QUESTIONS SUBMITTED REGARDING RFA

Request for Applications—Adult Education Providers 2017-2018

Sent: Wednesday, October 19, 2016

1. Does a program have to submit intent to apply?

Programs that have not given intent may still submit applications for funding.

Sent: Wednesday, November 23, 2016

2. How do we calculate the funding in our RFA? What happens if only 20 programs apply?

The total funding for 2017-2018 to be allocated for providing Adult Education Services statewide is estimated to be approximately $8,474,000 (plus an additional $210,000 for Integrated English Literacy and Civics Education). However the State portion of the allocation ($5,115,000) might be reduced in the upcoming legislative session due to New Mexico’s current budget crisis, and the Federal portion could be reduced due to the Congressional sequester. We will know the amounts of both State and Federal allocations in June, 2017.

Individual program funding allocations will be distributed equitably after the awards are granted. Funding amounts will be determined based on the funding available, number of programs selected for awards, statewide and community need, the anticipated level of service to be provided, the anticipated quality of service likely to be provided (based on past performance), and cost efficiency.

3. Will audits be provided before we submit the RFA or will HED just keep the data?

Applicants are expected to submit certified financial statements/or independent audits for a minimum of the most recent two years with the RFA.

4. It asks for 2 years of program performance data – specifically what data are you looking for? What is the difference between the performance data and demonstrated effectiveness?

A minimum of 2 years of performance data must be provided to demonstrate effectiveness, the threshold requirement for provider eligibility. The data should support the criteria enumerated under Section 2. Demonstrated Effectiveness.

Data should be included in Section 7. Also include in Section 7 any other data to support responses to items in Section 3.

In Section 3. Funding Application Narrative, applicant should refer to data (provided in Section 7) and cite research when it would be helpful to support any responses.

5. Our brick and mortar site is in Cibola County but we serve students from other Counties and regions, do we include those other counties in this answer?

Respond by selecting the counties in which you intend to provide services. The addresses of the students are not relevant for this question.

6. If yes and the other counties are located in another WFS region will we have to make our RFP follow more than one regional plan?

Yes—the services you provide should be aligned with the WIOA plan for the region in which you provide them. Your application will be reviewed for alignment by each region in which you intend to provide services.

7. At one time Cibola County was part of Valencia County. Several of our students who now reside in Cibola County are being placed in Valencia County by LACES. I have mentioned this several times over the years but nothing has changed. Since Valencia County is in the Central WFS region will I have to use the Central Regions plan in developing my RFP even though it is a glitz in the system?

If your program is not providing services in the Central Region, you need not align your services to that region’s plan.

8. What is “progress toward milestones”?

If the eligible provider uses student performance measures other than NRS pre- and post-testing (for example, other assessments (other than NRS-approved), competency based performance measures) for which the provider has systematically set milestones by which to measure skill gains, then progress toward those milestones may be reported in the RFA as evidence of program effectiveness.

9. What is “passing technical/occupational knowledge based exam”? What are these exams? Work Keys?

That means passing an industry-recognized certification exam required for a particular occupation, such as Certified Nursing Assistant, Emergency Medical Technician, Certified Commercial Pilot, etc. WorkKeys could be “progress toward milestones.”

10. How is “evidence of continuous program improvement” defined?

Over time, the provider’s data show a trend of improving student outcomes.

11. There is a total of 480 possible points. How are the points to be given?

The points are assigned to each item in Section 3. They total 480. They will be assigned by application readers according to a rubric to be published on the NMHED website on December 1, 2016.

12. Do “cooperative arrangements” have to be formalized MOUs?

They must be verifiable. Either by MOU, or NMHED may interview organizations with which the applicant has cooperative arrangements.

13. What if there is no local one-stop? There are all sorts of issues involving one stops.

The information that there is no local one-stop should be included in the narrative, along with information about the location of the nearest one available to students, accessibility, etc.

14. Under section 4 part e it states that all applicants “provide representation on the State Board to the extent provided under section 101 of WIOA”. Does this mean that each provider is entitled to representation on the State Board? Section 101, C ii, III.

No. Item 4 asks all applicants to “. . . address items such as how you will . . . [a through e]” it is a list of examples of activities and strategies that might demonstrate partnership with the Local Workforce Development Boards and one-stop operators.

15. Where can we find the “most rigorous research available”?

Websites such as the American Institutes for Research ( www.air.org ) and National Center for the Study of Adult Learning and Literacy ( www.ncsall.net ) are good places to start. There are also many examples, including training, on practices based on the “most rigorous research available.” A good place to start is https://lincs.ed.gov .

