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					                             ANNOUNCEMENT OF FUNDING OPPORTUNITY

                                   2008-2013 Workforce Investment Act Title II

Purpose of Funding                     The primary purpose of this RFP is to provide adult education and
                                       literacy services to assist adults to become literate and obtain the
                                       knowledge and skills necessary for employment and self-sufficiency;
                                       to assist adults who are parents to obtain the skills necessary to
                                       become partners in the education of their children; and assist adults in
                                       the completion of a secondary school education.

Eligible Applicants                    Public school districts, BOCES, literacy volunteer agencies, libraries,
                                       institutions of higher education, educational opportunity centers, not-
                                       for-profit organizations, public housing authorities and consortiums
                                       of such agencies. Subgranting for purposes of providing literary
                                       services on behalf of the fiscal agent is prohibited.

                                       Please note all consortium members must be eligible recipients
                                       and be a direct provider of services. Consortium members are
                                       NOT third-party contractors. The consortium member that is
                                       designated as the payee/fiscal agent must be an eligible recipient
                                       and must also be a direct provider of services.

Funding                                Estimated Funds Available: $32,381,584. Estimated 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 from the US Dept. of Education.

                                       Budget Narratives and the FS-20 form must be submitted for the first
                                       year of the program (July 1, 2008-June 30, 2009) only. FS-20 form is
                                       available at http://www.oms.nysed.gov/cafe/forms.html

Due Date                               Applications must be postmarked by April 11, 2008

SED Contact                            Direct all questions by March 12, 2008 to: wiarfp@mail.nysed.gov
                                       A complete list of all Questions and Answers will be posted to
                                       http://www.emsc.nysed.gov/funding/currentapps.htm by March 21,
                                       2008.


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




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                                  Application Guidelines

I. General Information

Over $32 million in Federal funds is available through this RFP for direct instructional programs
in adult literacy below the post-secondary level. These funds may also cover support services,
such as educational counseling and guidance, which complement the instructional programs
offered by the applicant agency. These funds cannot be used to supplant other federal, State or
local funds expended for adult education and family literacy programs and services. Successful
applicants will be funded for July 1, 2008 through June 30, 2013 pending satisfactory performance
and availability of funds, or until the expiration of the current WIA legislation.

II.    Eligible Applicants

A. Eligible Applicants

The following organizations are eligible to apply:

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

B. Payee ID Form

The Payee ID Form is used to establish an identifying number (Agency Code) that enables
organizations (e.g., community-based organizations) to receive funds from the State Education
Department. This form is to be submitted with each proposal from applicants that are not a BOCES
or public school district. (BOCES and public school districts already have Agency Codes for this
purpose.) The Payee ID Form may be accessed at www.oms.nysed.gov/cafe/forms.html.




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C. 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, the Department 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.

Vendors are invited to 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 at: http:\\www.osc.state.ny.us/vendrep/systeminit.htm or go
directly to the VendRep System online at https://portal.osc.state.ny.us.

For direct VendRep System user assistance, the OSC Help Desk may be reached at 866-370-
4672 or 518-408-4672 or by email at helpdesk@osc.state.ny.us.

Vendors opting to file a paper questionnaire can obtain the appropriate questionnaire from the
VendRep website: http://www.osc.state.ny.us/vendrep/templates.htm or will receive it with the
award letter.

D. NYSED Consortium Policy for State and Federal Discretionary Grant Programs:

Applicants can form a partnership or consortium to apply for the grant. In order to do so, the
partnership or consortium must meet the following requirements:

   1. The partnership or consortium must designate one of the participants to serve as the
      applicant and fiscal agent for the grant. The applicant agency must be an eligible grant
      recipient. All other consortium members must be eligible grant participants, as defined
      by the program statute or regulation.

   2. In the event a grant is awarded to a partnership/consortium, the grant or grant contract
      will be prepared in the name of the applicant agency/fiscal agent, not the
      partnership/consortium, since the group is not a legal entity.

   3. The applicant agency/fiscal agent must meet the following requirements:

       a. Must be an eligible grant recipient as defined by statute;
       b. Must receive and administer the grant funds and submit the required reports to
          account for the use of grant funds;
       c. Must require consortium partners to sign an agreement with the fiscal agent that
          specifically outlines all services each partner agrees to provide.
       d. Must be an active member of the partnership/consortium, except where SUNY or
          CUNY Research Foundations are the fiscal agent.



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       e. Cannot act as a flow-through for grant funds to pass to other recipients. NYSED may
          establish a minimum level of direct service to be provided by the fiscal agent.
       f. Is PROHIBITED from subgranting funds to other recipients. The fiscal agent is
          permitted to contract for services with other consortium partners or consultants to
          provide services that the fiscal agent cannot provide itself.
       g. Must be responsible for the performance of any services provided by the partners,
          consultants, or other organizations and must coordinate how each plan to participate.

E. Not-For-Profit (NFP) Prompt Contracting

Chapter 166 of the Laws of 1991 added Article XI-B (The Prompt Contracting Law) to the State
Finance Law promoting prompt contracting with NFP organizations.

More specifically, the Prompt Contracting Law sets time frames for processing contracts and related
documents; provides for written directives, waivers of interest, and advances/loans to Not-for-
Profits (NFPs) when those time frames cannot be met; and requires interest payments to NFPs when
contract payments are late due to untimely processing of contracts and no advance or loan was
provided. For information on loans for NFPs from the Short-Term Revolving Loan Fund, refer to
Bulletin A-268. This bulletin explains the procedure to follow when contracting with NFPs.

Chapter 648 of the Laws of 1992 made several changes to Article XI-B. The 1992 revisions
provided more reasonable time frames for processing local grant awards and federally funded
contracts; allowed for State agencies and NFPs to waive interest payments under certain
circumstances; eliminated interest penalties for contracts executed and funded in whole or in part for
services rendered in a prior fiscal year; and limited the amount of time a state agency may suspend
time frames to four and one-half months.

Chapter 292 of the Laws of 2007 added further amendments to Article XI-B. The 2007 amendments
prohibit State agencies from requiring NFPs, as a prerequisite of the execution of a contract, to
waive claims for interest that would otherwise be due; provide that a contract is deemed to continue,
and the contract remains in effect when a State agency does not timely notify an NFP of an intent to
terminate the contract; require that any waivers of interest be subject to the Office of the State
Comptroller’s (OSC’s) approval and provide for the calculation and payment of interest to NFPs
when OSC non-approves a waiver of interest; require State agencies to report prompt contracting
information to OSC for inclusion in annual reports; and expand the NFP contracting advisory
committee to sixteen members, require meetings at least quarterly, and expand the scope of the
committee’s responsibility.

A key objective of the Prompt Contracting Law is to expedite the contract process, and
corresponding payments with NFPs to avoid service interruptions and financial hardships for these
organizations. OSC advises that State agencies take measures to ensure compliance with the
requirements of the Prompt Contracting Law. To this end, State agencies should maximize their use
of the standard contract boilerplate, including simplified renewal documents, written directives, and
valid waivers of interest when contracting with NFPs.




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State agencies utilizing waivers of interest should ensure that the waiver is signed and dated by the
NFP, includes an explanation for the retroactive contract start date, and satisfies required time
frames set by the law.

Note: The Prompt Contracting Law requirements pertain to all grant contracts with NFPs, including
those that fall below the $50,000 threshold for the Comptroller’s prior approval.

Source: OSC A-Bulletin A-316 (update effective January 1, 2008)

III.   General Program Requirements

The funding will support programs of instruction in adult basic education, English Language
Learning (ELL) for speakers of other languages and adult secondary education (preparation for
the General Educational Development (GED) test). The instructional programs must be designed
to:

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

Please note the following restriction:

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

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

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

Successful grant applicants will participate in local networking activities to coordinate programs
and services with other providers within their local workforce investment areas. They will:

       •   Attend local networking meetings conducted by their regional adult education staff
           development consortium;
       •   Develop linkages and coordinate program planning with the local One-Stop Centers;
       •   Develop a coordinated strategy with other literacy providers to meet the literacy
           needs in the local workforce investment area;



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       •   Support the local one-stop system through the provision of literacy assessment as a
           core service.

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

           1. Staff Development

           •  Instructional staff members will attend a minimum ten hours of staff development
              per year, related to their program area.
           • All new instructional staff will attend the Adult Education Core Curriculum
              training (ALECC), an eighteen-hour training through the NYS Regional Adult
              Education Network (RAEN).
           • New program managers and administrators will attend a six-hour Foundations of
              Adult Education Funding training to be conducted through the RAEN.
            • Up to 5% of teachers will be trained in at least one of the eighteen-hour health
              literacy study circle modules developed by the Harvard School of Public Health.
              These study circle facilitator guides can be found at:
              http://www.ncsall.net/?id=25. Study circle training will be purchased from the
              RAEN.

           2. High-Quality Information Management Systems

           •   Programs will implement an automated individual student record database and
               will comply with the federal National Reporting System (NRS) requirements for
               adult education programs. (See Program Accountability).
           •   Programs will have staff trained in and will use the Adult Student Information
               System and Technical Support (ASISTS) for the collection of student data.
           •   Programs will implement standard participant assessment and post-testing
               procedures (see Participant Assessment and Follow-up).
           •   Programs will use the standard survey instrument in conducting participant
               follow-up surveys (see Participant Assessment and Follow-up).
           •   Programs will collect and track data through ASISTS using health literacy
               indicators that will be added to ASISTS in the 2009-10 program year.

