REQUEST FOR PROPOSAL (RFP)

RFP Proposal # GC18-016

NEW YORK STATE EDUCATION DEPARTMENT

Title: Workforce Innovation and Opportunity Act Title II and Welfare Education Program Funding

Legislative Authority

Public Law 113-128; Education Law §207 & Chapter 53 of the Laws of 2002

Purpose of Grant

The purpose of this Request For Proposal (RFP) is to provide adult education and literacy services to assist out-of-school youth and adults to become literate and obtain the knowledge and skills necessary for employment and economic self-sufficiency, and assist these individuals in the completion of a secondary school education. There are four types of competition: 1) Adult Basic Education and Literacy Services, 2) Integrated English Literacy and Civics Education (IELCE), 3) Corrections Education and Other Institutionalized Education Programs and 4) Literacy Zones.

Project Period Successful applicants will be funded for July 1, 2018 through June 30, 2021 with the possibility of two (2) one-year extensions

Eligible Applicants

A public school district or BOCES a not-for-profit community-based organization or faith based organization a volunteer literacy organization an institution of higher education including a two- and four-year college, Educational

Opportunity Center, SUNY or CUNY Research Foundation a public housing authority library or library system a non–profit organization not described above which has the ability to provide adult

education and literacy activities to eligible adults a consortium of such organizations described above a partnership between an employer and an entity described above where the non-

profit is the fiscal agent.Amount of Funding

$ 38,299,003 WIOA Title 2 and $1,843,000 WEP, for a total of $40,142,003 annually

Size of the awards varies by type. Applicants should submit budget requests for costs that are reasonable and necessary to effectively implement their proposed projects. Awards will be made subject to availability of funding by the U.S. Department of Education and New York State. The NYSED reserves the right to reject all proposals received or cancel this RFP if it is in the best interest of the NYSED

Awards will be divided between four program areas:

$21,269,614 for Adult Basic Education and Literacy Services $ 9,501,967 for Integrated English Literacy and Civics Education $ 2,962,720 for Corrections Education; $ 6,407,702 for Literacy Zones

Application Due Date and Mailing Address

Submit one (1) original and two (2) copies of each complete proposal postmarked by 4/11/18 to:

New York State Education DepartmentACCES-Adult Education Programs and Policy89 Washington Avenue Room 460 EBAAlbany, New York 12234

Please email a copy in Word format only to: WIOARFP@nysed.gov

Use the Application Checklist for each proposal submitted to ensure complete application package.

Questions and Answers

Questions regarding the request must be submitted by e-mail to WIOARFP@nysed.gov no later than the close of business 1/10/18. Questions regarding this request should be identified as Program, Fiscal or M/WBE. A Questions and Answers Summary will be posted to the ACCES website no later than 1/24/18. The following are the designated contacts for this procurement: Program Matters: Robert PurgaFiscal Matters: Jessica HartjenM/WBE Matters: Marisa BoomhowerEmail: WIOARFP@nysed.gov

Non-Mandatory Notice of Intent

The Notice of Intent (NOI) is not a requirement for submitting a complete application by the application date; however, NYSED strongly encourages all prospective applicants to submit an NOI to ensure a timely and thorough review and rating process. A non-profit applicant’s NOI will also help to facilitate timely review of their prequalification materials. The notice of intent is a simple email notice stating your organization’s (use the legal name) intent to submit an application for this grant. Please also include your organization’s NYS Vendor ID. The due date is 3/26/18. Please send the NOI to WIOA-RFP@nysed.gov.

Prequalification Requirement

The State of New York has implemented a new statewide prequalification process (described on the Grants Reform website) designed to facilitate prompt contracting for not-for-profit vendors. All not-for-profit vendors are required to prequalify prior to grant application. This includes all currently funded not-for-profit institutions that have already received an award and are in the middle of the program cycle. The pre-qualification must be completed by all not-for-profit institutions prior to application in order to receive an award under this RFP. Please review the additional information regarding this requirement in the Prequalification for Individual Applications section below.

The State Education Department does not discriminate on the basis of age, color, religion, creed, disability, marital 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

Purpose

On July 22, 2014, President Obama signed into law the Workforce Innovations Opportunity Act (WIOA), which replaces the Workforce Investment Act of 1998 (WIA). The funds will be used to provide adult education and literacy activities to assist out-of-school youth and adults to become literate and obtain the knowledge and skills necessary for employment and economic self-sufficiency, and assist these individuals in the completion of a secondary school education. Adult Education and Literacy activities include: adult education, literacy, High School Equivalency preparation, family literacy, English language acquisition, Integrated English Literacy and Civics Education, workforce preparation activities and Integrated Education and Training.

The funding will support partnerships among the Federal government, States and localities to provide, on a voluntary basis, adult education and literacy activities which:

Assist out-of-school youth and adults to become literate and obtain the knowledge and skills necessary for employment and self-sufficiency;

Assist out-of-school youth and adults who are parents or family members to obtain the education and skills that are necessary to becoming full partners in the educational development of their children and lead to sustainable improvements in the economic opportunities for their family;

Assist out-of-school youth and adults in attaining a secondary school diploma, including HSE preparation, and in the transition to postsecondary education, apprenticeship programs, training, and

Assist immigrants and other individuals who are English Language Learners in improving their reading, writing, speaking, and comprehension skills in English and math skills and acquiring an understanding of the American system of government, individual freedom, and the responsibilities of citizenship

Please note the following NYSED 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 Acquisition classes to achieve English language educational gains.

NYSED WIOA Title II funding may not be used to fund bilingual education. The primary language used throughout these services must be English.

When used in the following four program areas, the term “literacy” means an individual’s ability to read, write, speak in English, and compute and solve problems at levels of proficiency necessary to function on the job, in the family of the individual, and in society.

WIOA Title II:

1. Focuses on adult education, literacy, and English language services leading to postsecondary education and employment. This includes participant eligibility for those out-of-school youth and adults who have a high school diploma or the equivalent but whose academic skills are below the 9 th grade level as evidenced on the Test of Adult Basic Education (TABE) assessment in both Math and Reading. Beginning July 1, 2019, NYSED will require TABE 11/12 as the state assessment for math and reading. Programs should budget the higher costs for replacing assessments, preparation, and other related costs to the new test. More information can be found at the data recognition corp website.

2. Makes development of career pathway strategies a function of the State and Local Workforce Development Boards and a permissible activity under all parts of the Act.

3. Requires all funded programs to meet federal and state workforce development branding requirements as outlined at the USDOL’s website. Section 121(e)(4) of WIOA requires each career center and their partners to use the “American Job Center network” or “A Proud Partner of the American Job Center network” common identifier on all products, programs, activities, services, electronic resources, facilities, and related property and new materials.

4. Supports Integrated Education and Training (IET) and Integrated English Literacy and Civics Education (IEL/CE).

5. Requires that all instruction include workforce preparation activities. 6. Requires that participants, with the exception of individuals enrolled in corrections education, be

tracked for employment and wage information in the second quarter after exit and employment in the

fourth quarter after exit. Social Security Numbers (SSNs) collected from participants will be used to track these measures.

7. WIOA requires that employment data from the Department of Labor’s Unemployment Insurance (UI) database will be accessed by matching SSNs of participants to yield employment and wage data. All participants served with no SSN or legal work visa will be counted in the performance denominator for the awardee and must be tracked manually for employment and wage information in the second quarter after exit and employment in the fourth quarter after exit.

8. Requires applicants to demonstrate the effectiveness of their past performance in literacy education. Those currently funded under NYSED will use report card data (from FY2015/2016) and those who are new applicants or applicants funded by NYSED but do not have a FY2015/16 report card must translate their performance into NYSED performance metrics using Attachment 3.

9. Requires adoption of the federal College and Career Readiness (CCR) Standards for Adult Education. NYSED implemented these standards and requires all instruction under each Program Area of the RFP to be aligned to these rigorous academic content standards. The CCR Standards and additional information on the implementation of these standards can be found on the Teaching to the Core website.

10. Asks applicants to identify “next step” opportunities as part of a career pathway. NYSED has completed Career Pathway toolkits that are accessible to all applicants. More information can be found at the tinyurl website. In addition, all applicants must attest that they are providing equal opportunity for participants with barriers to participate in programs and services, using Attachment 7 GEPA Attestation Form.

Project Funding

Federal and State funds in the amount of $40,142,003 annually is available through this RFP for direct instructional programs in adult literacy. These funds may also cover support services such as case management 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. Funds available for each of the competitions:

Program Area 1 Adult Basic Education and Literacy Services and/or Integrated Education and Training (IET) See Attachment 1 for Local Workforce Development Area Allocations

$ 21,269,614

Program Area 2 Integrated English Literacy and Civics Education (IEL/CE)

$ 9,501,967

New York City - $ 5,701,180Rest of State - $ 3,800,787

Program Area 3 Corrections Education and Other Institutionalized Education Programs

$ 2,962,720

There is a $250,000 cap for individual applications.

Program Area 4 Literacy Zones (including WEP)* $ 6,407,702 Total Annual Funding $40,142,003

Unspent funds under Program Area 1 (Adult Basic Education and Literacy Services), will be reallocated to Program Area 4 (Literacy Zones).

Any reduction in federal or State funding will result in a proportionate reduction to awards from this RFP competition.

*NYS Welfare Education Program which is only available to schools and BOCES

Project Period

Successful applicants will be funded for July 1, 2018 through June 30, 2021 with the possibility of two (2) one-year extensions.

Eligible Applicants

A public school district or BOCES a not-for-profit community-based organization or faith based organization a volunteer literacy organization an institution of higher education including a two- and four-year college, Educational Opportunity Center,

SUNY or CUNY Research Foundation a public housing authority library or library system a non–profit organization not described above which has the ability to provide adult education and literacy

activities to eligible adults a consortium of such organizations described above a partnership between an employer and an entity described above where the non-profit is the fiscal agent.

For-profit agencies are not eligible to apply.

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 and the lead fiscal agency must provide at least 50 percent of the instructional program. If an agency is included in the partnership/consortium application, that agency may NOT also apply as an individual applicant in the same program area funding competition.

New Prequalification Requirement

The State of New York has implemented a new statewide prequalification process (described on the Grants Reform website) designed to facilitate prompt contracting for not-for-profit vendors. All not-for-profit vendors are required to pre-qualify prior to grant application. This includes all currently funded not-for-profit institutions that have already received an award and are in the middle of the program cycle. The pre-qualification must be completed by all not-for-profit institutions prior to application in order to receive an award under this RFP. Please review the additional information regarding this requirement in the Prequalification for Individual Applications section below

Description of Program

Program Area 1: ADULT BASIC EDUCATION AND LITERACY SERVICES

WIOA Title II funds support Adult Basic Education and Literacy Services including Adult Basic Education (ABE), Adult Secondary Education (ASE) and/or English Language Acquisition (ELA) programs and Integrated Education and Training. Funding will be allocated to local workforce development board areas (LWDB) based on the area’s percentage of the State’s adult population who are under-educated and lack a high school diploma or equivalency and the area’s percentage of the State’s adult population who speak English “less than very well”, and populations reported as in poverty according to the U.S. Census’ 2010 American Community Survey. A minimum of $100,000 has been allocated for each Local Workforce Development Area. Specific allocations by LWDB are outlined in Attachment 1.

Eligible participants are youth and adults, 16 years of age and older, and not enrolled or required to be enrolled in secondary school under New York state law, who:

do not have a U.S. secondary school diploma or its recognized equivalent, lack the level of reading, writing, and/or computation skills expected of a high school graduate (even if they already possess a high school diploma) as shown on an NYSED and NRS approved assessment, and whose career/education goals are aligned with the goals of this program. Participants who possess a high school credential must score below the 9.0 grade level equivalent in reading or math in order to be eligible for services, and/or

require English Language Acquisition services (including services for those with diplomas or degrees from a country other than the United States or any of its territories) as indicated by an NYSED approved assessment for NRS. These participants are unable to speak, read, or write proficiently in English. For English Language Learners with a U.S. diploma, only those in NRS levels 4 or below may be served.

Instructional Program Areas

The following instructional areas are supported under Program Area 1:1. Adult Basic Education (ABE) and Adult Secondary Education (ASE) Refers to an instructional program below the postsecondary level (below a 12.9 score on the TABE in

either reading and math) that increases an individual’s ability to transition to postsecondary education, apprenticeship programming and training, including career pathways;

Refers to an instructional program that integrates reading, writing, research, and math skills associated with the ten career pathways identified through the NYSED/CUNY CareerKits. Awardees must focus on those industry sectors most in demand within the scope of the LWDB area. More information on the NYSED/CUNY CareerKits can be found at the tinyurl website.

2. English Language Acquisition (ELA) Refers to an instructional program designed to help eligible individuals who are English Language Learners

(ELL) achieve competence in reading, writing, speaking, and comprehension of the English language. Requires English Language Acquisition (ELA) services (including services for those participants with

diplomas or degrees from a country outside of the US) as indicated by an NYSED approved assessment for NRS.

Requires that the instructional program leads to:• attainment of a secondary school diploma or its recognized equivalent; and• transition to postsecondary education* and training, including apprenticeship programming; or employment.

3. Integrated Education and Training (IET) Refers to a program which provides adult education and literacy activities concurrently and contextually

with workforce preparation activities and workforce training for a specific in demand occupation or occupational cluster for the purpose of education and career advancement to ABE, ASE, or ELL individuals.

Integrated Education and Training instruction must include the following: Workforce preparation activities that help an individual acquire a combination of basic academic skills,

critical thinking skills, digital literacy skills, and self-management skills, including competencies in: utilizing resources; using information; working with others; understanding systems; skills necessary for successful transition into and completion of postsecondary education or training, or employment; and other employability skills that increase an individual’s preparation for the workforce; Career pathway instruction is a required component for participants in an IET program.

*Postsecondary Education – refers to training and education at an institution of higher education that provides not less than a two-year program of instruction that is acceptable for credit toward a bachelor’s degree, a tribally controlled college or university, or a non-profit educational institution offering certificate or apprenticeship programs at the postsecondary level including BOCES and school districts. Postsecondary education providers must be from the LWDB list (every LWDB maintains a list of locally approved training providers).

Instruction in NYSED/CUNY CareerKits provide career exploration and exploration of occupational areas. Information on the NYSED/CUNY Careerkits can be found at the tinyurl website. NYSED/CUNY CareerKits address each of ten industry sectors and integrates reading, writing, research, and math skills prior to the start of the program period. Awardees will be expected to integrate these academic features into their instructional component. In addition, applicants must identify the two most relevant Career Pathways that represent demand industries where participants may successfully attain employment in their LWDB area. Apprenticeship programs could either be an integral part of an IET, or be a next step referral along a career pathway. Information on apprenticeship programs can be found at the NYSDOL website. Service delivery that accelerates participants' educational and training outcomes through curricula and

instruction that is both concurrent and contextualized and uses occupationally relevant materials; Adult education partnership development with a postsecondary education and/or training provider to

develop and deliver IET curriculum and delivery models based on identified employer needs; Leverage existing workforce development and/or private funding to support the Career and Technical

Education (CTE) or workforce training component of the IET program. Possible sources of funding could include WIOA Title I, Employment Preparation Education (EPE) state aid, SUNY Full Time Equivalent (FTE) aid, apprenticeship programs, employer or private funding;

Training must be shown to be in a high demand occupation, either by being listed as an in-demand occupation on the DOL website or justifying that employer demand exists for an occupation not listed on the website.

Participant attainment of one or more industry-recognized credentials; Partnerships with one or more employers to support program development and evaluation; Solicit employer input into the curriculum and program design to ensure the training prepares participants

to obtain employment in high demand industries and Collaboration with regional workforce partners and New York State Career Center System (One-Stop

centers) to help address challenges and connect participants to employment opportunities.

Case Management Requirement for Program Area 1

Programs must fund case management according to the following minimum Full Time Equivalent (FTE) calculation: one full time Case Manager for every 200 participants served. Case management should provide referrals to address participants’ specific needs including, but not limited to, employment, training and apprenticeship programming, access to benefits, physical and mental health, legal services, financial services, and housing. Case managers are expected to help all students register for Job Zone. A broad overview and specific instructions can be found at the DOL website.NYSDOL and SED will be providing additional training on Job Zone for funded programs.

Program Area 2: INTEGRATED ENGLISH LITERACY AND CIVICS EDUCATION (IELCE)

Eligible participants are youth and adults, 16 years of age and older, and not enrolled or required to be enrolled in secondary school under New York state law, who: do not have a U.S. secondary school diploma or its recognized equivalent, lack the level of reading, writing,

and/or computation skills expected of a high school graduate (even if they already possess a high school diploma) as shown on an NYSED and NRS approved assessment, and whose career/education goals are aligned with the goals of this program. Participants who possess a high school credential must score below the 9.0 grade level equivalent in reading or math in order to be eligible for services, and/or

require English Language Acquisition services (including services for those with diplomas or degrees from a country outside of the United States) as indicated by an NYSED approved assessment for NRS. These participants are unable to speak, read, or write proficiently in English. For English Language Learners with a U.S. diploma, only those in NRS levels 4 or below may be served.

Integrated English Literacy and Civics Education(IELCE) means education services provided to English language learners who are adults, including professionals with degrees and credentials in their native countries, that enables such adults to achieve competency in the English language and acquire the basic and more advanced skills needed to function effectively as parents, workers, and citizens in the United States. Such services shall include instruction in literacy and English language acquisition and instruction on the rights and responsibilities of citizenship and civic participation, and must include workforce training. Only the

academic component of IELCE is eligible for WIOA Title 2 funding. (WIOA Title 2 cannot fund the training component for IELCE or for Integrated Education and Training.) IELCE funds will support agencies that prepare out-of-school youth and adults who are English language

learners, and place such adults in unsubsidized employment in demand industries and occupations that lead to economic self-sufficiency. Programs can show that training is in a demand occupation by identifying that the training is listed on the LWDB approved eligible training provider list or the training can be justified clearly showing that it is in demand from local employers. Every LWDB Workforce Development Board maintains a list of approved eligible training providers (ETPL). These can be found at the NYSDOL website. From there, applicants can do a training search by expanding the ETPL drop down on the left of the top page.

Career pathway instruction is a necessary component for participants in an IELCE program. NYSED will be releasing, prior to FY2018/2019, NYSED/CUNY CareerKits that address each of ten industry sectors and integrates reading, writing, research, and math skills. Awardees of IELCE funds will be expected to integrate these academic features into their instructional component. In addition, applicants must identify the most relevant Career Pathway representing the demand industry that is the focus of the IELCE program. More information about NYSED/CUNY CareerKits can be found at tinyurl website.

Programs must also integrate with the local workforce development system and its functions to carry out the activities of the program.

IELCE programs may include apprenticeship programming for the training component or serve as a pipeline referral to apprenticeship programming. Information on apprenticeship can be found at the NYSDOL website.

IELCE funds are divided into two competitions: New York City and Rest of State (ROS). The allocations are based upon the percentage of the State population who met the following broad criteria: they speak a language other than English at home, those populations that speak English less than “very well”, populations reported as in poverty, and the Education Levels on the U.S. Census’ 2006-2010 American Community Survey.

Integrated English Literacy and Civics Education instruction must include the following: Workforce preparation activities that help an individual acquire a combination of basic academic skills,

critical thinking skills, digital literacy skills, and self-management skills, including competencies in: utilizing resources; using information; working with others; understanding systems; skills necessary for successful transition into and completion of postsecondary education or training, apprenticeship programs, or employment; and other employability skills that increase an individual’s preparation for the workforce.

Instruction in NYSED/CUNY CareerKits at tinyurl website. Service delivery that accelerates participants' educational and training outcomes through curricula and

instruction that is both concurrent and contextualized and uses occupationally relevant materials; Adult education partnership development with a postsecondary education and/or training provider to

develop and deliver IELCE curriculum and delivery models based on identified employer needs; Leverage existing workforce development and/or private funding to support the Career and Technical

Education (CTE) or workforce training component of the IELCE program. Possible sources of funding could include WIOA Title I, Employment Preparation Education (EPE) state aid, SUNY Full Time Equivalent (FTE) aid, employer, or private funding;

Training must be shown to be in a high demand occupation, either by being listed as an in-demand occupation on the DOL website. or justifying that employer demand exists for an occupation not listed on the website.

Participant attainment of one or more industry-recognized credentials; Partnerships with one or more employers to support program development and evaluation; Solicit employer input into the curriculum and program design to ensure the training prepares participants

to obtain employment in high demand industries and Collaboration with regional workforce partners and New York State Career Center System (One-Stop

centers) to help address challenges and connect participants to employment opportunities. Prepare individuals for training leading to occupations that have the potential to pay a self-sufficiency wage.

Self-sufficiency wages are defined as those that can realistically support a family or individual without public or private assistance.

Case Management Requirement for Program Area 2

The minimum FTE calculation for Program Area 2 is one full time Case Manager for every 200 participants served. Case management should provide referral to address participants’ specific needs including, but not limited to, employment, training and apprenticeship programming, access to benefits, physical and mental health, legal services, financial services, and housing. Case managers are expected to help all students register for Job Zone. A broad overview and specific instructions can be found at the NYSDOL website.NYSDOL and SED will be providing additional training on Job Zone for funded programs.

Program Area 3: CORRECTIONS EDUCATION AND OTHER INSTITUTIONALIZED EDUCATION PROGRAMS

Eligible participants are youth and adults, 16 years of age and older, and not enrolled or required to be enrolled in secondary school under New York state law, who: do not have a U.S. secondary school diploma or its recognized equivalent, or lack the level of reading,

writing, and/or computation skills expected of a high school graduate (even if they already possess a high school diploma) as shown on an NYSED and NRS approved assessment, and whose career/education goals are aligned with the goals of this program. Participants who possess a high school credential must score below the 9.0 grade level equivalent in reading or math in order to be eligible for services, and/or

require English Language Acquisition services (including services for those with diplomas or degrees from a country outside of the United States) as indicated by an NYSED approved assessment for NRS. These participants are unable to speak, read, or write proficiently in English. For English Language Learners with a U.S. diploma, only those in NRS levels 4 or below may be served.

Eligible participants for Corrections Education and other Institutionalized Education programs must also be “criminal offenders.’’ These individuals are defined in Public Law 113 (WIOA) Section 225 as any individual who has been charged with or convicted of any criminal offense. Priority is given to programs that serve individuals who are likely to leave the institutional setting within five years of participation in the program.

Eligible programs provide services in the follow correctional institutions: (1) prison;(2) jail;(3) reformatory;(4) work farm;(5) detention center; or(6) halfway house, community-based rehabilitation center, or any other similar institution designed for the confinement or rehabilitation of criminal offenders

Funds in Program Area 3 shall be used for the cost of educational programs for criminal offenders in correctional institutions and for other institutionalized individuals, including academic programs for:

(1) adult education (adult basic education, HSE preparation, English as a Second Language instruction);(2) integrated education and training;(3) career pathways instruction. Examples of priority career pathway connections include two NYS Department of Corrections and Community Services (DOCCS) initiatives:

Second Chance Federal Pell Grant Pilot Program for Incarcerated Individuals and

expanded coursework under the Governor’s $7 million Inmate College initiative

All instruction funded under this Program area should include integration of the NYSED/CUNY CareerKits in the industries best suited for the community in which the participant may be released. Information on CareerKits can be found at the tinyurl website.

(4) transition to re-entry initiatives and other post-release services with the goal of reducing recidivism.

Funding requires that all participants must be residents of the facility. The use of funds may include educational counseling or case management work to support incarcerated individuals’ transition to re-entry and

other post-release services. Examples include assisting incarcerated individuals to develop plans for post-release education program participation, assisting participants in identifying and applying for participation in post-release programs, and performing direct outreach to community-based program providers on behalf of re-entering participants. Such funds may not be used for costs for participation in post-release programs or services. Such funds cannot supplant services already provided by the correctional facility.

Agreement Requirement:

Each proposal must be accompanied by a signed letter of agreement with the correctional agency with whom the applicant plans to work. The letter must be on the partnering agency’s letterhead indicating the agency will allow the proposed services to be provided within their facility. Proposed services must be clearly described.

Case Management Requirement for Program Area 3

The minimum FTE calculation for Program Area 3 is one full time Case Manager for every 200 participants served. Case management should provide referral to address participants’ specific needs including, but not limited to transition to employment, training and apprenticeship programming, access to benefits, physical and mental health, legal services, financial services, and housing and not supplant those case management services already provided by the correctional facility.

Program Area 4: LITERACY ZONES

An applicant (including consortia) may submit a maximum of three (3) Literacy Zone proposals representing three different census tracts. An applicant may request up to a maximum $125,000 for each Literacy Zone proposed. Separate applications and budgets must be submitted for each Literacy Zone proposal.

Only Literacy Zone proposals submitted by applicants who were successful in either Program Areas 1 or 2 will be reviewed. Literacy Zones will be funded with either federal WIOA Title 2 or State Welfare Education Program (WEP) funds or a combination. NYSED will allocate funds to successful Literacy Zone applicants based upon score ranking described in the Method of Award section and applicant eligibility. The funding source, for each award, will be provided to the applicant with the notification of award

Eligible participants are youth and adults, 16 years of age and older, and not enrolled or required to be enrolled in secondary school under New York state law, who:

do not have a U.S. secondary school diploma or its recognized equivalent, lack the level of reading, writing, and/or computation skills expected of a high school graduate (even if they already possess a high school diploma) as shown on an NYSED and NRS approved assessment, and whose career/education goals are aligned with the goals of this program. Participants who possess a high school credential must score below the 9.0 grade level equivalent in reading or math in order to be eligible for services, and/or

require English Language Acquisition services (including services for those with diplomas or degrees from a country other than the United States or any of its territories) as indicated by an NYSED approved assessment for NRS. These participants are unable to speak, read, or write proficiently in English. For English Language Learners with a U.S. diploma, only those in NRS levels 4 or below may be served.

The purpose of Literacy Zones is 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 provide a systemic approach to meeting the literacy needs of these communities from birth through adult. The Literacy Zone must be geographically defined as one or more adjacent census tracts using the US Census website.

Literacy Zones and their Family Welcome Centers provide or refer out-of-school youth and adults to a variety of coordinated services and benefits to support adult participants who are receiving literacy services, including instruction, through a WIOA Title II adult education program (Program Area 1 or Program Area 2 or both) funded by NYSED. Funds can be used to establish a Family Welcome Center support a community partnership coordinator and expand case management to assist adult education participants enrolled in Program Area(s) 1 and/or 2. Literacy Zones should connect students and their families with instruction.

Pathways Out of Poverty

The Family Welcome Centers provide services which connect adult participants and their families to Pathways Out of Poverty. The Pathways Out of Poverty should be tailored to the needs of individuals and families in the proposed Literacy Zone and may include:1. A continuum of literacy from early childhood through adult, including strong support for parents’

involvement in their children’s literacy development at home and engagement with the school system; 2. Assistance and support for out-of-school youth to enable them to complete high school and succeed in

postsecondary education, apprenticeship programs, or advanced training;3. Postsecondary transition programs that enable out-of-school youth and adults to obtain a NYS High School

Equivalency diploma and succeed in postsecondary education;4. Programs that enable out-of-school youth and adults who are receiving public assistance, or families with

incomes of less than 200 percent of poverty, to obtain and retain employment; 5. Transition programs for youth and adults returning to the community from incarceration; 6. Pathways to citizenship and English language proficiency for limited English language adults;7. Workforce development programs, including apprenticeship, adult Career and Technical Education/

workforce training, apprenticeship programs, and career pathways including career exploration using NYSED/CUNY CareerKits at the tinyurl website.

8. Support for mature workers and senior citizens to enable them to stay out of poverty;9. Support for individuals with disabilities and their families;10. Transition support for returning veterans and their families, including disabled veterans.

Services Provided by Literacy Zones:

1. Educational counseling so that out-of-school youth and adult participants pursue the most appropriate path to earning a NYSED High School Equivalency (HSE) diploma, English language acquisition and/or transition to postsecondary education, training and employment;

2. An internet connected computer lab with digital literacy instruction to assist participants to learn how to use computers and computer software. The lab should include ABE/ASE and ESL instructional software for use by teachers and participants. The lab should also be used to prepare participants to take assessments leading to a High School Equivalency (HSE) diploma;

3. Resources to link adults to appropriate services will be used, including:i. Literacy Zone benefits tool ii. My Benefits iii. Jobzone iv. Careerzone

4. A resource library of culturally sensitive materials for adult education participants; and5. Referral services to other educational programs that specialize in Literacy Zone outcome categories of

health literacy, financial literacy, functional literacy, legal, counseling, housing, and vocational rehabilitation/programs for the blind funded by the NYS Commission for the Blind.

6. Referrals to and from Career Centers and workforce partners, including WIOA Title 1 workforce training and apprenticeship programs.

7. An annual career fair within the zone.

Program Requirements:

1. Applicants must establish one or more Family Welcome Center(s) in the Literacy Zone. If an applicant applies for more than one Literacy Zone, each Literacy Zone must have a Family Welcome Center within the census tract identified as the zone being served.

2. Applicants must have the following of at least one of each of the following five required partners: Education: early childhood programs; K-12 public schools and BOCES; postsecondary institutions and

postsecondary transition programs:

County Department of Social Services or NYC Human Resource Administration; New York State Career Center/one-stop center; Cultural institutions; and Volunteer organizations such as Literacy Volunteers and/or those which provide community service,

mentoring or work-based learning.

3. Applicants must complete and submit the Literacy Zone Performance Outcome Targets FY2018-2019, the Literacy Zone Performance Target Worksheet, and the Literacy Zone Partner(s) Matrix for each Literacy Zone.

All successful applicants are required to submit National Reporting System (NRS) data to NYSED through the ASISTS data system. NYSED collects additional data related to the provision of service and referrals within the Literacy Zone. The applicants and all partners will be required to provide data as required by both NRS and the Literacy Zone indicators as determined by NYSED, including outcomes related to the NYS Benefits Tool Kit. Information on the Benefits Tool Kit can be found at NYSED Literacy Zone website. • Programs will collect and track data through ASISTS specific to Literacy Zone indicators including:

counselor/case management hours, referrals, and outcomes.• All Literacy Zone participants will be coded in ASISTS under specifications determined by NYSED,

including the requirement that Literacy Zone participants be recorded and accounted for in ASISTS regardless of the amount of time services were received and/or the participant’s assessment status.

• Literacy Zone NRS performance will be measured to the same standard as in Program Areas 1, 2, and/or 3.

• Literacy Zones must also report additional outcome measures on their participants found in the tables in Attachment 4. In each of the ten Literacy Zone Outcome categories, Literacy Zones must identify two distinct outcomes for which they will follow up on their students/participants after exit to confirm the outcome selected was achieved. These data will be entered in ASISTS and will be recorded on the Literacy Zones performance data report at the same time that all NRS data is reported.

