State of New Mexico s7

NMHED Adult Basic Education (ABE) Division Local ABE Program Probation ProceduresEffective July 1, 2013SECTION I: Introduction and ContextTo ensure the overall integrity and equity of the NMHED Adult Basic Education (ABE) Division services, the State ABE Division Office has set specific performance and accountability standards.The State standards are derived from the following State and Federal Acts, policies and guideline documents:. Workforce Investment Act- Adult Education and Family Literacy . National Reporting System (NRS) Implementation Guidelines . Federal Programs General Assurances . State Plan for Adult Education and Family Literacy . Agreement for the Operation of an Approved ABE ProgramA. Performance and Accountability StandardsAccountability StandardsEffective July 1, 2013, all local ABE programs will be held to the following accountability standards:. Program administrators and staff must operate within all Federal, NRS and State policies, requirements and guidelines. . All program activity/data must be accurately collected, recorded, documented and reported according to Federal, NRS and State policies, requirements and guidelines. . Reports and other State required and/or requested documents must be submitted accurately and by the designated due dates. . Program activities must be guided by a strategic plan that is tied to staff and program performance. . Programs must request technical assistance from the State when needed (for example, when reporting shows program performance falling below standards). . Program administrators and staff must appropriately and fully participate in State- sponsored conferences and training. . ABE program administrative responsibilities must be covered by at least one full- time equivalent (FTE) employee. Administrative responsibilities include planning, facilities, fiscal management, instruction and data.5/11/2018 Page 1 Performance Standards (Demonstration of Effectiveness)The AEFLA requires programs to develop performance measures that are in compliance with Section 212(b)(2)(A)(i-iii). According to 34 Code of Federal Regulations (C.F.R.) 80.40, “grantees must monitor grant and sub-grant supported activities to assure compliance with applicable Federal requirements and that performance goals are being achieved. Grantee monitoring must cover each program, function or activity.”In order for local program providers to be considered eligible providers, they must show “demonstrated effectiveness,” which is defined as achieving performance goals under the adult education grant. The State ABE Division recognizes that it may not be realistic to expect local programs to achieve 100% of all negotiated program targets, therefore, in addition to meeting the above-stated accountability standards (see Section A. above), local ABE program providers will be expected to meet the following performance criteria in order to be considered “eligible providers,” for funding under AEFLA:1. Local adult education providers must meet 70% of all (total) negotiated program performance targets annually* 2. Local adult education providers must meet the standard of (at or above) 50% post- testing rate (as reflected in Column H on NRS Table 4B)** 3. Local adult education providers must meet the standard of (at or above) 40% for overall level gains (as reflected in Column H on NRS Table 4) 4. Local providers must meet the standard of keeping attrition (at or below) 20% (calculated as Column F/Column B on NRS Table 4)*Example: Measure ABE ABE ABE ABE ASE ASE ESL ESL ESL ESL ESL ESL Achieved Ent PSE Ent Ret Beg Lit Beg Low High Low High Beg Low High Low High Low GED Empl Empl Int Int Lit Beg Beg Int Int Adv Annual 45% 42% 39% 30% 25% 29% 44% 51% 47% 38% 31% 15% 60% 62% 55% 44% Target Program 45 30 39 30 29 21 46 52 45 39 32 16 60 65 30 44 Met Program Not Met x x x x11 targets out of 16 met = 68.75% (rounded to 70%) = eligible provider 7 targets our of 10 met = 70% = eligible provider10 targets out of 16 met = 62.50 = at-risk 6 targets out of 10 met = 60% = at-risk9 targets out of 16 met = 56.25% = ineligible provider 5 targets out of 10 met = 50% = ineligible provider**OVAE considers High School Equivalency (HSE) achievement to meet the post-testing requirement for ASE High; local ABE programs may need to explain in their narratives any discrepancy related to meeting post-testing rate standards since the HSE achievement data may not always reflect on Table 4B (e.g., if students do not post-test, but still pass the HSE examination)5/11/2018 Page 2 Waivers for Program Performance StandardsLocal ABE programs may request a waiver of up to two years to give them time to bring their programs into compliance with the program performance standards (demonstration of effectiveness). Local ABE programs must include a program improvement plan along with the program performance standards waiver request in the Grant application, and/or Extension documents that they submit to the State ABE Division for consideration of funding. Local