       3. Special Requirements for GED Preparation Programs

           •   Every individual enrolled in a GED Preparation program shall earn satisfactory
               scores on the Official Practice Test (OPT) before being referred to take the GED
               test. Satisfactory OPT scores are a minimum of 410 in each sub-test, and a
               minimum of 2250 for the total score.
           •   All individuals referred to the GED Test must submit a properly completed and
               signed GED Test Referral Form indicating that the program is referring the
               individual to take the test.
           •   The preparation program’s five digit Program Code must be included on the GED
               Test Referral Form.


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IV.    Application Process and Funding

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

       Regional Programs:

       WIA, Title II, Adult Basic Literacy Education (ABE)                        $21,051,260
       WIA, Title II, English Language/Civics Education (EL/Civics)                $7,440,324

       Statewide Programs:

       WIA, Title II, Correction Education                                        $ 2,890,000
       WIA, Title II, ELL Postsecondary Transition                                $ 1,000,000

 In general, funds will be allocated to each Local Workforce Investment
Area (LWIB) based on the area’s percentage of the State’s adult population who are under-
educated, or of limited English proficiency. Applicants will compete for funds according to the
local workforce investment area(s) they plan to serve. A listing of local workforce investment
areas and the funding available to each is included in these guidelines.

Separate proposals are required for each Local Workforce Investment Area to be served
and each program for which the agency is applying.

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 25% of the instructional program.

V.     Program Accountability

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

Implementation of the NRS in New York State is through the development of the Adult Student
Information System AND Technical Support (ASISTS) participant database. Information about
the ASISTS database can be found at the Literacy Assistance Center’s (LAC) website at
http://www.lacnyc.org/ALIES/ASISTS/ASISTS.htm. The ASISTS database allows for data to
be accessed and reported by sub-population, program, and class. The ASISTS database is
mandatory and is available to local provider agencies free of charge, including the related
training and technical assistance.



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

Below are New York State’s targets for 2006-07 and 2007–2008. Agencies funded under this
RFP are, as a minimum, expected to achieve the targets for 2007-2008.


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

                                  Core Outcome Measures

Educational Gain                                           2006-07                2007-08
(Advancing an Educational Functioning Level):              Target                 Target

•   Adult Basic Education – Beginning Literacy               37                     38
•   Adult Basic Education – Beginning Basic                  36                     40
    Education
•   Adult Basic Education – Intermediate Low                 36                     40
•   Adult Basic Education – Intermediate High                31                     34
•   Adult Secondary Education – Low                          35                     38




•   ESL – Beginning Literacy
                                                             39                     39
•   ESL – low beginning EL
                                                             45                     45
•   ESL – high beginning EL
                                                             45                     45
•   ESL – low Intermediate EL                                45                     47
•   ESL – high intermediate EL                               45                     47
•   ESL – advanced EL                                        45                     45


•  Received a GED or Secondary School Diploma                70                     75
     (For Adult Secondary Education – High)
Other Goals
• Entered Employment                                         55                     75
• Retained Employment                                        53                     69
• Entered Post-secondary Education or Training               60                     75




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

                               Required Secondary Outcome Measures

   NRS Outcome Measure                                        Description
Reduction in Public Assistance     Participant’s Temporary Assistance for Needy Families
                                   (TANF) grant, or equivalent public assistance grant, is
                                   reduced or eliminated.
Achieved Citizenship Skills        Participant attains the skills needed to pass the U.S.
                                   citizenship exam.
Voting Behavior                    Participant registers to vote or votes for the first time.
General Involvement in             Participant increases involvement in any of the following:
Community Activities               • 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.

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

           Additional Outcome Measures Required for Family Literacy Programs

  NRS Outcome                        Description                       Examples of Behavioral
     Measure                                                                   Outcomes
Increased           •    Helping children more frequently with     The parent takes an interest in
involvement in           their schoolwork.                         what and how their child is
children’s          •    Increased contact with children’s         learning. There is an ongoing
education                teachers to discuss children’s            exchange of information between
                         education.                                the parent and child’s teacher.
                    •    More involved in children’s school,
                         such as attending school activities and
                         parent meetings and volunteering to
                         work on school projects.
Increased           •    Reading to children.                      The parent helps the child select
involvement in      •    Visiting a library.                       books based on the child’s
children’s          •    Purchasing books or magazines for         interests and skill level. The
literacy-related         children.                                 parent connects stories to the
activities                                                         child’s experiences. The parent
                                                                   finds ways of extending child’s
                                                                   learning beyond what is required
                                                                   in the educational setting.



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VI.    Participant Assessment and Follow-up:

Participant Assessment and follow-up requirements apply to all programs funded under this RFP.

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

       •   Students in a class that meets for nine (9) hours or less per week should be post-tested
           at the end of each 100 instructional hours.
       •   Students in a class that meets for 10 (10) hours or more per week should be post-
           tested at the end of each 200 instructional hours.
       •   Students in a tutorial program should be post-tested at least every fifty- (50)
           instructional hours.

Student assessment and post-testing should be accomplished with the acceptable standard
assessment instruments. These are the Test of Adult Basic Education (TABE), version 7-8 or 9-
10, the BEST Plus and the BEST Literacy.

VII.   Allowable and Non-Allowable Expenditures:

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

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, but proposals that indicate that such support
services can be accessed through collaborations with other agencies and/or provided through
other funding sources will be more favorably rated.

Allowable expenditures under this RFP include, but are not limited to:

       •   Instruction;
       •   Assessment, tracking and documenting student outcomes;
       •   Student follow-up activities;
       •   Regional networking with others in the local workforce investment area;
       •   Curriculum development incorporating scientifically based research;
       •   Staff development;
       •   Coordination and planning for integrated family literacy components;
       •   Counseling and case management;
       •   Instructional technology, materials and supplies; and
       •   Administration and supervision of instruction.



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Administrative expenditures, which include the providers’ indirect costs, are limited to five
percent of the award unless the agency’s approved indirect cost rate is higher than five percent.
Examples of indirect costs include depreciation on buildings and equipment, the costs of
operating and maintaining facilities, and general administration and general expenses, such as the
salaries and expenses of executive officers, personnel administration, and accounting/auditing.

Examples of non-allowable expenses include:

       •   Advertising for purposes other than the recruitment of students into the program or
           public relations for other than reporting progress;
       •   Promotional items and memorabilia, except as identified above as allowable
           advertising;
       •   Meetings relating to fund-raising;
       •   Expenditures on general purpose equipment, e.g. office furnishings, air conditioning,
           reproduction and printing equipment;
       •   Student travel
       •   Capital improvements which add permanent value;
       •   Alcoholic beverages.

VIII. Method of Selecting Grantees and Awarding Grants

Only complete proposals postmarked on or before April 11, 2008 will be reviewed. A complete
proposal is one that contains every item on the Application Checklist in the same order that it is
listed on the Application Checklist. In order to be considered for funding, proposals must
receive a minimum score of sixty-five (65) points.

Adult Basic Education and Literacy Services funds will be allocated to each Local Workforce
Investment Area (LWIB) according to the percentage of the State's undereducated (as reported in
the 2000 Census) in the LWIB. English Language/Civics funds will be allocated based on the
2000 Census count of persons over age 18 who speak another language other than English at
home and reported that they speak English "not well" or "not at all". Applicants who did not
provide services funded by WIA in the previous program year may request up to $100,000.

Proposals for ABE and EL/Civics will be sorted according to the Local Workforce Investment
Area(s) they serve and will be reviewed and scored according to the points in the applicable
Proposal Narrative and Evaluation Rubric. Grants will be awarded to the highest-ranked
proposals in each workforce investment area until the funds allocated for that area are
insufficient to fund the next ranked proposal in full. The next ranked applicant will be given the
opportunity to operate a smaller program using the remaining funds.

Proposals for ELL Postsecondary Transition and Corrections Education will be reviewed and
scored according to the points applicable Proposal Narrative and Evaluation Rubric. Grants will
be awarded to the highest-ranked proposals Statewide until the funds allocated are insufficient to
fund the next ranking proposal in full. The next ranked proposal will be given the opportunity to
operate a smaller program using the remaining funds. Applicants submitting proposals for
ELL Postsecondary Transition may request up to $100,000. There are no funding limits
imposed on proposals to provide Corrections Education.

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In the event of a tie score, the applicant with the highest score in the Project Description portion
of the Proposal Narrative will be ranked higher.

Proposed budgets will be reviewed and items deemed inappropriate, unallowable or inconsistent
with project or program activities will be eliminated.

The New York State Education Department reserves the right to reject all proposals received or
cancel this RFP if it is in the best interest of the Department.

IX.    Specific Program Requirements

EL Civics Programs

EL Civics programs will expand English literacy services, as well as provide an integrated
program of services that incorporate English literacy and civics education. Civics education is
defined by the USDOE as an educational program that emphasizes contextualized instruction on
the rights and responsibilities of citizenship, naturalization procedures, civic participation, and
U.S. history and government to help students acquire the skills and knowledge to become active
and informed parents, workers, and community members. Immigrants and other limited English
proficient persons must not only master English but also be able to understand and navigate
governmental, educational and workplace systems and key American institutions, such as
banking and health care.