4. Each Literacy Zone must hold an annual Career Fair within the zone. Career Fairs not located within the geographic boundaries of the zone must have prior approval by NYSED. The Career Fair must include at minimum two local employers and one postsecondary educational institution or training center. The employers selected should be among those that have or intend to employ the Literacy Zone participants.

Literacy Zone Program Service Restriction

Funding under this RFP may only be used for eligible WIOA Title II program participants. Family members may only be served if they meet the student eligibility criteria.

Case Management Requirement for Program Area 4

The minimum FTE calculation for Program Area 4 is one full time Case Manager for every 100 participants served. Case management in the Literacy Zone should provide referral to address specific needs of the Literacy Zone individuals. This may include, but are not limited to employment, training and apprenticeship programming, career pathway exploration and use of NYSED/CUNY CareerKits (see tinyurl website), access to benefits, physical and mental health, legal services, financial services, and housing. Case managers are expected to help all students register for Job Zone A broad overview and specific instructions can be found at the NYSDOL website.NYSDOL and SED will be providing additional training on Job Zone for funded programs.

General Program Guidelines for All Program Areas

Programs receiving funds under this RFP shall operate in accordance with the following guidelines developed by the NYSED for adult education programs.

Eligible Participants

Eligible participants are youth and adults, 16 years of age and older, and not enrolled or required to be enrolled in secondary school under New York state law, and who: do not have a US secondary school diploma or its recognized equivalent, lack the level of reading, writing,

and/or computation skills expected of a high school graduate (even if they already possess a high school diploma) as shown on an NYSED and NRS approved assessment, and whose career/education goals are aligned with the goals of this program. Participants who possess a high school credential must score below the 9.0 grade level equivalent in reading or math in order to be eligible for services, and/or

require English Language Acquisition services (including services for those with diplomas or degrees from a country outside of the United States) as indicated by an NYSED approved assessment for NRS. These participants are unable to speak, read, or write proficiently in English.

Thirteen Federal Required Considerations for Funding

In awarding grants and contracts, NYSED will consider:

1. the degree to which the eligible provider is responsive to:A. regional needs as identified in the Local Workforce Development plan; B. serving individuals in the community who are identified in the Local Workforce Development Plan as

most in need of adult education, literacy services, including individuals who have low levels of literacy skills; or who are English language learners;

2. the ability of the eligible provider to serve eligible individuals with disabilities, including those with learning disabilities;

3. past effectiveness of the eligible provider in improving the literacy of eligible individuals, to meet State-adjusted levels of performance for the primary indicators of performance especially with respect to eligible individuals who have low levels of literacy;

4. the extent to which the eligible provider demonstrates alignment between proposed activities and services and the strategy and goals of the Local Workforce Development Plan, as well as the activities and services of the one-stop partners;

5. whether the eligible provider’s programA. has sufficient intensity and quality, and is based on the most rigorous research available so that

participants achieve substantial learning gains; andB. uses instructional practices that include the essential components of reading instruction;

6. whether the eligible provider’s activities, including whether reading, writing, speaking, mathematics, and English language acquisition instruction delivered by the eligible provider, are based on the best practices derived from the most rigorous research available and appropriate, including scientifically valid research and effective educational practice;

7. whether the eligible provider’s activities use technology, services, and delivery systems in a manner sufficient to increase the amount and quality of learning and overall improved performance;

8. whether the eligible provider’s activities provide learning in context, including through integrated education and training, so that a participant acquires the skills needed to transition to and complete postsecondary education and training programs, obtain and advance in employment leading to economic self-sufficiency, and to exercise the rights and responsibilities of citizenship;

9. whether the eligible provider’s activities are delivered by well-trained instructors, counselors, and administrators who meet the minimum qualifications required by NYSED, and who meet the 14-hour professional development RAEN professional development requirement.

10. whether the eligible provider’s activities coordinate with other available education, apprenticeship programs, training, and social service resources in the community by establishing strong links with elementary schools and secondary schools, postsecondary educational institutions, institutions of higher education, local workforce investment boards, one-stop centers, job training and apprenticeship programs, and social service agencies, business, industry, labor organizations, community-based organizations, nonprofit organizations, and intermediaries, for the development of career pathways;

11. whether the eligible provider’s activities offer flexible schedules and coordination with Federal, State, and local support services (such as child care, transportation, mental health services, and career planning) that are necessary to enable individuals, including individuals with disabilities or other special needs, to attend and complete programs;

12. whether the eligible provider maintains high quality data in ASISTS and enters data according to NYSED requirements in order for NYSED to report measurable participant outcomes and to monitor program performance; and

13. whether the local areas in which the eligible provider is located have a demonstrated need for additional English language acquisition programs and civics education programs.

These considerations are built into the scoring rubrics.

Workforce Preparation Activities

All instruction must integrate workforce preparation activities. Workforce preparation activities are designed to help an individual acquire a combination of basic academic skills, critical thinking skills, digital literacy skills, and self-management skills, including competencies in: utilizing resources; using information; working with others; understanding systems; skills necessary for successful transition into and completion of apprenticeship certification, postsecondary education or training, or employment; and other employability skills that increase an individual’s preparation for the workforce. Professional Development

NYSED funds seven Regional Adult Education Network (RAEN) centers throughout the State that provide technical assistance and professional development to adult literacy and adult Career and Technical Education (CTE) programs funded by NYSED. The goal of the RAEN is to improve the quality of federal and state funded adult literacy programs and to assist programs in meeting or exceeding statewide benchmarks of the National Reporting System. All full time and/or part-time paid administration, case managers, counselors, teachers, and data staff must

attend a minimum fourteen (14) hours of professional development per fiscal year, provided on behalf of NYSED through the RAEN. This includes clerical staff who are managing data or administering assessments. This professional development includes the NYSED College and Career Readiness training.

Each eligible provider must submit a professional development plan that describes the projected content area of training and number of hours for each administrator, teacher, counselor, case manager, and data staff position related to this program.

Program managers and administrators must attend program manager meetings and/or webinars held by NYSED/RAEN.

All new teaching staff must attend the learning disability training entitled, Learning to Achieve, through the RAEN.

Case Management and Dedicated Points of Contact for Referral

All funded programs will be expected to provide expanded case management according to the ratio outlined in each Program Area. Case Managers will provide information and support to participants to access benefits and transition to postsecondary study or training.

For those participants seeking a NYS High School Equivalency diploma, case managers will help participants understand the multiple pathways to the NYS High School Equivalency diploma and access “next step” services, instruction, training, and apprenticeship programming.

Case managers will also help participants access activities and services provided throughout the local workforce development system, including programs and services that are provided through Career Centers and NYS Department of Labor, ACCES-VR, the NYS Commission for the Blind, and Temporary Assistance for Needy Families funded through the NYS Office of Temporary and Disability Assistance.

Each funded program should identify one or more individuals who will serve as points of contact for workforce development referrals to Career Centers and workforce partners in their Local Workforce Development areas. These contacts should be identified in Attachment 6.

Requirements for Adult Secondary Education (ASE)/High School Equivalency (HSE) Preparation Programs

Every participant enrolled in an adult secondary education program shall earn satisfactory scores on the NYSED approved High School Equivalency (HSE) vendor’s readiness test or any other NYSED approved instrument before being referred to the NYS HSE tester other NYSED approved alternative assessment for HSE. The HSE readiness scores must be recorded in ASISTS. Any screening, referral, and reporting policies set by NYSED for pathways to a NYS HSE diploma must be followed. HSE preparation programs must submit a properly completed and signed TASC Test Authorization Form

(T-TAF) for each participant formally referred to the HSE test indicating that the program is officially referring the individual to take the test. The T-TAF is found at the NYSED ACCES website.

The HSE preparation program’s five-digit NYSED HSE Preparation Program Code must be included on the T-TAF: The National External Diploma Program® (NEDP) is an approved pathway to the NYSED HSE diploma.

The National External Diploma Program® (NEDP) is a flexible, self-directed web-based program where the reading, writing, math and workforce readiness skills of participants are assessed through a series of competencies. For more information on NEDP see NYSED ACCES Adult Education website. WIOA Title 2 funding may be used to support the costs of the NEDP. Programs interested in offering this pathway to the HSE diploma must commit to completing ALL requirements before the program may be offered.

HSE preparation programs should have a strong partnership with the local SUNY or CUNY community college, or other post-secondary training institutions and establish referral arrangements that support postsecondary transition.

HSE preparation programs should also have a strong partnership with workforce training and apprenticeship programs in the local Workforce Development Area. Every LWDB Workforce Development Board maintains a list of approved eligible training providers.

Technology and Digital Literacy

The use of technology in providing and enhancing the educational process is necessary to prepare learners for the workforce. In addition, NYSED requires that participants have minimum digital literacy and computer skills necessary to take the computer based format of the HSE test. Teachers will assist adult learners with online learning, communication, collaboration and the use of a variety of digital resources: Programs will provide computers with high speed internet access along with production and instructional

software to ensure that participants have the resources available to assist them in becoming digitally literate and ready to enter the workforce. Programs without access to high speed Internet and maintenance of computers must explain how they will overcome these barriers and provide instruction in digital literacy.

Programs will provide support and release time for teachers and administrators to obtain training for technology skills. Agencies will employ advances in technology to streamline administrative processes, store information, and support the teaching/learning process.

Teachers and administrators are expected to have technology skills including keyboarding and word processing, and have the ability to find, use, analyze, and evaluate information on the internet to assist learners.

Teachers and case managers are expected to utilize the NYSED/CUNY CareerKits found at tinyurl website.

Programs will prepare participants to be successful in computer based testing and computer usage in the workforce.

Regional Networking and Interagency Coordination

Successful applicants will participate in local networking activities to coordinate programs and services with other providers within their Local Workforce Development Areas and will: Attend networking meetings and/or webinars conducted by their Regional Adult Education Network

(RAEN), the Local Workforce Development Board, and NYS Department of Labor; Develop linkages and coordinate program planning with the local New York State Career Center System;

Develop a coordinated strategy with other literacy providers and workforce partners to meet the literacy needs in the Local Workforce Development Area;

Support the local New York State Career Center System through the provision of literacy assessment as a core service.

Establish a single point of contact for workforce referrals to Career Centers and workforce partner programs and activities on Attachment 6.

Allowable and Non-Allowable Expenditures

Funds provided through this RFP shall in no way duplicate reimbursement or other funding provided by the NYSED, or any other federal, State or local government entity. Funds cannot be used to supplant other federal, State or locally funded programs. Fiscal guidance can be found at NYSED Grants Finance website for assigning proposed costs to appropriate categories.

Grant funds are intended for direct services to individuals. The reasonable costs of appropriate support services, such as educational counseling and case management, to supplement the applicant’s instructional program are allowable.

The following are allowable expenditures and are considered as instructional activities under this RFP:

Instruction Assessment, tracking and documenting participant outcomes Regional networking with others in the Local Workforce Development area Curriculum development incorporating NYSED College and Career Readiness standards Coordination and planning for integrated family literacy components Counseling and case management Instructional technology Computers, laptops, software, Internet access Materials and supplies, and Administration and supervision of instruction.

Examples of non-allowable expenditures include:

Advertising for purposes other than the recruitment of participants 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 Participant travel Capital improvements which add permanent value Alcoholic beverages Audits

Budget (FS-10)

Applicants must submit a FS-10 budget with this application, for the initial 12-month project period of July 1, 2018 – June 30, 2019. The 12-month budget will be reviewed and scored.

The applicant must complete the FS-10 Budget Form. Budgeted costs must be in compliance with applicable State and federal laws and regulations and the Department’s Fiscal Guidelines. These guidelines, as well as the FS-10 form, are available online at the Grants Finance website. The FS-10 must bear the original signature of the Chief School/Administrative Officer.

Information about the categories of expenditures and general information on allowable costs, applicable cost principles and administrative regulations are available in the Fiscal Guidelines for Federal and State Aided Grants.

The budget should be reasonable and appropriate to cover program expenses.

For more information, visit the Grants Finance website

Entities’ Responsibility

Projects must operate under the jurisdiction of the local board of education, or other appropriate governing body, and are subject to at least the same degree of accountability as all other expenditures of the local agency. The local board of education, or other appropriate governing body, is responsible for the proper disbursement of, and accounting for project funds. Written agency policy concerning wages, mileage and travel allowances, overtime compensation, or fringe benefits, as well as State rules pertaining to competitive bidding, safety regulations and inventory control must be followed. Supporting or source documents are required for all grant related transactions entered into the local agency’s recordkeeping systems. Source documents that authorize the disbursement of grant funds consist of purchase orders, contracts, time and effort records, delivery receipts, vendor invoices, travel documentation and payment documents.

Supporting documentation for grants and grant contracts must be kept for at least six years after the last payment was made unless otherwise specified by program requirements. Additionally, audit or litigation will “freeze the clock” for records retention purposes until the issue is resolved. All records and documentation must be available for inspection by State Education Department officials or its representatives.

For additional information about grants, please refer to the Fiscal Guidelines for Federal and State Aided Grants.

Reporting and Monitoring

Grantees must submit an annual National Reporting System (NRS) performance report at the end of each grant period but no later than August 31 of each year of the grant. (The U.S. Department of Education may change the required date). The performance report should demonstrate that substantial progress has been made toward meeting the project goals and the program performance indicators.  Additional information about the annual performance report will be made available to grantees by SED after grant awards are made. Grantees that do not demonstrate adequate performance may be discontinued. Information on the NRS may be found on the NRS web page.

Demonstrated Effectiveness

An eligible provider applying for Program Areas 1, 2 or 3 must demonstrate effectiveness by providing performance data on its record of improving the skills of eligible participants, particularly eligible participants who have low levels of literacy, in the content domains of reading, writing, mathematics, English Language Acquisition, and other subject areas relevant to the services contained in NYSED’s application for funds. An eligible provider must also provide information regarding its outcomes for participants related to employment, attainment of secondary school diploma or its recognized equivalent, and transition to postsecondary education, apprenticeship programs, and training.

There are two ways in which an eligible provider may meet this requirement:

1. Submission of a NYSED NRS Report Card for the period FY2015/2016 or2. Submission of a completed Demonstrated Effectiveness Conversion Chart (Attachment 3). NYSED

reserves the right to review an applicant’s calculations.

Applicants that are currently funded by WIOA, Employment Preparation Education (EPE) State aid, or WEP must submit an NYSED NRS Report Card for the period FY2015/2016. Applicants that are funded by Adult Literacy Education (ALE) or are new applicants must complete and submit the Demonstrated Effectiveness Conversion Chart (Attachment 3).

The applicant will describe the process that will be used to adhere to the monthly and quarterly NRS data deadlines for data entered in the Adult Student Information System and Technical Support (ASISTS) including the collection, tracking and reporting of participant and program data. The NRS deadlines can be found at here.

Performance Accountability

The National Reporting System (NRS) is the accountability system for all WIOA Title II funded adult education programs. The Adult Student Information System and Technical Support (ASISTS) is the mandatory reporting system that all programs must use as a condition of funding.

Programs must use ASISTS to record all data associated with participants, classes, personnel, attendance, assessments, and tracking outcomes regardless of the extent of services or length of time served. Programs must also comply with the federal National Reporting System (NRS) requirements for adult education programs.

Programs must have trained staff and must use ASISTS Programs must follow NYSED’s assessment policy regarding pre- and post-testing. (see Attachment 2 for

more information). Programs must collect and track data through ASISTS using case management training and outcome

indicators set and approved by NYSED. Programs must ask all participants for their SSNs or work visa numbers. These numbers will be used for

participant data matching with the NYS Department of Labor’s Unemployment Insurance (UI) database. Employment and median wage earnings will be tracked electronically per WIOA specifications in the second and fourth quarter after the participant exits. For those participants who do not report an SSN, the program is responsible for manually tracking the participant for employment and wage information in the second quarter after exit and employment in the fourth quarter after exit.

At intake, programs are required to collect and report demographic and personal information from their participants. NYSED provides a standard intake form, the Individual Student Record Form (ISRF). In addition there is a Supplemental ISRF for those participants who are already in ASISTS and their record must be updated. WIOA Title II guidelines for local program accountability have changed significantly from previous legislation and continues to evolve. Attachment 2 provides the most current summary of data collection and reporting responsibilities mandated under WIOA Title II. Programs must engage in a continuous improvement process which includes the compilation of a Program Improvement Team (PIT) that will meet regularly to review program data and process to recommend steps toward improvement. See Attachment 2 for more information on the PIT.

Accessibility of Web-Based Information and Applications

Any documents, web-based information and applications development, or programming delivered pursuant to the contract or procurement, will comply with New York State Education Department IT Policy NYSED-WEBACC-001, Web Accessibility Policy as such policy may be amended, modified or superseded, which requires that state agency web-based information, including documents, and applications are accessible to persons with disabilities. Documents, web-based information and applications must conform to NYSED-WEBACC-001 as determined by quality assurance testing. Such quality assurance testing will be conducted by NYSED employee or contractor and the results of such testing must be satisfactory to NYSED before web-based information and applications will be considered a qualified deliverable under the contract or procurement.

Requirements for Funding

Registration In Federal System for Award Management (SAM) – In order to be awarded federal funds, an agency must be registered (and then maintain a current registration) in the federal System for Award Management known as SAM. SAM is a government-wide, web-enabled database that collects, validates, stores and disseminates business information about organizations receiving federal funds. Information on an agency’s registration in SAM needs to be provided on the Payee Information Form that must be submitted with the application.

Payee Information Form/NYSED Substitute W-9 – The Payee Information Form is a packet containing the Payee Information Form itself and an accompanying NYSED Substitute W-9. The NYSED Substitute W-9 may or may not be needed from your agency. Please follow the specifics instructions provided with the form. The Payee Information Form is used to establish the identity of the applicant organization and enables it to receive federal (and/or State) funds through the NYSED.

PREQUALIFICATION FOR INDIVIDUAL APPLICATIONS

Pursuant to the New York State Division of Budget Bulletin H-1032, dated June 7, 2013, New York State has instituted key reform initiatives to the grant contract process which require not-for-profits to register in the Grants Gateway and complete the Vendor Prequalification process in order for proposals to be evaluated. Information on these initiatives can be found on the Grants Reform Website.

Proposals received from not-for-profit applicants that have not Registered and are not Prequalified in the Grants Gateway by 5:00 PM on the proposal due date of 4/11/18 cannot be evaluated. Such proposals will be disqualified from further consideration

Below is a summary of the steps that must be completed to meet registration and prequalification requirements. The Vendor Prequalification Manual on the Grants Reform Website details the requirements and an online tutorial are available to walk users through the process.

1) Register for the Grants Gateway.

On the Grants Reform Website, download a copy of the Registration Form for Administrator. A signed, notarized original form must be sent to the Division of Budget at the address provided in the instructions. You will be provided with a Username and Password allowing you to access the Grants Gateway.

If you have previously registered and do not know your Username please email grantsreform@budget.ny.gov. If you do not know your Password please click the Forgot Password link from the main log in page and follow the prompts.

2) Complete your Prequalification Application.

Log in to the Grants Gateway. If this is your first time logging in, you will be prompted to change your password at the bottom of your Profile page. Enter a new password and click SAVE.

Click the Organization(s) link at the top of the page and complete the required fields including selecting the State agency you have the most grants with. This page should be completed in its entirety before you SAVE. A Document Vault link will become available near the top of the page. Click this link to access the main Document Vault page.

Answer the questions in the Required Forms and upload Required Documents. This constitutes your Prequalification Application. Optional Documents are not required unless specified in this Request for Proposal.

Specific questions about the prequalification process should be referred to your agency representative at prequal@nysed.gov or to the Grants Reform Team at grantsreform@budget.ny.gov.

3) Submit Your Prequalification Application

After completing your Prequalification Application, click the Submit Document Vault Link located below the Required Documents section to submit your Prequalification Application for State agency review. Once submitted the status of the Document Vault will change to In Review.

If your Prequalification reviewer has questions or requests changes you will receive email notification from the Gateway system.

Once your Prequalification Application has been approved, you will receive a Gateway notification that you are now prequalified to do business with New York State.

Vendors are strongly encouraged to begin the process as soon as possible in order to participate in this opportunity.

Application Submission Instructions

Please adhere to the following instructions in order to ensure that your entire application is reviewed.

Required Signature(s)The original signature of the Chief School Administrator/Chief Executive Officer must appear on the Application Cover Page in blue ink.

Number of CopiesPlease submit one original and two (2) copies of the complete proposal to the following address:

ACCES-Adult Education Programs and PolicyAttention: WIOA and WEP

New York State Education Department89 Washington Avenue Room 460 EBA

Albany, New York 12234

Please email a copy in Word format only to: WIOARFP@nysed.gov

Postmark Date

Applicants are responsible for making sure the application package is complete. Applications must be postmarked by 4/11/18.

ChecklistPlease 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:You must 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 Only the first ten (10) pages of an application narrative or the equivalent of the page limit will be read

and reviewed.

Information must be organized by the specific application narrative sections. The applicant should ensure that all pertinent information that should be considered by the reviewer in evaluating that area is included in the text that follows the specific heading. Information found in the abstract or other supplemental materials will not be reviewed and may result in a lower score.

The Budget Narrative must be limited to no more than two (2) pages and follow the same standards as the project narrative.

FS-10 Budget Form and Narrative

A FS-10 (3/15) Budget Form and Narrative (two page maximum) must be submitted for the first year of the project. The FS-10 (3/15) budget can be accessed here.

The budget must include a budget narrative addressing each expenditure proposed in the budget. The narrative should also identify whether expenditures are considered instructional according to the guidelines in Allowable and Non-Allowable Expenditures of this RFP. Budgets that meet the programmatic objectives proposed in the Proposal Narrative but have more expenditures for instructional costs will receive higher ratings.

General guidance information about the expenditure categories, allowable costs, applicable federal cost principles and administrative regulations are available in the Fiscal Guidelines for Federal and State Aided Grants and A Guide to Grants Administration and Implementation Resources. For specific information regarding allowable and non-allowable activities for this program see Section VII-Allowable and Non-Allowable Expenditures of this Request for Proposal.

The costs of consortium partners that are not the lead applicant fiscal agent should be reported in Purchased Services and explained in the narrative.

Each FS-10 and the related narrative document should include the applicant name and the title of the competition.

Payee Information Form/NYSED Substitute W-9 Form – The Payee Information Form is a packet containing the Payee Information Form itself and an accompanying NYSED Substitute W-9. The NYSED Substitute W-9 may or may not be needed from your agency. Please follow the specific instructions provided with the form. The Payee Information Form is used to establish the identity of the applicant organization and enables it to receive federal (and/or State) funds through the NYSED. An on-line version of the packet is available.

An applicant may submit only one proposal for each of the following program areas: Program Area 1 - Adult Basic Education and Literacy Services Program Area 2 - Integrated English Literacy and Civics Education (IELCE) and/or Program Area 3 - Corrections Education and Other Institutionalized Education Programs

An applicant may submit more than one application for Literacy Zones but no more than four. Literacy Zone proposals will only be reviewed if the applicant is awarded funding in Program Area 1 or 2 listed above.

Review of WIOA Title II Applications by Local Workforce Development Boards

The Workforce Innovation and Opportunity Act (WIOA) requires that Local Workforce Development Boards (LWDB) review WIOA Title II applications for funding under this RFP to determine how well the applications align with local workforce plans for the workforce system to serve adult education students who have low literacy skills or are English Language Learners.

NYSED, working closely with the NYS Department of Labor and Local Workforce Development Board (LWDB) directors, has developed a process for LWDBs to review and provide input to potential applicants to ensure that applications are aligned with the local workforce plan and priorities.

1. LWDB priorities that relate to Title II applicants will be clearly outlined in the local plan. Local plans can be found on the NYS Department of Labor website.

Each local plan will: provide a description of the local board’s strategic vision and goals for preparing an educated and

skilled workforce, specifically addressing priorities and strategies for serving out-of-school youth and adults who have low literacy skills, are English Language Learners, or lack a high school diploma or the equivalent.

provide a description of how the local board will facilitate access to services provided through the NYS Career Center system for Title II participants with barriers to employment.

identify how the local board will facilitate the development of career pathways and co-enrollment in academic and training programs.

provide a description of how the local board will work with the entities that carryout out WIOA Title II programs.

2. The WIOA Title II LWDB Application Review Form (Attachment 5) should be used to demonstrate alignment between the applicant’s WIOA Title II proposal and the strategy and goals of the LWDB plan:

The applicant completes Section 1 of Attachment summarizing the alignment to the LWDB plan. The applicant agency submits all Attachment 5 forms to the LWDB for review. The LWDB assesses alignment using Section 2 of Attachment 5 and advises the applicant on how

well the application aligns with the local plan as appropriate by completing the form and sharing their recommendations.

When recommendations are made, the applicant completes Section 3 (Attachment 5) to demonstrate how the proposed application has been revised to take into account LWDB recommendations.

A separate Attachment 5 must be completed for each Program Area for which the applicant is seeking funding including each Literacy Zone application.

3. The timeline for the LWDB review is as follows: WIOA Title II applicant must submit Attachment 5, WIOA Title II LWDB Application Review Form,

with Section 1 completed for review by LWDB by 2/7/18. LWDB must review and return Attachment 5 with completed Section 2 to the applicant by 3/21/18. Applicant must revise their WIOA Title II application(s) as needed and submit a completed

Attachment 5 for each Program Area of the RFP with the application by 4/11/18. If the LWDB has recommended revisions, the applicant must complete Section 3 of Attachment 5 demonstrating how LWDB recommendations have been addressed in the final application submitted to NYSED.

Separate applications are required for each Program Area:

1) Adult Basic Education and Literacy Services

Each proposal must include the following: Application Cover Page If applicant is a Consortium, signed letters of agreement between the partner agency and the fiscal

agent that specifically outlines all services each partner agrees to provide and includes a dollar amount for the value of the service.

Payee Information Form (if applicable Abstract Application Checklist Proposal Narrative (maximum 10-page limit) PROGRAM AREA 1 Program Component Worksheet PROGRAM AREA 1 Program Information Form (PIF) 2018-19 Attachment 3 Demonstrated Effectiveness Conversion Chart or NYSED NYS Report Card for FY

2016/2016 Attachment 5 WIOA Title II LWDB Application Review Form

Attachment 6 Point of Contact for Career Center and Workforce Partner Referrals Budget Narrative (maximum two-page limit) MWBE compliance documents Attachment 7 GEPA Attestation Statement of General Assurances Signed

2) Integrated English Literacy and Civics Education (IELCE) Program

Each proposal must include the following: Application Cover Page If applicant is a Consortium, signed letters of agreement between the partner agency and the fiscal

agent that specifically outlines all services each partner agrees to provide and includes a dollar amount for the value of the service.

Payee Information Form (if applicable) Abstract Application Checklist Proposal Narrative (maximum 10-page limit) PROGRAM AREA 2 Program Component Worksheet PROGRAM AREA 2 Program Information Form (PIF) 2018-19 Attachment 3 Demonstrated Effectiveness Conversion Chart or NYSED NYS Report Card for FY

2016/2016 Attachment 5 WIOA Title II LWDB Application Review Form Attachment 6 Point of Contact for Career Center and Workforce Partner Referrals Budget Narrative (maximum two-page limit) MWBE compliance documents Attachment 7 GEPA Attestation Statement of General Assurances Signed

3) Corrections Education and Other Institutionalized Education Program

Each proposal must include the following: Application Cover Page If applicant is a Consortium, signed letters of agreement between the partner agency and the fiscal

agent that specifically outlines all services each partner agrees to provide and includes a dollar amount for the value of the service.

Payee Information Form (if applicable) Abstract Application Checklist Proposal Narrative (maximum 10-page limit) PROGRAM AREA 3 Program Component Worksheet PROGRAM AREA 3 Program Information Form (PIF) 2018-19 Attachment 3 Demonstrated Effectiveness Conversion Chart or NYSED NYS Report Card for FY

2016/2016 Attachment 5 WIOA Title II LWDB Application Review Form Attachment 6 Point of Contact for Career Center and Workforce Partner Referrals Budget Narrative (maximum two-page limit) MWBE compliance documents Attachment 7 GEPA Attestation Statement of General Assurances Signed

4) Literacy ZonesSeparate applications are required for each Literacy Zone proposed (no more than three per applicant)

Each proposal must include the following: Application Cover Page

If applicant is a Consortium, signed letters of agreement between the partner agency and the fiscal agent that specifically outlines all services each partner agrees to provide and includes a dollar amount for the value of the service.

Payee Information Form (if applicable) Abstract Application Checklist Proposal Narrative (maximum 10-page limit) Literacy Zone Performance Outcome Targets FY 2018-19 Literacy Zone Performance Target Worksheet Letters of commitment from each of the five mandatory partners Literacy Zone Partner(s) Matrix Career Fair Plan (separate document constructed by the applicant) Literacy Zone Planning Calendar (separate document constructed by the applicant) Attachment 5 WIOA Title II LWDB Application Review Form Attachment 6 Point of Contact for Career Center and Workforce Partner Referrals MWBE compliance documents FS-10 (3/15) Budget Form with original signature in blue ink Budget Narrative (maximum 2-page limit) Attachment 7 GEPA Attestation Statement of General Assurances Signed

Method of Award

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

The applications will be reviewed and independently rated by two reviewers. A third review will be performed if there is a difference of at least 15 points between the two scores. In cases where a third review is necessary, the two closest scores in numeric value will be added and averaged to obtain the final average score. If the third reviewer’s score is equal to the average of the two original scores, the third reviewer’s score will become the final score.

In the event of a tie score in Program Areas 1, 2, or 3, the higher Project Description score will be used as a tie breaker. In the event that the Project Description is a tie score, Performance Accountability will be used for the final score. In the event of a tie score in Program Area 4, the higher Family Welcome Center will be used as a tie breaker. In the event of a Family Welcome Center tie score, the higher Literacy Zone Approach will be used as a tie breaker. Proposed budgets will be reviewed and items deemed inappropriate, unallowable or inconsistent with project or program activities will be eliminated. These revisions will result in a lower rating score on the budget section of the evaluation rubric.

If additional federal funds become available, NYSED will allocate those funds according to the specific funding streams (Section 225 Corrections Education: Section 243 Integrated English Literacy and Civics Education; with the remaining funds allocated to Program Area 1 and Literacy Zones. If additional state Welfare Education Program funds become available, they will be allocated to literacy zones at school districts or BOCES. NYSED will first fund applicants that were partially funded and continue down the rank ordered scoring list of passing applications to fully fund those programs in each respective competition. If funds remain after all eligible partially funded proposals have been awarded either a grant or grant contract, the remaining funds will be added to the amount available for distribution under the Program Area 4 Literacy Zone competition.

