GC# Program Development Grant to Prepare Students with Disabilities to Exit School with Work Readiness Skills

Transcription

1 ANNOUNCEMENT OF FUNDING OPPORTUNITY GC# Program Development Grant to Prepare Students with Disabilities to Exit School with Work Readiness Skills Legislative Authority Section 614 (20 USC 1414) IDEA Amendments, 2004 Purpose/Goal The Program Development Grant program is a competitive grant program to provide funding for schools to enhance their instructional programs to increase students with disabilities access to and participation in career and technical education (CTE) coursework, instruction in the Career Development and Occupational Studies (CDOS) learning standards, and work-based learning opportunities to fulfill requirements for the award of the NYS CDOS Commencement Credential. Eligible Applicants New York State school districts, approved private schools, Special Act School Districts, (see link below), State supported schools and boards of cooperative educational services (BOCES) are eligible to apply. Eligible applicants may apply individually or form a consortium with one or more eligible applicants. For more information on the approved private schools: Funding No eligible applicant may individually apply for, lead or be a member of an applicant consortium, for more than one grant application. Source: IDEA Discretionary Funds under Part B Estimated funds available: $10 Million annually, subject to the appropriations and availability of funds. Application Due Date and Mailing Address Anticipated Project Period: 9/1/15 to 6/30/18 Maximum Annual Award Amounts: New York City: $500,000 Syracuse, Rochester, Buffalo, Yonkers school districts: $400,000 Rest of State: $300,000 A consortium of eligible applicants: $300,000. Submit 1 original and 3 copies of the application and an electronic copy (Word or pdf) of the application on CD ROM postmarked by May 29, 2015 New York State Education Department Attn: Program Development Grant Grants Management 89 Washington Avenue Room 464 EBA Albany, NY Questions and Answers Questions and Answers: Questions about this RFP must be sent to RFP15012@nysed.gov no later than April 15, All questions and answers will be posted by April 22, 2015, to the following website: 1

2 Non-Mandatory Notice of Intent SED Contacts The Notice of Intent (NOI) is not a requirement for submitting a complete application by the application date; however, NYSED strongly encourages all prospective applicants to submit an NOI to ensure a timely and thorough review and rating process. A non-profit applicant s NOI will also help to facilitate timely review of their prequalification materials. The notice of intent is a simple notice stating your organization s (use the legal name) intent to submit an application for this grant. The due date is April 28, Please send the NOI to RFP15012@nysed.gov. Name: Program Matters: Sophie McDermott, RFP15012@nysed.gov Fiscal Matters: Katherine Goodrich RFP15012@nysed.gov M/WBE Matters: Joan Ramsey RFP15012@nysed.gov The New York State Education Department (NYSED) 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. Portions 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 Program Purpose and Overview: Application Guidance NYSED is soliciting grant applications to provide funding for schools to enhance their instructional programs to increase students with disabilities access to and participation in Career and Technical Education (CTE) coursework, instruction in the Career Development and Occupational Studies (CDOS) learning standards, and work-based learning opportunities. The purpose of these grants are to develop increased opportunities for all students with disabilities to exit school with the knowledge and skills to minimally be ready for entry level employment and to minimally meet the requirements for the award of the NYS CDOS Commencement Credential. Beginning with the school year and thereafter, students with disabilities may earn a NYS CDOS Commencement Credential. This credential is awarded by the school district in recognition of an individual student s preparation and skills for postschool employment. To be awarded the CDOS Commencement Credential, a student must: develop a commencement level Career Plan that includes documentation of the student s self-identified career interests; career-related strengths and needs; career goals; and career and technical education (CTE) coursework and work-based learning experiences that the student plans to engage in to achieve those goals; 2

3 demonstrate achievement of the commencement level CDOS learning standards in the areas of career exploration and development; integrated learning; and universal foundation skills; successfully complete at least 216 hours of CTE coursework and/or work-based learning experiences (of which at least 54 hours must be in work-based learning experiences); have at least one completed employability profile that documents the student s employability skills and experiences; attainment of each of the commencement level CDOS learning standards; and, as appropriate, attainment of technical knowledge and work-related skills, work experiences, performance on industry-based assessments and other work-related and academic achievements. In lieu of a student meeting the above requirements to be awarded the NYS CDOS Commencement Credential, a student may be awarded this credential if the student has met the requirements for one of the nationally recognized work readiness credentials, including but not limited to: National Work Readiness Credential; SkillsUSA Work Force Ready Employability Assessment; National Career Readiness Certificate WorkKeys - (ACT); and Comprehensive Adult Student Assessment Systems Workforce Skills Certification System. For more information on these nationally recognized work readiness credentials, please see Additional information on the instructional preparation school districts must provide to students for the award of the CDOS Commencement Credential can be found at Grant funds may be used to enhance a school s instructional programs toward the CDOS learning standards, to develop and/or expand CTE coursework that is accessible and meaningful to students with disabilities and to develop and/or expand appropriate work-based learning activities. Applicants must identify the goals to be achieved through this grant award and the specific activities to address one or more of the following outcome areas: Effective transition planning and student-driven career planning that incrementally prepare students for successful integrated post-school employment. Effective instruction to prepare students to meet the CDOS learning standards at the commencement level in the areas of Career Development, Integrated Learning and Universal Foundation Skills. 3