ABE programs are not eligible for waivers if they are on probation, as the program improvement plan will be included in the Corrective Action Plan.B. Program Performance Improvement Plan (PPIP)When the State Office determines that a local ABE program does not meet program performance standards, the program will be placed on a Program Performance Improvement Plan (PPIP), which will automatically change the local ABE program from the status of “eligible provider” to “at-risk” indicating that the program is “at-risk” of reduced or loss of funding (see Section II, Probation).The local ABE program’s status on the PPIP will remain in effect for approximately 45 days to give the local ABE program time to meet the expected program performance standards, as negotiated with the State ABE Division Office.The State ABE Division Office may place a local ABE program on a PPIP when one or of these situations occurs: . Quarterly and/or Annual reports indicate that the local ABE program is not making satisfactory progress toward meeting the negotiated performance measures, and/or . Data audit demonstrates that the ABE program is not meeting the 80% data accuracy standard, and/or. Whenever the State Office determines that there is sufficient cause for concern. Local ABE programs will be expected to correct their program performance within 45 days or negotiate with the State a reasonable time-frame to achieve satisfactory program improvement results, based on the goals and objectives stated in the PPIP.At the end of the 45 day period, the local ABE program should have achieved the program improvement efforts documented in the PPIP. If the local ABE program has completed the necessary actions to improve program performance, the State Office will remove the local ABE program from the PPIP status.If the local ABE program does not make satisfactory progress towards program improvement as stated in the PPIP, the State ABE Division Office may place the local ABE program on probation (see Section II, Probation).5/11/2018 Page 3 SECTION II: Probation A. ProbationWhen the State Office determines that a program does not meet required accountability standards, the program will be placed on probation for one year. The probation period will provide the program with time and the opportunity to improve its performances.The State may place a local program on probation when one of these situations occurs:. As the result of a State site evaluation, the program receives a summary report stating that the program is not in compliance with 2 of these 3 Content Areas: Administration; Curriculum and Instruction; Data Quality and Measurements.. As the result of a State site evaluation, the program receives a summary report stating that the program is not in compliance with any 3 of the 5 Content Areas: Administration; Curriculum and Instruction; Data Quality and Measurements; Student Indicators; Community Connections.. Whenever the State determines that there is sufficient cause for concern.B. Corrective Action Plan (CAP)Within 1 month of receiving probation-status notification, the program must develop and send the State a written Corrective Action Plan (CAP). The CAP must address and resolve all noted deficiencies. A template for this plan is attached to this policy as Exhibit A.Within 15 calendar-days of receipt of the written plan, the State will approve it or return it to the program for modification or revision. Upon receipt of the State response, the program will have 15 calendar-days to make the requested changes and return it.The probation period will last for at least one calendar year (subject to renewal by the State).During the probation period, the program will be expected to:. Improve performance so that all performance and accountability standards are met;. Send the State quarterly written reports that describe actions taken and the degree to which progress is achieved on the CAP;. Respond to State inquiries and/or requests for information within 10 calendar-days.During the probation period, the State Office will conduct:. A day-long (or more) site visit at the program to check on and discuss progress; . Quarterly audits on program data and measures; . Quarterly audits on program fiscal activities.5/11/2018 Page 4 At the end of the first-year probation period, based upon periodic evaluation/audits of program activities and performance, the State will:. Release the program from probation status. Extend program probation for one more year, or. Discontinue funding to the program.While on probation, program funding will be determined by the NMHED. A variety of factors and information will be used to arrive at State and Federal allocation decisions: program activity and performance as reported in Program Annual Reports, quarterly data and fiscal audits and site visits. While on probation, the program will have the opportunity to participate in all available RFP and/or Extension processes.There may be times when a program’s performance falls below accountability standards yet does not warrant