Program Area 1: Adult Basic Education and Literacy Services

Proposals submitted will be sorted according to the LWDB Area indicated on the application cover sheet. The application will be reviewed and ranked with the LWDB Area according to the points system described in Program Area 1, of the Application Narrative Requirements and Evaluation Rubrics For Grant Awards in Programs Areas 1-3. Awards will be made to the highest-ranked proposals in each LWDB Area until the funds allocated are insufficient to fully fund the next ranked proposal with a passing score. The next ranked applicant

that received a passing score but could not be funded in full within the LWDB Area will be offered partial funding within the same Local Workforce Development area.

If funds remain after all eligible proposals have been awarded within any given LWDB Area, the remaining funds will be added to the amount available for distribution under the Literacy Zone competition.

Program Area 2: Integrated English Literacy and Civics Education (IELCE)Integrated English Literacy and Civics Education (IELCE) funds are divided into two competitions: New York City and Rest of State (ROS). Applications will be reviewed and ranked within their respective region according to the points system described in Program Area 2 of the Application Narrative Requirements and Evaluation Rubrics For Grant Awards in Programs Areas 1-3. Awards will be made to the highest-ranked proposals in each region until the funds allocated are insufficient to fully fund the next ranked proposal with a passing score. The next ranked applicant will be given the opportunity to operate a reduced program using the remaining funds. If funds remain after all eligible proposals for funding have been awarded in either the Rest of State (ROS) or NYC allocations those funds will be added to the amount of the other regional set-aside. Awards will then be made to the highest-ranked proposals until the funds allocated are insufficient to fully fund the next ranked proposal with a passing score. The next ranked application will be given the opportunity to operate a reduced program using the remaining funds.

Program Area 3: Corrections Education and Other Institutional Education

Programs submitted for Program Area 3 will be reviewed and ranked statewide according to the points system described in Program Area 3 of the Application Narrative Requirements and Evaluation Rubrics For Grant Awards in Program Areas 1-3. Awards will be made to the highest- ranking proposals, in rank order, in the statewide distribution 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 reduced program using the remaining funds.

Program Area 4: Literacy Zones

Only Literacy Zone proposals submitted by applicants that resulted in a grant or grant contract under the previous Program Area 1 and/or Program Area 2 will be reviewed. Awards will be made to the highest-ranking applications in rank order until funds remaining are insufficient to fund the next ranked proposal in full. The next ranked applicant will be given the opportunity to operate a reduced program using the remaining funds in this pool.

Application Narrative Requirements and Evaluation Rubrics for Grant Award in Program Areas 1-3

Program Area 1: Adult Basic Education and Literacy ServicesApplicants must address all aspects of the application.

Proposal Narrative (100 Total Points)

Abstract (no points)Provide a concise one-page summary that describes the entire proposal. This summary gives the reviewer a quick overview of the proposed program, its goals and evaluation criteria.

NOTE: No points are awarded for this section. Required information stated here, but not elsewhere in the application, may result in points not being awarded to the proposal.

1. Local Workforce Development Board (LWDB) Review (2 points) Submit the completed Attachment 5 WIOA Title II LWDB Application Review Form. Describe how the proposal demonstrates alignment between proposed activities and services and the

strategy and goals of the LWDB, as well as the activities and services of the NYS Career Center

System partners. Describe how the plan promotes concurrent enrollment in programs and activities under Title 1, as appropriate.

2. Population to be Served (5 points)All participants proposed to be served by the applicant must meet WIOA Title II eligibility requirements for eligible participants stated in the RFP.

Describe and quantify the target populations and their literacy and employment needs within the LWDB area, including whether the local area has a demonstrated need for additional English Language Acquisition programs.

Explain the intention to serve those target populations most in need of services including: English Language Learners; those who have low levels of literacy skills; and eligible individuals with disabilities and learning disabilities.

Submit a completed Program Area 1 Program Component Worksheet.

3. Project Description (total 35 points)

Describe your proposed adult basic education and literacy services program including instructional services (15 points)

How the program will provide instructional services to participants in each program area indicated on the PROGRAM AREA 1 Program Component Worksheet to achieve performance targets.

Using PROGRAM AREA 1 Performance Information Form (PIF) 2018-19, how the program is of sufficient intensity and offers flexible schedules to accommodate participant’s needs.

How the program coordinates with Federal, State and local support services (such as child care, transportation, mental health services, and career planning) that are necessary to enable individuals, including individuals with disabilities or other special needs, to attend and complete programs.

How the program will ascertain that every participant is registered through the NYSDOL JobZone site. How the program will help eligible students achieve competence in reading, writing, speaking, and

comprehension of the English language and that leads to attainment of a high school diploma or its equivalent and to the transition to postsecondary education, apprenticeship, and training or employment.

How the program will utilize NYSED’s official Individual Student Record Form (ISRF) to collect and record individual participant data and use the supplemental form when necessary.

How case management and counseling services will be provided to participants to achieve performance targets and support transition to other education program levels including transition to postsecondary education/training.

Case management services must meet the ratio of one full time case manager for every 200 participants.

Best Practices, Contextualization, and Academic Rigor (20 points)

How the program will incorporate into instruction best practices derived from the most rigorous research available, including scientifically valid research and effective educational practice. These best practices should include the essential components of reading instruction.

How the program integrates workforce preparation activities into instructional services. How the program integrates career exploration using the SED/CUNY CareerKits. How the program provides learning in context and if applicable, including through Integrated Education

and Training, so that an individual acquires the skills needed to transition to and complete postsecondary education and training programs, obtain and advance in employment leading to economic self-sufficiency, and to exercise the rights and responsibilities of citizenship. This includes making cooperative arrangements with other agencies or educational institutions.

How the program intends to utilize the NYSED adopted federal College and Career Readiness (CCR) Standards for Adult Education.

Note: for Integrated Education and Training instruction the application must include the required elements described on 6-7 and clearly identify the following:

1. The postsecondary education and/or training provider/s. This includes apprenticeship programs where appropriate.

2. The specific occupation or occupational sector that will inform the IET project.3. One or more industry-recognized credentials that participants will attain through the

occupational training.4. One or more employers that will support program development, design and evaluation to ensure

the training prepared participants to obtain employment in high demand industries that have the potential to pay a self-sufficient wage.

5. The existing workforce development funding and/or private funding that will support the Career and Technical Education training component.

4. Professional Development (11 points) Describe how the program activities are delivered by well-trained instructors, counselors, and

administrators. Provide a detailed Professional Development Plan for the required fourteen (14) hours of professional

development for the administrative, instructional, counseling and case management staff identifying:o The administrative, instructional, counseling and case management staff trainings and/or

conferences (hours associated) related to the program area(s) and professional development (hours associated) provided by the RAEN. (Note that this should include clerical staff who are managing data or administering assessments.)

Explain how the program will support professional development for teachers and administrators with financial resources and release time.

Identify the titles of program managers and other staff who will attend program managers meetings and/or webinars held by ACCES-AEPP and NYSDOL.

Commit to having all new staff members attend the learning disability training and Learning to Achieve, provided through the RAEN.

5. Performance Accountability (15 points) The effectiveness of adult education instruction is demonstrated through submission of the NYS NRS

Report Card from FY2016, if currently funded by ACCES for WIOA Title II, EPE, or WEP. Those applicants that are not currently funded by ACCES, are new applicants, or ALE funded in FY2016 must submit a Demonstrated Effectiveness Conversion Chart (Attachment 3).

Describe the process that the program will use to adhere to the reporting requirements and month/quarterly data entry in ASISTS is clearly described, including the collection, tracking and reporting of participant and program data.

How the program tracks participants to ascertain if they have obtained employment or entered postsecondary education, an apprenticeship program, or training.

How the program will conduct the intake process, including assessment practices and ADA program requirements.

Describe clearly the process the program will use to collect and report Social Security Numbers and to keep them secure.

All participants without a SSN, refugee number, or legal visa will be counted in the performance denominator for the program and will need to be manually tracked to count as a positive outcome for NRS performance. For students who do not provide a Social Security Number (SSN), describe the process for tracking employment in the second and fourth quarter after exit. Describe how wage information will be tracked in the second quarter after exit.

Describe the program’s Continuous Improvement Process that the applicant will use to increase program performance and identify staff positions and their functions on the Program Improvement Committee (PIC) described in Attachment 2.

Describe how program staff will be engaged to adopt strategies based upon recommendations made by the PIC in order to meet NYS/NRS benchmarks and targets with the populations being served.

6. Technology and Digital Literacy (5 points)

Describe how teachers incorporate technology within instruction. Describe how administrators and teachers prepare participants to be successful in computer based

testing and using computers in the workforce.

Describe how the program will provide computer equipment, network, Internet access, software and maintenance for participants and staff.

Describe how the program will effectively use technology, services and delivery systems, including distance education, in a manner sufficient to increase the amount and quality of learning and how such technology, services and systems lead to improved performance.

7. Regional Networking and Interagency Coordination (7 points)

Describe the networking and coordination activities with the local NYSDOL Career Center to provide job placement and support services to participants, including providing literacy assessment as a core service.

Describe the networking and partnerships to coordinate services with other educational providers and workforce partners in the Local Workforce Development Board area including other available education, training, and social service resources in the community, such as by establishing strong links with elementary schools and secondary schools, postsecondary educational institutions, institutions of higher education, local workforce investment boards, one-stop centers, job training and apprenticeship programs, and social service agencies, business, industry, labor organizations, community-based organizations, and nonprofit organizations for the development of career pathways.

Describe the efforts that will be made to network and coordinate with local employers. Commit to attend networking meetings conducted by the respective RAEN and the NYS Department of

Labor. The applicant identified point(s) of contact for Career Center and Workforce Partner Referrals.

8. Program Budget (20 Points)

Complete the FS-10 (3/15 version) Budget and write a narrative for each proposed expenditure that demonstrates how the proposed expenditure is appropriate, reasonable and necessary to support the project activities and goals. Using Section VIII Allowable and Non-Allowable Expenditures of this RFP, the narrative should include whether the proposed costs are considered instructional or administrative. The FS-10 budget form and narrative description will be rated on the following:

The FS-10 (3/15 version) budget form is completed and proposed costs are allowable. Proposed expenditures are appropriate, justified and sufficient to meet the program goals.

The costs of consortium partners that are not the lead applicant/ fiscal agent should be reported in Purchased Services and explained in the narrative and the FS-10 form.

Program Area 2: Integrated English Literacy and Civics Education (IELCE)Applicants must address all aspects of the application.

Proposal Narrative (100 Total Points)

Abstract (no points)Provide a concise one-page summary that describes the entire proposal. No points are awarded for this section. Required information stated here but not elsewhere in the application may result in points not being awarded to the proposal.

1. Local Workforce Development Board Review (2 points)

Submit the completed Attachment 5 WIOA Title II LWDB Application Review Form. Describe how the proposal demonstrates alignment between proposed activities and services and the

strategy and goals of the LWDB, as well as the activities and services of the NYS Career Center System partners, including how the plan promotes concurrent enrollment in programs and activities under Title 1, as appropriate.

2. Population to be Served (5 points)

All participants proposed to be served by the applicant must meet WIOA Title II eligibility requirements for eligible participants stated in the RFP.

Describe and quantify the target populations and their literacy and employment needs within the LWBD area, including whether the local area has a demonstrated need for additional English Language Acquisition programs.

Explain the intention to serve those target populations most in need of services including English Language Learners, those who have low levels of literacy skills and eligible individuals with disabilities and learning disabilities.

Submit a completed PROGRAM AREA 2 Program Component Worksheet.

3. Integrated Literacy Instruction Project Description (total 40 points)

Describe your proposed adult basic education and literacy services program including (15 points):

How the program will provide instructional services for the participants in each program area indicated on the PROGRAM AREA 2 Program Component Worksheet to achieve performance targets.

The program must identify the required elements on pages 8-9, including clear identification of: o The postsecondary education, apprenticeship program, and/or training provider/s and

partnership development.o The specific occupation or occupational sector that will inform the IET project.o One or more industry-recognized credentials that participants will attain through the

occupational training.o How one or more employers that will support program development, design and evaluation to

ensure the training prepares participants to obtain employment in high demand industries that have the potential to pay a self-sufficiency wage.

o How the existing workforce development funding and/or private funding that will support the occupational training component.

Best practices and contextualization (15 points)

How the program will incorporate into instruction best practices derived from the most rigorous research available including scientifically valid research and effective educational practice. These best practices should include the essential components of reading instruction.

How the program provides learning in context, including through Integrated Education and Training, so that an individual acquires the skills needed to transition to and complete postsecondary education, apprenticeship, and training programs, obtain and advance in employment leading to economic self-sufficiency, and to exercise the rights and responsibilities of citizenship. This includes the utilization of the NYSED adopted federal College and Career Readiness (CCR) Standards for Adult Education.

How the program activities are delivered by well-trained instructors, counselors, and administrators. How the program integrates workforce preparation activities into instructional services, such as

utilizing resources, using information, working with others, understanding systems, and other employability skills.

Using PROGRAM AREA 2 Program Information Form (PIF) 2018-19, how the program is of sufficient intensity and offers flexible schedules to accommodate participants’ needs.

How the programs coordinate with Federal, State, and local support services (such as child care, transportation, mental health services, and career planning) that are necessary to enable individuals, including individuals with disabilities or other special needs, to attend and complete programs.

How the program will ascertain that every participant is registered through the NYSDOL JobZone site.

How the program will help eligible English Language Learners achieve competence in reading, writing, speaking, and comprehension of the English language and that leads to attainment of a

high school diploma or its equivalent and to the transition to postsecondary education, apprenticeship, and training or employment.

How the program will integrate the academic portion of the NYSED/CUNY CareerKits and utilize the localized career pathway information for demand industry within the LWDB.

Reporting and Case Management (10 points):

How the program will utilize NYSED’s official Individual Student Record Form (ISRF) to collect and record individual participant data and use the supplemental form when necessary. Demonstrate the past effectiveness of program in improving the literacy of eligible individuals to meet State-adjusted levels of performance for the primary indicators or performance, especially with respect to eligible individuals who have low levels of literacy.

How case management and counseling services will be provided to participants to achieve performance targets and support transition to other educational program levels including transition to postsecondary education/training/apprenticeship. Case management services must meet the ratio of one full time case manager for every 200 participants.

4. Professional Development (6 Points) Provide a detailed Professional Development Plan for the required fourteen hours of professional

development for the administrative, instructional, counseling and case management staff identifying:o The administrative, instructional, counseling and case management staff trainings and/or

conferences (hours associated) related to the program area(s) and professional development (hours associated) provided by the RAEN. (Note: This should include any clerical staff who are managing data or administering assessments.)

Explain how the program will support professional development for teachers and administrators with financial resources and release time.

Identify the titles of program managers and other staff that will attend program manager meetings and/or webinars held by ACCES – AEPP and NYSDOL.

Commit to having all new staff members attend the learning disability and Learning to Achieve training provided through the RAEN.

5. Performance Accountability (15 points) The effectiveness of adult education instruction is demonstrated through submission of the NYS NRS

Report Card from fiscal year 2016 if funded by ACCES for WIA Title II, EPE, and WEP. Those applicants that are not currently funded by ACCES, are new applicants, or ALE funded in FY2016 fiscal year must complete a Demonstrated Effectiveness Conversion Chart (Attachment 3).

Describe the process the program will use to adhere to the reporting requirements and monthly and quarterly data entry in ASISTS, including the collection, tracking and reporting of participant and program data.

How the program tracks participants to ascertain if they have obtained employment. How the program will conduct the intake process, including assessment practices, goal setting and

ADA program requirements. Describe the process the program will use to collect and report Social Security Numbers when provided

by students. Describe the process for using Social Security Numbers for tracking employment in the second and

fourth quarter after exit. Also describe how wage information will be tracked in this same time frame in ASISTS.

Describe the process for tracking all participants without a SSN or legal visa, as appropriate. Describe the program’s continuous improvement process that the applicant will use to increase

program performance and identify staff positions and their functions on the Program Improvement Committee (PIC).

Describe how program staff will adopt strategies based upon recommendations made by the PIC in order to meet NYS/NRS benchmarks and targets with the populations being served.

6. Technology and Digital Literacy (5 points) Describe how teachers incorporate technology within instruction.

Describe how administrators and teachers will prepare participants to be successful in computer based testing and use computers in the workplace.

Describe how the program will provide computer equipment, network, internet access, software and computer maintenance for participants and staff.

Describe how the program will effectively use technology, services and delivery systems, including distance education in a manner sufficient to increase the amount and quality of learning and how such technology, services and systems lead to improved performance.

7. Regional Networking and Interagency Coordination (7 points) Describe the networking and coordination activities with the local NYSDOL Career Center to provide

job placement and support services to participants, including providing literacy assessment as a core service.

Describe the networking and partnerships to coordinate services with other educational providers and workforce partners in the Local Workforce Development Area. Partnerships should include other available education, training, and social service resources in the community, such as elementary schools and secondary schools, postsecondary education institutions, institutions of higher education, local workforce investment boards, one-stop centers, job training and apprenticeship programs, and social service agencies, business, industry, labor organizations, community-based organizations, nonprofit organizations, and intermediaries. Describe how these parameters support the development of career pathways.

Describe the efforts that will be made to network and coordinate with local employers. State the intention to attend networking meetings conducted by the respective RAEN and the NYS

Department of Labor. The applicant identified point(s) of contact for Career Center and Workforce Partner Referrals in

Attachment 6.

8. Program Budget (20 Points)Complete the FS-10 (3/15 version) Budget and write a narrative for each proposed expenditure that demonstrates how the proposed expenditure is appropriate, reasonable and necessary to support the project activities and goals. Using the Section on Allowable and Non-Allowable Expenditures of this RFP, the narrative should include whether the proposed costs are considered instructional or administrative. (Note: the narrative is a maximum two pages) The FS-10 budget form and narrative description will be rated on the following:

The FS-10 (3/15 version) budget form is completed and proposed costs are allowable. Proposed expenditures are appropriate, justified and sufficient to meet the program goals.

The costs of consortium partners that are not the lead applicant fiscal agent should be reported in Purchased Services and explained in the narrative and the FS10 form.

Program Area 3: Corrections Education and other Institutionalized Education Programs. Applicants must address all aspects of the application.

Proposal Narrative (100 Total Points)

Abstract (no points)Provide a concise one-page summary that describes the entire proposal. The summary gives the reviewer a quick overview of the proposed program, its goals and evaluation criteria.Note: No points are awarded for this section. Required information stated here, but not elsewhere in the application, may result in points not being awarded to the proposal.

1. Local Workforce Development Board Review (2 points) Submit the completed Attachment 5 WIOA Title II LWDB Application Review Form. Describe how your agency aligns the proposed activities and services with the strategy and goals of the

Local Workforce Development Board (LWDB) workforce plan.

2. Population to be Served (10 points) Submit a signed letter of agreement on the correctional institution’s letterhead, indicating the institution

will allow the specific educational services described within their facility. Describe and quantify the target populations and their literacy and employment needs. Explain the intention to serve those target populations who are within five years of release. Submit a completed PROGRAM AREA 3 Program Component Worksheet.

3. Project Description (40 points)Describe your proposed adult basic education and literacy services program including (15 points): How the instructional services provided within each program area indicated on the PROGRAM AREA 3

Program Component Worksheet will achieve performance targets. Applicants that are applying for IET must also clearly identify the following:

1. The postsecondary education and/or training provider/s, including apprenticeship where appropriate.

2. The specific occupation or occupational sector that will inform the IET project. 3. One or more industry-recognized credentials that participants will attain through the

occupational training.4. One or more employers that will support program development, design and evaluation to ensure

the training prepares participants to obtain employment in high demand industries that have the potential to pay a self-sufficiency wage.

5. The existing workforce development funding and/or private funding that will support the occupational training component.

Describe how your program will engage participants in career pathway planning (5 points):

How the program will integrate the academic portion of the NYSED/CUNY CareerKits and utilize the localized career pathway information for demand industry within the LWDB.

Describe how the academic program is or will be provided within the institutional setting (10 points):

How case management and counseling services will be used within each program area indicated on the Program Component Worksheet for Adult Education Instruction to achieve performance targets, stabilize families, access benefits, support transition to other educational program levels including transition to postsecondary education/training or apprenticeship. Case management services will meet the ratio of one full time case manager for every 200 participants.

How the instructional materials align with NYSED/CUNY Career and College Readiness Standards. How the program proposes to create pathways to post-secondary education, training, apprenticeship

programs and employment. How the program integrates workforce preparation activities into instructional services, such as utilizing

resources, using information, working with others, understanding systems, and other employability skills.

How the program will conduct the intake process, including assessment practices, goal setting and ADA program requirements.

Reporting, employer contacts, and intensity (10 points):

How the program will track participants who have been released from the institution to ascertain if they have obtained employment or entered postsecondary education, apprenticeship programs, or training.

How the program will connect with employers who indicate they will hire participants after release. How the program is of sufficient intensity and duration for the population.

4. Professional Development (6 Points) Provide a detailed Professional Development Plan for the required fourteen (14) hours of professional

development for the administrative, instructional, counseling and case management staff identifying: The administrative, instructional, counseling and case management staff trainings and/or

conferences (hours associated) related to the program area(s) and professional development

(hours associated) provided by the RAEN. (Note that this should include clerical staff who are managing data or administering assessments.)

Explain how the program will support professional development for teachers and administrators with financial resources and release time.

Identify program managers and administrators that will attend program manager meetings and/or webinars held by ACCES – AEPP and NYSDOL.

Commit to having all staff members attend the learning disability training Learning to Achieve, provided through the RAEN.

5. Performance Accountability (10 points) The effectiveness of adult education instruction is demonstrated through submission of the NYS NRS

Report Card from FY2016 (if funded by ACCES) or a Demonstrated Effectiveness Conversion Chart (Attachment 3).

Describe the process the program will use to adhere to the reporting requirements and quarterly data entry in ASISTS, including the collection, tracking and reporting of participant and program data.

Describe the process the program will use to collect and report Social Security Numbers. Describe the program’s continuous improvement process that the applicant will use to increase

program performance and identify staff positions and their functions on the Program Improvement Committee (PIC) described in Attachment 2.

Describe how program staff will be engaged to adopt strategies based upon recommendations made by the PIC in order to meet NYS/NRS benchmarks and targets with the populations being served.

6. Technology and Digital Literacy (5 points) Describe how teachers incorporate technology within their instruction. Describe how administrators and teachers will prepare participants to be successful in computer based

testing and use computers in the workforce. Describe how the program will provide computer equipment, network, Internet access, software and

computer maintenance for participants and staff.

7. Regional Networking and Interagency Coordination (7 points) Describe the networking and coordination activities with the local NYSDOL Career Center to provide

job placement and support services to participants, including providing literacy assessment as a core service.

Describe the networking and partnerships to coordinate services with other educational providers in the Local Workforce Development Board area.

Describe the efforts that will be made to network and coordinate with local employers. The applicant identified point(s) of contact for Career Center and Workforce Preparation Referrals

(Attachment 6).

8. Program Budget (20 Points)Complete the FS-10 (3/15 version) Budget. Include a narrative for each proposed expenditure that demonstrates how the proposed expenditure is appropriate, reasonable and necessary to support the project activities and goals. Using Section VIII Allowable and Non-Allowable Expenditures of this RFP, the narrative should identify whether the proposed costs are considered instructional or administrative. Note the narrative is a two-page maximum. The FS-10 budget form and narrative description will be rated on the following:

The FS-10 (3/15 version) budget form is completed and proposed costs are allowable. Proposed expenditures are identified in the budget narrative as either instructional or administrative,

appropriate, justified and sufficient to meet the program goals.

The costs of consortium partners that are not the lead applicant/ fiscal agent should be reported in Purchased Services and explained in the narrative.

Literacy ZoneApplication Narrative Requirements and Evaluation Rubric for Program Area 4

REQUIRED ELEMENTS:

1. Applicants must establish one or more Family Welcome Center(s) in the Literacy Zone. Applicants must include the specific address of Family Welcome Center(s).

2. Every Literacy Zone must have at least one each of the following partner. Letters of agreement from each of the five required partners must be included. The partners must be: Education; early childhood programs, public schools and BOCES, postsecondary institutions, and

postsecondary transition programs County Department of Social Services or the New York City Human Resource Administration NYSDOL Career Centers Cultural Institutions Volunteer organizations such as Literacy Volunteers and/or those which provide community, service or

work-based learning.

LITERACY ZONE PROPOSAL NARRATIVE (100 Points)

1. Literacy Zone Population to be served (5 points)

All participants proposed to be served by the applicant must meet WIOA Title II eligibility requirements for eligible participants stated in the RFP.

Define the geographic scope of the target community as one or more adjacent census tracts using the U.S. Census.

Provide evidence of limited literacy and English language proficiency, as well as family and community needs as related to poverty within the proposed Literacy Zone. Examples of evidence include: census data, public assistance eligibility including food stamps, community health data and data that identifies gaps in accessing public assistance and other benefits.

Identify the number of participants within the target community receiving public assistance.

2. Literacy Zone Approach (10 points) Define the scope of services provided in the Literacy Zone, including the coordinated literacy strategy,

pre-kindergarten through postsecondary 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, apprenticeship programs, or advanced training;

Include a proposed calendar of events and activities for July 1, 2018 through June 30, 2019. Describe the funding sources and resource development that support the goals of the Literacy Zone.

3. Local Workforce Development Board Review (2 points)Submit the completed WIOA Title II LWDB Application Review Form (Attachment 5)

4. Family Welcome Center (20 points)Describe how the following services will be provided on-site or accessed through referral for adults and out-of-school youth:

Educational counseling to match services with the needs of participants including those that have been identified as learning disabled and access the most appropriate path to earn a New York State High School Equivalency diploma, develop English language proficiency and/or transition to postsecondary education, apprenticeship programs, training and employment;

Referrals to instruction and assessment for participants seeking a New York State High School Equivalency diploma, English language proficiency and/or transition to postsecondary education, apprenticeship programs, training and employment;

Internet connected computer lab for participants to take computer-based assessments leading to a New York State High School Equivalency diploma;

Internet access for program administration by applicant to operate the web-based ASISTS data system;

Internet access for program administration by applicant and partner agencies to access the Literacy Zone benefits tool;

Connections to digital literacy instruction to help participants learn how to use computers and computerized software;

Internet access for participants to access My Benefits, Job Zone, and Career Zone; Internet access to “We Are New York”, English language instruction, or similar English language

instruction programming; Internet access so that all Literacy Zone participants will be registered on the NYSDOL JobZone

site; Connections for adult education participants and their families to services and programs including

comprehensive support for families to increase literacy and English language proficiency in the home and fully involve parents with their children’s education;

Referrals to adult education classes scheduled to accommodate participants including parents of school-age children;

Referrals to health literacy instruction to raise the ability of parents and other adults to access the health care system, prevent illness and manage chronic disease and/or access to health information and classes through collaborating with local health professionals;

Referrals to financial literacy instruction to raise the ability of parents and other adults to manage their money, avoid predatory lending, and build assets;

A resource library of culturally sensitive materials for adult education participants; Referral services to other educational programs, medical, legal, counseling, housing, vocational

rehabilitation.

5. Literacy Zone Services to Adult Literacy Education and English Language Learners (8 points)Describe the proposed Literacy Zone adult basic education and literacy services program, specifically how participants will be connected or referred to the instructional services described under proposals submitted for Program Area 1 or 2 in this RFP or any additional instructional services for participants.

6. Networking (20 points) Complete the Literacy Zone Partner(s) Matrix and describe the roles of the five required partners and

the six categories of auxiliary partners and the services they will provide. The completed matrix should provide detailed evidence of the role of the five required partners and the auxiliary partners in supporting Literacy Zones with a clear commitment to developing the Literacy Zone over the next three years.

Provide letters of commitment from at least one each of the five required partners and all appropriate auxiliary partners that fully and specifically detail their role and responsibilities. Letters should indicate the commitment of all partners to track and submit data.

Applications are expected to address all the Pathways Out of Poverty. In instances where the Literacy Zone does not intend to provide a particular pathway, the applicant must address why the pathway is not appropriate for the Literacy Zone.

Describe the steps and agreements to network comprehensive services so that access is coordinated and streamlined across the Literacy Zone.

Describe the Career Fair planning process. The Career Fair must include two local employers and one postsecondary educational institution or training center.

The applicant identified point(s) of contact for Career Center and Workforce Partner Referrals

7. Professional Development (5 Points) Identify professional development activities for Literacy Zone front line staff so that they are

knowledgeable about the outcomes of the Literacy Zone and comprehensive referrals and services can be provided.

Identify the staff team that will attend annual Literacy Zone summits and coordinator meetings conducted by NYSED through the RAEN. Agencies should anticipate and propose expenditures in the budget to support staff training and summit costs.

Provide a detailed Professional Development Plan for the required fourteen (14) hours of professional development for the administrative, instructional, counseling and case management staff identifying:

The administrative, instructional, counseling and case management staff trainings and/or conferences (hours associated) related to the program area(s) and professional development (hours associated) provided by the RAEN. (Note that this should include clerical staff who are managing data or administering assessments.)

8. Proposed Outcomes and Accountability (10 points) Describe the process the program will use to adhere to the Literacy Zone reporting requirements and

entry of quarterly data into ASISTS as required by NYSED. Describe the process your partners have agreed upon to adhere to the Literacy Zone reporting

requirements and entry of quarterly data in ASISTS as required by NYSED. Describe the process your program will use to identify and follow up on two performance outcome

targets in each Literacy Zone Outcome Category.

9. Program Budget (20 points)

Complete the FS-10 (3/15 version) Budget. Include a narrative (two-page maximum) for each proposed expenditure that demonstrates how the proposed expenditure is appropriate, reasonable and necessary to support the project activities and goals. Using Section VIII Allowable and Non-Allowable Expenditures of this RFP, the narrative should identify whether the proposed costs are considered instructional or administrative. The FS-10 budget form and narrative description will be rated on the following:

The FS-10 (3/15 version) budget form is completed and proposed costs are allowable. Proposed expenditures are identified in the budget narrative as either instructional or administrative,

appropriate, justified and sufficient to meet the program goals.

The costs of consortium partners that are not the lead applicant’s fiscal agent should be reported in Purchased Services and explained in the narrative.

Debriefing Procedures

All unsuccessful applicants may request a debriefing within fifteen (15) calendar days of receiving notice from NYSED. Bidders may request a debriefing letter on the selection process regarding this RFP by submitting a written request to the Fiscal Contact person at:

NYS Education DepartmentContract Administration Unit89 Washington AvenueRoom 501W EBAlbany, NY 12234

The Fiscal Contact person will make arrangements with program staff to provide a written summary of the proposal’s strengths and weaknesses, as well as recommendations for improvement. Within ten (10) business days, the program staff will issue a written debriefing letter to the bidder.