4 Increased availability and/or development of CTE coursework including integrated or specialized courses in which students with disabilities will have a meaningful opportunity to participate and progress. Increased opportunities for students to engage in appropriate work-based learning opportunities which reflect and incorporate students transition and career plans. Project Funding Estimated funds available: $10 Million annually depending on the appropriation and availability of funds. Maximum Annual Award Amounts: New York City: $500,000 Syracuse, Rochester, Buffalo, Yonkers school districts: $400,000 Rest of State: $300,000 A consortium of eligible applicants: $300,000. Year 2 and Year 3 budget amounts for each applicant may not exceed that applicants Year 1 budget. Project Period Anticipated Project Period: 9/1/15 to 6/30/18 New Prequalification Requirement The State of New York has implemented a new statewide prequalification process (described in designed to facilitate prompt contracting for not-for-profit vendors. All not-for-profit vendors are required to prequalify prior to grant application. This includes all currently funded not-for-profit institutions that have already received an award and are in the middle of the program cycle. The pre-qualification must be completed by all not-for-profit institutions prior to application in order to receive an award under this RFP. Please review the additional information regarding this requirement in the Prequalification for Individual Applications section below. Eligible Applicants: NYS public school districts, approved private schools, Special Act School Districts, State supported schools or Boards of Cooperative Educational Services (BOCES) may apply. Eligible applicants may apply individually or form a consortium with one or more eligible applicants, provided that one Eligible Applicant serves as the lead applicant/fiscal agent for the grant, and cannot act solely as a flow-through for grant funds to pass to other recipients. The fiscal agent must provide a minimum of 20% of the direct services 4

5 supported by this grant, as reflected in the budget (please see NYSED Consortium Policy for State and Federal Discretionary Grant Programs for additional information). No eligible bidder may individually apply for, lead or be a member of an applicant consortium, for more than one grant application. Allowable Expenses: Salaries and benefits of staff to develop appropriate additional CTE coursework and/or work-based learning experiences appropriate for students with disabilities Subcontracting for professional development and/or consultation related to workbased learning, job coach training, development of CTE integrated or specialized coursework and/or enhanced instruction and documentation of student achievement of the CDOS learning standards Substitute costs for staff to participate in professional development and/or collaborative activities o Indirect costs o School districts and BOCES must use the restricted indirect cost rates calculated by the State Education Department. o Not-for profit organizations must prepare their budgets using an indirect cost rate of up to 2.6 percent. If awarded funding, they may apply for a higher indirect cost rate of up to 8 percent, by completing and submitting an FS-87-R Form to the Department. Note that approval for a higher indirect cost rate must be requested and approved each year. o For more information, visit the website Travel to attend professional development sessions relevant to the project/ The applicant should budget for travel expenses at the federal rates. No out of state travel is acceptable. Federal Mileage rates may be found at: Federal per diem rates may be found at: Applicants must describe how the resources of the project will supplement and not supplant other training and school improvement activities of the district. Nonallowable Expenses: Purchase of materials to be used in instruction with students (e.g., smartboards, curricula) Transportation of students and/or staff to and from community experiences Capital construction, renovations, and equipment costs Food or refreshment items Costs associated for students to take the tests associated with any of the nationally recognized work readiness credentials 5