16. “Adult education means services or instruction below the post-secondary level.” (emphasis is mine) If this is the case why are we so concerned with college and career readiness?This question is related to program operation rather than to clarification of the RFA. However, we are concerned with college and career readiness—up to the post-secondary level. That is, we do not provide postsecondary instruction.

17. I wanted to know how the State is planning on allowing agencies to share participant information across disciplines for sake of tracking participants in multiple agencies.  For example, how will Adult Education be able to track students in DVR?  Is there a plan to assist programs in tracking this data?

This question is related to federal reporting by WIOA State partners rather than to clarification of the RFA. Local providers will not be required to track participants as long as they attempt to collect Social Security Numbers. For the foreseeable future this will remain the duty of the State Office.

18. How will funding be allocated for programs who have participants in multiple programs that achieve both agencies targeted performance measures?  For example, a participant in an Adult Education program is concurrently participating in NMHELP program who attains the HSE.  Who receives the credit?Adult Education and Literacy funding will only go to programs that are selected to be funded through this grant application process.

In your example with NMHELP, NMHELP is not funded through AEFLA funding.

Under the WIOA regulations, student outcomes are reported jointly by WIOA funded agencies. It is reported to the federal government by the state agencies and is not the responsibility of local service providers.

Sent: Monday, November 28, 2016

19. Who is eligible to apply for the funding? This information is in the application document. It can be found on page 3 of the application.

20. What formula is used determine how much one (institution) can apply?At this time there is no formula for the funding. Please see page 37 of the application. Complete the budget worksheet to determine a reasonable amount of funding to apply for.

21. Can these funds be used for life skills like time mgt, financial literacy, career job applications, social skills etcNo. See page 2 of the application. It outlines what funding may be used for. This information is also covered in the WIOA law itself: https://www.congress.gov/113/plaws/publ128/PLAW-113publ128.pdf as well as the regulations: https://www.federalregister.gov/documents/2016/08/19/2016-16049/programs-and-activities-authorized-by-the-adult-education-and-family-literacy-act-title-ii-of-the?utm_content=&utm_medium=email&utm_name=&utm_source=govdelivery&utm_term

22. What is this funding supposed to cover? Salaries, benefits, rent, equipment, supplies, training, field trips etc.See page 37 of the application: Budget Forms. This will give you information on the types of expenditures appropriate for this application. Funding expenditures are governed by the Office of Management and Budget (2 CFR 200).

23. What are the minimum qualifications for the tutors?New Mexico does not have established qualifications for adult education service providers. However, it is an expectation that programs funded through WIOA Adult Education and Literacy monies will provide quality instruction and employ well-trained instructors, counselors, data technicians, and administrators.

24. Is the funding renewable every year?This information is in the application document. It can be found on page 9 of the application.

25. How is the high school equivalency credential attainment rate calculated?The high school equivalency rate is calculated by dividing the number of students who passed the test divided by the number of students who took the test.

26. What is meant by (state element)?“State element” means the state office added the consideration; it is not federal

Sent: Tuesday, November 29, 2016- During the Presentation

27. Where will the local workforce boards publish their rubrics? How are they accessed?Local Workforce Development Boards (LWSBs) will not publish rubrics. LWDBs will provide feedback about application alignment with local plan to NMHED AE. NMHED AE will share applicable feedback with each applicant.Contact information for each LWDB is located on pages 4-5 of the application. Contact the LWDB for the region(s) in which you plan to provide services on or after December 1, 2016 to find out where their local plan is posted for public comment.

28. Question about LACES. We use Apricot database system. Do we need to purchase LACES or do we connect through a link to the Department's database?LACES is a web-based system provided to each adult education service provider free of charge. NMHED AE will provide training in its use to each local provider’s data technician.

Local providers may of course continue to use legacy systems in addition to the required LACES database system.

29. Once it is decided which programs will receive funding, will the final funding amounts be determined by a funding formula? No. There will not be a formula for funding at this time.

30. Will the current providers be giving the state director input into the formula as we have done in past years? Not at this time. Funding will be held steady without a formula for FY 17/18 and 18/19.

31. Is a letter of partnership from the collaborative parties sufficient in place of an MOU?Yes. See question # 12.

32. If our clients do not have SSN, is that a problem?Not having SSN information on participants means that we will not be able to collect performance information through data matching or follow the participant to other WIOA partner agencies (DWS, DVR, etc.)