Contract Award Protest Procedures

Applicants who receive a notice of non-award or disqualification may protest the NYSED award decision subject to the following:

1. The protest must be in writing and must contain specific factual and/or legal allegations setting forth the basis on which the protesting party challenges the contract award by NYSED.

2. The protest must be filed within ten (10) business days of receipt of a debriefing or disqualification letter. The protest letter must be filed with:

NYS Education DepartmentContract Administration UnitAttn: 89 Washington AvenueRoom 501W EBAlbany, NY 12234

3. The NYSED Contract Administration Unit (CAU) will convene a review team that will include at least one staff member from each of NYSED’s Office of Counsel, CAU, and the Program Office. The review team will review and consider the merits of the protest and will decide whether the protest is approved or denied. Counsel’s Office will provide the bidder with written notification of the review team’s decision within seven (7) business days of the receipt of the protest. The original protest and decision will be filed with OSC when the contract procurement record is submitted for approval and CAU will advise OSC that a protest was filed.

4. The NYSED Contract Administration Unit (CAU) may summarily deny a protest that fails to contain specific factual or legal allegations, or where the protest only raises issues of law that have already been decided by the courts.

Minority and Women-Owned Business Enterprise (M/WBE) Participation Goals Pursuant to Article 15-A of the New York State Executive Law

The following M/WBE requirements apply when an applicant submits an application for grant funding that exceeds $25,000 for the full grant period.

All forms referenced here can be found in the M/WBE Documents section at the end of this RFP.

All applicants are required to comply with NYSED’s Minority and Women-Owned Business Enterprises (M/WBE) policy. Compliance can be achieved by one of the three methods described below. Full participation by meeting or exceeding the M/WBE participation goal for this grant is the preferred method.

M/WBE participation includes services, materials, or supplies purchased from minority and women-owned firms certified with the NYS Division of Minority and Women Business Development. Not-for-profit agencies are not eligible for this certification. For additional information and a listing of currently certified M/WBEs, see the NYS MWBE Directory.

The M/WBE participation goal for this grant is 30% of each applicant’s total discretionary non-personal service budget each year of the grant. Discretionary non-personal service budget is defined as total annual budget, excluding the sum of funds budgeted for:

1. direct personal services (i.e., professional and support staff salaries) and fringe benefits; and

2. rent, lease, utilities and indirect costs, if these items are allowable expenditures.

The M/WBE Goal Calculation Worksheet is provided for use in calculating the dollar amount of the M/WBE goal for this grant application.

All requested information and documentation should be provided at the time of submission. If this cannot be done, the applicant will have thirty days from the date of notice of award to submit the necessary documents and respond satisfactorily to any follow-up questions from the Department. Failure to do so may result in loss of funding.

METHODS TO COMPLY

An applicant can comply with NYSED’s M/WBE policy by one of three methods:

1.Full Participation - This is the preferred method of compliance. Full participation is achieved when an applicant meets or exceeds the participation goals for this grant.

COMPLETE FORMS:M/WBE Goal Calculation WorksheetM/WBE Cover LetterM/WBE 100 Utilization PlanM/WBE 102 Notice of Intent to Participate

2. Partial Participation, Partial Request for Waiver - This is acceptable only if good faith efforts to achieve full participation are made and documented, but full participation is not possible.

COMPLETE FORMS: M/WBE Goal Calculation WorksheetM/WBE Cover LetterM/WBE 100 Utilization PlanM/WBE 101 Request for WaiverM/WBE 102 Notice of Intent to ParticipateM/WBE 105 Contractor’s Good Faith Efforts

3. No Participation, Request for Complete Waiver - This is acceptable only if good faith efforts to achieve full or partial participation are made and documented, but do not result in any participation by M/WBE firm(s).

COMPLETE FORMS: M/WBE Goal Calculation WorksheetM/WBE Cover LetterM/WBE 101 Request for WaiverM/WBE 105 Contractor’s Good Faith Efforts

GOOD FAITH EFFORTS

Applicants must make a good faith effort to solicit NYS certified M/WBE firms as subcontractors and/or suppliers to achieve the goals for this grant. Solicitations may include, but are not limited to: advertisements in minority and women-centered publications; solicitation of vendors found in the NYS Directory of Certified Minority and Women-Owned Business Enterprises; and the solicitation of minority and women-oriented trade and labor organizations. Good faith efforts include actions such as setting up meetings or announcements to make M/WBEs aware of supplier and subcontracting opportunities, identifying logical areas of the grant project that could be subcontracted to M/WBE firms, and utilizing all current lists of M/WBEs who are available for and may be interested in subcontracting or supplying goods for the project.

Applicants should document their efforts to comply with the stated M/WBE goals and submit this with their applications as evidence. Examples of acceptable documentation can be found in form M/WBE 105, Contractor’s Good Faith Efforts. NYSED reserves the right to reject any application for failure to document “good faith efforts.”

REQUEST FOR WAIVER

When full participation cannot be achieved, applicants must submit a Request for Waiver (M/WBE 101). Requests for Waivers must be accompanied by documentation explaining the good faith efforts made and reasons they were unsuccessful in obtaining M/WBE participation.

NYSED reserves the right to approve the addition or deletion of subcontractors or suppliers to enable applicants to comply with the M/WBE goals, provided such addition or deletion does not impact the technical proposal and/or increase the total budget.

All payments to Minority and Women-Owned Business Enterprise subcontractor(s) should be reported to the NYSED M/WBE Program Unit using the M/WBE 104G Quarterly M/WBE Compliance Report. This report should be submitted on a quarterly basis and can be requested at MWBEGrants@nysed.gov.

NYSED’s M/WBE Coordinator is available to assist applicants in meeting the M/WBE goals. The Coordinator can be reached at MWBEGrants@nysed.gov.

Equal Employment Opportunity Reporting (EEO) Pursuant to Article 15-A of the New York State Executive Law

Applicants must complete and submit form EEO 100: Staffing Plan.

NYSED’s Reservation of Rights

NYSED reserves the right to: (1) reject any or all proposals received in response to the RFP; (2) withdraw the RFP at any time, at the agency’s sole discretion; (3) make an award under the RFP in whole or in part; (4) disqualify any bidder whose conduct and/or proposal fails to conform to the requirements of the RFP; (5) seek clarifications of proposals; (6) use proposal information obtained through site visits, management interviews and the state’s investigation of a bidder’s qualifications, experience, ability or financial standing, and any material or information submitted by the bidder in response to the agency’s request for clarifying information in the course of evaluation and/or selection under the RFP; (7) prior to the bid opening, amend the RFP specifications to correct errors or oversights, or to supply additional information, as it becomes available; (8) prior to the bid opening, direct bidders to submit proposal modifications addressing subsequent RFP amendments; (9) change any of the scheduled dates; (10) waive any requirements that are not material; (11) negotiate with the successful bidder within the scope of the RFP in the best interests of the state; (12) conduct contract negotiations with the next responsible bidder, should the agency be unsuccessful in negotiating with the selected bidder; (13) utilize any and all ideas submitted in the proposals received; (14) unless otherwise specified in the solicitation, every offer is firm and not revocable for a period of 90 days from the bid opening; (15) require clarification at any time during the procurement process and/or require correction of arithmetic or other apparent errors for the purpose of assuring a full and complete understanding of an offerer’s proposal and/or to determine an offerer’s compliance with the requirements of the solicitation; (16) to request best and final offers.

Vendor Responsibility

State law requires that the award of state contracts be made to responsible vendors. Before an award is made to a not-for-profit entity, a for-profit entity, a private college or university or a public entity not exempted by the Office of the State Comptroller, NYSED must make an affirmative responsibility determination. The factors to be considered include: legal authority to do business in New York State; integrity; capacity- both organizational and financial; and previous performance. Before an award of $100,000 or greater can be made to a covered entity, the entity will be required to complete and submit a Vendor Responsibility Questionnaire. School districts, Charter Schools, BOCES, public colleges and universities, public libraries, and the Research Foundation for SUNY and CUNY are some of the exempt entities. For a complete list, see OSC's website.

NYSED recommends that vendors file the required Vendor Responsibility Questionnaire online via the New York State VendRep System. To enroll in and use the New York State VendRep System, see the VendRep System Instructions or go directly to the VendRep System online.

Vendors must provide their New York State Vendor Identification Number when enrolling. To request assignment of a Vendor ID or for VendRep System assistance, contact the Office of the State Comptroller’s Help Desk at 866-370-4672 or 518-408-4672 or by email at ITServiceDesk@osc.state.ny.us.

Vendors opting to complete and submit a paper questionnaire can obtain the appropriate questionnaire from the VendRep website or may contact NYSED or the Office of the State Comptroller’s Help Desk for a copy of the paper form.

Subcontractors:For vendors using subcontractors, a Vendor Responsibility Questionnaire and a NYSED vendor responsibility review are required for a subcontractor where:

the subcontractor is known at the time of the contract award; the subcontractor is not an entity that is exempt from reporting by OSC; and the subcontract will equal or exceed $100,000 over the life of the contract

Workers’ Compensation Coverage and Debarment

New York State Workers’ Compensation Law (WCL) has specific coverage requirements for businesses contracting with New York State and additional requirements which provide for the debarment of vendors that violate certain sections of WCL. The WCL requires, and has required since introduction of the law in 1922, the heads of all municipal and State entities to ensure that businesses have appropriate workers’ compensation and disability benefits insurance coverage prior to issuing any permits or licenses, or prior to entering into contracts.

Workers’ compensation requirements are covered by WCL Section 57, while disability benefits are covered by WCL Section 220(8). The Workers’ Compensation Benefits clause in Appendix A – STANDARD CLAUSES FOR NEW YORK STATE CONTRACTS states that in accordance with Section 142 of the State Finance Law, a contract shall be void and of no force and effect unless the contractor provides and maintains coverage during the life of the contract for the benefit of such employees as are required to be covered by the provisions of the WCL.

Under provisions of the 2007 Workers’ Compensation Reform Legislation (WCL Section 141-b), any person, or entity substantially owned by that person: subject to a final assessment of civil fines or penalties, subject to a stop-work order, or convicted of a misdemeanor for violation of Workers’ Compensation laws Section 52 or 131, is barred from bidding on, or being awarded, any public work contract or subcontract with the State, any municipal corporation or public body for one year for each violation. The ban is five years for each felony conviction.

PROOF OF COVERAGE REQUIREMENTS

The Workers’ Compensation Board has developed several forms to assist State contracting entities in ensuring that businesses have the appropriate workers’ compensation and disability insurance coverage as required by Sections 57 and 220(8) of the WCL.

Please note – an ACORD form is not acceptable proof of New York State workers’ compensation or disability benefits insurance coverage.

Proof of Workers’ Compensation Coverage

To comply with coverage provisions of the WCL, the Workers’ Compensation Board requires that a business seeking to enter into a State contract submit appropriate proof of coverage to the State contracting entity issuing the contract. For each new contract or contract renewal, the contracting entity must obtain ONE of the following forms from the contractor and submit to OSC to prove the contractor has appropriate workers’ compensation insurance coverage:

Form C-105.2 – Certificate of Workers’ Compensation Insurance issued by private insurance carriers, or Form U-26.3 issued by the State Insurance Fund; or

Form SI-12– Certificate of Workers’ Compensation Self-Insurance; or Form GSI-105.2 Certificate of Participation in Workers’ Compensation Group Self-Insurance; or

CE-200– Certificate of Attestation of Exemption from NYS Workers’ Compensation and/or Disability Benefits Coverage.

Proof of Disability Benefits Coverage

To comply with coverage provisions of the WCL regarding disability benefits, the Workers’ Compensation Board requires that a business seeking to enter into a State contract must submit appropriate proof of coverage to the State contracting entity issuing the contract. For each new contract or contract renewal, the contracting entity must obtain ONE of the following forms from the contractor and submit to OSC to prove the contractor has appropriate disability benefits insurance coverage:

Form DB-120.1 - Certificate of Disability Benefits Insurance; or

Form DB-155- Certificate of Disability Benefits Self-Insurance; or

CE-200– Certificate of Attestation of Exemption from New York State Workers’ Compensation and/or Disability Benefits Coverage.

For additional information regarding workers’ compensation and disability benefits requirements, please refer to the New York State Workers’ Compensation Board website. Alternatively, questions relating to either workers’ compensation or disability benefits coverage should be directed to the NYS Workers’ Compensation Board, Bureau of Compliance at (518) 486-6307.

M/WBE DocumentsM/WBE Goal Calculation Worksheet

(This form should reflect Year 1 budget totals)RFP # and Title: ________________________________________________________________Applicant Name: _______________________________________________________________

The M/WBE participation for this grant is 30% of each applicant’s total discretionary non-personal service budget for each year of the grant. Discretionary non-personal service budget is defined as the total annual budget, excluding the sum of funds budgeted for direct personal services (i.e., professional and support staff salaries) and fringe benefits, as well as rent, lease, utilities, and indirect costs, if these are allowable expenditures. Please complete the following table to determine the dollar amount of the M/WBE goal for this grant application.

Budget CategoryAmount budgeted for items excluded

from M/WBE calculation

Totals

1. Total Budget

2. Professional Salaries

3. Support Staff Salaries

4. Fringe Benefits

5. Indirect Costs

6. Rent/Lease/Utilities*

7. Sum of lines 2, 3 ,4 ,5, and 6

8. Line 1 minus Line 7

9. M/WBE Goal percentage (30%)

0.30

10. Line 8 multiplied by Line 9 =MWBE goal amount

*If not included in #5

M/WBE COVER LETTER Minority & Woman-Owned Business Enterprise Requirements

NAME OF GRANT PROGRAM_______________________________________________

NAME OF APPLICANT______________________________________________________

In accordance with the provisions of Article 15-A of the NYS Executive Law, 5 NYCRR Parts 140-145, Section 163 (6) of the NYS Finance Law and Executive Order #8 and in fulfillment of the New York State Education Department (NYSED) policies governing Equal Employment Opportunity and Minority and Women-Owned Business Enterprise (M/WBE) participation, it is the intention of the New York State Education Department to provide real and substantial opportunities for certified Minority and Women-Owned Business Enterprises on all State contracts. It is with this intention the NYSED has assigned M/WBE participation goals to this contract.

In an effort to promote and assist in the participation of certified M/WBEs as subcontractors and suppliers on this project for the provision of services and materials, the bidder is required to comply with NYSED’s participation goals through one of the three methods below. Please indicate which one of the following is included with the M/WBE Documents Submission:

Full Participation – No Request for Waiver (PREFERRED)

Partial Participation – Partial Request for Waiver

No Participation – Request for Complete Waiver

By my signature on this Cover Letter, I certify that I am authorized to bind the Bidder’s firm contractually.

Typed or Printed Name of Authorized Representative of the Firm

Typed or Printed Title/Position of Authorized Representative of the Firm

Signature/Date

M/WBE UTILIZATION PLAN

INSTRUCTIONS: All bidders/applicants submitting responses to this procurement/project must complete this M/WBE Utilization Plan unless requesting a total waiver and submit it as part of their proposal/application. The plan must contain detailed description of the services to be provided by each Minority and/or Women-Owned Business Enterprise (M/WBE) identified by the bidder/applicant. Bidder/Applicant’s Name ________________________________ Telephone/Email:

_______________________/___________________Address ____________________________________ Federal ID No.:

__________________________________________City, State, Zip ____________________________________ RFP No.:

__________________________________________Certified M/WBE Classification

(check all applicable)Description of Work

(Subcontracts/Supplies/Services)

Annual Dollar Value of Subcontracts/Supplies/

Services

NAME

ADDRESS

CITY, ST, ZIP

PHONE/E-MAIL

FEDERAL ID No.

NYS ESD Certified

MBE ______

WBE ______ $ _________________

NAME

ADDRESS

CITY, ST, ZIP

PHONE/E-MAIL

FEDERAL ID No.

NYS ESD Certified

MBE ______

WBE ______ $ ________________

PREPARED BY (Signature) ______________________________________________________________________________ DATE_________________________________

SUBMISSION OF THIS FORM CONSTITUTES THE BIDDER/APPLICANT’S ACKNOWLEDGEMENT AND AGREEMENT TO COMPLY WITH THE M/WBE REQUIREMENTS SET FORTH UNDER NYS EXECUTIVE LAW, ARTICLE 15-1, 5 NYCRR PART 143 AND THE ABOVE REFERENCE SOLICITATION. FAILURE TO SUBMIT COMPLETE AND ACCURATE INFORMATION MAY RESULT IN A FINDING OF NONCOMPLIANCE AND/OR PROPOSAL/APPLICATION DISQUALIFICATION.

NAME AND TITLE OF PREPARER:_______________________________________

REVIEWED BY _______________________ DATE __________

UTILIZATION PLAN APPROVED YES/NO DATE __________

NOTICE OF DEFICIENCY ISSUED YES/NO DATE __________

NOTICE OF ACCEPTANCE ISSUED YES/NO DATE __________

(print or type)

TELEPHONE/E-MAIL _______________________________________

DATE _______________________________________

M/WBE 100

M/WBE SUBCONTRACTORS AND SUPPLIERSNOTICE OF INTENT TO PARTICIPATE

INSTRUCTIONS: Part A of this form must be completed and signed by the Bidder/Applicant unless requesting a total waiver. Parts B & C of this form must be completed by MBE and/or WBE subcontractors/suppliers. The Bidder/Applicant must submit a separate M/WBE Notice of Intent to Participate form for each MBE or WBE as part of the proposal/application.

Bidder/Applicant Name: ________________________________________________________________ Federal ID No.: _____________________________________

Address: _____________________________________________________________________________ Phone No.: _________________________________________

City______________________________________ State_______ Zip Code___________ E-mail: ___________________________________________________

_________________________________________________________ ______________________________________________________________________Signature of Authorized Representative of Bidder/Applicant’s Firm Print or Type Name and Title of Authorized Representative of Bidder/Applicant’s Firm

Date: ________________PART B - THE UNDERSIGNED INTENDS TO PROVIDE SERVICES OR SUPPLIES IN CONNECTION WITH THE ABOVE PROCUREMENT/APPLICATION:

Name of M/WBE: ______________________________________________________________ Federal ID No.: _______________________________

Address: _____________________________________________________________________ Phone No.: __________________________________

City, State, Zip Code ___________________________________________________________ E-mail: _____________________________________

BRIEF DESCRIPTION OF SERVICES OR SUPPLIES TO BE PERFORMED BY MBE OR WBE:

DESIGNATION: ____MBE Subcontractor ____WBE Subcontractor ____ MBE Supplier ____WBE Supplier

PART C - CERTIFICATION STATUS (CHECK ONE):_____ The undersigned is a certified M/WBE by the New York State Division of Minority and Women-Owned Business Development (MWBD).

______ The undersigned has applied to New York State’s Division of Minority and Women-Owned Business Development (MWBD) for M/WBE certification.

THE UNDERSIGNED IS PREPARED TO PROVIDE SERVICES OR SUPPLIES AS DESCRIBED ABOVE AND WILL ENTER INTO A FORMAL AGREEMENT WITH THE BIDDER/APPLICANT CONDITIONED UPON THE BIDDER/APPLICANT’S EXECUTION OF A CONTRACT WITH THE NYS EDUCATION DEPARTMENT.

____________________________________________________________________The estimated dollar amount of the agreement $___________________ Signature of Authorized Representative of M/WBE Firm

____________________________________________ ___________________________________________________________________Printed or Typed Name and Title of Authorized Representative Date

M/WBE 102

M/WBE CONTRACTOR GOOD FAITH EFFORTS CERTIFICATION (FORM 105)

PROJECT/CONTRACT #_______________________________

I, ______________________________________________________________________________________(Bidder/Applicant)

_____________________________________ of ________________________________________________(Title) (Company)

______________________________________________________ (_____)________________________(Address) (Telephone Number)

do hereby submit the following as evidence of our good faith efforts to retain certified minority- and women-owned business enterprises:

(1) Copies of its solicitations of certified minority- and women-owned business enterprises and any responses thereto;

(2) If responses to the contractor’s solicitations were received, but a certified minority- or woman-owned business enterprise was not selected, the specific reasons that such enterprise was not selected;

(3) Copies of any advertisements for participation by certified minority- and women-owned business enterprises timely published in appropriate general circulation, trade and minority- or women-oriented publications, together with the listing(s) and date(s) of the publication of such advertisements;

(4) Copies of any solicitations of certified minority- and/or women-owned business enterprises listed in the directory of certified businesses;

(5) The dates of attendance at any pre-bid, pre-award, or other meetings, if any, scheduled by the State agency awarding the State contract, with certified minority- and women-owned business enterprises which the State agency determined were capable of performing the State contract scope of work for the purpose of fulfilling the contract participation goals;

(6) Information describing the specific steps undertaken to reasonably structure the contract scope of work for the purpose of subcontracting with, or obtaining supplies from, certified minority- and women-owned business enterprises.

(7) Describe any other action undertaken by the bidder to document its good faith efforts to retain certified minority - and women- owned business enterprises for this procurement

Submit additional pages as needed.

_______________________________________________Authorized Representative Signature

_______________________________________________Date

M/WBE 105

M/WBE CONTRACTOR UNAVAILABLE CERTIFICATION

RFP#/PROJECT NAME_________________________________________________________________________

I, ________________________________________ ______________________ __________________________________________________________(Authorized Representative) (Title) (Bidder/Applicant’s Company)

__________________________________________________________________ (____)___________________________________(Address) (Phone)

I certify that the following New York State Certified Minority/Women Business Enterprises were contacted to obtain a quote for work to be performed on the abovementioned project/contract. List of date, name of M/WBE firm, telephone/e-mail address of M/WBEs contacted, type of work requested, estimated budgeted amount for each quote requested.

ESTIMATEDDATE M/WBE NAME PHONE/EMAIL TYPE OF WORK BUDGET REASON

1.2.3.4.5.

To the best of my knowledge and belief, said New York State Certified Minority/Women Business Enterprise contractor(s) was/were not selected, unavailable for work on this project, or unable to provide a quote for the following reasons: Please check appropriate reasons given by each MBE/WBE firm contacted above.)

_______A. Did not have the capability to perform the work_______B. Contract too small_______C. Remote location_______D. Received solicitation notices too late_______E. Did not want to work with this contractor_______F. Other (give reason) ______________________________________________

________________________________________________ __________________ _________________________________________________Authorized Representative Signature Date Print Name

M/WBE 105A

REQUEST FOR WAIVER FORM

BIDDER/APPLICANT NAME: TELEPHONE:EMAIL:

ADDRESS: FEDERAL ID NO.:

CITY, STATE, ZIPCODE: RFP#/PROJECT NO.:

INSTRUCTIONS: By submitting this form and the required information, the bidder/applicant certifies that Good Faith Efforts have been taken to promote M/WBE participation pursuant to the M/WBE goals set forth under this RFP/Contract. Please see Page 2 for additional requirements and document submission instructions.

BIDDER/APPLICANT IS REQUESTING (check all that apply): MBE Waiver - A waiver of the MBE goal for this procurement is

requested. Total Partial _______%

WBE Waiver - A waiver of the WBE goal for this procurement is requested.

Total Partial _______% Waiver Pending ESD Certification

(check here if subcontractor or supplier is not certified M/WBE, but an application for certification has been filed with Empire State Development)

Subcontractor/Supplier Name: __________________________________________ Date of application filing: ________________________________

PREPARED BY (Signature): _____________________________________________________ DATE: _______________________________

SUBMISSION OF THIS FORM CONSTITUTES THE BIDDER/APPLICANT'S ACKNOWLEDGEMENT AND AGREEMENT TO COMPLY WITH THE M/WBE REQUIREMENTS SET FORTH UNDER NYS EXECUTIVE LAW, ARTICLE 15-A, 5 NYCRR PART 143, AND THE ABOVE REFERENCED SOLICITATION. FAILURE TO SUBMIT COMPLETE AND ACCURATE INFORMATION MAY RESULT IN A FINDING OF NONCOMPLIANCE AND/OR PROPOSAL DISQUALIFICATION.

NAME OF PREPARER: FOR AUTHORIZED USE ONLY

TITLE OF PREPARER:

TELEPHONE:

EMAIL:

REVIEWED BY: _____________________________________

DATE:____________________________

WAIVER GRANTED YES NO TOTAL WAIVER PARTIAL WAIVER ESD CERTIFICATION WAIVER NOTICE OF DEFICIENCY CONDITIONAL WAIVERCOMMENTS:

M/WBE 101

REQUIREMENTS AND DOCUMENT SUBMISSION INSTRUCTIONS

When completing the Request for Waiver Form, please check all boxes that apply. To be considered, the Request for Waiver Form must be accompanied by documentation for items 1-11, as listed below. If a Waiver Pending ESD Certification is requested, please see Item 11 below. Copies of the following information and all relevant supporting documentation must be submitted along with the request.

1. A statement setting forth your basis for requesting a partial or total waiver.

2. The names of general circulation, trade association, and M/WBE-oriented publications in which you solicited certified M/WBEs for the purposes of complying with your participation goals.

3. A list identifying the date(s) that all solicitations for certified M/WBE participation were published in any of the above publications.

4. A list of all certified M/WBEs appearing in the NYS Directory of Certified Firms that were solicited for purposes of complying with your certified M/WBE participation levels.

5. Copies of notices, dates of contact, letters, and other correspondence as proof that solicitations were made in writing and copies of such solicitations, or a sample copy of the solicitation if an identical solicitation was made to all certified M/WBEs.

6. Provide copies of responses made by certified M/WBEs to your solicitations.

7. Provide a description of any contract documents, plans, or specifications made available to certified M/WBEs for purposes of soliciting their bids and the date and manner in which these documents were made available.

8. Provide documentation of any negotiations between you, the Bidder/Applicant and the M/WBEs undertaken for purposes of complying with the certified M/WBE participations goals.

9. Provide any other information you deem relevant which may help us in evaluating your request for a waiver.

10. Provide the name, title, address, telephone number and email address of the Bidder/Applicant's representative authorized to discuss and negotiate this waiver request.

11. Copy of notice of application receipt issued by Empire State Development (ESD).NOTE: Unless a Total Waiver has been granted, Bidder/Applicant will be required to submit all reports and documents pursuant to the provisions set forth in the procurement and/or contract, as deemed appropriate by NYSED, to determine M/WBE compliance.

EQUAL EMPLOYMENT OPPORTUNITY - STAFFING PLAN (Instructions on Page 2)Applicant Name:    

Telephone:      

Address:    Federal ID No.:    

City, State, ZIP:     Project No:    

Report includes:              

 Work force to be utilized on this contract OR    

                   Applicant’s total work force    Enter the total number of employees in each classification in each of the EEO-Job Categories identified.              

EEO - Job Categories

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Executive/Senior Level Officials and Managers                                    First/Mid-Level Officials and Managers                                    Professionals                                    Technicians                                    Sales Workers                                    Administrative Support Workers                                    Craft Workers                                    Operatives                                    Laborers and Helpers                                    Service Workers                                    

TOTAL

PREPARED BY (Signature):    

DATE:      

NAME AND TITLE OF PREPARER:  

TELEPHONE/EMAIL:  

EEO 100STAFFING PLAN INSTRUCTIONS

                                             General Instructions: All Bidders/Applicants in the proposal/application must complete an EEO Staffing Plan (EEO 100) and submit it as part of the package. Where the work force to be utilized in the performance of the State contract/project can be separated out, the Bidder/Applicant shall complete this form only for the anticipated work force to be utilized on the State contract/project. Where the work force to be utilized in the performance of the State contract/project cannot be separated out, the Bidder/Applicant shall complete this form for Bidder/Applicant's total work force.                                             Instructions for Completing:                                

1.Enter the Project number that this report applies to, along with the name, address, and federal ID number of the Bidder.

2.Check the appropriate box to indicate if the work force being reported is just for the contract/project or the Bidder/Applicant’s total work force.

3. Check off the appropriate box to indicate if the Bidder completing the report is the contractor or subcontractor.4. Enter the total work force by EEO job category.5. Break down the total work force by gender and race/ethnic background and enter under the heading Race/Ethnicity.

Contact the M/WBE Coordinator, mwbegrants@nysed.gov, if you have any questions.

6.Enter the name, title, phone number and email address for the person completing the form. Sign and date the form in designated areas.

                                             RACE/ETHNIC IDENTIFICATIONFor purposes of this form NYSED will accept the definitions of race/ethnic designations used by the federal Equal Employment Opportunity Commission (EEOC), as those definitions are described below or amended hereafter. (Be advised these terms may be defined differently for other purposes under NYS statutory, regulatory, or case law). Race/ethnic designations as used by the EEOC do not denote scientific definitions of anthropological origins. For the purposes of this report, an employee may be included in the group to which he or she appears to belong, identifies with, or is regarded in the community as belonging. The race/ethnic categories for this survey are:                                              

• Hispanic or Latino - A person of Cuban, Mexican, Puerto Rican, South or Central American, or other Spanish culture or origin regardless of race.

• White (Not Hispanic or Latino) - A person having origins in any of the original peoples of Europe, the Middle East, or North Africa.

• Black or African American (Not Hispanic or Latino) - A person having origins in any of the black racial groups

of Africa.• Native Hawaiian or Other Pacific Islander (Not Hispanic or Latino) - A person having origins in any of the

peoples of Hawaii, Guam, Samoa, or other Pacific Islands.• Asian (Not Hispanic or Latino) - A person having origins in any of the original peoples of the Far East, Southeast

Asia, or the Indian Subcontinent, including, for example, Cambodia, China, India, Japan, Korea, Malaysia, Pakistan, the Philippine Islands, Thailand, and Vietnam.

• American Indian or Alaska Native (Not Hispanic or Latino) - A person having origins in any of the original peoples of North and South America (including Central America), and who maintain tribal affiliation or community attachment.

• Two or More Races (Not Hispanic or Latino) - All persons who identify with more than one of the above five races.

• Disabled - Any person who has a physical or mental impairment that substantially limits one or more major life activity; has a record of such an impairment; or is regarded as having such an impairment

• Vietnam Era Veteran - a veteran who served at any time between and including January 1, 1963 and May 7, 1975.EEO 100

New York State Education Department

Assurances for Federal Discretionary Program Funds

The following assurances are a component of your application.  By signing the certification on the application cover page you are ensuring accountability and compliance with State and federal laws, regulations, and grants management requirements. 

Federal Assurances and Certifications, General:

Assurances – Non-Construction Programs Certifications Regarding Lobbying; Debarment, Suspension and Other Responsibility

Matters Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion –

Lower Tier Covered Transactions General Education Provisions Act Assurances Drug-Free Workplace

Federal Assurances and Certifications, NCLB (if appropriate):

The following are required as a condition for receiving any federal funds under the Elementary and Secondary Education Act. (ESEA)

ESEA Assurances

Adult Basic Education and Literacy Programs Assurances

State Welfare Education Program Assurances

ASSURANCES - NON-CONSTRUCTION PROGRAMS 

Note:  Certain of these assurances may not be applicable to your project or program. If you have questions, please contact the Education Department Program Contact listed in the Application. Further, certain Federal awarding agencies may require applicants to certify to additional assurances. If such is the case, you will be notified.