6 Funds allocated for salaries for professional staff cannot be redirected for other purposes. Any items in the proposed budget deemed to be non-allowable or inappropriate will be eliminated. NYSED s Consortium Policy for Federal and State Discretionary Grant Programs As previously stated, applicants may form a consortium to apply for the grant. In order to do so, the consortium must meet the following requirements: 1. The 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 consortium, the grant or grant contract will be prepared in the name of the applicant agency/fiscal agent, not the 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 members to sign an agreement with the fiscal agent that specifically outlines all services each member agrees to provide. d. Must be an active member of the consortium. e. Cannot act solely 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. For purposes of this grant, NYSED has established a 20% minimum. f. Is PROHIBITED from subgranting funds to other recipients. The fiscal agent is permitted to contract for services with other consortium members 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 members, consultants, or other organizations and must coordinate how each plan to participate. Deliverables: 1. Develop new or expand existing career and technical education courses and/or work-based learning programs for students with disabilities and/or expand supports to students to engage in career planning and ensure appropriate development and implementation of transition programs and services for students with disabilities to develop their work readiness knowledge and skills. 2. Meet periodically with and compile reports on the participation and outcome of stakeholder consultation in improving the school s instructional and work-based learning programs leading to awards of the CDOS Commencement Credential. 3. Provide professional development and leadership actions to develop and sustain the changes to the school s work readiness instructional programs and activities. 6

7 4. Develop and implement a plan to enhance the school s infrastructure to provide increased opportunities for students with disabilities to exit school with the CDOS Commencement Credential. Reporting Grantees must submit an annual performance report at the end of each grant period but no later than the first Friday in October of each year of the grant. The performance report should demonstrate that substantial progress has been made toward meeting the project goals and the program performance indicators. Additional information about the annual performance report will be made available to grantees by SED after grant awards are made. Grantees that do not demonstrate adequate performance may be discontinued. Required Reports: Recipients must submit an annual performance report (due August 1) in a format specified by NYSED s P-12: Office of Special Education for each year of funding that demonstrates completion of project activities. The performance report must demonstrate the progress made toward meeting the project goals and the program performance indicators. Forms to be used for performance reports will be sent to the successful applicants at the time of the award notice. In year one, applicants must submit a four-month (due January 31, 2016) and end-ofyear project report that demonstrates successful completion of project activities and goals. Applicants must also submit quarterly vouchers and expenditure reports (due 10/31, 1/31, 4/30, 7/31). All reports must be submitted by the due date specified by NYSED. Failure to submit the required progress reports may result in the suspension of future payments. 7

8 The proposal narrative and budget narrative should not exceed twenty (20) pages. PROPOSAL NARRATIVE 1. Abstract (no points) Provide a summary describing the entire proposal. This summary should give the reader a succinct and concise overview of the applicant s proposal, its goals and objectives, and how funds will be used to maximize opportunities for students with disabilities to engage in meaningful career planning, career and technical coursework and work-based learning activities to ensure students are work-ready and are able to demonstrate competencies at the commencement level in the CDOS learning standards. 2. Need for Project (15 points) Explain the extent to which the applicant currently offers integrated and/or specialized CTE coursework and work-based learning experiences for students with disabilities (e.g., job shadowing, community service, service learning, school based enterprises and/or community based work programs); the extent to which students with disabilities participate in such programs; and how the grant funds will be critical to implementation of work-based learning and educational programs to support students with disabilities access and progress in the general education curriculum and the attainment of the CDOS Commencement Credential. 3. Project Design (25 points) Describe the goals, objectives and activities of the proposed project and include how the applicant will: Develop new or expand existing career and technical education courses and/or work-based learning programs for students with disabilities and/or expand supports to students to engage in career planning and ensure appropriate development and implementation of transition programs and services for students with disabilities to develop their work readiness knowledge and skills. Meet periodically with and compile reports on the participation and outcome of stakeholder consultation in improving the school s instructional and work-based learning programs leading to awards of the CDOS Commencement Credential. Provide professional development and leadership actions to develop and sustain the changes to the school s work readiness instructional programs and activities. Develop and implement a plan to enhance the school s infrastructure to provide increased opportunities for students with disabilities to exit school with the CDOS Commencement Credential. 8

9 In addition, the applicant must provide a plan for sustainability of the work of the project beyond the grant-funded years (including a plan for retention of new or dedicated staff that work on the project). 4. Work Plan (20 points) Utilizing the attached work plan format (Template A), identify the specific activities of the project as outlined in the Project Design and include appropriate measureable goals for each. Timelines for implementation and staff responsible to ensure completion of activities and achievement of goals must be clearly noted. 5. Project Evaluation (5 points) Describe how the applicant will evaluate effectiveness of the project. 6. Project Personnel (5 Points) Provide information regarding project personnel and their respective roles and responsibilities. Include qualifications of project personnel with regard to education, training and experience, and provide a justification as to how that staff person is qualified to implement the particular project activity to which they are assigned. 7. Organizational Capacity (10 Points) Describe the applicant s experience and/or current capacity to fulfill the commitments described in this grant proposal. Identify collaborations to be established including those with institutions of higher education, community-based organizations, adult service agencies, employers, and business organizations. BUDGET AND BUDGET NARRATIVE (20 POINTS): Applicants must submit: a detailed FS-10 budget with this application for the initial ten month period of September 1, 2015, through June 30, 2016; a three-year budget summary (Template B) for the entire grant period Year 2 and Year 3 budget amounts for each applicant may not exceed that applicants year 1 budget.; and an overall proposed expenditure plan in the form of a budget narrative that describes proposed expenditures over the 3-year period that are appropriate, reasonable and necessary to support the project activities and goals. Proposed expenditures over the 3-year period must clearly support project activities. The described expenditures and activities must be supplemental to and not supplant or duplicate services currently provided. 9