33. If AE students enter post-secondary education while they are still in the AE program (do not exit), is that still a gain? The Measurable Skill Gain (MSG) does not count unless the participant exits the program.

34. I would think that financial literacy is a component of math CCRS and soft skills such as time management fall under professionalism skills as part of Career Pathways programming. Why would these not be funded activities?They are not funded activities as stand-alone activities. If they are part of a curriculum of workplace readiness training they can be funded.

35. If you are partnering with other agencies and they have presentations in your classes, are they fundable since they are "stand alone"?They are not funded activities as stand-alone activities. If they are part of a curriculum of workplace readiness training they can be funded.

36. How do we demonstrate financial responsibility?Applicants will provide at least two years of certified financial statement or audits with their applications. NMHED will make a determination of financial responsibility based on the documentation provided.

37. Will we get another statement from HED?No. NMHED does not provide financial statements.

38. Are the financial statements to be for our institution as a whole, or for our program specifically?

It depends on the institution. We need as much program specific information as possible in the financial statement.

39. What about if we don't have certified statements?Your organization must provide either certified financial statements or audits for at least 2 years.

40. Are you going through the entire RFA in our meeting today? I have some questions regarding the number of pages given verses the scoring points? For example on page 26 of the RFA, the possible points are 60, but yet we only have 1 page in which to answer the question.Be concise with your answers. The number of points assigned is based on the importance and/or complexity of the topic addressed. NMHED expects complete and concise responses.

Sent: Tuesday, November 29, 2016

41. The RFA states that a minimum of 2 years of data is required, can I submit 5 years of data to show "demonstrated effectiveness"?Yes. You may provide more data. 2 years of data is the minimum.

42. How can I find out who is applying for the RFA in my area?Answer from Jeneva LiRosi, General Counsel New Mexico Higher Education Department, 2044 Galisteo Street Suite 4, Santa Fe, NM 87505-2100 (505) 476-8402:

We have received your request for information, which has been interpreted as a request for information under New Mexico’s Inspection of Public Records Act. Attached, please find responsive material. The attached document includes a list of entities that have provided notice of intent to apply, however personal contact information has been redacted.

List from Attachment: Alamo Navajo School Board; Albuquerque GED; Catholic Charities; Central New Mexico Community College; Clovis Community College; Dine College; Dona Ana Community College; Eastern New Mexico University-Roswell; ENMU-Ruidoso Branch Community College; Literacy Volunteers of Doña Ana County; Literacy Volunteers of Socorro County; Luna Community College; McCurdy Ministries; Mesalands Community College; New Mexico Corrections Department; New Mexico Junior College; New Mexico State University-Alamogordo; NMSU-Carlsbad; NMSU-Grants; Northern New Mexico College; Pueblo of Zuni; Reading Works; Rio Arriba Adult Literacy Program; San Juan

College; Santa Fe Community College; Socorro Consolidated Schools; Southwestern Indian Polytechnic Institute; Taos Education & Career Center; Tepeyac Consortium, Inc.; UNM- Gallup; UNM- Valencia; UNM-Los Alamos; Western New Mexico University

In general, regarding public records:

Under the New Mexico Inspection of Public Records Act, every person has the right to inspect public records, unless a legal exception applies. A Person desiring to inspect public records may submit a request to the records custodian orally or in writing. A written request must contain the name, address and telephone number of the person making the request. The request must describe the records sought in sufficient detail to enable the records custodian to identify and locate the requested records. A reasonable fee may be apply for copies of records. For more information on how the Inspection of Public Records Act works and how to make a request, please see the New Mexico Inspection of Public Records Compliance Guide found at the following internet location:

http://www.nmag.gov/uploads/files/Publications/ComplianceGuides/Inspection%20of%20Public%20Records%20Compliance%20Guide%202015.pdf

43. Would an internal audit by NMSU be sufficient or does it have to be an outside audit? Would an inside audit require certification by an outside agency? I was informed that there are different types of financial audits, requiring different information, is there a specific type of financial audit that you are looking for? A detailed financial statement was mentioned as an alternative and that it needed to be certified by a CPA or an auditor. Would an internal financial statement be acceptable if it was certified by the NMSU audit department? An internal financial statement would be acceptable if certified by the NMSU Audit Department.

44. Finally I didn’t quite hear whether this audit could be paid for with adult education money. If not, how will it be covered if there is a charge?AEFLA funds may not pay for these audit charges.

45. An alternative to an MOU was mentioned, what specifically needs to be included in these letters and who is required to sign them?See question 12.