As the duly authorized representative of the applicant, and by signing the Application Cover Page, I certify that the applicant:

1. Has the legal authority to apply for Federal assistance, and the institutional, managerial and financial capability (including funds sufficient to pay the non-Federal share of project cost) to ensure proper planning, management, and completion of the project described in this application.

2. Will give the awarding agency, the Comptroller General of the United States, and if appropriate, the State, through any authorized representative, access to and the right to examine all records, books, papers, or documents related to the award; and will establish a proper accounting system in accordance with generally accepted accounting standards or agency directives.

3. Will establish safeguards to prohibit employees from using their positions for a purpose that constitutes or presents the appearance of personal or organizational conflict of interest, or personal gain.

4. Will initiate and complete the work within the applicable time frame after receipt of approval of the awarding agency.

5. Will comply with the Intergovernmental Personnel Act of 1970 (42 U.S.C §§ 4728-4763) relating to prescribed standards for merit systems for programs funded under one of the 19 statutes or regulations specified in Appendix A of OPM's Standards for a Merit System of Personnel Administration (5 C.F.R. 900, Subpart F).

6. Will comply with all Federal statutes relating to nondiscrimination. These include but are not limited to: (a) Title VI of the Civil Rights Act of 1964 (P.L. 88-352) which prohibits discrimination on the basis of race, color or national origin; (b) Title IX of the Education Amendments of 1972, as amended (20 U.S.C. §§1681-1683, and 1685-1686), which prohibits discrimination on the basis of sex; (c) Section 504 of the Rehabilitation Act of 1973, as amended (29 U.S.C. § 794), which prohibits discrimination on the basis of handicaps; (d) the Age Discrimination Act of 1975, as amended (42 U.S.C.§§ 6101-6107), which prohibits discrimination on the basis of age; (e) the Drug Abuse Office and Treatment Act of 1972 (P.L. 92-255), as amended, relating to nondiscrimination on the basis of drug abuse; (f) the Comprehensive Alcohol Abuse and Alcoholism Prevention, Treatment and Rehabilitation Act of 1970 (P.L. 91-616), as amended, relating to nondiscrimination on the basis of alcohol abuse or alcoholism; (g) ''§§ 523 and 527 of the Public Health Service Act of 1912 (42 U.S.C. §§'' 290 dd-3 and 290 ee 3), as amended, relating to confidentiality of alcohol and drug abuse patient records; (h) Title VIII of the Civil Rights Act of 1968 (42 U.S.C. § 3601 et seq.), as amended, relating to

nondiscrimination in the sale, rental or financing of housing; (i) any other nondiscrimination provisions in the specific statute(s) under which application for Federal assistance is being made; and (j) the requirements of any other nondiscrimination statute(s) which may apply to the application.

7. Will comply, or has already complied, with the requirements of Titles II and III of the uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970 (P.L. 91-646) which provide for fair and equitable treatment of persons displaced or whose property is acquired as a result of Federal or federally assisted programs. These requirements apply to all interests in real property acquired for project purposes regardless of Federal participation in purchases.

8. Will comply, as applicable, with the provisions of the Hatch Act (5 U.S.C. §§1501-1508 and 7324-7328), which limit the political activities of employees whose principal employment activities are funded in whole or in part with Federal funds.

9. Will comply, as applicable, with the provisions of the Davis-Bacon Act (40 U.S.C. §§ 276a to 276a-7), the Copeland Act (40 U.S.C. §276c and 18 U.S.C. §§874) and the Contract Work Hours and Safety Standards Act (40 U.S.C. §§ 327-333), regarding labor standards for federally assisted construction subagreements.

10. Will comply, if applicable, with flood insurance purchase requirements of Section 102(a) of the Flood Disaster Protection Act of 1973 (P.L. 93-234) which requires recipients in a special flood hazard area to participate in the program and to purchase flood insurance if the total cost of insurable construction and acquisition is  $10,000 or more.

11. Will comply with environmental standards which may be prescribed pursuant to the following: (a) institution of environmental quality control measures under the National Environmental Policy Act of 1969 (P.L. 91-190) and Executive Order (EO) 11514; (b) notification of violating facilities pursuant to EO 11738; (c) protection of wetlands pursuant to EO 11990; (d) evaluation of flood hazards in floodplains in accordance with EO 11988; (e) assurance of project consistency with the approved State management program developed under the Coastal Zone Management Act of 1972 (16 U.S.C. §§1451 et seq.); (f) conformity of  Federal actions to State (Clear Air) Implementation Plans  under Section 176(c) of the Clear Air Act of 1955, as  amended (42 U.S.C. §§7401 et seq.); (g) protection of  underground sources of drinking water under the Safe  Drinking Water Act of 1974, as amended, (P.L. 93-523); and  (h) protection of endangered species under the Endangered  Species Act of 1973, as amended, (P.L. 93-205).

12. Will comply with the Wild and Scenic Rivers Act of 1968  (16 U.S.C. §§1271 et seq.) related to protecting components or potential components of the national wild and scenic rivers system.

13. Will assist the awarding agency in assuring compliance with Section 106 of the National Historic Preservation Act of 1966, as amended (16 U.S.C. §470), EO 11593 (identification and protection of historic properties), and the Archaeological and Historic Preservation Act of 1974 (16 U.S.C. §§469a-1 et seq.).

14. Will comply with P.L. 93-348 regarding the protection of human subjects involved in research, development, and related activities supported by this award of assistance.

15. Will comply with the Laboratory Animal Welfare Act of 1966 (P.L. 89-544, as amended, 7 U.S.C. §§2131 et seq.) pertaining to the care, handling, and treatment of warm blooded

animals held for research, teaching, or other activities supported by this award of assistance.

16. Will comply with the Lead-Based Paint Poisoning Prevention Act (42 U.S.C. §§4801 et seq.), which prohibits the use of lead-based paint in construction or rehabilitation of residence structures.

17. Will cause to be performed the required financial and compliance audits in accordance with the Single Audit Act Amendments of 1996 and OMB Circular No. A-133, Audits of States, Local Governments, and Non-Profit Organizations.

18. Will comply with all applicable requirements of all other Federal laws, executive orders, regulations and policies governing this program.

Standard Form 424B (Rev. 7-97), Prescribed by OMB Circular A-102, Authorized for Local Reproduction, as amended by New York State Education Department

CERTIFICATIONS REGARDING LOBBYING; DEBARMENT, SUSPENSION AND OTHER

RESPONSIBILITY MATTERS

Applicants should refer to the regulations cited below to determine the certification to which they are required to attest.  Applicants should also review the instructions for certification included in the regulations before completing this form.  Signature of the Application Cover Page provides for compliance with certification requirements under 2 CFR Part 3485, "New Restrictions on Lobbying," and 2 CFR 3485, "Government-wide Debarment and Suspension (Nonprocurement)."  The certifications shall be treated as a material representation of fact upon which reliance will be placed when the Department of Education determines to award the covered transaction, grant, or cooperative agreement.

1.  LOBBYING

As required by Section 1352, Title 31 of the U.S. Code, and implemented at 34 CFR Part 82, for persons entering into a grant or cooperative agreement over $100,000, as defined at 34 CFR Part 82, the applicant certifies that:

A. No Federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with the making of any Federal grant, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any Federal grant or cooperative agreement:

B. If any funds other than Federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, a

Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with this Federal grant or cooperative agreement, the undersigned shall complete and submit Standard Form - LLL, "Disclosure Form to Report Lobbying," in accordance with its instructions; and

C. The undersigned shall require that the language of this certification be included in the award documents for all subawards at all tiers (including subgrants, contracts under grants and cooperative agreements, and subcontracts) and that all subrecipients shall certify and disclose accordingly.

2.  DEBARMENT, SUSPENSION, AND OTHER RESPONSIBILITY MATTERS

As required by Executive Order 12549, Debarment and Suspension, and implemented at 2 CFR 3485 for prospective participants in primary covered transactions, as defined at 2 CFR 3485--

A. The applicant certifies that it and its principals: a. Are not presently debarred, suspended, proposed for debarment, declared

ineligible, or voluntarily excluded from covered transactions by any Federal department or agency;

b. Have not within a three-year period preceding this application been convicted of or had a civil judgment rendered against them for commission of fraud or a criminal offense in connection with obtaining, attempting to obtain, or performing a public (Federal, State, or local) transaction or contract under a public transaction; violation of Federal or State antitrust statutes or commission of embezzlement, theft, forgery, bribery, falsification or destruction of records, making false statements, or receiving stolen property;

c. Are not presently indicted for or otherwise criminally or civilly charged by a governmental entity (Federal, State, or local) with commission of any of the offenses enumerated in paragraph (2)(b) of this certification; and

d. Have not within a three-year period preceding this application had one or more public transaction (Federal, State, or local) terminated for cause or default; and

B. Where the applicant is unable to certify to any of the statements in this certification, he or she shall attach an explanation to this application.

ED 80-0014, as amended by the New York State Education Department

CERTIFICATION REGARDING DEBARMENT, SUSPENSION, INELIGIBILITY ANDVOLUNTARY EXCLUSION — LOWER TIER COVERED TRANSACTIONS

This certification is required by the Department of Education regulations implementing Executive Order 12549, Debarment and Suspension, 2 CFR 3485, for all lower tier transactions meeting the threshold and tier requirements stated at 2 CFR 3485.

Instructions for Certification

1. By signing the Application Cover Page, the prospective lower tier participant is providing the certification set out below.

2. The certification in this clause is a material representation of fact upon which reliance was placed when this transaction was entered into. If it is later determined that the prospective lower tier participant knowingly rendered an erroneous certification, in addition to other remedies available to the Federal Government, the department or agency with which this transaction originated may pursue available remedies, including suspension and/or debarment.

3. The prospective lower tier participant shall provide immediate written notice to the person to which this proposal is submitted if at any time the prospective lower tier participant learns that its certification was erroneous when submitted or has become erroneous by reason of changed circumstances.

4. The terms “covered transaction,” “debarred,” “suspended,” “ineligible,” “lower tier covered transaction,” “participant,” “ person,” “primary covered transaction,” “ principal,” “proposal,” and “voluntarily excluded,” as used in this clause, have the meanings set out in the Definitions and Coverage sections of rules implementing Executive Order 12549. You may contact the person to which this proposal is submitted for assistance in obtaining a copy of those regulations.

5. The prospective lower tier participant agrees by submitting this proposal that, should the proposed covered transaction be entered into, it shall not knowingly enter into any lower tier covered transaction with a person who is debarred, suspended, declared ineligible, or voluntarily excluded from participation in this covered transaction, unless authorized by the department or agency with which this transaction originated.

6. The prospective lower tier participant further agrees by submitting this proposal that it will include the clause titled “Certification Regarding Debarment, Suspension, Ineligibility, and Voluntary Exclusion-Lower Tier Covered Transactions,” without modification, in all lower tier covered transactions and in all solicitations for lower tier covered transactions.

7. A participant in a covered transaction may rely upon a certification of a prospective participant in a lower tier covered transaction that it is not debarred, suspended, ineligible, or voluntarily excluded from the covered transaction, unless it knows that the certification is erroneous. A participant may decide the method and frequency by which it determines the eligibility of its principals. Each participant may, but is not required to, check the Nonprocurement List.

8. Nothing contained in the foregoing shall be construed to require establishment of a system of records in order to render in good faith the certification required by this clause. The knowledge and information of a participant is not required to exceed that which is normally possessed by a prudent person in the ordinary course of business dealings.

9. Except for transactions authorized under paragraph 5 of these instructions, if a participant in a covered transaction knowingly enters into a lower tier covered transaction with a person who is suspended, debarred, ineligible, or voluntarily excluded from participation in this transaction, in addition to other remedies available to the Federal Government, the department or agency with which this transaction originated may pursue available remedies, including suspension and/or debarment.

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Certification

1. The prospective lower tier participant certifies, by submission of this proposal, that neither it nor its principals are presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded from participation in this transaction by any Federal department or agency.

2. Where the prospective lower tier participant is unable to certify to any of the statements in this certification, such prospective participant shall attach an explanation to this proposal.

ED 80-0014, as amended by the New York State Education Department

NEW YORK STATE DEPARTMENT OF EDUCATIONGENERAL EDUCATION PROVISIONS ACT ASSURANCES

These assurances are required by the General Education Provisions Act for certain programs funded by the U.S. Department of Education.  These assurances are not applicable to certain programs, such as the No Child Left Behind Act.  If you have any questions, please contact NYSED.

As the authorized representative of the applicant, by signing the Application Cover Page, I certify that:

1. the local educational agency will administer each program covered by the application in accordance with all applicable statutes, regulations, program plans, and applications;

2. the control of funds provided to the local educational agency under each program, and title to property acquired with those funds, will be in a public agency and that a public agency will administer those funds and property;

3. the local educational agency will use fiscal control and fund accounting procedures that will ensure proper disbursement of, and accounting for, Federal funds paid to that agency under each program;

4. the local educational agency will make reports to the State agency or board and to the Secretary as may reasonably be necessary to enable the State agency or board and the Secretary to perform their duties and that the local educational agency will maintain such records, including the records required under section 1232f of this title, and provide access to those records, as the State agency or board or the Secretary deem necessary to perform their duties;

5. the local educational agency will provide reasonable opportunities for the participation by teachers, parents, and other interested agencies, organizations, and individuals in the planning for and operation of each program;

6. any application, evaluation, periodic program plan or report relating to each program will be made readily available to parents and other members of the general public;

7. in the case of any project involving construction -

a. the project is not inconsistent with overall State plans for the construction of school facilities, and

b. in developing plans for construction, due consideration will be given to excellence of architecture and design and to compliance with standards prescribed by the Secretary under section 794 of title 29 in order to ensure that facilities constructed with the use of Federal funds are accessible to and usable by individuals with disabilities;

8. the local educational agency has adopted effective procedures for acquiring and disseminating to teachers and administrators participating in each program significant information from educational research, demonstrations, and similar projects, and for adopting, where appropriate, promising educational practices developed through such projects; and

9. none of the funds expended under any applicable program will be used to acquire equipment (including computer software) in any instance in which such acquisition results in a direct financial benefit to any organization representing the interests of the purchasing entity or its employees or any affiliate of such an organization.

DRUG-FREE WORKPLACE (GRANTEES OTHER THAN INDIVIDUALS)

As required by the Drug-Free Workplace Act of 1988, and implemented at 34 CFR 84.205,

A. The applicant certifies that it will or will continue to provide a drug-free workplace by publishing a statement:

a. Notifying employees that the unlawful manufacture, distribution, dispensing, possession, or use of a controlled substance is prohibited in the grantee's workplace;

b. Specifying the actions that will be taken against employees for violation of such prohibition;

c. Notifying the employee in the statement required by paragraph (a) that, as a condition of employment under the grant, the employee will:

1. Abide by the terms of the statement; and

2. Notify the employer in writing of his or her conviction for a violation of a criminal drug statute occurring in the workplace no later than five calendar days after such conviction.

DRUG-FREE WORKPLACE (GRANTEES WHO ARE INDIVIDUALS)

As required by the Drug-Free Workplace Act of 1988, and implemented at 34 CFR 84.300,

As a condition of the grant, I certify that

a. I will not engage in the unlawful manufacture, distribution, dispensing, possession, or use of a controlled substance in conducting any activity with the grant; and

b. If convicted of a criminal drug offense resulting from a violation occurring during the conduct of any grant activity, I will report the conviction:

1. In writing, 2. Within 10 calendar days of the conviction, 3. To: Director, Grants Policy and Oversight Professional, Department of Education,

400 Maryland Avenue, S.W. (Room 3652, GSA Regional Office building No. 3), Washington, DC 20202-4248. Notice shall include the identification number(s) of each affected grant.

NEW YORK STATE DEPARTMENT OF EDUCATIONELEMENTARY AND SECONDARY EDUCATION ACT (ESEA) ASSURANCES

These assurances are required for programs funded under the Elementary and Secondary Education Act as amended by the Every Student Succeeds Act of 2015.

As the chief school officer of the applicant, by signing the Application Cover Page, I certify that:

(1) the applicant will comply with the requirements of Education Law § 3214(3)(d) and (f) and the Gun-Free Schools Act (20 U.S.C. § 7151);

(2) the applicant will comply with the requirements of 20 U.S.C. § 7908 on military recruiter access;

(3) the applicant will comply with the requirements of 20 U.S.C. § 7904 on constitutionally protected prayer in public elementary and secondary schools;

(4) the applicant will comply with the requirements of Education Law § 2802(7), and any state regulations implementing such statute and 20 U.S.C. § 7912 on unsafe school choice; and

(5) the applicant will comply with all fiscal requirements that apply to the program, including but not limited to any applicable supplement not supplant or local maintenance of effort requirements.

(6) the applicant understands the importance of privacy protections for students and is aware of the responsibilities of the grantee under section 20 U.S.C. 1232g (FERPA) (ESSA §854)

ADULT BASIC EDUCATION AND LITERACY PROGRAMS ASSURANCES

As a condition to the award of financial assistance from the New York State Education Department under Title II of the Workforce Innovation and Opportunity Act (WIOA), the eligible provider shall submit an application containing the following information and assurances:

1. a description of how funds awarded under 29 U.S.C.A. Chapter 32, Subchapter II, Part C, Section 3322, Paragraph 1 will be spent consistent with requirements of this Subchapter II;

2. a description of any cooperative arrangements the eligible provider has with other agencies, institutions, or organizations for the delivery of adult education and literacy activities; which activities are defined in 29 U.S.C.A. §3272(2);

3. a description of how the eligible provider will provide services in alignment with the local plan under 29 U.S.C.A. §3123, including how such provider will promote concurrent enrollment in programs and activities under Subchapter I, as appropriate;

4. a description of how the eligible provider will meet the State adjusted levels of performance described in 29 U.S.C.A. §3141(b)(3), including how such provider will collect data to report on such performance indicators;

5. a description of how the eligible provider will fulfill one-stop partner responsibilities as described in 29 U.S.C.A. §3151(b)(1)(A), as appropriate;

6. a description of how the eligible provider will provide services in a manner that meets the needs of eligible individuals; and

7. information that addresses the considerations described under 29 U.S.C.A. §3321(e), as applicable.

STATE WELFARE EDUCATION PROGRAM ASSURANCES

The duly authorized representative of the applying agency certifies that:

The representative signing the application is officially empowered to act on behalf of the agency.

The materials and information submitted with this proposal are accurate and represent the best estimate of the proposed program activities.

The programs and/or services funded under the grant or contract will be provided at no cost to the participants.

For public agencies, program operation, documentation, reporting, teacher qualifications, and staff development activities will be in accord with 8 NYCRR Part 168 and with the guidelines set forth in State program office requirements.

For private agencies, program operation, documentation, reporting, teacher qualifications, and staff Development activities will be in accord with 8 NYCRR Part 167 and with the guidelines set forth in State program office requirements.

Fire and liability insurance will be provided on all facilities to be used under this grant.

The facilities that this project will occupy meet all applicable local fire and safety standards.

Heating, lighting, and ventilation of instructional facilities will be conducive to learning.

The applying agency will comply with appropriate federal education, vocational rehabilitation, and civil rights legislation.

The duly authorized representative of the applying agency also certifies that the applying agency will comply with the requirements described in the Request for Proposals regarding:

Sufficient intensity and duration;

A curriculum developed or approved by the State Education Department will be used;

Individual participant folders will be easily accessible to participants and teachers, and will include information concerning attendance, testing and program needs as required for the Individual Student Record Form. Copies of original score sheets for pre and post testing will be in every participant’s folder;

A total of at least 150 hours of instruction will be made available to individual participants;

Each professional staff member will complete a minimum of fourteen (14) hours of professional development annually related to the development and organization of such programs for adults provided through the NYSED RAEN Centers.

English-speaking participants will be assessed in reading and mathematics to determine their approximate skill level;

All participants will be given placement tests before being placed in appropriate level instructional programs;

Limited English participants will be assessed in speaking and listening at a minimum;

The applying agency will comply with Title IX, Education Amendments of 1972; Title VI of the Civil Rights Act of 1964; the Rehabilitation Act of 1973, and the Americans with Disabilities Act of 1991;

High quality management information system; and

If appropriate, NYSED High School Equivalency diploma preparation program requirements regarding the HSE Readiness Test and referral to the NYSED High School Equivalency diploma test.

Submission of NRS data to NYSED via the ASISTS data system on a monthly and quarterly basis.

Appendix ASTANDARD CLAUSES FOR NYS CONTRACTS

The parties to the attached contract, license, lease, amendment or other agreement of any kind (hereinafter, "the contract" or "this contract") agree to be bound by the following clauses which are hereby made a part of the contract (the word "Contractor" herein refers to any party other than the State, whether a contractor, licenser, licensee, lessor, lessee or any other party):

1. EXECUTORY CLAUSE. In accordance with Section 41 of the State Finance Law, the State shall have no liability under this contract to the Contractor or to anyone else beyond funds appropriated and available for this contract.

2. NON-ASSIGNMENT CLAUSE. In accordance with Section 138 of the State Finance Law, this contract may not be assigned by the Contractor or its right, title or interest therein assigned, transferred, conveyed, sublet or otherwise disposed of without the State’s previous written consent, and attempts to do so are null and void. Notwithstanding the foregoing, such prior written consent of an assignment of a contract let pursuant to Article XI of the State Finance Law may be waived at the discretion of the contracting agency and with the concurrence of the State Comptroller where the original contract was subject to the State Comptroller’s approval, where the assignment is due to a reorganization, merger or consolidation of the Contractor’s business entity or enterprise. The State retains its right to approve an assignment and to require that any Contractor demonstrate its responsibility to do business with the State. The Contractor may, however, assign its right to receive payments without the State’s prior written consent unless this contract concerns Certificates of Participation pursuant to Article 5-A of the State Finance Law.

3. COMPTROLLER'S APPROVAL. In accordance with Section 112 of the State Finance Law (or, if this contract is with the State University or City University of New York, Section 355 or Section 6218 of the Education Law), if this contract exceeds $50,000 (or the minimum thresholds agreed to by the Office of the State Comptroller for certain S.U.N.Y. and C.U.N.Y. contracts), or if this is an amendment for any amount to a contract which, as so amended, exceeds said statutory amount, or if, by this contract, the State agrees to give something other than money when the value or reasonably estimated value of such consideration exceeds $10,000, it shall not be valid, effective or binding upon the State until it has been approved by the State Comptroller and filed in his office. Comptroller's approval of contracts let by the Office of General Services is required when such contracts exceed $85,000 (State Finance Law Section 163.6-a). However, such pre-approval shall not be required for any contract established as a centralized contract through the Office of General Services or for a purchase order or other transaction issued under such centralized contract.

4. WORKERS' COMPENSATION BENEFITS. In accordance with Section 142 of the State Finance Law, this contract shall be void and of no force and effect unless the Contractor shall provide and maintain coverage during the life of this contract for the benefit of such employees as are required to be covered by the provisions of the Workers' Compensation Law.

5. NON-DISCRIMINATION REQUIREMENTS. To the extent required by Article 15 of the Executive Law (also known as the Human Rights Law) and all other State and Federal statutory and constitutional non-discrimination provisions, the Contractor will not discriminate against any employee or applicant for employment because of race, creed, color, sex (including gender identity or expression), national origin, sexual orientation, military status, age, disability, predisposing genetic characteristics, marital status or domestic violence victim status. Furthermore, in accordance with Section 220-e of the Labor Law, if this is a contract for the construction, alteration or repair of any public building or public work or for the manufacture, sale or distribution of materials, equipment or supplies, and to the extent that this contract shall be performed within the State of New York, Contractor agrees that neither it nor its subcontractors shall, by reason of race, creed, color, disability, sex, or national origin: (a) discriminate in hiring against any New York State citizen who is qualified and available to perform the work; or (b) discriminate against or intimidate any employee hired for the performance of work under this contract. If this is a building service contract as defined in Section 230 of the Labor Law, then, in accordance with Section 239 thereof, Contractor agrees that neither it nor its subcontractors shall by reason of race, creed, color, national origin, age, sex or disability: (a) discriminate in hiring against any New York State citizen who is qualified and available to perform the work; or (b) discriminate against or intimidate any employee hired for the performance of work under this contract. Contractor is subject to fines of $50.00 per person per day for any violation of Section 220-e or Section 239 as well as possible termination of this contract and forfeiture of all moneys due hereunder for a second or subsequent violation.

6. WAGE AND HOURS PROVISIONS. If this is a public work contract covered by Article 8 of the Labor Law or a building service contract covered by Article 9 thereof, neither Contractor's employees nor the employees of its subcontractors may be required or permitted to work more than the number of hours or days stated in said statutes, except as otherwise provided in the Labor Law and as set forth in prevailing wage and supplement schedules issued by the State Labor Department. Furthermore, Contractor and its subcontractors must pay at least the prevailing wage rate and pay or provide the prevailing supplements, including the premium rates for overtime pay, as determined by the State Labor Department in accordance with the Labor Law. Additionally, effective April 28, 2008, if this is a public work contract covered by Article 8 of the Labor Law, the Contractor understands and agrees that the filing of payrolls in a manner consistent with Subdivision 3-a of Section 220 of the Labor Law shall be a condition precedent to payment by the State of any State approved sums due and owing for work done upon the project.

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7. NON-COLLUSIVE BIDDING CERTIFICATION. In accordance with Section 139-d of the State Finance Law, if this contract was awarded based upon the submission of bids, Contractor affirms, under penalty of perjury, that its bid was arrived at independently and without collusion aimed at restricting competition. Contractor further affirms that, at the time Contractor submitted its bid, an authorized and responsible person executed and delivered to the State a non-collusive bidding certification on Contractor's behalf.

8. INTERNATIONAL BOYCOTT PROHIBITION. In accordance with Section 220-f of the Labor Law and Section 139-h of the State Finance Law, if this contract exceeds $5,000, the Contractor agrees, as a material condition of the contract, that neither the Contractor nor any substantially owned or affiliated person, firm, partnership or corporation has participated, is participating, or shall participate in an international boycott in violation of the federal Export Administration Act of 1979 (50 USC App. Sections 2401 et seq.) or regulations thereunder. If such Contractor, or any of the aforesaid affiliates of Contractor, is convicted or is otherwise found to have violated said laws or regulations upon the final determination of the United States Commerce Department or any other appropriate agency of the United States subsequent to the contract's execution, such contract, amendment or modification thereto shall be rendered forfeit and void. The Contractor shall so notify the State Comptroller within five (5) business days of such conviction, determination or disposition of appeal (2NYCRR 105.4).

9. SET-OFF RIGHTS. The State shall have all of its common law, equitable and statutory rights of set-off. These rights shall include, but not be limited to, the State's option to withhold for the purposes of set-off any moneys due to the Contractor under this contract up to any amounts due and owing to the State with regard to this contract, any other contract with any State department or agency, including any contract for a term commencing prior to the term of this contract, plus any amounts due and owing to the State for any other reason including, without limitation, tax delinquencies, fee delinquencies or monetary penalties relative thereto. The State shall exercise its set-off rights in accordance with normal State practices including, in cases of set-off pursuant to an audit, the finalization of such audit by the State agency, its representatives, or the State Comptroller.

10. RECORDS. The Contractor shall establish and maintain complete and accurate books, records, documents, accounts and other evidence directly pertinent to performance under this contract (hereinafter, collectively, "the Records"). The Records must be kept for the balance of the calendar year in which they were made and for six (6) additional years thereafter. The State Comptroller, the Attorney General and any other person or entity authorized to conduct an examination, as well as the agency or agencies involved in this contract, shall have access to the Records during normal business hours at an office of the Contractor within the State of New York or, if no such office is available, at a mutually agreeable and reasonable venue within the State, for the term specified above for the purposes of inspection, auditing and copying. The State shall take reasonable steps to protect from public disclosure any of the Records which are exempt from disclosure under Section 87 of the Public Officers Law (the "Statute") provided that: (i) the Contractor shall timely inform an appropriate State official, in writing, that said records should not be disclosed; and (ii) said records shall be sufficiently identified; and (iii) designation of said records as exempt under the Statute is reasonable. Nothing contained herein shall diminish, or in any way adversely affect, the State's right to discovery in any pending or future litigation.

11. IDENTIFYING INFORMATION AND PRIVACY NOTIFICATION . (a) Identification Number(s). Every invoice or New York State Claim for Payment submitted to a New York State agency by a payee, for payment for the sale of goods or services or for transactions (e.g., leases, easements, licenses, etc.) related to real or personal property must include the payee's identification number. The number is any or all of the following: (i) the payee’s Federal employer identification number, (ii) the payee’s Federal social security number, and/or (iii) the payee’s Vendor Identification Number assigned by the Statewide Financial System. Failure to include such number or numbers may delay payment. Where the payee does not have such number or numbers, the payee, on its invoice or Claim for Payment, must give the reason or reasons why the payee does not have such number or numbers.

(b) Privacy Notification. (1) The authority to request the above personal information from a seller of goods or services or a lessor of real or personal property, and the authority to maintain such information, is found in Section 5 of the State Tax Law. Disclosure of this information by the seller or lessor to the State is mandatory. The principal purpose for which the information is collected is to enable the State to identify individuals, businesses and others who have been delinquent in filing tax returns or may have understated their tax liabilities and to generally identify persons affected by the taxes administered by the Commissioner of Taxation and Finance. The information will be used for tax administration purposes and for any other purpose authorized by law. (2) The personal information is requested by the purchasing unit of the agency contracting to purchase the goods or services or lease the real or personal property covered by this contract or lease. The information is maintained in the Statewide Financial System by the Vendor Management Unit within the Bureau of State Expenditures, Office of the State Comptroller, 110 State Street, Albany, New York 12236.