10 Budget (FS-10) and 3-Year Summary Budget Applicants must submit a FS-10 budget with this application, for the initial 10 month project period of September 1, June 30, Applicants must also submit a three year budget summary. The applicant must complete the FS-10 Budget Form. Budgeted costs must be in compliance with applicable State and federal laws and regulations and the Department s Fiscal Guidelines. These guidelines, as well as the FS-10 form, are available online at the following URL: The FS-10 must bear the original signature of the Chief School/Administrative Officer. Information about the categories of expenditures and general information on allowable costs, applicable cost principles and administrative regulations are available in the Fiscal Guidelines for Federal and State Aided Grants at The budget should be reasonable and appropriate to cover program expenses. For more information, visit the website Review and Rating of Applications: All complete proposals received by the deadline will be reviewed using the following criteria and ratings. Applicants must ensure that all components of this application request have been addressed, the required number of copies has been provided, all forms and assurances have been completed, and the original signatures are included as required. NYSED reserves the right to reject all proposals received or to cancel this request for proposal if it is in the best interests of NYSED. Method of Award Each eligible proposal will be reviewed by at least two reviewers. Each reviewer will score the proposal according to the indicated point criteria in the Proposal Narrative and the Budget using the Proposal Evaluation Rubric. If individual scores are more than 15 points apart, another reviewer will score the application. The two scores closest in numeric value will be averaged to calculate the final average score of the application. If the third reviewer s score is equal to the average of the two original scores, the third reviewer s score will become the final score. Budgets will be adjusted to eliminate any unallowable or inappropriate expenditure. 10

11 Proposals that receive a final average score of 60 or more will be considered for funding. Awards will be made to the highest ranking proposal in rank order of score based on availability of funds. In the event of tie scores, proposals with the highest score on in the Proposal Narrative will be ranked higher. PREQUALIFICATION FOR INDIVIDUAL APPLICATIONS Pursuant to the New York State Division of Budget Bulletin H-1032, dated June 7, 2013, New York State has instituted key reform initiatives to the grant contract process which require not-for-profits to register in the Grants Gateway and complete the Vendor Prequalification process in order for proposals to be evaluated. Information on these initiatives can be found on the Grants Reform Website ( Proposals received from not-for-profit applicants that have not Registered and are not Prequalified in the Grants Gateway on the proposal due date of 5:00 PM on May 29, 2015 cannot be evaluated. Such proposals will be disqualified from further consideration. Below is a summary of the steps that must be completed to meet registration and prequalification requirements. The Vendor Prequalification Manual ( on the Grants Reform Website details the requirements and an online tutorial ( are available to walk users through the process. 1) Register for the Grants Gateway. On the Grants Reform Website, download a copy of the Registration Form for Administrator ( fillable.pdf). A signed, notarized original form must be sent to the Division of Budget at the address provided in the instructions. You will be provided with a Username and Password allowing you to access the Grants Gateway. If you have previously registered and do not know your Username please grantsreform@budget.ny.gov. If you do not know your Password please click the Forgot Password ( Mode=Forgot) link from the main log in page and follow the prompts. 2) Complete your Prequalification Application. Log in to the Grants Gateway If this is your first 11

12 time logging in, you will be prompted to change your password at the bottom of your Profile page. Enter a new password and click SAVE. Click the Organization(s) link at the top of the page and complete the required fields including selecting the State agency you have the most grants with. This page should be completed in its entirety before you SAVE. A Document Vault link will become available near the top of the page. Click this link to access the main Document Vault page. Answer the questions in the Required Forms and upload Required Documents. This constitutes your Prequalification Application. Optional Documents are not required unless specified in this Request for Proposal. Specific questions about the prequalification process should be referred to your agency representative at prequal@mail.nysed.gov or to the Grants Reform Team at grantsreform@budget.ny.gov. 3) Submit Your Prequalification Application After completing your Prequalification Application, click the Submit Document Vault Link located below the Required Documents section to submit your Prequalification Application for State agency review. Once submitted the status of the Document Vault will change to In Review. If your Prequalification reviewer has questions or requests changes you will receive notification from the Gateway system. Once your Prequalification Application has been approved, you will receive a Gateway notification that you are now prequalified to do business with New York State. Vendors are strongly encouraged to begin the process as soon as possible in order to participate in this opportunity. Debriefing Procedures All unsuccessful applicants may request a debriefing within five (5) business days of receiving notice from NYSED. Bidders may request a debriefing letter on the selection process regarding this RFP by submitting a written request to the Fiscal Contact person at: NYS Education Department Contract Administration Unit 89 Washington Avenue Room 501W EB Albany, NY