Corrections Education and other Institutionalized Individuals Programs

Programs provide academic services for basic education, special education programs, English
literacy programs, and secondary school credit programs. Priority is given to programs that serve
individuals who are likely to leave the correctional institution within five years of participation in
the program.

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

English Language Learner Postsecondary Transition

Programs are to provide educational access and support for ELL students to progress further and
faster along career pathways. The intent of this set aside is to pair ELL and professional-
technical instructors in the classroom to concurrently advance student gains in English language
acquisition and professional-technical skills. Classes are in programs that build toward degrees,
certificates and/or entry into or advancement in registered apprenticeship programs to prepare
students for employment in high-demand occupations.


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   •    All students must meet WIA, Title II eligibility requirements and be pre and post-tested
        on the BEST Plus and/or the BEST Literacy at the start of the program and must be post-
        tested upon program completion, or at the end of the academic year, whichever occurs
        first. Results must be recorded in ASISTS.

   •    A plan for continued gains and reaching English language proficiency must be developed
        for students who transition into professional-technical programs who have not yet
        reached language proficiency.

   •    An instructor from basic skills and an instructor from the professional-technical program
        must jointly instruct in the same classroom with at least a 50 percent overlap of the
        instructional time.

   •    Programs are expected to incorporate a rigorous planning process involving adult basic
        education, workforce education, and student services to ensure the success of the
        program.

   • There is an expectation that administrators and faculty from ELL education and
     workforce education participate as equal partners in creating a joint program of
     instruction.

   •    The expectation for educational delivery is that the mode of instruction incorporates joint
        ELL and professional-technical faculty planning and instructing together in the
        classroom, resulting in both literacy and workforce skills gains.

   •    Student progress is to be evaluated jointly by ELL and professional-technical faculty, and
        program effectiveness is to be evaluated jointly by all involved faculty and
        administrators.

   X.      Submission Instructions

Please submit one original and 2 copies of the complete proposal postmarked by April 11, 2008
to:

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

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:



                                                13
The Project Narrative must be no more than ten [10] 8.5” x 11” single spaced pages with one-
inch margins. Double space between the headings and the text. Use a 12-point Times Roman or
Arial font. The Budget Narrative and Category Forms are not included in this page limit. The
Program Target Worksheet, Program Component Worksheet, and Program Component
Information Sheet are not included in this limit.

We will reject any application that does not follow these standards or exceeds the page
limit.

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

The application must include a budget narrative for each category of expenditure that is required
for the grant (Professional Salaries, Support Staff Salaries, Purchased Services, Supplies and
Materials, Travel Expenses, Employee Benefits, Indirect Cost, BOCES Services, Minor
Remodeling, and Equipment) and a Budget Summary Form (FS-20). The Budget Summary
Form (FS-20) can be accessed at http://www.oms.nysed.gov/cafe/forms.html The budget
narrative and category forms must include sufficient detail to allow reviewers to understand what
the funds will be used for and the relationship between the proposed expenditures and project
activities and goals.

General information about the categories of expenditures, general information on allowable costs
and applicable federal costs principles and administrative regulations are available in the Fiscal
Guidelines for Federal and State Aided Grants. Refer to the Application Guidance for additional
specific requirements and information about the allowable and non-allowable activities for the
program.

The totals from each of the Budget Narrative and Category Form must correspond to amounts
shown on the Budget Summary Form (FS-20). Please be sure to check your math.

Only equipment items with a unit cost that equals or exceeds $5,000 should be included under
Equipment, Code 20. Equipment items under $5,000 should be included under Supplies and
Materials, Code 45.




                                               14
             Adult Basic Education and Literacy Services
    2008 – 2009 Allocations by Local Workforce Investment Areas

                                         English
                         Adult Basic
                                        Language/
                         Education
                                         Civics          Total
Local Workforce
Investment Area:
Oyster Bay and               $944,608      $324,104      $1,268,712
Hempstead (Combined)
Suffolk County               $953,496      $268,301      $1,221,797
New York City             $13,089,828    $5,963,555     $19,053,383
Yonkers, Putnam and          $846,416      $334,446      $1,180,862
Balance of Westchester
Rockland County              $220,339       $83,705       $304,044
Dutchess/Putnam              $186,585       $24,107       $210,692
Orange County                $273,340       $67,633       $340,973
Ulster County                $134,811       $11,607       $146,418
Sullivan County              $100,000        $8,482       $108,482
Albany/Rensselaer/           $351,353       $34,895       $386,248
Schenectady
Columbia/Greene              $167,435        $6,027       $173,462
Fulton/Montgomery/           $116,910        $7,440       $124,350
Schoharie
Saratoga/Warren/             $183,055        $7,961       $191,016
Washington
Clinton/Essex/               $167,435        $5,952       $173,387
Franklin/Hamilton
Jefferson/Lewis              $100,000        $5,059       $105,059
St. Lawrence County          $100,000        $3,051       $103,051
Herkimer/Madison/            $304,539       $29,241       $333,780
Oneida
Broome/Tioga                 $162,895       $14,360       $177,255
Tompkins County              $100,000        $8,482       $108,482
Chenango/Delaware/           $116,620        $4,315       $120,935
Otsego
Cayuga/Cortland              $100,000        $3,869       $103,869
Syracuse & Onondaga          $270,099       $35,714       $305,813
County
Oswego County                $100,000        $3,646       $103,646
Chemung/Schuyler/            $142,524        $4,390       $146,914
Steuben
Ontario/Seneca/Wayne/        $161,459        $8,705       $170,164
Yates
Rochester/                   $473,899       $78,645       $552,544


                                15
                                        English
                        Adult Basic
                                       Language/
                        Education
                                        Civics        Total
Monroe County
Genesee/Livingston/         $161,584       $7,738      $169,322
Orleans/Wyoming
Niagara County              $146,628        $8,482      $155,110
Buffalo & Erie County      $671,870        $65,624      $737,494
Cattaraugus/Allegany       $100,000         $3,199     $103,199
Chautauqua County          $103,532         $7,589     $111,121
                         $21,051,260    $7,440,324   $28,491,584




                               16
                                          The University of the State of New York
                                        THE STATE EDUCATION DEPARTMENT
                                                    Albany, NY 12234


                                            Application Cover Page

         Workforce Investment Act Title II -- Adult Basic Education and Literacy Services

                                                   Agency Code
 Previously funded agencies must include their agency code. Agencies which have not previously been
 funded do not yet have a code.



 Name of Applicant:                                          Contact Person:

 Address:                                                    Title:
                                                             Telephone:
 City:                                    Zip:               Fax:
                                                             Email:
 Local Workforce Investment Area:                            Funding Requested:
                                                             $
 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, 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 of Chief School/Administrative Officer (in blue ink):


 Typed Name:                                                                                        Date


A separate application must be submitted for each LWIB area to be served for Adult Basic Education
and Literacy Services and/or EL Civics proposals, and each English Language Learners
Postsecondary Transition, or Corrections Education or other Institutionalized Individuals proposals

                         Check the appropriate box to indicate the purpose of this proposal
    Adult Basic Education and Literacy Services                   English Language/Civics

    English Language Learner Postsecondary                        Corrections Education
    Transition




                                                          17
                                      Application Checklist

Applicant Name:

Listed below are the required documents for a complete application in the order that they should
appear. This must be submitted with the application

                                      Required Documents

___Application Cover Page

___Application Checklist

___Proposal Narrative (Be sure to respond to the Proposal Narrative questions that address the type
      of program you plan to run)

___Performance Target Worksheet

___Program Component Worksheet for Traditional Adult Education Instruction

___Program Component Information Sheet

___Program Information Form

___Budget Category and Narrative Forms

___Assurances

The following must be submitted as separate documents with the application.

___Budget Summary Form (FS-20)

___Program Information Form

___Letters of support from participating collaborators/partners (if required)

___Payee Information Form (for entities that have not previously received funding from the
State Education Department or any agency which has had a name change , address change or
other significant change).




                                                18
                                      Proposal Narrative

1 ) Adult Basic Education and Literacy Services. Applicants must address all of the following
in the proposal narrative for an Adult Basic Education and Literacy Services program.

Proposal Narrative (100 Total Points)

Abstract (no points)

Provide a concise one-page summary that describes the entire proposal. It gives the reader 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.

Population to be Served (6 points)

   •   Describe the target populations and their literacy needs.
   •   Explain the commitment to serve individuals who are most in need of literacy services.

Project Description (25 points plus 5 bonus points)

NOTE: Programs that include a family literacy component will be awarded 5 bonus points.
WIA funds cannot be used to support instructional programs for children and youth under
age sixteen.