12. EQUAL EMPLOYMENT OPPORTUNITIES FOR MINORITIES AND WOMEN. In accordance with Section 312 of the Executive Law and 5 NYCRR 143, if this contract is: (i) a written agreement or purchase order instrument, providing for a total expenditure in excess of $25,000.00, whereby a contracting agency is committed to expend or does expend funds in return for labor, services, supplies, equipment, materials or any combination of the foregoing, to be performed for, or rendered or furnished to the contracting agency; or (ii) a written agreement in excess of $100,000.00 whereby a contracting agency is committed to expend or does expend funds for the acquisition, construction, demolition, replacement, major repair or renovation of real property and improvements thereon; or (iii) a written agreement in excess of $100,000.00 whereby the owner of a State assisted housing project is committed to

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expend or does expend funds for the acquisition, construction, demolition, replacement, major repair or renovation of real property and improvements thereon for such project, then the following shall apply and by signing this agreement the Contractor certifies and affirms that it is Contractor’s equal employment opportunity policy that:

(a) The Contractor will not discriminate against employees or applicants for employment because of race, creed, color, national origin, sex, age, disability or marital status, shall make and document its conscientious and active efforts to employ and utilize minority group members and women in its work force on State contracts and will undertake or continue existing programs of affirmative action to ensure that minority group members and women are afforded equal employment opportunities without discrimination. Affirmative action shall mean recruitment, employment, job assignment, promotion, upgradings, demotion, transfer, layoff, or termination and rates of pay or other forms of compensation;

(b) at the request of the contracting agency, the Contractor shall request each employment agency, labor union, or authorized representative of workers with which it has a collective bargaining or other agreement or understanding, to furnish a written statement that such employment agency, labor union or representative will not discriminate on the basis of race, creed, color, national origin, sex, age, disability or marital status and that such union or representative will affirmatively cooperate in the implementation of the Contractor's obligations herein; and

(c) the Contractor shall state, in all solicitations or advertisements for employees, that, in the performance of the State contract, all qualified applicants will be afforded equal employment opportunities without discrimination because of race, creed, color, national origin, sex, age, disability or marital status.

Contractor will include the provisions of "a", "b", and "c" above, in every subcontract over $25,000.00 for the construction, demolition, replacement, major repair, renovation, planning or design of real property and improvements thereon (the "Work") except where the Work is for the beneficial use of the Contractor. Section 312 does not apply to: (i) work, goods or services unrelated to this contract; or (ii) employment outside New York State. The State shall consider compliance by a contractor or subcontractor with the requirements of any federal law concerning equal employment opportunity which effectuates the purpose of this section. The contracting agency shall determine whether the imposition of the requirements of the provisions hereof duplicate or conflict with any such federal law and if such duplication or conflict exists, the contracting agency shall waive the applicability of Section 312 to the extent of such duplication or conflict. Contractor will comply with all duly promulgated and lawful rules and regulations of the Department of Economic Development’s Division of Minority and Women's Business Development pertaining hereto.

13. CONFLICTING TERMS. In the event of a conflict between the terms of the contract (including any and all attachments thereto and amendments thereof) and the terms of this Appendix A, the terms of this Appendix A shall control.

14. GOVERNING LAW. This contract shall be governed by the laws of the State of New York except where the Federal supremacy clause requires otherwise.

15. LATE PAYMENT. Timeliness of payment and any interest to be paid to Contractor for late payment shall be governed by Article 11-A of the State Finance Law to the extent required by law.

16. NO ARBITRATION. Disputes involving this contract, including the breach or alleged breach thereof, may not be submitted to binding arbitration (except where statutorily authorized), but must, instead, be heard in a court of competent jurisdiction of the State of New York.

17. SERVICE OF PROCESS. In addition to the methods of service allowed by the State Civil Practice Law & Rules ("CPLR"), Contractor hereby consents to service of process upon it by registered or certified mail, return receipt requested. Service hereunder shall be complete upon Contractor's actual receipt of process or upon the State's receipt of the return thereof by the United States Postal Service as refused or undeliverable. Contractor must promptly notify the State, in writing, of each and every change of address to which service of process can be made. Service by the State to the last known address shall be sufficient. Contractor will have thirty (30) calendar days after service hereunder is complete in which to respond.

18. PROHIBITION ON PURCHASE OF TROPICAL HARDWOODS. The Contractor certifies and warrants that all wood products to be used under this contract award will be in accordance with, but not limited to, the specifica tions and provisions of Section 165 of the State Finance Law, (Use of Tropical Hardwoods) which prohibits purchase and use of tropical hardwoods, unless specifically exempted, by the State or any governmental agency or political subdivision or public benefit corporation. Qualification for an exemption under this law will be the responsibility of the contractor to establish to meet with the approval of the State.

In addition, when any portion of this contract involving the use of woods, whether supply or installation, is to be performed by any subcontractor, the prime Contractor will indicate and certify in the submitted bid proposal that the subcontractor has been informed and is in compliance with specifications and provisions regarding use of tropical hardwoods as detailed in §165 State Finance Law.

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Any such use must meet with the approval of the State; otherwise, the bid may not be considered responsive. Under bidder certifications, proof of qualification for exemption will be the responsibility of the Contractor to meet with the approval of the State.

19. MACBRIDE FAIR EMPLOYMENT PRINCIPLES. In accordance with the MacBride Fair Employment Principles (Chapter 807 of the Laws of 1992), the Contractor hereby stipulates that the Contractor either (a) has no business operations in Northern Ireland, or (b) shall take lawful steps in good faith to conduct any business operations in Northern Ireland in accordance with the MacBride Fair Employment Principles (as described in Section 165 of the New York State Finance Law), and shall permit independent monitoring of compliance with such principles.

20. OMNIBUS PROCUREMENT ACT OF 1992. It is the policy of New York State to maximize opportunities for the participation of New York State business enterprises, including minority and women-owned business enterprises as bidders, subcontractors and suppliers on its procurement contracts.

Information on the availability of New York State subcontractors and suppliers is available from:

NYS Department of Economic DevelopmentDivision for Small BusinessAlbany, New York 12245Telephone: 518-292-5100Fax: 518-292-5884email: opa@esd.ny.gov

A directory of certified minority and women-owned business enterprises is available from:

NYS Department of Economic DevelopmentDivision of Minority and Women's Business Development633 Third AvenueNew York, NY 10017212-803-2414email: mwbecertification@esd.ny.govMWBE Directory

The Omnibus Procurement Act of 1992 requires that by signing this bid proposal or contract, as applicable, Contractors certify that whenever the total bid amount is greater than $1 million:

(a) The Contractor has made reasonable efforts to encourage the participation of New York State Business Enterprises as suppliers and subcontractors, including certified minority and women-owned business enterprises, on this project, and has retained the documentation of these efforts to be provided upon request to the State;

(b) The Contractor has complied with the Federal Equal Opportunity Act of 1972 (P.L. 92-261), as amended;

(c) The Contractor agrees to make reasonable efforts to provide notification to New York State residents of employment opportunities on this project through listing any such positions with the Job Service Division of the New York State Department of Labor, or providing such notification in such manner as is consistent with existing collective bargaining contracts or agreements. The Contractor agrees to document these efforts and to provide said documentation to the State upon request; and

(d) The Contractor acknowledges notice that the State may seek to obtain offset credits from foreign countries as a result of this contract and agrees to cooperate with the State in these efforts.

21. RECIPROCITY AND SANCTIONS PROVISIONS. Bidders are hereby notified that if their principal place of business is located in a country, nation, province, state or political subdivision that penalizes New York State vendors, and if the goods or services they offer will be substantially produced or performed outside New York State, the Omnibus Procurement Act 1994 and 2000 amendments (Chapter 684 and Chapter 383, respectively) require that they be denied contracts which they would otherwise obtain. NOTE: As of May 15, 2002, the list of discriminatory jurisdictions subject to this provision includes the states of South Carolina, Alaska, West Virginia, Wyoming, Louisiana and Hawaii. Contact NYS Department of Economic Development for a current list of jurisdictions subject to this provision.

22. COMPLIANCE WITH NEW YORK STATE INFORMATION SECURITY BREACH AND NOTIFICATION ACT. Contractor shall comply with the provisions of the New York State Information Security Breach and Notification Act (General Business Law Section 899-aa; State Technology Law Section 208).

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23. COMPLIANCE WITH CONSULTANT DISCLOSURE LAW. If this is a contract for consulting services, defined for purposes of this requirement to include analysis, evaluation, research, training, data processing, computer programming, engineering, environmental, health, and mental health services, accounting, auditing, paralegal, legal or similar services, then, in accordance with Section 163 (4-g) of the State Finance Law (as amended by Chapter 10 of the Laws of 2006), the Contractor shall timely, accurately and properly comply with the requirement to submit an annual employment report for the contract to the agency that awarded the contract, the Department of Civil Service and the State Comptroller.

24. PROCUREMENT LOBBYING. To the extent this agreement is a "procurement contract" as defined by State Finance Law Sections 139-j and 139-k, by signing this agreement the contractor certifies and affirms that all disclosures made in accordance with State Finance Law Sections 139-j and 139-k are complete, true and accurate. In the event such certification is found to be intentionally false or intentionally incomplete, the State may terminate the agreement by providing written notification to the Contractor in accordance with the terms of the agreement.

25. CERTIFICATION OF REGISTRATION TO COLLECT SALES AND COMPENSATING USE TAX BY CERTAIN STATE CONTRACTORS, AFFILIATES AND SUBCONTRACTORS . To the extent this agreement is a contract as defined by Tax Law Section 5-a, if the contractor fails to make the certification required by Tax Law Section 5-a or if during the term of the contract, the Department of Taxation and Finance or the covered agency, as defined by Tax Law 5-a, discovers that the certification, made under penalty of perjury, is false, then such failure to file or false certification shall be a material breach of this contract and this contract may be terminated, by providing written notification to the Contractor in accordance with the terms of the agreement, if the covered agency determines that such action is in the best interest of the State.

26. IRAN DIVESTMENT ACT.  By entering into this Agreement, Contractor certifies in accordance with State Finance Law §165-a that it is not on the “Entities Determined to be Non-Responsive Bidders/Offerers pursuant to the New York State Iran Divestment Act of 2012” (“Prohibited Entities List”).

Contractor further certifies that it will not utilize on this Contract any subcontractor that is identified on the Prohibited Entities List. Contractor agrees that should it seek to renew or extend this Contract, it must provide the same certification at the time the Contract is renewed or extended. Contractor also agrees that any proposed Assignee of this Contract will be required to certify that it is not on the Prohibited Entities List before the contract assignment will be approved by the State.

During the term of the Contract, should the state agency receive information that a person (as defined in State Finance Law §165-a) is in violation of the above-referenced certifications, the state agency will review such information and offer the person an opportunity to respond. If the person fails to demonstrate that it has ceased its engagement in the investment activity which is in violation of the Act within 90 days after the determination of such violation, then the state agency shall take such action as may be appropriate and provided for by law, rule, or contract, including, but not limited to, imposing sanctions, seeking compliance, recovering damages, or declaring the Contractor in default.

The state agency reserves the right to reject any bid, request for assignment, renewal or extension for an entity that appears on the Prohibited Entities List prior to the award, assignment, renewal or extension of a contract, and to pursue a responsibility review with respect to any entity that is awarded a contract and appears on the Prohibited Entities list after contract award.

(January 2014)

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APPENDIX A-1 G

General

A. In the event that the Contractor shall receive, from any source whatsoever, sums the payment of which is in consideration for the same costs and services provided to the State, the monetary obligation of the State hereunder shall be reduced by an equivalent amount provided, however, that nothing contained herein shall require such reimbursement where additional similar services are provided and no duplicative payments are received.

B. This agreement is subject to applicable Federal and State Laws and regulations and the policies and procedures stipulated in the NYS Education Department Fiscal Guidelines found at http:/www.nysed.gov/cafe/.

C. For each individual for whom costs are claimed under this agreement, the contractor warrants that the individual has been classified as an employee or as an independent contractor in accordance with 2 NYCRR 315 and all applicable laws including, but not limited to, the Internal Revenue Code, the New York Retirement and Social Security Law, the New York Education Law, the New York Labor Law, and the New York Tax Law. Furthermore, the contractor warrants that all project funds allocated to the proposed budget for Employee Benefits, represent costs for employees of the contractor only and that such funds will not be expended on any individual classified as an independent contractor.

D. Any modification to this Agreement that will result in a transfer of funds among program activities or budget cost categories, but does not affect the amount, consideration, scope or other terms of this Agreement must be approved by the Commissioner of Education and the Office of the State Comptroller when:

a. The amount of the modification is equal to or greater than ten percent of the total value of the contract for contracts of less than five million dollars; or

b. The amount of the modification is equal to or greater than five percent of the total value of the contract for contracts of more than five million dollars.

E. Funds provided by this contract may not be used to pay any expenses of the State Education Department or any of its employees.

TerminationsA. The State may terminate this Agreement without cause by thirty (30) days prior written notice. In the event of such

termination, the parties will adjust the accounts due and the Contractor will undertake no additional expenditures not already required. Upon any such termination, the parties shall endeavor in an orderly manner to wind down activities hereunder.

Responsibility ProvisionsA. General Responsibility Language

The Contractor shall at all times during the Contract term remain responsible. The Contractor agrees, if requested by the Commissioner of Education or his or her designee, to present evidence of its continuing legal authority to do business in New York State, integrity, experience, ability, prior performance, and organizational and financial capacity.

B. Suspension of Work (for Non-Responsibility)The Commissioner of Education or his or her designee, in his or her sole discretion, reserves the right to suspend any or all activities under this Contract, at any time, when he or she discovers information that calls into question the responsibility of the Contractor. In the event of such suspension, the Contractor will be given written notice outlining the particulars of such suspension. Upon issuance of such notice, the Contractor must comply with the terms of the suspension order. Contract activity may resume at such time as the Commissioner of Education or his or her designee issues a written notice authorizing a resumption of performance under the Contract.

C. Termination (for Non-Responsibility)Upon written notice to the Contractor, and a reasonable opportunity to be heard with appropriate SED officials or staff, the Contract may be terminated by the Commissioner of Education or his or her designee at the Contractor’s expense where the Contractor is determined by the Commissioner of Education or his or her designee to be non-responsible.

In such event, the Commissioner or his or her designee may complete the contractual requirements in any manner he or she may deem advisable and pursue available legal or equitable remedies for breach.

Safeguards for Services and ConfidentialityA. Any copyrightable work produced pursuant to said agreement shall be the sole and exclusive property of the New

York State Education Department. The material prepared under the terms of this agreement by the Contractor shall be prepared by the Contractor in a form so that it will be ready for copyright in the name of the New York State Education Department. Should the Contractor use the services of consultants or other organizations or individuals who are not regular employees of the Contractor, the Contractor and such organization or individual shall, prior to the performance of any work pursuant to this agreement, enter into a written agreement, duly executed, which shall set forth the services to be provided by such organization or individual and the consideration therefor. Such agreement shall provide that any copyrightable work produced pursuant to said agreement shall be the sole and exclusive property of the New York State Education Department and that such work shall be prepared in a form ready for copyright by the New York State Education Department. A copy of such agreement shall be provided to the State.

B. All reports of research, studies, publications, workshops, announcements, and other activities funded as a result of this proposal will acknowledge the support provided by the State of New York.

C. This agreement cannot be modified, amended, or otherwise changed except by a written agreement signed by all parties to this contract.

D. No failure to assert any rights or remedies available to the State under this agreement shall be considered a waiver of such right or remedy or any other right or remedy unless such waiver is contained in a writing signed by the party alleged to have waived its right or remedy.

E. Expenses for travel, lodging, and subsistence shall be reimbursed in accordance with the policies stipulated in the aforementioned Fiscal guidelines.

F. No fees shall be charged by the Contractor for training provided under this agreement.

G. Nothing herein shall require the State to adopt the curriculum developed pursuant to this agreement.

H. All inquiries, requests, and notifications regarding this agreement shall be directed to the Program Contact or Fiscal Contact shown on the Grant Award included as part of this agreement.

I. This agreement, including all appendices, is, upon signature of the parties and the approval of the Attorney General and the State Comptroller, a legally enforceable contract. Therefore, a signature on behalf of the Contractor will bind the Contractor to all the terms and conditions stated therein.

J. The parties to this agreement intend the foregoing writing to be the final, complete, and exclusive expression of all the terms of their agreement.

Rev. 5/12/14

APPENDIX RDATA SECURITY AND PRIVACY PLAN PROVISIONS

1. The individually identifiable data provided to or stored by the Contractor pursuant to this agreement (the "Data") are sensitive, requiring appropriate levels of security to prevent unauthorized disclosure or modification. The Contractor shall take all reasonable measures to protect the confidentiality of the Data as required by federal and state laws and regulations applicable to the Contractor. These may include but are not limited to the New York State Social Services Law, Personal Privacy Protection Law and Education Law §2-d; the federal Social Security Act and Family Educational Rights and Privacy Act; internet security laws; and any regulations promulgated thereunder.

2. The Contractor has full and final responsibility for the security of the Data. The Contractor agrees to implement reasonable technical and physical security measures to ensure the confidentiality, integrity and availability of the Data. Such security measures may be reviewed by the State, both through an informal audit of policies and procedures and/or through inspection of security methods used within the Contractor's infrastructure, storage, and other physical security. The Contractor should review its implementation and maintenance of its security review periodically to protect the data in strict compliance with statutory and regulatory requirements.

3. The Contractor's security measures must also include:

a. Provision that access to the Data is restricted solely to staff who need such access to carry out the responsibilities of the Contractor under this agreement, and that such staff will not release such Data to any unauthorized party;

b. All confidential Data are stored on computer and storage facilities maintained within Contractor's computer networks, behind appropriate firewalls;

c. Access to computer applications and Data are managed through appropriate userID/password procedures;

d. Contractor's computer network storing the Data is scanned for inappropriate access through an intrusion detection system. NYSED has the right to perform a site visit to review the vendor’s security practices if NYSED feels it is necessary;

e. That Contractor have a disaster recovery plan that is acceptable to the State;f. Satisfactory redundant and uninterruptible power and fiber infrastructure

provisions; andg. A copy of the Contractor's security review evidencing compliance with these

requirements must be submitted to NYSED for review and approval within 6 months of the signing of the contract or before the first certification test is performed, whichever occurs first.

4. The Data must be returned to NYSED upon termination or expiration of this Agreement, or at such point that the Data are no longer needed for the purpose referenced in this Agreement, or, at the sole discretion of NYSED, securely destroyed. All hard copies of personally identifiable Data in the possession of the Contractor must be securely destroyed, and all electronic Data must be purged from the network in a manner that does not permit retrieval of the data. The contractor is specifically prohibited from commingling any data from outside sources into the Data received

from NYSED, except as specifically authorized by NYSED.

5. If personally identifiable data of students, teachers or building principals will be disclosed to the Contractor by NYSED for purposes of the Contractor providing services to NYSED, the Contractor must comply with the following requirements of Education Law §2-d (Chapter 56, Subpart L of the Laws of 2014) and any implementing regulations:

a. Any officers or employees of the third party contractor and its assignees who have access to student data or teacher or principal data have received or will receive training on the federal and state law governing confidentiality of such data prior to receiving access;

b. limit internal access to education records to those individuals that are determined to have legitimate educational interests;

c. not use the education records for any other purposes than those explicitly authorized in its contract;d. except for authorized representatives of the third party contractor to the extent they are carrying out

the contract, not disclose any personally identifiable information to any other party:(i) without the prior written consent of the parent or eligible student; or(ii) unless required by statute or court order and the party provides a notice of the disclosure to the department, district board of education, or institution that provided the information no later than the time the information is disclosed, unless providing notice of the disclosure is expressly prohibited by the statute or court order;

e. maintain reasonable administrative, technical and physical safeguards to protect the security, confidentiality and integrity of personally identifiable student information in its custody; and

f. use encryption technology consistent with Education Law §2-d and any implementing regulations.

6. If requested by NYSED to make any disclosure of aggregated data using the Data provided to or stored by the Contractor, Contractor must ensure that the disclosed aggregated data cannot reasonably be used to identify a particular individual. Aggregated data will be considered identifiable if the disclosure has less than five (5) data elements per cell or the data elements per cell comprise 100% of the subject population.

7. Contractor agrees that all Data shall remain at all times the property of the State, and may not be used for any purpose other than the purpose outlined in this Agreement without the express written permission of NYSED. The Contractor has no ownership of or licensing rights to the Data except as provided in this Agreement, and Contractor specifically agrees that it will not sell, give or otherwise transfer the Data to any third party without NYSED’s express prior approval.

8. The Contractor must ensure that these confidentiality and security provisions apply to any subcontractor engaged by the Contractor for the work under this agreement. The Contractor shall take full responsibility for the acts and omissions of its subcontractors, and the use of subcontractors shall not impair the rights of NYSED against the Contractor in accordance with this Agreement.

9. Hardware, software and services acquired by the Contractor under this Agreement may not be used for other activities beyond those described in the scope of the contract unless authorized in advance by NYSED.

10. Security of Location - Server room will remain a restricted access, locked room with access via security cards. The list of staff with access to the server

room will continue to be reviewed quarterly against the number of times each staff actually gained access to the server room.

11. Breach Notification.

a. Contractor that receives student data or teacher or principal data pursuant to a contract or other written agreement with an educational agency shall be required to notify such educational agency of any breach of security resulting in an unauthorized release of such data in accordance with Education Law §2-d and any implementing regulations. Upon such notification, the educational agency shall take appropriate action in accordance with Education Law §2-d and any implementing regulations.

b. In the event that the State is required, pursuant to Education Law §2-d(6)(b), to notify one or more parent, eligible student, teacher or principal of an unauthorized release of student data by the Contractor or its assignee, the Contractor shall promptly reimburse the State for the full cost of such notification.

c. Contractor acknowledges that it may be subject to penalties under Education Law §§2-d(6)and 2-d(7) for unauthorized disclosure of personally identifiable student, teacher or principal data.

d. Contractor agrees that it will cooperate and promptly comply with any inquiries from the State based upon the State’s receipt of a complaint or other information indicating that an improper or unauthorized disclosure of personally identifiable information may have occurred. Contractor will permit on-site examination and inspection, and will provide at its own cost necessary documentation or testimony of any employee, representative or assignee of Contractor relating to the alleged improper disclosure of data.

APPENDIX S

PARENTS’ BILL OF RIGHTS

FOR DATA PRIVACY AND SECURITY

To satisfy their responsibilities regarding the provision of education to students in pre-kindergarten through grade twelve, “educational agencies” (as defined below) in the State of New York collect and maintain certain personally identifiable information from the education records of their students. As part of the Common Core Implementation Reform Act, Education Law §2-d requires that each educational agency in the State of New York must develop a Parents’ Bill of Rights for Data Privacy and Security (Parents’ Bill of Rights). The Parents’ Bill of Rights must be published on the website of each educational agency, and must be included with every contract the educational agency enters into with a “third party contractor” (as defined below) where the third party contractor receives student data, or certain protected teacher/principal data related to Annual Professional Performance Reviews that is designated as confidential pursuant to Education Law §3012-c (“APPR data”).

The purpose of the Parents’ Bill of Rights is to inform parents (which also include legal guardians or persons in parental relation to a student, but generally not the parents of a student who is age eighteen or over) of the legal requirements regarding privacy, security and use of student data. In addition to the federal Family Educational Rights and Privacy Act (FERPA), Education Law §2-d provides important new protections for student data, and new remedies for breaches of the responsibility to maintain the security and confidentiality of such data.

A. What are the essential parents’ rights under the Family Educational Rights and Privacy Act (FERPA) relating to personally identifiable information in their child’s student records?

The rights of parents under FERPA are summarized in the Model Notification of Rights prepared by the United States Department of Education for use by schools in providing annual notification of rights to parents. It can be accessed on the USDOE website and a copy is attached to this Parents’ Bill of Rights. Complete student records are maintained by schools and school districts, and not at the New York State Education Department (NYSED). Further, NYSED would need to establish and implement a means to verify a parent’s identity and right of access to records before processing a request for records to the school or school district. Therefore, requests to access student records will be most efficiently managed at the school or school district level.

Parents’ rights under FERPA include:

1. The right to inspect and review the student's education records within 45 days after the day the school or school district receives a request for access.

2. The right to request amendment of the student’s education records that the parent or eligible student believes are inaccurate, misleading, or otherwise in violation of the student’s privacy rights under FERPA. Complete student records are maintained by schools and school districts and not at NYSED, which is the

secondary repository of data, and NYSED make amendments to school or school district records. Schools and school districts are in the best position to make corrections to students’ education records.

3. The right to provide written consent before the school discloses personally identifiable information (PII) from the student's education records, except to the extent that FERPA authorizes disclosure without consent (including but not limited to disclosure under specified conditions to: (i) school officials within the school or school district with legitimate educational interests; (ii) officials of another school for purposes of enrollment or transfer; (iii) third party contractors providing services to, or performing functions for an educational agency; (iv) authorized representatives of the U. S. Comptroller General, the U. S. Attorney General, the U.S. Secretary of Education, or State and local educational authorities, such as NYSED; (iv) (v) organizations conducting studies for or on behalf of educational agencies) and (vi) the public where the school or school district has designated certain student data as “directory information” (described below). The attached FERPA Model Notification of Rights more fully describes the exceptions to the consent requirement under FERPA).

4. Where a school or school district has a policy of releasing “directory information” from student records, the parent has a right to refuse to let the school or school district designate any all of such information as directory information. Directory information, as defined in federal regulations, includes: the student’s name, address, telephone number, email address, photograph, date and place of birth, major field of study, grade level, enrollment status, dates of attendance, participation in officially recognized activities and sports, weight and height of members of athletic teams, degrees, honors and awards received and the most recent educational agency or institution attended. Where disclosure without consent is otherwise authorized under FERPA, however, a parent’s refusal to permit disclosure of directory information does not prevent disclosure pursuant to such separate authorization.

5. The right to file a complaint with the U.S. Department of Education concerning alleged failures by the School to comply with the requirements of FERPA.

B. What are parents’ rights under the Personal Privacy Protection Law (PPPL), Article 6-A of the Public Officers Law relating to records held by State agencies?

The PPPL (Public Officers Law §§91-99) applies to all records of State agencies and is not specific to student records or to parents. It does not apply to school districts or other local educational agencies. It imposes duties on State agencies to have procedures in place to protect from disclosure of “personal information,” defined as information which because of a name, number, symbol, mark or other identifier, can be used to identify a “data subject” (in this case the student or the student’s parent). Like FERPA, the PPPL confers a right on the data subject (student or the student’s parent) to access to State agency records relating to them and requires State agencies to have procedures for correction or amendment of records.

A more detailed description of the PPPL is available from the Committee on Open Government of the New York Department of State. Guidance on what you should know about the PPPL can be accessed at the New York Department of State website. The Committee on Open Government’s address is Committee on Open Government, Department of State, One Commerce Plaza, 99 Washington Avenue, suite 650, Albany, NY 12231, their email address is coog@dos.ny.gov, and their telephone number is (518) 474-2518.

C. Parents’ Rights Under Education Law §2-d relating to Unauthorized Release of Personally Identifiable Information

1. What “educational agencies” are included in the requirements of Education Law §2-d?

The New York State Education Department (“NYSED”);

Each public school district; Each Board of Cooperative Educational Services or BOCES; and All schools that are:

o a public elementary or secondary school; o a universal pre-kindergarten program authorized pursuant to Education Law §3602-e;o an approved provider of preschool special education services;o any other publicly funded pre-kindergarten program; o a school serving children in a special act school district as defined in Education Law 4001; oro certain schools for the education of students with disabilities - an approved private school, a state-

supported school subject to the provisions of Education Law Article 85, or a state-operated school subject to Education Law Article 87 or 88.

2. What kind of student data is subject to the confidentiality and security requirements of Education Law §2-d?

The law applies to personally identifiable information contained in student records of an educational agency listed above. The term “student” refers to any person attending or seeking to enroll in an educational agency, and the term “personally identifiable information” (“PII”) uses the definition provided in FERPA. Under FERPA, personally identifiable information or PII includes, but is not limited to:

(a) The student’s name; (b) The name of the student’s parent or other family members; (c) The address of the student or student’s family; (d) A personal identifier, such as the student’s social security number, student number, or biometric record;

(e) Other indirect identifiers, such as the student’s date of birth, place of birth, and Mother’s Maiden Name1; (f) Other information that, alone or in combination, is linked or linkable to a specific student that would allow a reasonable person in the school community, who does not have personal knowledge of the relevant circumstances, to identify the student with reasonable certainty; or (g) Information requested by a person who the educational agency or institution reasonably believes knows the identity of the student to whom the education record relates.

3. What kind of student data is not subject to the confidentiality and security requirements of Education Law §2-d?

The confidentiality and privacy provisions of Education Law §2-d and FERPA extend only to PII, and not to student data that is not personally identifiable. Therefore, de-identified data (e.g., data regarding students that uses random identifiers), aggregated data (e.g., data reported at the school district level) or anonymized data that could not be used to identify a particular student is not considered to be PII and is not within the purview of Education Law §2-d or within the scope of this Parents’ Bill of Rights.

4. What are my rights under Education Law § 2-d as a parent regarding my student’s PII?

Education Law §2-d ensures that, in addition to all of the protections and rights of parents under the federal FERPA law, certain rights will also be provided under the Education Law. These rights include, but are not limited to, the following elements:

1 Please note that NYSED does not collect certain information defined in FERPA, such as students’ social security numbers, biometric records, mother’s maiden name (unless used as the mother’s legal name).

(A) A student's PII cannot be sold or released by the educational agency for any commercial or marketing purposes.

o PII may be used for purposes of a contract that provides payment to a vendor for providing services to an educational agency as permitted by law.

o However, sale of PII to a third party solely for commercial purposes or receipt of payment by an educational agency, or disclosure of PII that is not related to a service being provided to the educational agency, is strictly prohibited.

(B) Parents have the right to inspect and review the complete contents of their child's education record including any student data stored or maintained by an educational agency.

o This right of inspection is consistent with the requirements of FERPA. In addition to the right of inspection of the educational record, Education Law §2-d provides a specific right for parents to inspect or receive copies of any data in the student’s educational record.

o NYSED will develop policies for annual notification by educational agencies to parents regarding the right to request student data. Such policies will specify a reasonable time for the educational agency to comply with such requests.

o The policies will also require security measures when providing student data to parents, to ensure that only authorized individuals receive such data. A parent may be asked for information or verifications reasonably necessary to ensure that he or she is in fact the student’s parent and is authorized to receive such information pursuant to law.

(C) State and federal laws protect the confidentiality of PII, and safeguards associated with industry standards and best practices, including, but not limited to, encryption, firewalls, and password protection, must be in place when data is stored or transferred.

Education Law §2-d also specifically provides certain limitations on the collection of data by educational agencies, including, but not limited to:

(A) A mandate that, except as otherwise specifically authorized by law, NYSED shall only collect PII relating to an educational purpose;

(B) NYSED may only require districts to submit PII, including data on disability status and student suspensions, where such release is required by law or otherwise authorized under FERPA and/or the New York State Personal Privacy Law; and

(C) Except as required by law or in the case of educational enrollment data, school districts shall not report to NYSED student data regarding juvenile delinquency records, criminal records, medical and health records or student biometric information.

(D) Parents may access the NYSED Student Data Elements List, a complete list of all student data elements collected by NYSED, or may obtain a copy of this list by writing to the Office of Information & Reporting Services, New York State Education Department, Room 863 EBA, 89 Washington Avenue, Albany, NY 12234; and

(E) Parents have the right to file complaints with an educational agency about possible breaches of student data by that educational agency’s third party contractors or their employees, officers, or assignees, or with NYSED. Complaints to NYSED should be directed in writing to the Chief Privacy Officer, New York State Education Department, 89 Washington Avenue, Albany NY 12234, email to CPO@mail.nysed.gov.