13 The Fiscal Contact person will make arrangements with program staff to provide a written summary of the proposal s strengths and weaknesses, as well as recommendations for improvement. Within ten (10) business days, the program staff will issue a written debriefing letter to the bidder. Contract Award Protest Procedures Applicants who receive a notice of non-award may protest the NYSED award decision subject to the following: 1. The protest must be in writing and must contain specific factual and/or legal allegations setting forth the basis on which the protesting party challenges the contract award by NYSED. 2. The protest must be filed within ten (10) business days of receipt of a debriefing letter. The protest letter must be filed with: NYS Education Department Contract Administration Unit Attn: GC # Program Development Grant 89 Washington Avenue Room 501W EB Albany, NY The NYSED Contract Administration Unit (CAU) will convene a review team that will include at least one staff member from each of NYSED s Office of Counsel, CAU, and the Program Office. The review team will review and consider the merits of the protest and will decide whether the protest is approved or denied. Counsel s Office will provide the bidder with written notification of the review team s decision within seven (7) business days of the receipt of the protest. The original protest and decision will be filed with OSC when the contract procurement record is submitted for approval and CAU will advise OSC that a protest was filed. 4. The NYSED Contract Administration Unit (CAU) may summarily deny a protest that fails to contain specific factual or legal allegations, or where the protest only raises issues of law that have already been decided by the courts. Entities Responsibility Projects must operate under the jurisdiction of the local board of education, or other appropriate governing body, and are subject to at least the same degree of accountability as all other expenditures of the local agency. The local board of education, or other appropriate governing body, is responsible for the proper disbursement of, and accounting for project funds. Written agency policy concerning wages, mileage and travel allowances, overtime compensation, or fringe benefits, as 13

14 well as State rules pertaining to competitive bidding, safety regulations and inventory control must be followed. Supporting or source documents are required for all grant related transactions entered into the local agency s recordkeeping systems. Source documents that authorize the disbursement of grant funds consist of purchase orders, contracts, time and effort records, delivery receipts, vendor invoices, travel documentation and payment documents. Supporting documentation for grants and grant contracts must be kept for at least six years after the last payment was made unless otherwise specified by program requirements. Additionally, audit or litigation will freeze the clock for records retention purposes until the issue is resolved. All records and documentation must be available for inspection by State Education Department officials or its representatives. For additional information about grants, please refer to the Fiscal Guidelines for Federal and State Aided Grants, Safety and Health Requirements Both the applicant and any partnering organization operating in a school district must adhere to New York State s SAVE laws, including provisions related to fingerprinting of staff. Programs located in school buildings will be governed by the district s School Safety Plan and any related building-level plans. For all activities operated by outside entities that are linked with the Community Schools initiative that take place in a school building, all staff must be trained in and familiar with the School Emergency Response Plan and its emergency procedures. If the proposed program is school linked but located at a site other than the school building, the provisions for School-Age Child Care Registration detailed below for community organization applicants shall apply. If the applicant is a community organization, college or university, municipality or other eligible entity and proposes to serve only children ages 13 and older, it is recommended that the applicant work with its partnering school(s) to ensure the safety and health of all participants, including reasonable staff-to-student ratios and background clearances for staff. Registration in Federal System for Award Management (SAM) In order to be awarded federal funds, an agency must be registered (and then maintain a current registration) in the federal System for Award Management known as SAM ( SAM is a government-wide, web-enabled database that collects, validates, stores and disseminates business information about organizations receiving federal funds. Information on an agency s registration in SAM needs to be provided on the Payee Information Form that must be submitted with the application. 14