Describe your proposed Adult Basic Education and Literacy Services program including:

   •   The curricula and instructional practices to be employed are founded on research and
       effective educational practices.
   •   How the program proposes to create pathways to post-secondary education,
       apprenticeship programs and employment.
   •   How the program employs advances in technology including the use of computers.
   •   How the program provides learning in real-life contexts to ensure that an individual has
       the skills needed to compete in the workplace and exercise the rights and responsibilities
       of citizenship.
   •   How the program matches services with needs of students who have been identified as
       learning disabled.
   •   How support services such as assessment, counseling, and referral to childcare and
       transportation services are provided through other non-WIA funding sources or through
       referrals to other agencies. Explain what services are provided directly and what services
       are provided through partnerships with other agencies.
   •   Whether the program uses managed enrollment or open enrollment.
   •   How the program will follow up on students who have exited the program to ascertain if
       they have obtained employment, retained employment or entered postsecondary
       education.



                                               19
   •   Whether or not the program has a family literacy component that integrates the following
       components:

       -   adult literacy training for parents that leads to economic self-sufficiency;
       -   interactive literacy activities between parents and their children;
       -   training for parents regarding how to be the primary teacher for their children and full
           partners in the education of their children; and
       -   age-appropriate education to prepare children for success in school and life
           experiences.

Regional Networking and Interagency Coordination (9 points)

   •   Describe efforts that have been made or will be made to network and coordinate services
       with other educational providers.
   •   Describe efforts that have been made or will be made to network with local employers.
   •   Describe the networking and coordination activities with the local one -stop to provide
       job placement and support services to support students..
   •   For proposals submitted by consortiums of agencies, specify each agency and its role in
       the project. Attach a letter of commitment from each consortium member.

Proposed Outcomes and Accountability (9 points)

   •   Indicate the NRS Performance Targets used to assess the effectiveness of your program.
   •   Describe the continuous program improvement strategy including how program self-
       assessment, Data review and research are used to increase program performance
   •   Provide the names and titles of the members of the Program Improvement Committee,
       indicting who represents administration, student support services, faculty and students.

Staff Development (6 Points)

Identify your staff development needs and describe your plan to ensure that:

   •   Each instructional staff member will receive, at a minimum, ten hours of staff
       development per year;
   •   All new instructional staff will receive pre-service training through the Regional Adult
       Education Network; and
   •   New program managers and administrators will attend the training for new administrators
       to be conducted by SED, tentatively scheduled for October 2008.

Program Budget (20 Points)

   •   Complete an FS-20 budget form and the Program Budget Worksheet for the proposed
       program. Include a budget narrative that demonstrates that the budget is reasonable for
       the services proposed in the application.
   •   Instructional costs must make up at least 85% percent of the total budget.
   •   Administrative costs cannot exceed five percent of the total budget.


                                               20
Program Component Information Forms (10 points)

The program is of sufficient intensity and duration:

   •   Classes meet 6-20 hours per week
   •   Minimum 150 hours per year
   •   Class size of 10-20

Prior Performance (+10 to –10 Points)

Applicant agencies that are currently funded will be evaluated based on the report cards which
will be generated in the spring of 2008. A matrix will be developed placing agencies in quartiles
based on performance. For currently funded agencies, between minus 5 and plus 5 points will be
awarded based upon program performance in the 2006-07 year. New applicants will receive
zero points.

Persistence (average contact hours) will also be used to evaluate applicants. For currently
funded agencies, the total number of contact hours reported for 2006-07 will be divided by the
number of students enrolled. Quartiles will be established, and between minus 5 and plus 5
points will be added to the agency's score. New applicants will receive zero points.




                                                21
                                      Proposal Narrative

2) EL/Civics. Applicants must address all of the following in the proposal narrative for an
EL/Civics program.

Proposal Narrative (100 Total Points)

Abstract (no points)

Provide a concise one-page summary that describes the entire proposal. It gives the reader 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.

Population to be Served (6 points)

   •   Describe the target populations and their literacy needs.
   •   Explain the commitment to serve individuals who are most in need of literacy services.

Project Description (25 plus 5 bonus points)

NOTE: Programs that include a family literacy component will be awarded 5 bonus points.
WIA funds cannot be used to support instructional programs for children and youth under
age sixteen.

Describe your proposed adult basic education and literacy services program including:

   •   The curriculum clearly emphasizes contextualized instruction on the rights and
       responsibilities of citizenship, naturalization procedures, civic participation, and U.S.
       history and government to help students acquire the skills and knowledge to become
       active and informed parents, workers, and community members.
   •   How the program proposes to create pathways to post-secondary education,
       apprenticeship programs and employment.
   •   How the program employs advances in technology including the use of computers.
   •   How the program provides learning in real-life contexts to ensure that students have skills
       for competing in the workplace, entering post secondary and obtaining/practicing
       citizenship.
   •   How the program matches services with needs of students who have been identified as
       learning disabled.
   •   How support services such as assessment, counseling, and referral to childcare and
       transportation services are provided through other non-WIA funding sources or through
       referrals to other agencies. Explain what services are provided directly and what services
       are provided through partnerships with other agencies
   •    Whether the program uses managed enrollment or open enrollment. How the program
       will follow up on students who have exited the program to ascertain if they have obtained
       employment, retained employment or entered postsecondary education.


                                               22
   •   Whether or not the program has a family literacy component that integrates the following
       components:

          -   adult literacy training for parents that leads to economic self-sufficiency;
          -   interactive literacy activities between parents and their children;
          -   training for parents regarding how to be the primary teacher for their children and
              full partners in the education of their children; and
          -   age-appropriate education to prepare children for success in school and life
              experiences.

Regional Networking and Interagency Coordination (9 points)

   •   Describe efforts that have been made or will be made to network and coordinate services
       with other educational providers.
   •   Describe efforts that have been made or will be made to network with local employers.
   •   Describe the networking and coordination activities with the local one-stop to provide job
       placement and support services to support students..
   •   For proposals submitted by consortiums of agencies, specify each agency and its role in
       the project. Attach a letter of commitment from each consortium member.

Proposed Outcomes and Accountability (9 points)

   •   Indicate the NRS Performance Targets used to assess the effectiveness of your program.
   •   Describe the continuous program improvement strategy including how program self-
       assessment, Data review and research are used to increase program performance
   •   Provide the names and titles of the members of the Program Improvement Committee,
       indicting who represents administration, student support services, faculty and students.

Staff Development (6 Points)

   Identify your staff development needs and describe your plan to ensure that:
   • Each instructional staff member will receive, at a minimum, ten hours of staff
      development per year;
   • All new instructional staff will receive Adult Literacy Educators Core Curriculum
      (ALEC) through the Regional Adult Education Network; and
   • New program managers and administrators will attend the training for new administrators
      to be conducted by SED, tentatively scheduled for October 2008.

Program Budget (20 Points)

   •   Complete an FS-20 budget form and the Program Budget Worksheet for the proposed
       program.
   •   Instructional costs must make up at least 85% percent of the total budget.
   •   Administrative costs cannot exceed five percent of the total budget.




                                               23
   •   Programs that can leverage a minimum of 25% of local funding or in-kind contributions
       in addition to the requested WIA amount will receive 5 bonus points. Programs that will
       be leveraging local funds must submit a Matching Contribution Worksheet.

Program Component Information Forms (10 points)

   The program is of sufficient intensity and duration:

   •   Classes meet 6-20 hours per week
   •   Minimum 150 hours per year
   •   Number of classes
   •   Class size of 10-20
   •   Location

Prior Performance (+10 to –10 Points)

Applicant agencies that are currently funded will be evaluated based on the report cards which
will be generated in the spring of 2008. A matrix will be developed placing agencies in quartiles
based on performance. For currently funded agencies, between minus 5 and plus 5 points will be
awarded based upon program performance in the 2006-07 year. New applicants will receive
zero points.

Persistence (average contact hours) will also be used to evaluate applicants. For currently
funded agencies, the total number of contact hours reported for 2006-07 will be divided by the
number of students enrolled. Quartiles will be established, and between minus 5 and plus 5
points will be added to the agency's score. New applicants will receive zero points.




                                               24
                                      Proposal Narrative

3) Corrections Education and other Institutionalized Individuals Programs. Applicants
must address all of the following in their proposal narrative for a Corrections Education and
other Institutionalized Individuals program.

Proposal Narrative (100 Total Points)

Abstract (no points)

Provide a concise one-page summary that describes the entire proposal. It gives the reader 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.

Population to be Served (6 points)

   •   Describe the target populations and their literacy needs. Indicate the type of facility
       where the individuals are currently housed.
   •   Explain the commitment to serve individuals who are within five years of their release.

Project Description (25 plus 5 bonus points)

NOTE: Programs that include a family literacy component will be awarded 5 bonus points.
WIA funds cannot be used to support instructional programs for children and youth under
age sixteen.

Describe your proposed adult basic education and literacy services program including:

   •   The curricula and instructional practices to be employed are founded on research and
       effective educational practices.
   •   How the program proposes to create pathways to post-secondary education,
       apprenticeship programs and employment.
   •   How the program employs advances in technology including the use of computers.
   •   How the program provides learning in real-life contexts to ensure that an individual has
       the skills needed to compete in the workplace and exercise the rights and responsibilities
       of citizenship.
   •   How the program matches services with needs of students who have been identified as
       learning disabled.
   •   How support services offered such as assessment, counseling, and referral to childcare
       and transportation services. Explain what services are provided directly and what services
       are provided through partnerships with other agencies.
   •   Whether the program uses managed enrollment or open enrollment.
   •   How the program will follow up on students who have exited the program to ascertain if
       they have obtained employment, retained employment or entered postsecondary
       education.