The complaint process is under development and will be established through regulations to be proposed by NYSED’s Chief Privacy Officer, who has not yet been appointed.

o Specifically, the Commissioner of Education, after consultation with the Chief Privacy Officer, will promulgate regulations establishing procedures for the submission of complaints from parents, classroom teachers or building principals, or other staff of an educational agency, making allegations of improper disclosure of student data and/or teacher or principal APPR data by a third party contractor or its officers, employees or assignees.

o When appointed, the Chief Privacy Officer of NYSED will also provide a procedure within NYSED whereby parents, students, teachers, superintendents, school board members, principals, and other persons or entities may request information pertaining to student data or teacher or principal APPR data in a timely and efficient manner.

5. Must additional elements be included in the Parents’ Bill of Rights.?

Yes. For purposes of further ensuring confidentiality and security of student data, as an appendix to the Parents’ Bill of Rights each contract an educational agency enters into with a third party contractor shall include the following supplemental information:

(A) the exclusive purposes for which the student data, or teacher or principal data, will be used;

(B) how the third party contractor will ensure that the subcontractors, persons or entities that the third party contractor will share the student data or teacher or principal data with, if any, will abide by data protection and security requirements;

(C) when the agreement with the third party contractor expires and what happens to the student data or teacher or principal data upon expiration of the agreement;

(D) if and how a parent, student, eligible student, teacher or principal may challenge the accuracy of the student data or teacher or principal data that is collected; and

(E) where the student data or teacher or principal data will be stored (described in such a manner as to protect data security), and the security protections taken to ensure such data will be protected, including whether such data will be encrypted.

a. In addition, the Chief Privacy Officer, with input from parents and other education and expert stakeholders, is required to develop additional elements of the Parents’ Bill of Rights to be prescribed in Regulations of the Commissioner.

6. What protections are required to be in place if an educational agency contracts with a third party contractor to provide services, and the contract requires the disclosure of PII to the third party contractor?

Education Law §2-d provides very specific protections for contracts with “third party contractors”, defined as any person or entity, other than an educational agency, that receives student data or teacher or principal data from an educational agency pursuant to a contract or other written agreement for purposes of providing services to such educational agency. The term “third party contractor” also includes an educational partnership organization that receives student and/or teacher or principal APPR data from a school district to carry out its responsibilities pursuant to Education Law §211-e, and a not-for-profit corporation or other non-profit organization, which are not themselves covered by the definition of an “educational agency.”

Services of a third party contractor covered under Education Law §2-d include, but not limited to, data management or storage services, conducting studies for or on behalf of the educational agency, or audit or evaluation of publicly funded programs.

When an educational agency enters into a contract with a third party contractor, under which the third party contractor will receive student data, the contract or agreement must include a data security and privacy plan that outlines how all state, federal, and local data security and privacy contract requirements will be implemented over the life of the contract, consistent with the educational agency's policy on data security and privacy. However, the standards for an educational agency’s policy on data security and privacy must be prescribed in Regulations of the Commissioner that have not yet been promulgated. A signed copy of the Parents’ Bill of Rights must be included, as well as a requirement that any officers or employees of the third party contractor and its assignees who have access to student data or teacher or principal data have received or will receive training on the federal and state law governing confidentiality of such data prior to receiving access.

Each third party contractor that enters into a contract or other written agreement with an educational agency under which the third party contractor will receive student data or teacher or principal data shall:

o limit internal access to education records to those individuals that are determined to have legitimate educational interests

o not use the education records for any other purposes than those explicitly authorized in its contract;

o except for authorized representatives of the third party contractor to the extent they are carrying out the contract, not disclose any PII to any other party (i) without the prior written consent of the parent or eligible student; or (ii) unless required by statute or court order and the party provides a notice of the disclosure to NYSED, district board of education, or institution that provided the information no later than the time the information is disclosed, unless providing notice of the disclosure is expressly prohibited by the statute or court order;

o maintain reasonable administrative, technical and physical safeguards to protect the security, confidentiality and integrity of PII in its custody; and

o use encryption technology to protect data while in motion or in its custody from unauthorized disclosure.

7. What steps can and must be taken in the event of a breach of confidentiality or security?

Upon receipt of a complaint or other information indicating that a third party contractor may have improperly disclosed student data, or teacher or principal APPR data, NYSED’s Chief Privacy Officer is authorized to investigate, visit, examine and inspect the third party contractor's facilities and records and obtain documentation from, or require the testimony of, any party relating to the alleged improper disclosure of student data or teacher or principal APPR data.

Where there is a breach and unauthorized release of PII by a by a third party contractor or its assignees (e.g., a subcontractor): (i) the third party contractor must notify the educational agency of the breach in the most expedient way possible and without unreasonable delay; (ii) the educational agency must notify the parent in the most expedient way possible and without unreasonable delay; and (iii) the third party contractor may be subject to certain penalties including, but not limited to, a monetary fine; mandatory training regarding federal and state law governing the confidentiality of student data, or teacher or principal APPR data; and preclusion from accessing any student data, or teacher or principal APPR data, from an educational agency for a fixed period up to five years.

8. Data Security and Privacy Standards

Upon appointment, NYSED’s Chief Privacy Officer will be required to develop, with input from experts, standards for educational agency data security and privacy policies. The Commissioner will then promulgate regulations implementing these data security and privacy standards.

9. No Private Right of Action

Please note that Education Law §2-d explicitly states that it does not create a private right of action against NYSED or any other educational agency, such as a school, school district or BOCES.

ATTACHMENT

Model Notification of Rights under FERPA for Elementary and Secondary Schools

The Family Educational Rights and Privacy Act (FERPA) affords parents and students who are 18 years of age or older ("eligible students") certain rights with respect to the student's education records. These rights are:

1. The right to inspect and review the student's education records within 45 days after the day the [Name of school (“School”)] receives a request for access.

Parents or eligible students should submit to the school principal [or appropriate school official] a written request that identifies the records they wish to inspect. The school official will make arrangements for access and notify the parent or eligible student of the time and place where the records may be inspected.

2. The right to request the amendment of the student’s education records that the parent or eligible student believes are inaccurate, misleading, or otherwise in violation of the student’s privacy rights under FERPA.

Parents or eligible students who wish to ask the [School] to amend a record should write the school principal [or appropriate school official], clearly identify the part of the record they want changed, and specify why it should be changed. If the school decides not to amend the record as requested by the parent or eligible student, the school will notify the parent or eligible student of the decision and of their right to a hearing regarding the request for amendment. Additional information regarding the hearing procedures will be provided to the parent or eligible student when notified of the right to a hearing.

3. The right to provide written consent before the school discloses personally identifiable information (PII) from the student's education records, except to the extent that FERPA authorizes disclosure without con-sent.

One exception, which permits disclosure without consent, is disclosure to school officials with legitimate educational interests. A school official is a person employed by the school as an administrator, supervisor, instructor, or support staff member (including health or medical staff and law enforcement unit personnel) or a person serving on the school board. A school official also may include a volunteer or contractor outside of the school who performs an institutional service of function for which the school would otherwise use its own employees and who is under the direct control of the school with respect to the use and maintenance of PII from education records, such as an attorney, auditor, medical consultant, or therapist; a parent or student volunteering to serve on an official committee, such as a disciplinary or grievance committee; or a parent, student, or other volunteer assisting another school official in performing his or her tasks. A school official has a legitimate educational interest if the official needs to review an education record in order to fulfill his or her professional responsibility.

[Optional] Upon request, the school discloses education records without consent to officials of another school district in which a student seeks or intends to enroll, or is already enrolled if the disclosure is for purposes of the student’s enrollment or transfer. [NOTE: FERPA requires a school district to make a reasonable attempt to notify the parent or student of the records request unless it states in its annual notification that it intends to forward records on request.]

4. The right to file a complaint with the U.S. Department of Education concerning alleged failures by the [School] to comply with the requirements of FERPA. The name and address of the Office that administers FERPA are:

Family Policy Compliance Office

U.S. Department of Education

400 Maryland Avenue, SW

Washington, DC 20202

[NOTE: In addition, a school may want to include its directory information public notice, as required by §99.37 of the regulations, with its annual notification of rights under FERPA.]

[Optional] See the list below of the disclosures that elementary and secondary schools may make without consent.

FERPA permits the disclosure of PII from students’ education records, without consent of the parent or eligible student, if the disclosure meets certain conditions found in §99.31 of the FERPA regulations. Except for disclosures to school officials, disclosures related to some judicial orders or lawfully issued subpoenas, disclosures of directory information, and disclosures to the parent or eligible student, §99.32 of the FERPA regulations requires the school to record the disclosure. Parents and eligible students have a right to inspect and review the record of disclosures. A school may disclose PII from the education records of a student without obtaining prior written consent of the parents or the eligible student –

To other school officials, including teachers, within the educational agency or institution whom the school has determined to have legitimate educational interests. This includes contractors, consultants, volunteers, or other parties to whom the school has outsourced institutional services or functions, provided that the conditions listed in §99.31(a)(1)(i)(B)(1) - (a)(1)(i)(B)(2) are met. (§99.31(a)(1))

To officials of another school, school system, or institution of postsecondary education where the student seeks or intends to enroll, or where the student is already enrolled if the disclosure is for purposes related to the student’s enrollment or transfer, subject to the requirements of §99.34. (§99.31(a)(2))

To authorized representatives of the U. S. Comptroller General, the U. S. Attorney General, the U.S. Secretary of Education, or State and local educational authorities, such as the State educational agency in the parent or eligible student’s State (SEA). Disclosures under this provision may be made, subject to the requirements of §99.35, in connection with an audit or evaluation of Federal- or State-supported education programs, or for the enforcement of or compliance with Federal legal requirements that relate to those programs. These entities may make further disclosures of PII to outside entities that are designated by them as their authorized representatives to conduct any audit, evaluation, or enforcement or compliance activity on their behalf. (§§99.31(a)(3) and 99.35)

In connection with financial aid for which the student has applied or which the student has received, if the information is necessary to determine eligibility for the aid, determine the amount of the aid, determine the conditions of the aid, or enforce the terms and conditions of the aid. (§99.31(a)(4))

To State and local officials or authorities to whom information is specifically allowed to be reported or disclosed by a State statute that concerns the juvenile justice system and the system’s ability to effectively serve, prior to adjudication, the student whose records were released, subject to §99.38. (§99.31(a)(5))

To organizations conducting studies for, or on behalf of, the school, in order to: (a) develop, validate, or administer predictive tests; (b) administer student aid programs; or (c) improve instruction. (§99.31(a)(6))

To accrediting organizations to carry out their accrediting functions. (§99.31(a)(7))

To parents of an eligible student if the student is a dependent for IRS tax purposes. (§99.31(a)(8))

To comply with a judicial order or lawfully issued subpoena. (§99.31(a)(9))

To appropriate officials in connection with a health or safety emergency, subject to §99.36. (§99.31(a)(10)

Information the school has designated as “directory information” under §99.37. (§99.31(a)(11))

APPENDIX S-1

Attachment To Parents’ Bill Of Rights

For Contracts Involving Disclosure of Certain Personally Identifiable Information

Education Law §2-d, added by Ch. 56 of the Laws of 2014, requires that a Parents’ Bill of Rights be attached to every contract with a third-party contractor (as defined in the law) which involves the disclosure of personally identifiable information (PII) derived from student education records (“Student Data”), or certain teacher/principal information regarding annual professional performance evaluations that is confidential pursuant to Education Law §30212-c (“APPR Data”). Each such Contract must include this completed Attachment to provide specific information about the use of such data by the Contractor.

1. Specify whether this Contract involves disclosure to the Contractor of Student Data, APPR Data, or both.

Disclosure of Student Data

Disclosure of APPR Data

2. Describe the exclusive purposes for which the Student Data or APPR Data will be used in the performance of this contract.

The U.S. Departments of Labor and Education have collaboratively issued Workforce Innovation and Opportunity Act provisions related to performance accountability. The Participant Individual Record Layout (OMB Control No. 1205-0526) identifies the student demographic and employment data to be collected and reporting to the respective state data management information. All of these data elements have been approved by the Office of Management and Budget. The safeguards to protect the confidentiality student social security numbers is specified in the Memorandum of Understanding (MOU) developed between the Department of Labor and the Department of Education. Safeguards for the management of social security numbers is consistent with the Special Publications 800-53, Recommended Security Controls for Federal Information Systems and Organizations. In addition to technical, operational and management controls commensurate with the confidentiality of the data, NYSDOL will also require that all individuals with access to the confidential data must annually sign a non-disclosure agreement, and these individuals must receive instruction, as required by federal law, regarding the confidentiality requirements of state and federal law, the safeguards and security requirements applicable to this data, and the sanctions specified in state law for unauthorized disclosure of such data.

3. Identify any subcontractors or other persons/entities with whom the Contractor will share the Student Data or APPR in the performance of this Contract, and describe how the Contractor will ensure that such persons/entities will abide by the data protection and security requirements of the Contract.

Subcontractors or other entities with whom the Contractor will share data:

In the event the Contractor engages a Subcontractor or otherwise shares Student Data or APPR Data with any other entity, Contractor acknowledges and agrees that before any such data is shared with a Contractor or another entity, such party must agree in writing to be bound by the confidentiality and data protection provisions set forth in this Contract including, but not limited to, the “Data Security and Privacy Plan” set forth in Appendix R. Upon termination of the agreement between the Contractor and a Subcontractor or other entity, Contractor acknowledges and agrees that it is responsible for ensuring that all Student Data or APPR Data shared by the Contractor must be returned to Contractor or otherwise destroyed as provided in Paragraph 4 of the “Data Security and Privacy Plan” set forth in Appendix R.

4. Specify the expiration date of the Contract, and explain what will happen to the Student Data or APPR Data in the Contractor’s possession, or the possession of any person/entity described in response to Paragraph 3, upon the expiration or earlier termination of the Contract.

Contract expiration date: date entered when RFP completed

Contractor agrees to return the Student Data or APPR Data to NYSED consistent with the protocols set forth in Paragraph 4 of the “Data Security and Privacy Plan” set forth in Appendix R.

Contractor agree to securely destroy the Student Data or APPR Data consistent with the protocols set forth in Paragraph 4 of the “Data Security and Privacy Plan” set forth in Appendix R.

5. State whether the Contractor will be collecting any data from or pertaining to students derived from the student’s education record, or pertaining to teachers or principals’ annual professional performance evaluation pursuant to the Contract, and explain if and how a parent, student, eligible student (a student eighteen years or older), teacher or principal may challenge the accuracy of the Student Data or APPR data that is collected.

Student Data

APPR Data

Any challenges to the accuracy of any of the Student Data or APPR Data shared pursuant to this Contract should be addressed to the school, educational agency or entity which produced, generated or otherwise created such data.

Bidder should specifically list in this section any/all subcontractors that will/may receive data.

6. Describe where the Student Data or APPR Data will be stored (in a manner that does not jeopardize data security), and the security protections taken to ensure that the data will be protected, including whether such data will be encrypted.

Bidder should detail in this section where data will be stored, what security measures will be in place, and whether electronic data is encrypted in motion and/or at rest.

THE STATE EDUCATION DEPARTMENTAlbany, NY 12234

Application Cover

July 1, 2018-June 30, 2021 Workforce Innovation and Opportunity Act Title II

Please check the appropriate program this application is for:____ Program Area 1: Adult Basic Education and Literacy Services____ Program Area 2: Integrated English Literacy and Civics Education (IELCE) ____ Program Area 3: Corrections Education and Other Institutionalized Education____ Literacy Zone

An applicant must submit a separate cover page for each Program being applied for.

SFS ID Number

Agencies affiliated with the Research Foundations of CUNY and SUNY should use the SFS Number for the applicable Research Foundation for their campus

CUNY OR SUNY Applicants planning to use a Research Foundation as the fiscal agent MUST apply using the Research Foundation SFS ID number for their institution ONLY. Do not use the campus’ own SFS ID number.

SEDREF CodeAgencies not previously funded by the State Education Department will have to apply for a code if selected to receive an award.

Name: Contact Person:

Address:

City: Zip:

Title:Telephone:Fax:Email:

Funding Requested for this proposal:I hereby certify that I am the applicant’s chief school/administrative officer and that the information contained in this application is, to the best of my knowledge, complete and accurate. I further certify, to the best of my knowledge, that any ensuing program and activity will be conducted in accordance with all applicable Federal and State laws and regulations, application guidelines and instructions, Assurances, Certifications, Appendix A, Appendix A-1G and that the requested budget amounts are necessary for the implementation of this project. It is understood by the applicant that this application constitutes an offer and, if accepted by the NYS Education Department or renegotiated to acceptance, will form a binding agreement. It is also understood by the applicant that immediate written notice will be provided to the grant program office if at any time the applicant learns that its certification was erroneous when submitted or has become erroneous by reason of changed circumstances.Authorized Signature (in blue ink): Title: Chief School/Administrative Officer

Name: Date

GRANT APPLICATION CHECKLIST

Complete this checklist if you are applying for: Program Area 1: Adult Basic Education and Literacy Services Program Area 2: Integrated English Language and Civics Education (IELCE) Program Area 3: Corrections Education and Other Institutionalized Education Programs.

If applying for Literacy Zone, please complete the Checklist marked for Literacy Zone in the following section.

Applicant Name

Please check the appropriate Program Area: ___ Adult Basic Education and Literacy Services___ Integrated English Language and Civics Education (IELCE)___ Corrections Education and Other Institutionalized Education Programs

A separate checklist should be included for each application submitted for 1) Adult Basic Education and Literacy Services, 2) Integrated English Language and Civics Education (IELCE); and, 3) Corrections Education and Other Institutionalized Education Programs. Listed below are the required documents for a complete application package, in the order that they should appear. Use this checklist to ensure that your application submission is complete and in compliance with the Application Instructions.

Required Documents Checked Applicant

Checked – SED

Application Cover Page indicating program area with original signature in blue inkPayee Information Form (new agency or any agency which has had a name change, address change or other significant change; a separate document). This form is found at the Grants Finance websiteCompleted Grant Application ChecklistAbstract (No Points) Proposal Narrative (10-page limit)If applicant is a Consortium, signed letters of agreement with the fiscal agent that specifically outline all services each partner agrees to provide and include a dollar amount for the value of the services being provided are included. Program Component Worksheet specific to Program AreaStatement of General Assurances SignedProgram Information Form (PIF) 2018-19 specific to Program AreaProgram Area 3 Corrections only: Letter from corrections institution outlining literacy services Demonstrated Effectiveness Conversion Chart or NYS Report Card from FY2015/2016

Attachment 5 WIOA Title II LWDB Application Review FormAttachment 6 Point of Contact for Career Center and Workforce Partner ReferralsBudget Narrative (two-page limit)Form FS-10 Budget (3/15) with original signature in blue ink (separate document) found at Grants Finance websiteMWBE Compliance DocumentsAttachment 7 GEPA AttestationCompleted Appendix S-1: Attachment to the Parents’ Bill of Rights (complete items #3 and #6)Is the agency pre-qualified in the Grants Gateway as of the RFP due date? Yes No

If checked No the application will not be reviewed.M/WBE Documents Package (original signatures required)

Full Participation Request Partial Waiver Request Total WaiverType of Form Forms Required

Full Participation

Request Partial Waiver

Request Total Waiver

Documentation of M/WBE Goal AmountM/WBE Cover LetterM/WBE 100 Utilization Plan N/AM/WBE 102 Notice of Intent to Participate N/AM/WBE 105 Contractor’s Good Faith Efforts N/AM/WBE 101 Request for Waiver Form and Instructions N/A

EE0 100 Staffing Plan and Instructions

NYSED Reviewer Comments:

Has the applicant complied with the application instructions? Yes No

NYSED Reviewer: ___________________________________Date: _____________

PROGRAM AREA 1 Program Component WorksheetAdult Basic Education and Literacy Services

Applicant Name:

Please indicate in the following table the programs offered, the projected number of participants to be served and estimated contact hours. Cells should represent an unduplicated count of participants. By definition under WIOA Title II, a participant must accrue twelve contact hours and have a valid pre-test to be counted.

Adult Basic Education and Literacy Services

NUMBER OF PARTICIPANTS

PROJECTED2018-19

# CONTACT HOURS PROJECTED

2018-19

Adult Basic Education (ABE)NRS Levels 1 – 4

Adult Secondary Education (ASE)NRS Levels 5 – 6

English as a Second Language (ESL) Beginning Levels(NRS levels 1 – 4)

English as a Second Language (ESL) Intermediate & High Levels (NRS levels 5 – 6)

Total

Participants Achieving Employment

Participants Achieving NYS HSE Diploma

Participants Achieving Postsecondary education, Apprenticeship, Training or Credential

PROGRAM AREA 1 Program Information Form (PIF) 2018-19Adult Basic Education and Literacy Services

Applicant Name:

Program Type Location (county/borough)Hours per week(per class)

Hours per fiscal year(per class)

Number of classes

Average Class Size

PROGRAM AREA 2 Program Component WorksheetIntegrated English Literacy and Civics Education (IELCE)

Applicant Name:

Please indicate in the following table the programs offered, the projected number of participants to be served and estimated contact hours. Cells should represent an unduplicated count of participants. By definition under WIOA Title II, a participant must accrue twelve contact hours and have a valid pre-test to be counted.

Adult Basic Education and Literacy Services

NUMBER OF PARTICIPANTS

PROJECTED2018-19

# CONTACT HOURS PROJECTED

2018-19

Adult Basic Education (ABE)NRS Levels 1 – 4

English as a Second Language (ESL) Beginning Levels(NRS levels 1 – 4)

English as a Second Language (ESL) Intermediate & High Levels (NRS levels 5 – 6)

Total

Participants Achieving Employment

Participants Achieving NYS HSE Diploma

Participants Achieving Postsecondary education, Apprenticeship, Training or Credential

PROGRAM AREA 2 Program Information Form (PIF) 2018-19Integrated English Literacy and Civics Education (IELCE)

Applicant Name:

Program Type Location (county/borough)Hours per week(per class)

Hours per fiscal year(per class)

Number of classes

Average Class Size

PROGRAM AREA 3 Program Component WorksheetCorrections Education and Other Institutionalized Education Program

Applicant Name:

Please indicate in the following table the programs offered, the projected number of participants to be served and estimated contact hours. Cells should represent an unduplicated count of participants. Under WIOA Title II, a participant must accrue twelve contact hours and have a valid pre-test to be counted for NRS performance.

Adult Basic Education and Literacy Services

NUMBER OF PARTICIPANTS

PROJECTED2018-19

# CONTACT HOURS PROJECTED

2018-19

Adult Basic Education (ABE)NRS Levels 1 – 4

Adult Secondary Education (ASE)NRS Levels 5 – 6

English as a Second Language (ESL) Beginning Levels(NRS levels 1 – 4)

English as a Second Language (ESL) Intermediate & High Levels (NRS levels 5 – 6)

Total

Participants Achieving NYS HSE Diploma

Participants Achieving Postsecondary education, Apprenticeship, Training or Credential

PROGRAM AREA 3 Program Information Form (PIF) 2018-19Corrections Education and Other Institutionalized Education Program

Applicant Name:

Program Type Location (county/borough)Hours per week(per class)

Hours per fiscal year(per class)

Number of classes

Average Class Size

Grant Application Checklist

Complete this checklist if you are applying for: Literacy Zone

Applicant Name

Listed below are the required documents for a complete application package, in the order that they should appear. Complete and submit this checklist to ensure that your application submission is complete and in compliance with the Application Instructions.

Required Documents CheckedApplicant

Checked – SED

Application Cover Page with original signature in blue ink

Literacy Zone Application ChecklistProposal Narrative Literacy Zone Performance Outcome Targets FY2018-19Literacy Zone Performance Target WorksheetIf applicant is a Consortium, signed letters of agreement with the fiscal agent that specifically outline all services each partner agrees to provide and include a dollar amount for the value of the services being provided are included. Letters of commitment from at least one of each of the five mandatory partners with clear descriptions of services being provided or shared.Literacy Zone Partner(s) MatrixGeneral Assurances SignedAttachment 5 WIOA Title II LWDB Application Review FormAttachment 6 Point of Contact for Career Center and Workforce Partner ReferralsBudget Narrative (two page maximum)Attachment 7 GEPA AttestationForm FS-10 Budget (3/15) with original signature in blue ink (separate document)Literacy Zone Planning Calendar (separate document constructed by the applicant)AbstractMWBE Compliance DocumentsSED Comments:Has the applicant been successfully funded through RFP competitions? Yes NoPostmarked Date: ____________________________

Reviewer: ____________________________________ Date: _____________Is the agency pre-qualified in the Grants Gateway as of the RFP due date? Yes No

If checked No, the application will not be reviewed.M/WBE Documents Package (original signatures required)

Full Participation Request Partial Waiver Request Total WaiverMWBE Forms Required

Type of Form Full Participation

Request Partial Waiver

Request Total Waiver

Documentation of M/WBE Goal amountM/WBE Cover Letter M/WBE 100 Utilization Plan N/AM/WBE 102 Notice of Intent to Participate N/A

M/WBE 105 Contractor’s Good Faith efforts N/A

EE0 100 Staffing Plan and InstructionsNYSED CommentsNYSED Reviewer Comments:

Has the applicant complied with the application instructions? Yes No

NYSED Reviewer: ___________________________________Date: _____________

Literacy Zone Performance Outcome Targets FY2018 – 2019Please submit this form with each Literacy Zone application

Literacy Zone Participant Outcome Category

Please Note: These are mandatory categories for every Literacy Zone

Examples of Participant Outcomes Please Note: These are only examples of possible participant outcomes, applicants should alter this column to include those outcomes expected at their Literacy Zone. Outcomes should align with and include partner agencies.

Applicant Targets (2018-19)Number of Participants Enrolled in Adult Education Programs Receiving Literacy Zone Services

Health Literacy

Successfully applied for health insuranceReferred to health clinicReferred to eye clinicDeveloped healthy meal menu for family

Financial Literacy

Opened bank accountCompleted family budgetApplied for Earned Income CreditAccessed credit scores

Functional Literacy (including digital literacy)

Opened email accountNavigate bus/subway system successfullyComputer literacy skills attainment

Family Literacy

Parenting guidesRead to childrenHead Start/Even StartParent education classes

Community Outcomes

Participate in fund raisersVolunteer timeCivic organizations

School Relations

Attend school meetingsAccess online school accounts for children’s classesMeet with teachers/school officialsHelping children with homework

Social ServicesApply for food benefitsApply for housing assistanceFood banks

Workforce Readiness

Career pathwaysCareer planningResume preparationAccess to WIOA Title 1 training and servicesReferrals to Apprenticeship programsReferrals to and from workforce partners and Career Centers

Legal Services Rental agreement reviewFinancial support

CitizenshipRegister to voteParticipate in political support plansAttain citizenship

Literacy Zone Performance Target Worksheet

Please submit, along with Additional Outcome Measures, with each Literacy Zone application. submit with each Literacy Zone application.

WIOA participants receiving Literacy Zone Case Management and Services to raise Educational Performance, obtain a NYS High School Equivalency diploma and/or transition to Postsecondary Education, Apprentice Programs, Training, or Employment

WIOA participants receiving Literacy Zone Case Management and Services

Applicant Targets (2018-19)Number of Participants Enrolled in Adult Education Programs Receiving Literacy Zone Services

Applicant Targets (2018-2019)

Number of Contact Hours of Service Provided

Requirement for applicant: For every 300 participants served = 1 FTE Case Manager

Adult Basic Education NRS Levels 1- 4Adult Secondary Education NRS Levels 5 & 6English as a Second Language (ESL) (NRS Levels 1- 6)

Participants seeking NYS High School Equivalency diploma through an NYSED approved pathway Participants seeking EmploymentParticipants seeking to transition to Post-secondary Education, Apprenticeship programs, or Training

In addition to the core outcome measures, Literacy Zones must collect and report the following secondary outcome measures for all agencies funded under this RFP:

Additional Outcome Measures

Outcome Measure Description

Applicant Targets

(2018-2019)

Participants Receiving Literacy Zone Services to Achieve Outcomes

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.

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.

Increased involvement in children’s literacy-related activities

Reading to children. Visiting a library. Purchasing books or magazines for children.

Literacy Zone Partner(s) Matrix

Please submit with each Literacy Zone application.Use the attached Matrix to comprehensively describe the primary partners that are involved in planning and implementing the Literacy Zone. Substantive letters of intent or memoranda of understanding should be included in the application for each of these partners. Note, 1 through 5 in the table below are required.

Categories of Primary Partners

List the Specific Partner Agencies or Schools

Name and Title of Person Representing Each Agency or School on the Literacy Zone Planning and Implementation

Role of the Partner

1. Education

Early Childhood Public Schools SUNY or CUNY community

college Other post-secondary

institution(s) Additional Adult Education

Partner Programs Additional Educational

Entities2. Workforce and Economic Development NYS DOL Career

Center Economic Development

entity DOL Bureau of Immigrant

Rights Workforce partner

3. Cultural Institutions

Public library Museum Public Broadcasting

System (PBS)4. Non-profit, volunteer organizations, including literacy volunteer organizations and/or those which provide community service, mentoring or work-based learning5. County Departments of Social Services or New York City HRA

6. Health and Mental Health,

including health literacy programs and programs that provide a healthy start for children.7. Community agencies8. Independent Living Centers and ACCES-VR funded vocational rehabilitation programs9. Organizations that support returning veterans and their families, including disabled veterans 10. Organizations that support incarcerated transition11. Agencies or organizations that support mature workers and senior citizens12. Other programswhich support community collaborations13. Government

Attachment 1

Local Workforce Development Areas2018-2021 WIOA Title II Allocations

Local Workforce Development Area: AwardHempstead and Long Beach $ 478,090 Oyster Bay, North Hempstead, and Glen Cove $ 607,634Suffolk County $ 963,486New York City* $ 13,568,204Westchester Putnam $ 383,918Rockland County $ 319,289Yonkers $ 567,853Dutchess County $ 186,633Orange County $ 296,924Ulster County $ 126,786Sullivan County $ 100,000 Albany/Rensselaer/Schenectady $ 300,342Columbia/Greene $ 100,000 Fulton/Montgomery/Schoharie $ 100,000 Saratoga/Warren/Washington $ 156,233Clinton/Essex/Franklin/Hamilton $ 121,170Jefferson/Lewis $ 100,000 St. Lawrence County $ 100,000 Herkimer/Madison/Oneida $ 248,925Broome/Tioga $ 152,721Tompkins County $ 100,000 Chenango/Delaware/Otsego $ 100,000 Cayuga/Cortland $ 100,000 Onondaga County (including Syracuse) $ 258,068Oswego County $ 100,000 Chemung/Schuyler/Steuben $ 100,000 Ontario/Seneca/Wayne/Yates $ 151,921Monroe County (including Rochester) $ 432,109Genesee/Livingston/Orleans/Wyoming $ 127,915Niagara County $ 100,000 Erie County (including Buffalo) $ 521,393Cattaraugus/Allegany $ 100,000 Chautauqua County $ 100,000

TOTAL $ 21,269,614

*In the New York City Local Workforce Development Area (LWDA), there is a $500,000 cap on each award unless the applicant is as a citywide consortium applicant. This is defined as:

a. Tier 1 Citywide Consortium applicant: an agency that is able to serve at least four of the five boroughs and a minimum of 800 participants in each borough (i.e., minimum of 3,200 participants in total) may request up to 25 percent of the total LWDA for New York City or $ 3,392,051 or

b. Tier 2 Citywide Consortium applicant: an agency that is able to serve at least four of the five boroughs and a minimum of 300 participants in each borough (i.e., a minimum of 1,200 participants in total) may request up to 10 percent of the total LWDA for New York City or $ 1,356,820.