46. What is the maximum amount one can apply for?

See page 37 of the application. Fill out the budget worksheets to determine a reasonable amount to apply for. No applicant will be denied an award based on the amount of funding requested, however, an applicant may be awarded less funding than requested.

Sent: Wednesday, November 30, 2016

47. On page 9 of the RFA it asks what type of provider is your organization? Do we only select one type or can we select several?Select one.

48. Referencing question 13, can you provide us with a list of one-stops in the state so that we may be able to locate the nearest one?Department of Workforce Solutions maintains a list. You can also contact your Local Workforce Development Board for an up-to-date list.

49. I understand that much of the information on performance will come from Tables 4 and 5 but what about other performance indicators – progress toward milestones? Do you just take our word for it if I say that I have 40 Work Keys Career Readiness Certificates or would you need some other documentation? What about “post-secondary transcripts”? Would these raise any FERPA concerns? Can the additional supportive documentation exceed the page limits for each section or would they be included in the limits?The evaluators need to be able to verify applicant performance claims.

Do not include documentation that would violate FERPA concerns. Aggregate data are sufficient, provided applicant has backup documentation available.

Include all documentation in Section 8—it would be included in page size in Section 4.

50. On the budget forms do we do separate State and Federal budgets or do we combine them into one budget proposal?Do not separate State and Federal budgets for the purpose of this application. Actual budgets will be negotiated at the time of the award and separated into State and Federal at that time.

If you are seeking Integrated English Literacy and Civics Education funding, a separate budget (included in the application package) must be submitted.

51. Question, on the Budget Forms, there used to be a separate one for State and Federal. Now there’s only two budgets forms one for Adult Education and Family Literacy

Programs and one for Integrated English Literacy and Civics Program. Do I assume that the first one is for all State and Federal?Please see question 50 for the answer.

52. How do you define administration costs under 34 CFR sect. 463.26(b)?See 34 CFR section 463.25 & 463.26.

53. Can funds awarded be used for program management?Yes provided they are covered under section 463.26.

54. Per the 6. budget form (Adult Education and Family Literacy Programs) What is the definition of "direct instructional services" and what do you consider to be indirect costs?Funding expenditures are governed by the Office of Management and Budget (2 CFR 200).

Sent: Thursday, December 1, 2016

55. Where can I find the Local Workforce Plans?

The draft of the Eastern Region plan can be found here: http://eawdb.org The draft of the Northern Region plan can be found here: http://northernboard.org/Local_Plan_Draft.html The draft of the Southwestern Region plan can be found here: http://www.employnm.com/plan.php The draft of the Central Region plan can be found here: http://www.mrcog-nm.gov/images/stories/pdf/news_and_announcements/wioa-local-plan-2016-2019.pdf

Sent: Tuesday, December 6, 2016

56. How do we complete the grant application with all the information about coordination with local Workforce and one-stops when, on page 5 of the Southwestern Area Workforce 4 year plan it says they will begin modifying the “implementation plan” for collaborating with ABE beginning in January, for implementation July 1, 2017? This modification period is the same time as the grant application process period.

Work with your local Workforce board and describe the process that will be used to modify the plan and the part your program will play in that process.

57. Is it a conflict of interest for a board member of a regional Workforce Board to be participating in the grant application process for an eligible provider applying for the grant? If not and he/she can work on the grant application, would he/she have to recuse him/herself from reviewing the grant applications when they reach Workforce Boards for review?Workforce Boards have policies and processes regarding conflict of interest. Recall that the Workforce Board review of AEFLA grant applications is advisory and does not determine selection of awardees.

Sent: Wednesday, December 7, 2016

58. We have the RFA form and I have now looked at the Rubric. Both of them state that they have to be provided to the state; the RFA by March 1, 2017 and the Rubric by May 15, 2017. The Rubric was not listed on the timeline provided to us by HED. Do we have to do both or will the RFA be sufficient?The rubric is for your information only. Applicants will not complete the rubric. The evaluators will be looking over your answers based on this rubric and must return their comments by the specified date.

Sent: Thursday, December 8, 2016

59. Is this something that you can help me with? Not sure if it is out of bounds to be asking. I am getting push back from main campus about getting a financial audit for our program. Is there something that you can send me that specifies that the audit requirement is at the program level, and not institution-wide? Or, correct me if I am wrong.Your application should include audits of your institution with as much detail they provide regarding your program, or it should include certified financial statements. If the State office needs more information to evaluate the grant application, we will consult with your institution’s financial officer.