                                               25
   •   Whether or not the program has a family literacy component that integrates the following
       components:

       -   adult literacy training for parents that leads to economic self-sufficiency;
       -   interactive literacy activities between parents and their children;
       -   training for parents regarding how to be the primary teacher for their children and full
           partners in the education of their children; and
       -   age-appropriate education to prepare children for success in school and life
           experiences.

Regional Networking and Interagency Coordination (9 points)

   •   Describe efforts that have been made or will be made to network and coordinate services
       with other educational providers.
   •   Describe efforts that have been made or will be made to network with local employers.
   •   Describe the networking and coordination activities with the local one-stop to provide job
       placement and support services to support students after their release from incarceration.
   •   For proposals submitted by consortiums of agencies, specify each agency and its role in
       the project. Attach a letter of commitment from each consortium member.

Proposed Outcomes and Accountability (9 points)

   •   Indicate the NRS Performance Targets used to assess the effectiveness of your program.
   •   Describe the continuous program improvement strategy including how program self-
       assessment, data review and research are used to increase program performance
   •   Provide the names and titles of the members of the Program Improvement Committee,
       indicting who represents administration, student support services, faculty and students.

Staff Development (6 points)

   Identify your staff development needs and describe your plan to ensure that:

   •   Each instructional staff member will receive, at a minimum, ten hours of staff
       development per year;
   •   All new instructional staff will receive pre-service training through the Regional Adult
       Education Network; and
   •   New program managers and administrators will attend the training for new administrators
       to be conducted by SED, tentatively scheduled for October 2008.

Program Budget (20 Points)

   •   Complete an FS-20 budget form and the Program Budget Worksheet for the proposed
       program.
   •   Instructional costs must make up at least 85% percent of the total budget.
   •   Administrative costs cannot exceed five percent of the total budget.



                                               26
   •   Programs that can leverage a minimum of 25% of local funding or in-kind contributions
       in addition to the requested WIA amount will receive 5 bonus points. Programs that will
       be leveraging local funds must submit a Matching Contribution Worksheet.

Program Component Information Forms (10 points)

   The program is of sufficient intensity and duration:

   •   Classes meet 6-20 hours per week
   •   Minimum 150 hours per year
   •   Number of classes
   •   Class size of 10-20
   •   Location

Prior Performance (+10 to –10 Points)

Applicant agencies that are currently funded will be evaluated based on the report cards which
will be generated in the spring of 2008. A matrix will be developed placing agencies in quartiles
based on performance. For currently funded agencies, between minus 5 and plus 5 points will be
awarded based upon program performance in the 2006-07 year. New applicants will receive
zero points.

Persistence (average contact hours) will also be used to evaluate applicants. For currently
funded agencies, the total number of contact hours reported for 2006-07 will be divided by the
number of students enrolled. Quartiles will be established, and between minus 5 and plus 5
points will be added to the agency's score. New applicants will receive zero points.




                                               27
                                      Proposal Narrative

4) English Language Learners Postsecondary Transition Program. Applicants must address
all of the following in their proposal narrative for an English Language Learners Postsecondary
program.

Proposal Narrative (100 Total Points)

Abstract (no points)

Provide a concise one-page summary that describes the entire proposal. It gives the reader 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.

Population to be Served (10 points)

   •   Describe the target populations and their literacy needs.
   •   Explain the recruitment and screening efforts to identify individuals who are most likely
       to benefit from ELL/professional/technical training.

Project Description (30 points)

Describe your proposed adult basic education and literacy services program including:

   •   The curricula and instructional practices to be employed are founded on research and
       effective educational practices and how it will use a team teaching model that includes
       joint planning and instructional overlap.
   •   How the program demonstrates that it is part of an educational pathway, linked to a
       career pathway that begins with ELL instruction and continues to a one-year certificate
       that leads to employment or creates pathways to post-secondary education or
       apprenticeship programs.
   •   How the program employs advances in technology including the use of computers.
   •   How the program provides learning in real-life contexts to ensure that an individual has
       the skills needed to compete in the workplace.
   •   How the program matches services with needs of students who have been identified as
       learning disabled.
   •   Strategies for student transition to the next program level including pathway planning,
       financial aid and on-going academic support.
   •    How the program will follow up on students who have exited the program to ascertain if
       they have obtained employment, retained employment or entered postsecondary
       education.

Regional Networking and Interagency Coordination (9 points)

   •   Describe efforts that have been made or will be made to network with local employers.


                                               28
   •   Describe the networking and coordination activities with the local One Stop to obtain job
       market information that shows evidence of available jobs for program graduates at a
       minimum of $15 per hour ($20 per hour in New York City, Rockland, Westchester,
       Nassau or Suffolk).
   •   For proposals submitted by consortiums of agencies, specify each agency and its role in
       the project. Attach a letter of commitment from each consortium member.

Proposed Outcomes and Accountability (18 points)

   •   Indicate the NRS Performance Targets used to assess the effectiveness of your program.
   •   Describe the continuous program improvement strategy including how program self-
       assessment, data review and research are used to increase program performance
   •   Provide the names and titles of the members of the Program Improvement Committee,
       indicting who represents administration, student support services, faculty and students.
   •   Indicate how the program will assess the professional/technical competencies.

Staff Development (13 Points)

Identify your staff development needs and describe your plan to ensure that:

   •   Each instructional staff member will receive staff development in team teaching and the
       instructors will be “cross-trained” in ELL instruction and professional/technical
       instruction.

Program Budget (20 Points)

   •   Complete an FS-20 budget form and the Program Budget Worksheet for the proposed
       program. Include a budget narrative that demonstrates that the budget is reasonable for
       the services proposed in the application.
   •   Instructional costs must make up at least 85% percent of the total budget.
   •   Administrative costs cannot exceed five percent of the total budget.
   •   Programs must match the WIA award with an equal amount to cover the
       professional/technical instruction. This can come for federal, state or local sources. A
       matching contribution worksheet must be submitted with the application.




                                               29
                                 Performance Target Worksheet

Please complete your 2008-09 targets.

                                    Core Outcome Measures

Educational Gain                                         2007-08   2008-2009
(Advancing an Educational Functioning Level):            Target     Target

•   Adult Basic Education – Beginning Literacy              38
•   Adult Basic Education – Beginning Basic                 40
    Education
•   Adult Basic Education – Intermediate Low                40
•   Adult Basic Education – Intermediate High               34
•   Adult Secondary Education – Low                         38




•   ESL – Beginning Literacy
                                                            39
•   ESL – low beginning EL
                                                            45
•   ESL – high beginning EL
                                                            45
•   ESL – low Intermediate EL
                                                            47
•   ESL – high intermediate EL                              47
•   ESL – advanced EL                                       45

•  Received a GED or Secondary School Diploma               75
     (For Adult Secondary Education – High)
Other Goals
• Entered Employment                                        75
• Retained Employment                                       69
• Entered Post-secondary Education or Training              75




                                             30
                                Program Component Worksheet
                                             for
                                  Adult Education Instruction

Please indicate in the following table the programs offered, the projected number of students to be
served and contact hours.



                 PROGRAM TYPE                         NUMBER OF         NUMBER OF
                                                       STUDENTS          CONTACT
                                                      PROJECTED           HOURS
                                                          FOR           PROJECTED
                                                         2008-09        FOR 2008-09

       Adult Basic Education (ABE)

       General Educational Development
       (GED) Test Preparation

       English for Speakers of Other Languages
       (ESOL)
       Family Literacy


       Total




                                                 31
32
Applicant Name:                                              Program:


                        Workforce Investment Act Title II
                                   2008-2009
                      Program Component Information Sheet



  Program             Location         Hours      Hours     Number       Average
    Type          (county/borough)    per week   per year   of classes   Class Size
                                        (per       (per
                                       class)     class)




                                      33
                            Budget Category and Narrative Forms
                            Salaries for Professional Staff: Code 15
Include only staff that are employees of the agency. Do not include consultants or per diem
staff. Do not include central administrative staff that are considered to be indirect costs, e.g.,
business office staff. One full-time equivalent (FTE) equals one person working an entire week
for each week of the project. Express partial FTE's in decimals, e.g., a teacher working one day
per week equal .2 FTE.



                                                  Full-time
              Specific Position Titles                             Proposed Expenditure
                                                 Equivalents




          TOTAL, transfer to FS-20, Budget Summary Form
In the space below, please describe how the positions identified above will support the project
activities and contribute to program goals.




                                                34
                              Salaries for Support Staff: Code 16
Include salaries for teacher aides, secretarial and clerical assistance, and for personnel in pupil
transportation and building operation and maintenance. Do not include administrative staff that
are considered to be indirect costs, e.g., account clerks.



                                                          Full-time          Proposed
                  Specific Position Titles               Equivalents        Expenditure




               TOTAL, transfer to FS-20, Budget Summary Form

In the space below, please describe how the positions identified above will support the project
activities and contribute to program goals.




                                                 35
                                   Purchased Services: Code 40
Identify the type of expenditure by general category (i.e., consultants, rentals, tuition, printing,
communications, and other contractual services).
Charter Schools cannot provide any purchased services from a BOCES.
An agency cannot purchase services from themselves.
Copies of contracts may be requested by the State Education Department.
                          Description of Item                               Proposed
                                                                           Expenditure




      TOTAL (transfer to FS-20, Budget Summary Form)

In the space below, describe how the purchased services itemized above will support the project
activities and contribute to the program goals.