Members of a Citywide Consortium must be clearly identified in the application. Applicants cannot be a member of a Citywide Consortium and apply as a separate applicant for an individual award.

Funds in each LWDB area will be awarded based on the total scores for each applicant. The applicant with the highest score will receive their funding request. The remaining balance will then be awarded to the next highest scoring applicant with the same LWDB area until all funds allocated to that LWDB area are exhausted. Should there be unspent funds in any given LWDB area after all eligible applicants in that LWDB area are awarded, the remainder will be reallocated to Program Area 4, Literacy Zone.

Attachment 2Summary of WIOA Title II Performance Requirements

A participant is a reportable individual who has received services after satisfying all applicable programmatic requirements for the provision of services, such as eligibility determination. To be considered a participant, the student must be pre-tested. The tools used for this purpose and approved by NYSED are full battery TABE Math and Reading Forms 9 & 10 series for ABE and ASE programming and the BEST Plus 2.0, or BEST Literacy for ELL programming. NYSED reserves the right to change this selection based on direction received from U.S. Department of Education’s Office of Career, Technical and Adult Education (OCTAE). The second requirement for a participant is the completion of a minimum of twelve (12) contact hours. All participants count toward federal and state accountability measures.

A reportable individual is also an individual who has taken action that demonstrates an intent to use program services and who meets the specific eligibility criteria of the program. The program must have recorded five important demographic data elements as follows: Name, Gender, Date of Birth, Ethnicity, and Employment Status. In addition, a reportable individual is one that has completed less than twelve (12) contact hours or has not been pre-tested. While these individuals do not count toward the accountability measures, they are counted and reported.

Each agency should publish its nondiscrimination statement via site postings and inclusion in participant orientation materials. Programs must include in their orientation/intake the Americans with Disability Act (ADA) notice that all participants must sign. Document can be found: http://www.acces.nysed.gov/aepp/americans-disabilities-act-ada

Program Entry and Exit Program entry is the date that a reportable individual enrolls in an adult education program. Program exit is defined for the purpose of performance accountability. Exit is the point after which a participant has received services; the exit date is the last date of service. The last date of service is determined after three (3) consecutive months have elapsed since the participant last received services; services must be received in person. For the purposes of reporting measurable skill gain, each program entry per participant during the reporting period is considered a period of participation.

Programs will report performance based on a participant’s Periods of Participation (POP). A POP is defined as a period between a student’s enrollment and exit, provided s/he has received a minimum of 12 hours of service. If a student leaves the program and returns after a minimum of 3 months of not having received services, s/he will have begun a new POP. ASISTS will track performance on multiple POPs for the same participant. Final legislative direction will determine the assessment options for participants in each POP.

All participants, regardless of employment status, must be tracked for employment performance indicators. This includes those participants who are employed at entry, unemployed at entry, those not in the labor force, and those seeking employment. The only exclusion are those participants served under WIOA Corrections Education. New York will participate in NYSDOL’s Unemployment Insurance (UI) data matching process. This process requires the participant’s Social Security Number, refugee number, or work visa number. Participants without any one of these numbers must be tracked manually with documentation log of date, time, and response from contact. The data provided through the UI database includes: employer name, employer contact information, date of employment, federal employer identification number (FEIN), and wage information. These data will be retrieved from the UI database when the Social Security Number, refugee number, or work visa number is recorded for the participant. Tracking will occur in the second quarter after the exit date at which time data will be recorded regarding participants who are in unsubsidized employment and their median earnings. In the fourth quarter after exit, participants will again be tracked for employment status.

Measurable Skill Gain (MSG) will be counted when participants demonstrate the advancement of at least one Educational Functioning Level (EFL) of a participant who is receiving instruction; EFL descriptors can be found at the ACCES Adult Education website.

Measurable Skill Gain will be counted when: (1) Comparing the participant’s initial lowest Educational Functioning Level, as measured by an NYSED

approved pre-test, with the participant’s educational functioning level, as measured by an NYSED approved post-test in the lowest score area.

(2) States may report an MSG for participants who achieve a NYS High School Equivalency diploma.(3) States may also report those achieving the HSE diploma as a credential attainment after the participant

has entered postsecondary education apprenticeship programs, or training or entered employment in the year following their exit. When a participant passes an exam required for a particular demand occupation or demonstrates progress in attaining technical or occupational skills as evidenced by trade-related benchmarks such as knowledge-based exams, measurable skill gain will be counted. These must have prior approval from the Local Workforce Development Board.

ISRF data, attendance data, assessment data, and employment tracking data must be entered in ASISTS. These data from the previous month must be recorded in ASISTS no later than two weeks after the close of each month. (Example: September, 2018 data must be entered no later than October 15, 2018)

Program data will be reviewed for completeness according to the following dates:Quarter I (7/01-9/30) data entered and reviewed by 10/31;Quarter II (10/01-12/31) data entered and reviewed by 1/31;Quarter III (1/01-3/31) data entered and reviewed by 4/30;Quarter IV * (4/01-6/30) data entered and reviewed by 7/31;

*The program has until 8/15 of each funding year to finalize the annual data submitted over the previous four quarters. It is the responsibility of the program to have data entry up to date for each quarter. This annual data submission date is subject to change.

Corrective Action Plan (CAP) NYSED issues a Program Evaluation Report and NYSED Report Card for each funded program. The annual Program Evaluation Report will identify whether the agency has met the New York State annual benchmarks for NRS measurable gain and employment tracking. Aggregate benchmarks are set annually by NYSED based upon NRS targets negotiated with the U.S. Department of Education and previous year performance data from programs funded by NYSED.

Measurable Skill Gain targets will be publicized annually and will be set for each Educational Functioning Level. In addition to performance targets, programs will be assessed annually for compliance with WIOA Title II.

In addition to the possibility of corrective action taken for programs that do not meet benchmarks, NYSED also reserves the right to place a program under corrective action when the program’s enrollment does not meet the program’s proposed enrollment for each program funded under this RFP.

Programs that do not meet these New York State annual benchmarks and program expectations will be required to undertake a formal Corrective Action Plan process (CAP). The program must submit and receive NYSED approval for a comprehensive CAP plan that identifies specific steps for meeting the New York State annual benchmarks and WIOA Title II funding requirements within 90 days of notice of corrective action status. For programs identified for corrective action in October 2019 or October of 2020, they must meet their annual benchmarks by June 30, 2020 and June 30, 2021, respectively or risk funding adjustments.

When the Corrective Action Plan process is initiated, NYSED staff will conduct conference calls/webinars to include the local program staff identified by the adult education director, the NRS accountability specialist under contract with NYSED and the program’s RAEN director to track progress toward meeting the New York State annual benchmarks. For a program placed in CAP in 2020 and annually thereafter, the program will have one year to raise performance to meet or exceed the New York State annual benchmarks. Programs may lose funding if the benchmarks are not met or the program does not meet their proposed enrollment.

Program Improvement Team

Every program must assemble a Program Improvement Team that will meet the regularly to assess and review program data and recommend change. The PIT should be comprised of the program director/manager, teachers, case managers, and data staff.

Continuous Evaluation Process (CEP)As part of the comprehensive Corrective Action Plan, there is a Continuous Evaluation Process (CEP) under which programs and NYSED will identify quarterly progress milestones on key indicators such as measurable gain that lead to meeting the New York State annual benchmarks within one year. NYSED staff, the RAEN director, and the NRS accountability specialist will conduct a quarterly review to determine whether approved quarterly milestones have been met for each agency on corrective action. Failure to meet the quarterly progress milestones for any three consecutive quarters may result in the termination of the grant at the end of that program year. Any award may be terminated as early as June 30, 2020.

Both the CAP process and CEP will be reported and tracked through the accountability website for each program funded through this RFP.

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 NRS. Information on the NRS may be found on the NRS web page.

Implementation of the NRS in New York State is through the ASISTS participant database. Information about the ASISTS database can be found at the ASISTS website. The ASISTS database allows data to be accessed and reported by participant demographics, type of educational program, and instructional class level. When funds are awarded, participation in the ASISTS database is mandatory; it is available to local provider agencies free of charge, including the related training and technical assistance.

NYSED has negotiated core performance targets with the U.S. Department of Education. All program participants must have the goal of advancing a minimum of one educational functioning level or obtaining a high school diploma or its equivalent. In addition to the above, the individual participant can identify other goals as appropriate.

In addition to the CEP process, NYSED has also maintained a technical assistance protocol aimed at supporting programs that are at risk of falling under Corrective Action, or are a large Big Five city adult education program. The Individual Technical Assistance Program (ITAP) supports programs that may be facing significant challenges. These may include but is not limited to leadership or significant staff turnover, programs exhibiting ineffective or marginal data collection processes, dropping performance outcomes, or an anomaly evidenced in the data that requires further investigation. Agencies selected as ITAP programs are selected to receive intense technical support from AEPP. The team consists of the State Director for Adult Education, the AEPP regional liaison, NRS specialist, and the RAEN center director. To guide this process, there are a number of priorities the team will investigate and then recommend reliable strategies to ensure program improvement and increase learner outcomes. Data will be the primary source of information along with periodic site visits and scheduled meetings with your program improvement team.

The ITAP, CAP, and CEP protocol are used to manage risk. These strategies are used to identify, analyze, assess, control, and ultimately avoid unacceptable risk from funded agencies.

National Reporting System Targets for 2017-18Below are New York State’s targets for the National Reporting System (NRS). Agencies funded under this RFP are, at a minimum, expected to achieve the targets related to their instructional program.

New York State’s Performance Targets prescribed for: Program Area 1: Adult Basic Education and Literacy Services and/or Integrated Education

Training, Program Area 2: Integrated English Literacy and Civics Education (IEL/CE), Program Area 3: Corrections Education and Other Institutionalized Education Program

NRS Measurable Skill GainMeasurable Skill Gain(Advancing an Educational Functioning Level):

2017-18Target

Adult Basic Education – Beginning Literacy Adult Basic Education – Beginning Adult Basic Education – Low Intermediate Adult Basic Education – High Intermediate Adult Secondary Education – Low

ESL – Beginning Literacy ESL – Low beginning ESL – High beginning ESL – Low Intermediate ESL – High intermediate ESL – Advanced

6865595260

627674696360

Participant Assessment and Tracking

Participant intake assessment and tracking requirements apply to all programs funded under this RFP. Programs must maintain participant folders subject to criteria established by NYSED.

Initial participant assessment must take place within the first twelve hours of contact with the participant. All participants will be post-tested at intervals necessary to determine status and progress. The following intervals are recommended: Participants in a class that meets for nine hours or less per week should be post-tested between 40 to 60

contact hours Participants in a class that meets for ten hours or more per week should be post-tested between 60 to 80

contact hours

Participants must be assessed and post-tested with the NYSED approved standard assessment instruments. Current assessments approved by NYSED are the Test of Adult Basic Education (TABE) Forms 9 & 10, the BEST Plus 2.0 and the BEST Literacy.

NYSED’s annual assessment policy can be found at the Adult Education Accountability webpage.

Attachment 3Demonstrated Effectiveness Conversion Chart

Note: An individual chart must be completed for each application:1) Adult Basic Education and Literacy Services, 2) Integrated English Literacy and Civics Education (IELCE) 3) Corrections Education and Other Institutionalized Education Program

Programs must provide data as evidence of effectiveness in serving low-literate adults. Data shared in the chart must pertain to participants served in the 12-month period between July 1, 2015 through June 30, 2016.

Educational Functioning LevelNational Reporting

System (NRS) Level

# Participants Age Range of Participants

# Participants with 12 Contact Hours or more

# Participants Pre-Tested

#Participants Post-Tested

# Participants moving from

one EFL to the next

percent of Participants moving from

one EFL to the next

NRS Level 1- Beginning ABE Literacy

(Grade Equivalent0 – 1.9)NRS Level 2 - Beginning Basic Education

(Grade Equivalent2 – 3.9)NRS Level 3 - Low Intermediate Basic Education

(Grade Equivalent4 – 5.9)NRS Level 4 - High Intermediate Basic Education

(Grade Equivalent6 –8.9)NRS Level 5 - Low

Adult Secondary Education

(Grade Equivalent9 –10.9)NRS Level 6 - High Adult Secondary Education

(Grade Equivalent11 –12.9)

NRS Level 1Beginning ESL Literacy88 - 361NRS Level 2Low Beginning ESL362 - 427NRS Level 3High Beginning ESL428 - 452NRS Level 4Low Intermediate ESL453 - 484NRS Level 5High Intermediate ESL485 - 524NRS Level 6 Advanced ESL525 - 564

Please refer to Educational Functioning Level Descriptors. Applicants should use the EFL Descriptors to align the assessment used in their current programming to the EFL Levels.

Assessment used for Adult Basic Education (NRS Levels 1 – 4), Adult Secondary Education (NRS Levels 5 – 6), and ESL (NRS Levels 1 – 6) In this section, please indicate the assessment used, publisher, and last edition used:

Assessment Used Publisher Last Edition UsedAdult Basic EducationNRS Levels 1 - 4Adult Secondary EducationNRS Levels 5 - 6English as a Second LanguageNRS Levels 1 - 6

In addition to Measurable Gain, all applicants must demonstrate their previous effectiveness in the following areas: Transition to postsecondary education Referral to skills training or apprenticeship programs Transition to employment

All applicants must complete the following chart. Data shared in the chart must pertain to participants served in the 12 month period between July 1, 2015 through June 30, 2016:

Transition to Postsecondary Education

Top 3 Postsecondary Institutions # Participants Referred Outcomes/Results

Skills Training or Apprenticeship

Top 3 Training/Apprenticeship Programs

# Participants Referred Outcomes/Results

Employment

Top 3 Employers # Participants Referred Outcomes/Results

Attachment 4Literacy Zone Outcome Reporting

General Outcome Measures Reported in ASISTS

Outcome Measure DescriptionReduction in Public Assistance Participant’s Temporary Assistance for Needy Families (TANF)

benefits, 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.

Family Literacy Outcome Measures

The following table identifies the additional NRS outcome measures required for programs that provide Family Literacy as part of their services.

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.

Measures for Literacy Zone Participants Customized for Each Literacy Zone

Literacy Zone Participant Outcome Category Examples of Participant Outcomes

Health Literacy

Successfully applied for health insuranceReferred to health clinicReferred to eye clinicDeveloped healthy meal menu for family

Financial Literacy

Opened bank accountCompleted family budgetApplied for Earned Income Tax CreditCredit scores

Functional Literacy (including digital literacy)Opened email accountNavigate bus/subway system successfullyComputer literacy skills attainment

Family Literacy

Parenting guidesRead to childrenHead Start/Even StartParent education classes

Community OutcomesParticipate in fund raisersVolunteer timeCivic organizations

School Relations

Attend school meetingsAccess online school accounts for children’s classesMeet with teachers/school officialsHelping children with homework

Social ServicesApply for food benefitsApply for housing assistanceFood banks

Workforce Readiness

Career pathwaysCareer planningResume preparationAccess to WIOA Title 1 training and servicesAccess to Apprenticeship programsReferrals to and from workforce partners and Career Centers

Legal Services Rental agreement reviewFinancial support

CitizenshipRegister to voteParticipate in political support plansAttain citizenship

Literacy Zone Participant Outcome Category Examples of Participant Outcomes

Health Literacy

Successfully applied for health insuranceReferred to health clinicReferred to eye clinicDeveloped healthy meal menu for family

Financial Literacy

Opened bank accountCompleted family budgetApplied for Earned Income Tax CreditCredit scores

Functional Literacy (including digital literacy)Opened email accountNavigate bus/subway system successfullyComputer literacy skills attainment

Family Literacy Parenting guidesRead to childrenHead Start/Even Start

Parent education classes

Community OutcomesParticipate in fund raisersVolunteer timeCivic organizations

School Relations

Attend school meetingsAccess online school accounts for children’s classesMeet with teachers/school officialsHelping children with homework

Social ServicesApply for food benefitsApply for housing assistanceFood banks

Workforce Readiness

Career pathwaysCareer planningResume preparationAccess to WIOA Title 1 training and servicesAccess to Apprenticeship programsReferrals to and from workforce partners and Career Centers

Legal Services Rental agreement reviewFinancial support

CitizenshipRegister to voteParticipate in political support plansAttain citizenship

Attachment 5

WIOA Title II LWDB Application Review Form

Directions for Addressing New WIOA Requirement: Review WIOA Title II Application by Local Workforce Development Boards.

The Workforce Innovation and Opportunity Act (WIOA) requires the Local Workforce Development Board (LWDB) to review adult education and literacy activity providers’ applications and make recommendations to the state agency to ensure the applications are consistent with the local plan. In New York State, the NYSED office of ACCES-AEPP is the state agency. WIOA Title II further requires that potential applicants need to develop applications that:

1. are responsive to the regional needs as identified in the local workforce development plan;2. serve individuals in the community who were identified in such plan as most in need of adult education and literacy activities, including individuals who:

have low literacy skills; and/or are English Language Learners (ELL).

In awarding grants or contracts to eligible providers for adult education and literacy activities, NYSED must take into account “the extent to which the eligible provider demonstrates alignment between the proposed activities and services and the strategy and goals of the local plan under section 108 of the Act as well as the activities and services of the New York State Career Centers.

NYSED, working closely with the NYS Department of Labor and Local Workforce Development Board (LWDB) directors, has developed a streamlined process for LWDBs to review and provide input to potential applicants to ensure that applications are aligned with the local workforce plan and priorities.

1. The first step is for each LWDB to ensure that their local plan is clear on directions in serving adults with low literacy skills or English Language Learners as well as career pathways and occupational sectors. The NYS Workforce Development Board is requesting, by August 31, 2017, that each LWDB outline local plan priorities that relate to Title II applicants on their section of the local plan found on the NYS Department of Labor website under local planning.

This dedicated narrative will provide a description of the local board’s strategic vision and goals for preparing an educated and skilled workforce, specifically addressing priorities and strategies for serving out-of-school youth and adults who have low literacy skills, are English Language Learners, or lack a high school diploma or the equivalent.

It will provide a description of how the local board will facilitate access to services provided through the NYS Career Center System for Title II participants with barriers to employment.

It will identify how the local board will facilitate the development of career pathways and co-enrollment in training and literacy, as appropriate.

It will provide a description of how the local board will work with the WIOA Title II RFP awardee.

2. Attachment 5, “WIOA Title II LWDB Application Review Form” is for the applicant to demonstrate alignment between the proposed WIOA Title II activities and services and the strategy and goals of the LWDB plan, and for the LWDB to conduct its alignment review for the applicant’s funding proposal(s): The applicant should use SECTION 1 to summarize this alignment for each Program

Area for which the applicant is seeking funding. SECTION 2 provides a uniform assessment tool for the LWDB to assess alignment

and advise the applicant how to strengthen that alignment as appropriate. SECTION 3 allows the applicant to show how the proposed application has been

revised and strengthened, as appropriate, to take into account LWDB recommendations.

The applicant should submit a completed Attachment 5 to the LWDB for each of the RFP Program Areas, including each Literacy Zone application.

3. The timeline for the LWDB review is as follows: WIOA Title II applicant must submit Attachment 5, WIOA Title II LWDB

Application Review Form, with Section 1 completed for review by LWDB. 2/7/18

LWDB must review and return Attachment 5 with completed Section 2 to the applicant 3/21/18

Applicant must revise their WIOA Title II application(s) as needed and submit to NYSED a completed Attachment 5 for each Program Area of the RFP with the application by 4/11/18.

Notice to WIOA Title II applicants: The completed form, signed by the LWDB, must accompany your application for each WIOA Title II Program Area for which you are seeking funds.

Deadline: Please submit this form to the LWDB by 2/7/18. The LWDB must review Attachment 5 and provide recommendations for alignment and return the Attachment to the Applicant by 3/21/18. The Applicant must submit Attachment 5 with their complete application to NYSED by 4/11/18.

Attachment 5 (Continued)

WIOA Title II LWDB Application Review Form

SECTION 1: SUMMARY OF WIOA TITLE II APPLICATION ALIGNMENT WITH LWDB PLAN

Lead organization making application:_________________________________________Director/Manager: __________________________________________________Lead organization address: ___________________________________________Main location of services to be delivered: __________________________________Consortium members (if applicable): ______________________________________________________________________________________________________Director/Manager email:____________________ Date application sent to LWDB _ / _ / _

WIOA Title II funding area:___ Adult Basic Education and Literacy Services___ Integrated English Literacy and Civics Education (IELCE)___ Corrections Education and Other Institutionalized Education Programs___ Literacy Zone Program

Primary populations served in the proposal: ________________________________________, or in the case of the Literacy Zone, the census tract _____________________________ and proposed location of the Family Welcome Center____________________________________.

The applicant must demonstrate alignment between the proposed WIOA Title II activities and services and the strategy and goals of the LWDB plan (in each of the 4 areas). Use the space provided to explain this alignment. The LWDB will assess the applicant’s alignment with the local plan and advise the applicant how to strengthen that alignment as appropriate.

Applicants must complete the uniform assessment table below:

Projected # Enrollment

Projected # expected to demonstrate

Educational Gain*Projected # to earn an Education Credential

Projected # to earn an Occupational

Credential

*An educational gain is defined as advancing a minimum of one Educational Functioning Level in Adult Basic Education (Levels 1 – 4), Adult Secondary Education (Levels 5, 6), and English Language Learners s (Levels 1 – 6) within one fiscal year. For applicants unfamiliar with these levels, please refer to the Educational Functioning Levels.

Primary Next Step:Participants in an adult education program may have different next step goals, including moving to a higher level of adult education, becoming an apprentice, enrolling in college or training, or finding a job. The primary next step is the one the applicant expects to be the one taken by the largest number of participants after program completion.

When considering the Primary Next Step, applicants should be placing a strong emphasis on participants’ advancement along their career pathway, of participants’ current work being embedded in a strategy that includes the way the program is structured in collaboration with next step partners.

Primary Next Step (higher level adult education, college, apprenticeship, training, or job)

Next Step Partner(s)

(Could be the same organization or one or more partners. Example: if a Title II program focuses on lower literacy level populations, they would identify the next step for those learners that are ready to move on. If it is a referral to another literacy program, that program would be listed as the “Next Step Partner”)

For applicants proposing to offer Integrated Education and Training (IET) programs or applicants for Integrated English Literacy and Civics Education (IELCE): Contextualized programs teach foundation skills (ESOL, literacy, and numeracy) against the backdrop of a relevant context. This is an engagement technique that grounds coursework in pertinent workforce knowledge, and complements career counseling services. Briefly describe how your program will do this: (this may differ depending on whether the applicant plans to serve varying levels of ABE and ESL learners)For those applicants proposing to offer Integrated Education and Training (IET) programs or applicants for Integrated English Literacy and Civics Education (IELCE):

Please describe the sector the proposed program will be contextualized in, and the rationale for selecting that sector including supporting documentation such as feedback received directly from next step partners or employers.

Sector for Contextualization: ______________________________________________

Rationale: _____________________________________________________________

Approval of Trainings proposed by applicants for Integrated Education and Training (IET) programs or applicants for Integrated English Literacy and Civics Education (IELCE):

1. Describe how the target occupation(s) are in –demand in the LWDB in which the program will offer services:

____________________________________________________________________

2. Demonstrate that the training provider has achieved success delivering training for the same occupation (or a similar one) as the one proposed.

____________________________________________________________________

3. Occupation Targeted: ______________________________________________________

4. Projected outcomes from this training:

Projected # to Enroll in Training

Projected # to Complete Training

Projected # to Obtain Industry-

Recognized Credential

Projected # to Obtain

Employment

Projected Median Wage in Placements

Projected Cost per Trainee

Outcomes (minimum one

cohort)

# Enrolled in Training

# to Obtain Industry-

Recognized Credential

# Completed Training

# Obtained Employment within 3 to

6 Months of Completion

Three examples of training graduates’ placements

Title EmployerStarting Hourly

Wage

Three examples of employers

where graduates were

placed

Employer Name# Individuals

Placed

Median Wage of Individuals

Placed

Length of Relationship (e.g.,

months, years)

Previous Experience: Applicants must provide data demonstrating their previous effectiveness as a literacy provider. Literacy Level(s) served (please use the Educational Functioning Level descriptors)

Year(s) of service with the proposed population: __________________________________________

# Served # demonstrating Educational Gain*

# earning an Education Credential

# earning an Occupational

Credential

# attaining outcomes# enrolled in

postsecondary education

# enrolled in training or apprenticeship

# attained employment

Please describe the sector the proposed program will be contextualized in, and the rationale for selecting that sector including supporting documentation such as feedback received directly from next step partners or employers.

Sector for Contextualization: ______________________________________________

Rationale: _____________________________________________________________

Approval of Trainings proposed by applicants for Integrated Education and Training (IET) programs or applicants for Integrated English Literacy and Civics Education (IELCE):

1. Describe how the target occupation(s) are in –demand in the LWDB in which the program will offer services:

____________________________________________________________________

2. Demonstrate that the training provider has achieved success delivering training for the same occupation (or a similar one) as the one proposed.

____________________________________________________________________

3. Occupation Targeted: ______________________________________________________

4. Projected outcomes from this training:

Projected # to Enroll in Training

Projected # to Complete Training

Projected # to Obtain Industry-

Recognized Credential

Projected # to Obtain

Employment

Projected Median Wage in Placements

Projected Cost per Trainee

Outcomes (minimum one

cohort)

# Enrolled in Training

# to Obtain Industry-

Recognized Credential

# Completed Training

# Obtained Employment within 3 to

6 Months of Completion

Three examples of training graduates’ placements

Title EmployerStarting Hourly

Wage

Three examples of employers

where graduates were

placed

Employer Name# Individuals

Placed

Median Wage of Individuals

Placed

Length of Relationship (e.g.,

months, years)

Previous Experience: Applicants must provide data demonstrating their previous effectiveness as a literacy provider. Literacy Level(s) served (please use the Educational Functioning Level descriptors)

Year(s) of service with the proposed population: __________________________________________

# Served # demonstrating Educational Gain*

# earning an Education Credential

# earning an Occupational

Credential

# attaining outcomes# enrolled in

postsecondary education

# enrolled in training or apprenticeship

# attained employment

SECTION 2: LWDB ALIGNMENT REVIEW (APPLICANT DOES NOT COMPLETE THIS SECTION)

The LWDB returns this section to the applicant after review.

Lead applicant: __________________________________________________

WIOA Title II funding area:___ Adult Basic Education and Literacy Services___ Integrated English Literacy and Civics Education (IELCE)___ Corrections Education and Other Institutionalized Education Programs___ Literacy Zone Program

The _______________ LWDB has reviewed this applicant’s Review Form and finds that it:

Meets the criteria for alignment with the Local Workforce Development Plan.

Does not meet the criteria for alignment with the Local Workforce Development Plan for the following reasons:

o ____________________________________________________________________ o ____________________________________________________________________o ____________________________________________________________________

The ______________(list counties) LWDB recommends the applicant strengthen the following areas to better align with the Local Workforce Development Plan:

oo o

I attest that the proposed program of services is aligned with the LWDB Local Plan. I attest that recommendations have been made to strengthen the application. I attest that staff who have reviewed the application do not have a conflict of interest in

reviewing the application. I assure that all information about the application will remain confidential.

LWDB Chairperson’s name: _____________________________________________________Email:__________________________________ Phone number:____________________

Local Board Director’s name:_________________________________Email:_______________________ Phone number:________________

LWDB Director signature:_____________________Date: ______________________

SECTION 3: APPLICANT REVISIONS BASED UPON LWEDB RECOMMENDATIONS

After the LWDB has reviewed this application and provided suggestions for improving the application, the applicant must use this space below to indicate how the original proposal has been revised and strengthened to take into account the LWDB recommendations, if applicable. This entire document is then included in the full application submitted to NYSED>

Attachment 6

Point of Contact for Career Center and Workforce Partner Referrals

Applicants must identify one or more contacts that will serve as points of contact for workforce development referrals to Job Centers (one-stop centers) and workforce partners in their Local Workforce Development areas. This information must be included for all Program Areas 1 through 4.

Title II Agency:

Name of Agency: _______________________________________________

Address: _______________________________________________

WIOA Title II Program:

□ Adult Basic Education Title II (ABE – ASE – ELL)

□ Integrated Education & Training (ABE – ASE – ELL)

□ Integrated English Literacy and Civics Education

□ Corrections Education

□ Literacy Zone (s)

Primary Point of Contact:Name: ____________________________Email: ____________________________Phone: ____________________________Fax: ____________________________

Secondary Point of Contact:Name: ____________________________Email: ____________________________Phone: ____________________________Fax: ____________________________

ATTACHMENT 7GENERAL EDUCATION PROVISIONS ACT (GEPA) SEC. 427 ATTESTATION

WORKFORCE INVESTMENT ACT, TITLE II – ADULT EDUCATION ANDFAMILY LITERACY

This attestation outlines the steps that ____________________________________ will ensure be taken (Applicant)should the Adult Education application be funded.

The purpose of this requirement is to assist the United States Department of Education in implementing its mission to ensure equal access to education and to promote educational excellence.If funded, the following steps will be taken to ensure equitable access to and equitable participation in the project or activity to be conducted with federal adult education assistance by addressing the access needs of students, teachers, and other program beneficiaries in order to overcome barriers to equitable participation, including barriers based on gender, race, color, national origin, disability and age.The Act highlights six types of barriers that can impede equitable access or participation: gender, race, national origin, color, disability, or age. Based on local circumstances, determine whether these or other barriers may prevent students, teachers, etc., from such access or participation in the federally-funded project or activity. Please describe the steps to be taken to comply with the GEPA requirements.

Project Director: (Name and Title)________________________________________________________

Signature of Project Director: _____________________________________ Date: _________________