction must be provided comprising at least 30 percent of total program hours (total program hours are defined as the total number of work experience hours, plus hours of classroom instruction per week). Classroom instruction may be any traditional program or combination of traditional classroom programs approved in this application. Classroom instruction generates EPE at the full contact hour rate. Work experience generates EPE at a 50 percent contact hour rate (i.e. for every hour of work experience, one-half contact hour of EPE aid is generated). Previously approved programs using this model do not have to resubmit curricula or a program design unless there are changes proposed for 2005-06.

  Note: The contact hours entered on the “Program Component Worksheet for the 2005-06 Work Experience Program” table on page 16 should include only contact hours generated by the work experience component. Contact hours generated by the classroom component should be entered on the table entitled Program Component Worksheet for Traditional Adult Education Instruction on page 12.

Application (in Word)

June 15, 2007