probation. In these situations, the NMHED may also use a variety of factors and information in making its allocation decisions.While on probation, all written correspondence to the State must bear the signatures/approvals of the individuals holding these two positions:. ABE Program Director, and. Manager/Supervisor of the ABE Program Director.Email communications to the State must visibly show both above-mentioned individuals in the “From” and/or “Cc” headings. All correspondence from the State will be directed to both above- mentioned individuals.5/11/2018 Page 5 C. At-Risk ListLocal ABE programs may be placed on an At-Risk List which serves as notice that they may be in violation of one or more State ABE Division policies and procedures. The At-Risk List serves as an informal way to let programs know that, they will be placed on Probation if they fail to take corrective action. The types of local ABE program deficiencies that may result in their being placed on the At-Risk List include (but is not limited to):. Failure to enter data into the LACES database according to State ABE Division Policies and Procedures . Falsifying data entered into the LACES database . Failure to submit data reports according to State ABE Division Policies and Procedures . Failure to provide assessments as required . Failure to pre- and post-test as required . Failure to conduct intake, enrollment and goal-setting as required . Falsifying student records . Failure to submit fiscal forms and documents as required . Falsifying fiscal records . Failure to meet state performance targets . Failure to obtain required training for teachers, data technicians and other program staff . Failure to attend state mandated trainings . Failure to complete quarterly and annual reports according to State ABE Division Policies and Procedures . Failure to provide services as outlined in the approved grant applicationIf local ABE programs fail to take corrective action to avoid being placed on the At-Risk List, the State ABE Division office will initiate action to place the program on probation. Once on probation, a formal Corrective Action Plan will be implemented (see Probation Policy, Section B above).D. AppealsPlease refer to NMHED Adult Basic Education Division Complaint/Grievance Procedures for procedures related to appeals.5/11/2018 Page 6 Appendix ATemplate for Corrective Action PlanStrategies Standards/Measurements Required Actions to Improve [What needs to be done to [How improvement will be shown Owner Performance improve performance] or proven] [Assigned Staff] Due Dates Status of ProgressNotes:. There may be one or more strategies or steps needed to accomplish each required action. . The standards/measurements provide proof of improvement (for example: increased student enrollment, level gains, goal accomplishment, and data accuracy).5/11/2018 Page 7 Appendix BSample PPIP FormPerformance Measure Outcome Percent of adult basic education students who set attainment of general education attainment as a goal Action Plan: Management initiatives, resource As part of GED preparation students receive academic services, alignment, and other strategies/tools and their information and resources imperative to transitioning to work or potential uses to improve performance postsecondary education. There are currently no division goals specific only to students setting the goal of GED. The interest is in increasing the number of students who earn a GED and historically many of those students did not set the goal. As such, part of the action plan includes proposing changes to the measure so that it more directly links to the division goal of increasing GED attainment. 2012 to 2013-- 29% 3 years of historical data 2011- to 2012 – 23% (reflects end of year annual total). 2010 to 2011 – 19%Comparative Benchmark: A benchmarking process does not exist.Performance Target for Current Year Increase program GED graduation rate (rate ≥ 40%, or achieve 10% increase over last year) Graduation rate = Increase percentage of students who set and met the goal (NRS Table 5)Data for Current Report 2012-13 = 29% (ESTIMATE)Performance GapEstimated Time Frame to Close/Exceed Gap End of month/quarterExplanation Why Performance Failed to Meet Target 5/11/2018Page 8 Performance Measures (from Grant Application/Extension Request Form H) 2013-14 Adult Basic Education, ESL and EL/CivicsState Goal Program Goal Actual OUTCOMES 2013-14 Performance 2013-14 2013-14Beginning ABE Literacy ABE 1 Beginning Basic Education ABE 2 Low Intermediate Basic Education ABE 3 High Intermediate Basic Education ABE 4 Low Adult Secondary Education ABE 5 High Adult Secondary Education ABE 6 ESL Beginning Literacy ESL ESL 1 ESL Low Beginning ESL 2 ESL High Beginning ESL 3 ESL Low Intermediate ESL 4ESL High Intermediate ESL 5ESL Advanced ESL 6 Entered/Retained Employment Ent/RET EMPL Entered Postsecondary education/training Enter PSE Received GED Received GED 5/11/2018Page 9

State of New Mexico s7

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