15 Payee Information Form/NYSED Substitute W-9 The Payee Information Form is a packet containing the Payee Information Form itself and an accompanying NYSED Substitute W-9. The NYSED Substitute W-9 may or may not be needed from your agency. Please follow the specifics instructions provided with the form. The Payee Information Form is used to establish the identity of the applicant organization and enables it to receive federal (and/or State) funds through the NYSED. An on-line version of the packet is available at NYSED s Reservation of Rights NYSED reserves the right to: (1) reject any or all proposals received in response to the RFP; (2) withdraw the RFP at any time, at the agency s sole discretion; (3) make an award under the RFP in whole or in part; (4) disqualify any bidder whose conduct and/or proposal fails to conform to the requirements of the RFP; (5) seek clarifications of proposals; (6) use proposal information obtained through site visits, management interviews and the state s investigation of a bidder s qualifications, experience, ability or financial standing, and any material or information submitted by the bidder in response to the agency s request for clarifying information in the course of evaluation and/or selection under the RFP; (7) prior to the bid opening, amend the RFP specifications to correct errors or oversights, or to supply additional information, as it becomes available; (8) prior to the bid opening, direct bidders to submit proposal modifications addressing subsequent RFP amendments; (9) change any of the scheduled dates; (10) waive any requirements that are not material; (11) negotiate with the successful bidder within the scope of the RFP in the best interests of the state; (12) conduct contract negotiations with the next responsible bidder, should the agency be unsuccessful in negotiating with the selected bidder; (13) utilize any and all ideas submitted in the proposals received; (14) unless otherwise specified in the solicitation, every offer is firm and not revocable for a period of 90 days from the bid opening; (15) require clarification at any time during the procurement process and/or require correction of arithmetic or other apparent errors for the purpose of assuring a full and complete understanding of an offerer s proposal and/or to determine an offerer s compliance with the requirements of the solicitation; (16) to request best and final offers. Vendor Responsibility State law requires that the award of state contracts be made to responsible vendors. Before an award is made to a not-for-profit entity, a for-profit entity, a private college or university or a public entity not exempted by the Office of the State Comptroller, NYSED must make an affirmative responsibility determination. The factors to be considered include: legal authority to do business in New York State; integrity; capacity- both organizational and financial; and previous performance. Before an award of $100,000 or greater can be made to a covered entity, the entity will be required to complete and submit a Vendor Responsibility Questionnaire. School districts, Charter Schools, 15

16 BOCES, public colleges and universities, public libraries, and the Research Foundation for SUNY and CUNY are some of the exempt entities. For a complete list, see: NYSED recommends that vendors file the required Vendor Responsibility Questionnaire online via the New York State VendRep System. To enroll in and use the New York State VendRep System, see the VendRep System Instructions available at or go directly to the VendRep System online at Vendors must provide their New York State Vendor Identification Number when enrolling. To request assignment of a Vendor ID or for VendRep System assistance, contact the Office of the State Comptroller s Help Desk at or or by at ciohelpdesk@osc.state.ny.us. Vendors opting to complete and submit a paper questionnaire can obtain the appropriate questionnaire from the VendRep website or may contact NYSED or the Office of the State Comptroller s Help Desk for a copy of the paper form. Subcontractors: For vendors using subcontractors, a Vendor Responsibility Questionnaire and a NYSED vendor responsibility review are required for a subcontractor where: the subcontractor is known at the time of the contract award; the subcontractor is not an entity that is exempt from reporting by OSC; and the subcontract will equal or exceed $100,000 over the life of the contract. Workers Compensation Coverage and Debarment New York State Workers Compensation Law (WCL) has specific coverage requirements for businesses contracting with New York State and additional requirements which provide for the debarment of vendors that violate certain sections of WCL. The WCL requires, and has required since introduction of the law in 1922, the heads of all municipal and State entities to ensure that businesses have appropriate workers compensation and disability benefits insurance coverage prior to issuing any permits or licenses, or prior to entering into contracts. Workers compensation requirements are covered by WCL Section 57, while disability benefits are covered by WCL Section 220(8). The Workers Compensation Benefits clause in Appendix A STANDARD CLAUSES FOR NEW YORK STATE CONTRACTS states that in accordance with Section 142 of the State Finance Law, a contract shall be void and of no force and effect unless the contractor provides and maintains coverage during the life of the contract for the benefit of such employees as are required to be covered by the provisions of the WCL. Under provisions of the 2007 Workers Compensation Reform Legislation (WCL Section 141-b), any person, or entity substantially owned by that person: subject to a final 16