Sent: Friday, December 9, 2016

60. What data is acceptable for an LEA to supply, regarding ABE effectiveness?See Section 2, page 13 of grant application. All applicants, including LEAs, must supply a minimum of two years’ data demonstrating past effectiveness in providing adult education and literacy services to adults.The elements used to measure effectiveness are listed, a through e, on page 13.

Sent: Tuesday, January 10, 2017

61. For purposes of measuring results with the NRS, does the Department want programs to administer the Complete Battery edition of TABE 9/10 or is the Survey Edition sufficient?

For purposes of providing supporting data and demonstrating effectiveness in your grant application, use the data you have been collecting that best demonstrates program performance as the RFA requests:

2. If you are an eligible provider that has not been previously funded under AEFLA please provide performance data over a minimum of two years to demonstrate past effectiveness in serving basic skills deficient eligible individuals in all of the following areas as relevant to the adult education and literacy services you intend to provide:a. readingb. writingc. mathematicsd. English language acquisitione. other subject areas relevant to the services

We ask only that you provide enough information about assessments and measures you use to make the meaning of your data understandable. Because you have not been previously funded under AEFLA, you are not held to NRS requirements for purposes of applying for funding, although you must demonstrate effectiveness—grants under WIOA are not intended to be start-up or implementation grants.

Sent: Monday, January 23, 2017

62. I went to access the link to the Regional Plan on the Q&A document and found the draft missing. I still need to access it for my application. What should I do?The plans were open for public comment for 1 month. Now the Regional Boards are finalizing them. The applicants need to ask the board administrators for the best copy available. If an applicant is unable to get a copy from the board administrator, please email us at adult.education@state.nm.us and let us know.

63. Would it be ok for us to provide bank statements and EZ 990 for the last 2 years instead of Certified audits? This is because we cannot afford Certified audits at this time.The issue of financial statements that are required to be submitted can be found in several places in the Request for Applications document. Please review that document for the specific requirements for financial statements/audits.

Sent: Tuesday, January 24, 2017

64. Would bank statements & EZ 990`s be acceptable as alternatives for Certified audits to effective small organizations that cannot afford to hire auditors at this time?Please the see the answer to question #63 for the answer to this question.

Sent: Wednesday, January 25, 2017

65. How should the budget be broken down on the application? Should we: Put Fed & state together on the AE budget pages 39-44? Duplicated pages 39 -44, making one set fed & one set state? Use the AE pages 39-44 for State & use the Civics pages 46-51 for Fed instead of El Civics?For the application, complete one budget worksheet for combined state and federal funding (pages 39-44 of the application). The award will breakout state funds and federal funds based on the total funding available. Programs selected for funding will receive an award notification that describes what the funding source is (state funds or federal funds).

Sent: Thursday, January 26, 2017

66. When will the data match for secondary and post-secondary transcript going to be available?They were sent 1/26/2017 for Qtr 3 and should be back by early next week (beginning of Feb. 2017). The match for Qtr 4 won’t be ready until March.

67. What are the State-adjusted levels of performance?32% for aggregate education functional level gains.

Sent: Tuesday, January 31, 2017

68. Since the spacing is limited on each question of the RFA, could we possible create an acronym page so we aren’t having to write out things like High School Equivalent and English as a Second Language, throughout the grant? Or, if we establish High School Equivalent (HSE) in question 1, can we then refer to it as HSE throughout the grant? (instead of re-introducing the term question after question) Or, do we need to write out High School Equivalent (HSE) for each question and then refer to HSE only for that question, then restate it in the following questions? (Does this even make sense, LOL)The first time you introduce a term within the RfA document, write it out and put the acronym in parenthesis. Then you may use the acronym throughout the rest of the document.

Sent: Thursday, February 2, 2017

69. Question four, item B, of the grant application, asks about using a portion of the available funds to help pay infrastructure costs of the one-stop centers, and the references back to section 121 of WIOA are not much help in determining what is actually expected here. It all seems very vague, so could you provide more information on how and what kind of support is expected or needed?

Details of shared services and funding between local one-stops and Adult Education programs will be developed at the local level. In the application, indicate how you will approach developing agreements.

Sent: Friday, February 3, 2017

70. There have been a lot of questions about certified financial statements.

According to an accountant, a certified financial statement is a financial statement that an officer or accountant has certified as saying that the information presented is correct. Will you accept financial statements certified by our Treasurer? Do we need to have an outside accountant certify the financial statements?

The preparer of the financial statements should also certify them. This may be the internal auditor or an outside entity.