                                                  36
                                 Supplies and Materials: Code 45


Identify the type of supplies or materials by general category (i.e., instructional, office, books,
computer software, etc.).


                                                                                    Proposed
                         Description of Category
                                                                                   Expenditure




TOTAL (transfer to FS-20, Budget Summary Form)
In the space below, please describe how the supplies and materials and equipment less than
$5,000 itemized above will support the project activities and contribute to the program goals.




                                                 37
                                     Travel Expenses: Code 46
Identify purpose of travel (i.e., student transportation, staff travel between instructional sites,
student field trips – if specifically allowed by the grant, etc.) and the proposed expenditure.
Include travel expenses for conference costs, out-of-state travel and costs for staff development
programs, if allowable expenditures.



                                  Purpose                                 Proposed Expenditure




     TOTAL (transfer to FS-20, Budget Summary Form)
In the space below, please describe how the travel expenses itemized above will support the
project activities and contribute to the program goals. Detail must be provided for student field
trips, out-of-state travel and conferences.




                                                  38
                                 Employee Benefits: Code 80
Agencies may choose to calculate the proposed Employee Benefits using their agency’s Fringe
Benefits (FB) rate or itemizing the specific benefits. The FB Rate for project personnel must be
the same as those used for other agency personnel. Only the Employee Benefits, which are
attributable to the professional and support staff identified in Codes 15 and 16 may be included
in this section.


Complete either Section I or Section II.
Section I – Calculation of Fringe Benefits (FB) using the Agency’s FB rate.

Agency Fringe Benefit Rate              Project Salaries              Proposed Expenditure



  TOTAL (transfer to FS-20)



Section II – Itemize Specific Categories of Benefits

                            Benefit                                    Proposed Expenditure


Social Security, Retirement (NYS Teachers, NYS Employees,
Other), Health Insurance, Worker's Compensation,
Unemployment Insurance, Other (Identify)


TOTAL (transfer to FS-20)




                                               39
                                     Indirect Cost: Code 90
Refer to the Fiscal Guidelines for further instructions regarding Modified Direct Cost Base and
the Approved Restricted Indirect Cost Rate.

A. Modified Direct Cost Base – Sum of all preceding totals (codes
   15, 16, 40, 45, 46 and 80) and excludes the portion of each         $                   (A)
   subcontract exceeding $25,000 and any flow through funds.


B. Approved Restricted Indirect Cost Rate                                             %    (B)


C. (A) x (B) = Total Indirect Cost (transfer to FS-20)                 $                   (C)


TOTAL (transfer A,B,C totals to FS-20 Budget Summary Form)




                                                40
                                     Equipment: Code 20

All equipment to be purchased in support of this project with a unit cost of $5,000 or more
should be itemized in this category. Equipment items under $5,000 should be budgeted and
justified under Supplies and Materials, Code 45. Repairs of equipment should be budgeted under
Purchased Services, Code 40. Prior approval is required for all equipment purchases; see Fiscal
Guidelines for additional information.


                                                                          Unit     Proposed
                    Description of Item                       Quantity
                                                                          Cost    Expenditure




Total (Transfer to FS-20)
In the space below, please describe how the equipment itemized above will support the project
activities and contribute to the program goals.




                                              41
                        Purchased Services with BOCES: Code 49
Describe the services to be purchased, the name of the BOCES and the proposed amount.


                                                                 Proposed
                   Description of Services
                                                                Expenditure




TOTAL (transfer to FS-20)

In the space below, please describe how the Purchased Services with BOCES itemized above
will support the project activities and contribute to the program goals.




                                             42
                                   Statement of General Assurances

The chief administrative officer of the applying agency certifies that:
• The officer 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
   students.
• For public agencies, program operation, documentation, reporting, teacher qualifications, and staff
   Development activities will be in accord with the Rules of the Board of Regents Chapter 168 of the
   Regulations of the Commissioner of Education 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 the Rules of the Board of Regents and Chapter 167
   of the Regulations of the Commissioner of Education and with the guidelines set forth in State
   program office requirements.
• The agency will provide continuous supervision of the program and will retain responsibility for
   the maintenance of financial overview.
• 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 agency will comply with appropriate federal education, vocational rehabilitation, and civil
   rights legislation.
• The grantee, if a private nonprofit agency, was incorporated prior to July 1, 2003.

The chief operating officer also certifies that the applying agency will comply with the
requirements described in the Request for Proposals regarding:
• Sufficient intensity and duration;
• Staff development;
• High quality management information system; and
• If appropriate, GED preparation program requirements regarding the Official Practice Test
   (OPT) and referral to the GED test.

 As the duly authorized representative of the applicant, I hereby certify that the applicant will comply with the
 above requirements.

 Printed Name and Title of the Chief Administrative Officer


 Signature of the Chief Authorized Administrative Officer                                 Date


 Agency Name




                                                     43
                            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

New York State Assurances and Certifications: (For discretionary grant programs only.)
•    Appendix A
•    Appendix A-1G




                                              44
                                      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.




                                                                    45
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. §§1721 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




                                                                46
                 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 34 CFR Part 82, "New Restrictions on
Lobbying," and 34 CFR Part 85, "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, Sections 82.105 and 82.110, 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 34 CFR Part 85, for prospective participants
in primary covered transactions, as defined at 34 CFR Part 85, Sections 85.105 and 85.110--

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 judgement 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 80-0013, as amended by the New York State Education Department




                                                                   47
                    CERTIFICATION REGARDING DEBARMENT, SUSPENSION, INELIGIBILITY AND
                       VOLUNTARY EXCLUSION — LOWER TIER COVERED TRANSACTIONS

This certification is required by the Department of Education regulations implementing Executive Order 12549, Debarment and
Suspension, 34 CFR Part 85, for all lower tier transactions meeting the threshold and tier requirements stated at Section 85.110.

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.
______________________________________________________________________________________



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


                                                                    48
                                    NEW YORK STATE DEPARTMENT OF EDUCATION
                                  GENERAL 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) that the local educational agency will administer each program covered by the application in accordance with all applicable
         statutes, regulations, program plans, and applications;

(2) that 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) that 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) that 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) that 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) that 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) that 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) that 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) that 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.