17 assessment of civil fines or penalties, subject to a stop-work order, or convicted of a misdemeanor for violation of Workers Compensation laws Section 52 or 131, is barred from bidding on, or being awarded, any public work contract or subcontract with the State, any municipal corporation or public body for one year for each violation. The ban is five years for each felony conviction. Proof of Coverage Requirements The Workers Compensation Board has developed several forms to assist State contracting entities in ensuring that businesses have the appropriate workers compensation and disability insurance coverage as required by Sections 57 and 220(8) of the WCL. Please note an ACORD form is not acceptable proof of New York State workers compensation or disability benefits insurance coverage. Proof of Workers Compensation Coverage To comply with coverage provisions of the WCL, the Workers Compensation Board requires that a business seeking to enter into a State contract submit appropriate proof of coverage to the State contracting entity issuing the contract. For each new contract or contract renewal, the contracting entity must obtain ONE of the following forms from the contractor and submit to OSC to prove the contractor has appropriate workers compensation insurance coverage: Form C Certificate of Workers Compensation Insurance issued by private insurance carriers, or Form U-26.3 issued by the State Insurance Fund; or Form SI-12 Certificate of Workers Compensation Self-Insurance; or Form GSI Certificate of Participation in Workers Compensation Group Self- Insurance; or CE-200 Certificate of Attestation of Exemption from NYS Workers Compensation and/or Disability Benefits Coverage. Proof of Disability Benefits Coverage To comply with coverage provisions of the WCL regarding disability benefits, the Workers Compensation Board requires that a business seeking to enter into a State contract must submit appropriate proof of coverage to the State contracting entity issuing the contract. For each new contract or contract renewal, the contracting entity must obtain ONE of the following forms from the contractor and submit to OSC to prove the contractor has appropriate disability benefits insurance coverage: Form DB Certificate of Disability Benefits Insurance; or Form DB-155- Certificate of Disability Benefits Self-Insurance; or CE-200 Certificate of Attestation of Exemption from New York State Workers Compensation and/or Disability Benefits Coverage. 17

18 For additional information regarding workers compensation and disability benefits requirements, please refer to the New York State Workers Compensation Board website at: Alternatively, questions relating to either workers compensation or disability benefits coverage should be directed to the NYS Workers Compensation Board, Bureau of Compliance at (518) Minority and Women-Owned Business Enterprise (M/WBE) Participation Goals Pursuant to Article 15-A of the New York State Executive Law The following M/WBE requirements apply when an applicant submits an application for grant funding that exceeds $25,000 for the full grant period. All forms referenced here can be found in the M/WBE Documents section at the end of this RFP. All applicants are required to comply with NYSED s Minority and Women-Owned Business Enterprises (M/WBE) policy. Compliance can be achieved by one of the three methods described below. Full participation by meeting or exceeding the M/WBE participation goal for this grant is the preferred method. M/WBE participation includes services, materials, or supplies purchased from minority and women-owned firms certified with the NYS Division of Minority and Women Business Development. Not-for-profit agencies are not eligible for this certification. For additional information and a listing of currently certified M/WBEs, see The M/WBE participation goal for this grant is 20% of each applicant s total discretionary non-personal service budget over the entire term of the grant. Discretionary non-personal service budget is defined as total budget, excluding the sum of funds budgeted for: 1. direct personal services (i.e., professional and support staff salaries) and fringe benefits; and 2. rent, lease, utilities and indirect costs, if these items are allowable expenditures. For multi-year grants, applicants should use the total budget for the full multi-year term of the grants in the above calculation. The M/WBE Goal Calculation Worksheet is provided for use in calculating the dollar amount of the M/WBE goal for this grant application. M/WBE participation does not need to be the same for each year of a multi-year grant. All requested information and documentation should be provided at the time of submission. If this cannot be done, the applicant will have thirty days from the date of notice of award to submit the necessary documents and respond satisfactorily to any follow-up questions from the Department. Failure to do so may result in loss of funding. 18

19 METHODS TO COMPLY An applicant can comply with NYSED s M/WBE policy by one of three methods: 1. Full Participation - This is the preferred method of compliance. Full participation is achieved when an applicant meets or exceeds the participation goals for this grant. COMPLETE FORMS: M/WBE Goal Calculation Worksheet M/WBE Cover Letter M/WBE 100 Utilization Plan M/WBE 102 Notice of Intent to Participate 2. Partial Participation, Partial Request for Waiver - This is acceptable only if good faith efforts to achieve full participation are made and documented, but full participation is not possible. COMPLETE FORMS: M/WBE Goal Calculation Worksheet M/WBE Cover Letter M/WBE 100 Utilization Plan M/WBE 101 Request for Waiver M/WBE 102 Notice of Intent to Participate M/WBE 105 Contractor s Good Faith Efforts 3. No Participation, Request for Complete Waiver - This is acceptable only if good faith efforts to achieve full or partial participation are made and documented, but do not result in any participation by M/WBE firm(s). COMPLETE FORMS: M/WBE Goal Calculation Worksheet M/WBE Cover Letter M/WBE 101 Request for Waiver M/WBE 105 Contractor s Good Faith Efforts GOOD FAITH EFFORTS Applicants must make a good faith effort to solicit NYS certified M/WBE firms as subcontractors and/or suppliers to achieve the goals for this grant. Solicitations may include, but are not limited to: advertisements in minority and women-centered publications; solicitation of vendors found in the NYS Directory of Certified Minority and Women-Owned Business Enterprises (see and the solicitation of minority and women-oriented trade and labor organizations. Good faith efforts include actions such as setting up meetings or announcements to make M/WBEs aware of supplier and subcontracting opportunities, identifying logical areas of the grant project that could be subcontracted to M/WBE firms, and utilizing all 19