                                                                    49
        STANDARD CLAUSES FOR NYS CONTRACTS                                       by reason of race, creed, color, national origin, age, sex or disability:
                                                                                 (a) discriminate in hiring against any New York State citizen who is
        The parties to the attached contract, license, lease, amendment          qualified and available to perform the work; or (b) discriminate
or other agreement of any kind (hereinafter, "the contract" or "this             against or intimidate any employee hired for the performance of work
contract") agree to be bound by the following clauses which are                  under this contract. Contractor is subject to fines of $50.00 per
hereby made a part of the contract (the word "Contractor" herein                 person per day for any violation of Section 220-e or Section 239 as
refers to any party other than the State, whether a contractor, licenser,        well as possible termination of this contract and forfeiture of all
licensee, lessor, lessee or any other party):                                    moneys due hereunder for a second or subsequent violation.
1. EXECUTORY CLAUSE. In accordance with Section 41 of the                        6. WAGE AND HOURS PROVISIONS. If this is a public work
State Finance Law, the State shall have no liability under this contract         contract covered by Article 8 of the Labor Law or a building service
to the Contractor or to anyone else beyond funds appropriated and                contract covered by Article 9 thereof, neither Contractor's employees
available for this contract.                                                     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,
2. NON-ASSIGNMENT CLAUSE. In accordance with Section 138                         except as otherwise provided in the Labor Law and as set forth in
of the State Finance Law, this contract may not be assigned by the               prevailing wage and supplement schedules issued by the State Labor
Contractor or its right, title or interest therein assigned, transferred,        Department. Furthermore, Contractor and its subcontractors must
conveyed, sublet or otherwise disposed of without the previous                   pay at least the prevailing wage rate and pay or provide the prevailing
consent, in writing, of the State and any attempts to assign the                 supplements, including the premium rates for overtime pay, as
contract without the State's written consent are null and void. The              determined by the State Labor Department in accordance with the
Contractor may, however, assign its right to receive payment without             Labor Law.
the State's prior written consent unless this contract concerns
Certificates of Participation pursuant to Article 5-A of the State               7. NON-COLLUSIVE BIDDING CERTIFICATION.                              In
Finance Law.                                                                     accordance with Section 139-d of the State Finance Law, if this
                                                                                 contract was awarded based upon the submission of bids, Contractor
3. COMPTROLLER'S APPROVAL. In accordance with Section                            affirms, under penalty of perjury, that its bid was arrived at indepen-
112 of the State Finance Law (or, if this contract is with the State             dently and without collusion aimed at restricting competition.
University or City University of New York, Section 355 or Section                Contractor further affirms that, at the time Contractor submitted its
6218 of the Education Law), if this contract exceeds $50,000 (or the             bid, an authorized and responsible person executed and delivered to
minimum thresholds agreed to by the Office of the State Comptroller              the State a non-collusive bidding certification on Contractor's behalf.
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,                     8. INTERNATIONAL BOYCOTT PROHIBITION.                                 In
exceeds said statutory amount, or if, by this contract, the State agrees         accordance with Section 220-f of the Labor Law and Section 139-h
to give something other than money when the value or reasonably                  of the State Finance Law, if this contract exceeds $5,000, the
estimated value of such consideration exceeds $10,000, it shall not be           Contractor agrees, as a material condition of the contract, that neither
valid, effective or binding upon the State until it has been approved            the Contractor nor any substantially owned or affiliated person, firm,
by the State Comptroller and filed in his office. Comptroller's                  partnership or corporation has participated, is participating, or shall
approval of contracts let by the Office of General Services is required          participate in an international boycott in violation of the federal
when such contracts exceed $85,000 (State Finance Law Section                    Export Administration Act of 1979 (50 USC App. Sections 2401 et
163.6.a).                                                                        seq.) or regulations thereunder. If such Contractor, or any of the
                                                                                 aforesaid affiliates of Contractor, is convicted or is otherwise found
4. WORKERS' COMPENSATION BENEFITS. In accordance                                 to have violated said laws or regulations upon the final determination
with Section 142 of the State Finance Law, this contract shall be void           of the United States Commerce Department or any other appropriate
and of no force and effect unless the Contractor shall provide and               agency of the United States subsequent to the contract's execution,
maintain coverage during the life of this contract for the benefit of            such contract, amendment or modification thereto shall be rendered
such employees as are required to be covered by the provisions of the            forfeit and void. The Contractor shall so notify the State Comptroller
Workers' Compensation Law.                                                       within five (5) business days of such conviction, determination or
                                                                                 disposition of appeal (2NYCRR 105.4).
5. NON-DISCRIMINATION REQUIREMENTS. To the extent
required by Article 15 of the Executive Law (also known as the                   9. SET-OFF RIGHTS. The State shall have all of its common law,
Human Rights Law) and all other State and Federal statutory and                  equitable and statutory rights of set-off. These rights shall include,
constitutional non-discrimination provisions, the Contractor will not            but not be limited to, the State's option to withhold for the purposes
discriminate against any employee or applicant for employment                    of set-off any moneys due to the Contractor under this contract up to
because of race, creed, color, sex, national origin, sexual orientation,         any amounts due and owing to the State with regard to this contract,
age, disability, genetic predisposition or carrier status, or marital            any other contract with any State department or agency, including
status. Furthermore, in accordance with Section 220-e of the Labor               any contract for a term commencing prior to the term of this contract,
Law, if this is a contract for the construction, alteration or repair of         plus any amounts due and owing to the State for any other reason
any public building or public work or for the manufacture, sale or               including, without limitation, tax delinquencies, fee delinquencies or
distribution of materials, equipment or supplies, and to the extent that         monetary penalties relative thereto. The State shall exercise its set-
this contract shall be performed within the State of New York,                   off rights in accordance with normal State practices including, in
Contractor agrees that neither it nor its subcontractors shall, by               cases of set-off pursuant to an audit, the finalization of such audit by
reason of race, creed, color, disability, sex, or national origin: (a)           the State agency, its representatives, or the State Comptroller.
discriminate in hiring against any New York State citizen who is
qualified and available to perform the work; or (b) discriminate                 10. RECORDS. The Contractor shall establish and maintain
against or intimidate any employee hired for the performance of work             complete and accurate books, records, documents, accounts and other
under this contract. If this is a building service contract as defined in        evidence directly pertinent to performance under this contract
Section 230 of the Labor Law, then, in accordance with Section 239               (hereinafter, collectively, "the Records"). The Records must be kept
thereof, Contractor agrees that neither it nor its subcontractors shall          for the balance of the calendar year in which they were made and for

                                                                            50
six (6) additional years thereafter. The State Comptroller, the                 major repair or renovation of real property and improvements thereon
Attorney General and any other person or entity authorized to                   for such project, then:
conduct an examination, as well as the agency or agencies involved
in this contract, shall have access to the Records during normal                (a) The Contractor will not discriminate against employees or
business hours at an office of the Contractor within the State of New           applicants for employment because of race, creed, color, national
York or, if no such office is available, at a mutually agreeable and            origin, sex, age, disability or marital status, and will undertake or
reasonable venue within the State, for the term specified above for             continue existing programs of affirmative action to ensure that
the purposes of inspection, auditing and copying. The State shall               minority group members and women are afforded equal employment
take reasonable steps to protect from public disclosure any of the              opportunities without discrimination. Affirmative action shall mean
Records which are exempt from disclosure under Section 87 of the                recruitment, employment, job assignment, promotion, upgradings,
Public Officers Law (the "Statute") provided that: (i) the Contractor           demotion, transfer, layoff, or termination and rates of pay or other
shall timely inform an appropriate State official, in writing, that said        forms of compensation;
records should not be disclosed; and (ii) said records shall be
sufficiently identified; and (iii) designation of said records as exempt        (b) at the request of the contracting agency, the Contractor shall
under the Statute is reasonable. Nothing contained herein shall                 request each employment agency, labor union, or authorized
diminish, or in any way adversely affect, the State's right to discovery        representative of workers with which it has a collective bargaining or
in any pending or future litigation.                                            other agreement or understanding, to furnish a written statement that
                                                                                such employment agency, labor union or representative will not
11. IDENTIFYING INFORMATION AND PRIVACY                                         discriminate on the basis of race, creed, color, national origin, sex,
NOTIFICATION.                 (a)      FEDERAL         EMPLOYER                 age, disability or marital status and that such union or representative
IDENTIFICATION NUMBER and/or FEDERAL SOCIAL                                     will affirmatively cooperate in the implementation of the contractor's
SECURITY NUMBER. All invoices or New York State standard                        obligations herein; and
vouchers submitted for payment for the sale of goods or services or
the lease of real or personal property to a New York State agency               (c) the Contractor shall state, in all solicitations or advertisements for
must include the payee's identification number, i.e., the seller's or           employees, that, in the performance of the State contract, all qualified
lessor's identification number. The number is either the payee's                applicants will be afforded equal employment opportunities without
Federal employer identification number or Federal social security               discrimination because of race, creed, color, national origin, sex, age,
number, or both such numbers when the payee has both such                       disability or marital status.
numbers. Failure to include this number or numbers may delay
payment. Where the payee does not have such number or numbers,                  Contractor will include the provisions of "a", "b", and "c" above, in
the payee, on its invoice or New York State standard voucher, must              every subcontract over $25,000.00 for the construction, demolition,
give the reason or reasons why the payee does not have such number              replacement, major repair, renovation, planning or design of real
or numbers.                                                                     property and improvements thereon (the "Work") except where the
                                                                                Work is for the beneficial use of the Contractor. Section 312 does
(b) PRIVACY NOTIFICATION. (1) The authority to request the                      not apply to: (i) work, goods or services unrelated to this contract; or
above personal information from a seller of goods or services or a              (ii) employment outside New York State; or (iii) banking services,
lessor of real or personal property, and the authority to maintain such         insurance policies or the sale of securities. The State shall consider
information, is found in Section 5 of the State Tax Law. Disclosure             compliance by a contractor or subcontractor with the requirements of
of this information by the seller or lessor to the State is mandatory.          any federal law concerning equal employment opportunity which
The principal purpose for which the information is collected is to              effectuates the purpose of this section. The contracting agency shall
enable the State to identify individuals, businesses and others who             determine whether the imposition of the requirements of the
have been delinquent in filing tax returns or may have understated              provisions hereof duplicate or conflict with any such federal law and
their tax liabilities and to generally identify persons affected by the         if such duplication or conflict exists, the contracting agency shall
taxes administered by the Commissioner of Taxation and Finance.                 waive the applicability of Section 312 to the extent of such
The information will be used for tax administration purposes and for            duplication or conflict. Contractor will comply with all duly
any other purpose authorized by law.                                            promulgated and lawful rules and regulations of the Governor's
 (2) The personal information is requested by the purchasing unit of            Office of Minority and Women's Business Development pertaining
the agency contracting to purchase the goods or services or lease the           hereto.
real or personal property covered by this contract or lease. The
information is maintained in New York State's Central Accounting                13. CONFLICTING TERMS. In the event of a conflict between
System by the Director of Accounting Operations, Office of the State            the terms of the contract (including any and all attachments thereto
Comptroller, 110 State Street, Albany, New York 12236.                          and amendments thereof) and the terms of this Appendix A, the terms
                                                                                of this Appendix A shall control.
12. EQUAL EMPLOYMENT OPPORTUNITIES FOR
MINORITIES AND WOMEN. In accordance with Section 312 of                         14. GOVERNING LAW. This contract shall be governed by the
the Executive Law, if this contract is: (i) a written agreement or              laws of the State of New York except where the Federal supremacy
purchase order instrument, providing for a total expenditure in excess          clause requires otherwise.
of $25,000.00, whereby a contracting agency is committed to expend
                                                                                15. LATE PAYMENT. Timeliness of payment and any interest to
or does expend funds in return for labor, services, supplies,
                                                                                be paid to Contractor for late payment shall be governed by Article
equipment, materials or any combination of the foregoing, to be
                                                                                11-A of the State Finance Law to the extent required by law.
performed for, or rendered or furnished to the contracting agency; or
(ii) a written agreement in excess of $100,000.00 whereby a
                                                                                16. NO ARBITRATION.              Disputes involving this contract,
contracting agency is committed to expend or does expend funds for
                                                                                including the breach or alleged breach thereof, may not be submitted
the acquisition, construction, demolition, replacement, major repair
                                                                                to binding arbitration (except where statutorily authorized), but must,
or renovation of real property and improvements thereon; or (iii) a
                                                                                instead, be heard in a court of competent jurisdiction of the State of
written agreement in excess of $100,000.00 whereby the owner of a
                                                                                New York.
State assisted housing project is committed to expend or does expend
funds for the acquisition, construction, demolition, replacement,

                                                                           51
17. SERVICE OF PROCESS. In addition to the methods of service                          Telephone: 518-292-5250
allowed by the State Civil Practice Law & Rules ("CPLR"),                              Fax: 518-292-5803
Contractor hereby consents to service of process upon it by registered                 http://www.empire.state.ny.us
or certified mail, return receipt requested. Service hereunder shall be
complete upon Contractor's actual receipt of process or upon the               The Omnibus Procurement Act of 1992 requires that by signing this
State's receipt of the return thereof by the United States Postal              bid proposal or contract, as applicable, Contractors certify that
Service as refused or undeliverable. Contractor must promptly notify           whenever the total bid amount is greater than $1 million:
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               (a) The Contractor has made reasonable efforts to encourage the
known address shall be sufficient. Contractor will have thirty (30)             participation of New York State Business Enterprises as suppliers
calendar days after service hereunder is complete in which to                   and subcontractors, including certified minority and women-owned
respond.                                                                        business enterprises, on this project, and has retained the
                                                                                documentation of these efforts to be provided upon request to the
18. PROHIBITION ON PURCHASE OF TROPICAL                                         State;
HARDWOODS. The Contractor certifies and warrants that all wood
products to be used under this contract award will be in accordance            (b) The Contractor has complied with the Federal Equal Opportunity
with, but not limited to, the specifications and provisions of State            Act of 1972 (P.L. 92-261), as amended;
Finance Law §165. (Use of Tropical Hardwoods) which prohibits
purchase and use of tropical hardwoods, unless specifically                    (c) The Contractor agrees to make reasonable efforts to provide
exempted, by the State or any governmental agency or political                  notification to New York State residents of employment opportunities
subdivision or public benefit corporation. Qualification for an                 on this project through listing any such positions with the Job Service
exemption under this law will be the responsibility of the contractor           Division of the New York State Department of Labor, or providing
to establish to meet with the approval of the State.                            such notification in such manner as is consistent with existing
                                                                                collective bargaining contracts or agreements. The Contractor agrees
In addition, when any portion of this contract involving the use of             to document these efforts and to provide said documentation to the
woods, whether supply or installation, is to be performed by any                State upon request; and
subcontractor, the prime Contractor will indicate and certify in the
submitted bid proposal that the subcontractor has been informed and            (d) The Contractor acknowledges notice that the State may seek to
is in compliance with specifications and provisions regarding use of            obtain offset credits from foreign countries as a result of this contract
tropical hardwoods as detailed in §165 State Finance Law. Any such              and agrees to cooperate with the State in these efforts.
use must meet with the approval of the State; otherwise, the bid may
not be considered responsive. Under bidder certifications, proof of            21. RECIPROCITY AND SANCTIONS PROVISIONS. Bidders
qualification for exemption will be the responsibility of the                  are hereby notified that if their principal place of business is located
Contractor to meet with the approval of the State.                             in a country, nation, province, state or political subdivision that
                                                                               penalizes New York State vendors, and if the goods or services they
19. MACBRIDE FAIR EMPLOYMENT PRINCIPLES. In                                    offer will be substantially produced or performed outside New York
accordance with the MacBride Fair Employment Principles (Chapter               State, the Omnibus Procurement Act 1994 and 2000 amendments
807 of the Laws of 1992), the Contractor hereby stipulates that the            (Chapter 684 and Chapter 383, respectively) require that they be
Contractor either (a) has no business operations in Northern Ireland,          denied contracts which they would otherwise obtain. NOTE: As of
or (b) shall take lawful steps in good faith to conduct any business           May 15, 2002, the list of discriminatory jurisdictions subject to this
operations in Northern Ireland in accordance with the MacBride Fair            provision includes the states of South Carolina, Alaska, West
Employment Principles (as described in Section 165 of the New York             Virginia, Wyoming, Louisiana and Hawaii.                 Contact NYS
State Finance Law), and shall permit independent monitoring of                 Department of Economic Development for a current list of
compliance with such principles.                                               jurisdictions subject to this provision.

20. OMNIBUS PROCUREMENT ACT OF 1992. It is the policy                          22. PURCHASES OF APPAREL. In accordance with State Finance
of New York State to maximize opportunities for the participation of           Law 162 (4-a), the State shall not purchase any apparel from any
New York State business enterprises, including minority and women-             vendor unable or unwilling to certify that: (i) such apparel was
owned business enterprises as bidders, subcontractors and suppliers            manufactured in compliance with all applicable labor and
on its procurement contracts.                                                  occupational safety laws, including, but not limited to, child labor
                                                                               laws, wage and hours laws and workplace safety laws, and (ii)
Information on the availability of New York State subcontractors and           vendor will supply, with its bid (or, if not a bid situation, prior to or at
suppliers is available from:                                                   the time of signing a contract with the State), if known, the names
                                                                               and addresses of each subcontractor and a list of all manufacturing
       NYS Department of Economic Development                                  plants to be utilized by the bidder.
       Division for Small Business
       30 South Pearl St -- 7th Floor                                                                        June, 2006
       Albany, New York 12245
       Telephone: 518-292-5220
       Fax: 518-292-5884
       http://www.empire.state.ny.us

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

       NYS Department of Economic Development
       Division of Minority and Women's Business Development
       30 South Pearl St -- 2nd Floor
       Albany, New York 12245
                                                                          52
                                                               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.   Variations in each budget category not exceeding ten percent (10%) or One Thousand Dollars ($1,000.00) of such category, whichever is
     greater, may be approved by the Commissioner of Education. Any such variations shall be reflected in the final expenditure report and
     filed in the Office of the State Comptroller.

Terminations

A. 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.

Safeguards for Services and Confidentiality

A. 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.
                                                                                                                      Attachment 1




 Bulletin
                         Procurement & Contracting
 Category:

 Bulletin Number: G-079

                                                       Date Last
 Date Issued:            8/22/88                                             1/31/06
                                                       Updated:

 Bulletin Name:          Contracts with Non-Profit Organizations

The purpose of this bulletin is to clarify the procedure for providing charities registration information for State
contracts with non-profit organizations. This bulletin supersedes Procurement and Disbursement Guidelines'
Bulletin G-72 dated April 1, 1988.

Article 7-a of the Executive law requires, with certain exemptions, that non-profit organizations which receive
funding of $25,000 or more in total form governmental agencies must register with the Office of the Attorney
General as a charitable organization. Section 172-a of Article 7-a sets forth categories of organizations that
are exempt from registration.

Effective immediately, contracts submitted for non-profit organizations which receive funding of $25,000 or
more in total from governmental agencies must submit one of the following:
1. The organization's charitable registration number. This number must be inserted in the "provisions" section
of the AC 340 Contract Encumbrance form accompanying the contract.
2. A statement from the contractor (non-profit organization) that the organization is exempt pursuant to one
of the categories indicated on the Office of Attorney General's Request for Registration Exemption (Schedule E
- http://www.oag.state.ny.us/charities/forms/char410SchE.pdf). The statement should list the specific
category why they are exempt.
3. A statement from the contractor (non-profit organization) that they have applied for a registration number
from the Office of Attorney General.

If you have questions regarding the statutory requirements for registration, or to verify the status of an
organization, contact:

                                           Office of the Attorney General
                                          Bureau of Charities Registration
                                                    120 Broadway
                                            New York, NY 10271-0332
                                                   (212)416-8400

                         Web address: http://www.oag.state.ny.us/charities/charities.html

If you have questions regarding this bulletin, contact:

                                          Office of the State Comptroller
                                                Bureau of Contracts
                                          110 State Street - 11th Floor
                                                 Albany, NY 12236
                                                  (518)474-3488




                                                          54
55
                               NEW YORK STATE EDUCATION DEPARTMENT                                   Agency Name
                                Adult Education and Workforce Development Team
                                                                                                     Contact Person
                                         Program Information Form
                                                                                                     Telephone Number (Include Area code)
Directions                                                                                           (       )
 1. Please complete this report and return to Tom Orsini, NYSED, Education Bldg.,
    89 Washington Avenue, Room 307 EB, Albany, NY 12234
 2. Report class information about State Education Dep’t funded classes only.
 3. Please keep this office informed of any changes by submitting a revised report.


                                         Dates              LOCATION                           CLASS INFORMATION
                                        Classes
                               Class


Teacher’s Name                                                                                                                              Number
                                       Begin and                                                                      Meeting    Hours
                                                        Site Name and Address         Course Title                              Start/End
                                                                                                                                               of
                                         End                                                                           Days                 Students

                               1


                               2


                               3


                               4


                               5


                               6


                               7


                               8


                               9

                               10




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