20 current lists of M/WBEs who are available for and may be interested in subcontracting or supplying goods for the project. Applicants should document their efforts to comply with the stated M/WBE goals and submit this with their applications as evidence. Examples of acceptable documentation can be found in form M/WBE 105, Contractor s Good Faith Efforts. NYSED reserves the right to reject any application for failure to document good faith efforts. REQUEST FOR WAIVER When full participation cannot be achieved, applicants must submit a Request for Waiver (M/WBE 101). Requests for Waivers must be accompanied by documentation explaining the good faith efforts made and reasons they were unsuccessful in obtaining M/WBE participation. NYSED reserves the right to approve the addition or deletion of subcontractors or suppliers to enable applicants to comply with the M/WBE goals, provided such addition or deletion does not impact the technical proposal and/or increase the total budget. All payments to Minority and Women-Owned Business Enterprise subcontractor(s) should be reported to the NYSED M/WBE Program Unit using the M/WBE 103 Quarterly M/WBE Compliance Report. This report should be submitted on a quarterly basis and can be found at NYSED s M/WBE Coordinator is available to assist applicants in meeting the M/WBE goals. The Coordinator can be reached at MWBE@mail.nysed.gov. Equal Employment Opportunity Reporting (EEO) Pursuant to Article 15-A of the New York State Executive Law Applicants must complete and submit form EEO 100: Staffing Plan. 20

21 Application Instructions Please adhere to the following instructions: Application Checklist Use the application checklist to ensure your application is submitted in the correct order and is complete. Required Signature(s) The original signature of the Chief Administrator/Officer must appear on the application cover page in blue ink. Please note: NYSED will only communicate with the contacts provided in the Application Cover Page. Page Limits and Standards Please adhere to the guidance provided to applicants below: A page is 8 x 11 (on one side only) with one-inch margins (top, bottom, and sides). Charts/tables are not required to adhere to this standard. The proposal and budget narrative should not exceed 20 pages combined; double space all text, between titles, headings, footnotes, quotations, references, and captions, as well as all text in charts, figures, and graphs unless not possible due to the formatting of the template. This limit does not apply to any of the required forms in the application including the Work Plan, Three-Year Budget Summary and FS-10 form. Each section of the Proposal Narrative should be clearly titled Use Times New Roman or Arial font in a 12-point size; Include page numbers Each page should include a header with the applicant s name. Applications should include an Application Checklist and the following components: Grant Application Cover Page Grant Application Checklist Proposal Narrative Template A Work Plan Template Template B -Three-year Budget Summary FS-10 Budget Form (for the first year only) with original signature from Chief Administrative Officer, available at Budget Narrative Worker s Compensation Documentation (encouraged) Disability Benefits Documentation (encouraged) 21

22 M/WBE Document Package Applicants must submit one signed original and three copies of the full proposal to the Department. Applicants must also submit one complete copy of the application on a compact disc or flash drive. Fax transmissions are not acceptable. To be considered for funding, proposals must be postmarked no later than the due date. Proposals postmarked after the due date will not be reviewed. 22

23 Program Development Grant to Prepare Students with Disabilities to Exit School with Work Readiness Skills Application Cover Page Agency Code Name Applicant agency: Name and Title of Contact Person: Address: Telephone: Fax: City: Zip Code: County: I hereby certify that I am the applicant s chief school/administrative officer and that the information contained in this application is, to the best of my knowledge, complete and accurate. I further certify, to the best of my knowledge, that any ensuing program and activity will be conducted in accordance with all applicable Federal and State laws and regulations, application guidelines and instructions, Assurances, Certifications, Appendix A, Appendix A-1G and that the requested budget amounts are necessary for the implementation of this project. It is understood by the applicant that this application constitutes an offer and, if accepted by the NYS Education Department or renegotiated to acceptance, will form a binding agreement. It is also understood by the applicant that immediate written notice will be provided to the grant program office if at any time the applicant learns that its certification was erroneous when submitted or has become erroneous by reason of changed circumstances. 23