Question #4: After reading the RFP, I would appreciate some clarification. The guidelines state that "regionally accredited community colleges and four-year institutions are eligible. Further down on page 9, it states, "No single-institution effort will be considered unless it provides services to adult-completion populations on an interstate and/or national level (large-scale)." Does this mean that a college with a predominantly commuter population within a metropolitan area is not eligible?

Answer: Your question is about large-scale and eligibility—they are related. Our perspectives on large-scale are include in the RFP (e.g., national, statewide). Large-scale also refers to the scope of programs and services (e.g., how large programs are, the range of services). This does create some grey area around the eligibility guidance in the RFP, that "no single-institution efforts will be considered unless they provide services to adult-completion populations on an interstate and/or national level (this would be large-scale), or unless the institution is designated as lead provider with a key mission to serve returning adults in a state." A college with a predominantly commuter population that serves a large metro region " with a possible large enrollment of adults who are returning with some college credits to complete degrees might meet the definitions of scale based on numbers of students (size of programs). And the case might be made that you meet the concept of "lead" institution since you have a charge to serve that metro area, although you may not be a lead institution with a mission to serve the entire state with adult-completion programs. Since such circumstances may fall in the grey area, we are asking all applicants to define both the scope and scale of proposed work in the pre-proposal. The onus is on applicants to make a compelling case that the work will meet a "scale of large" . . . and is targeting the populations of the adult degree completion market.

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Question #5: Could you please clarify this statement in the RFP: "No single-institution effort will be considered unless it provides services to adult-completion populations on an interstate and/or national level (large-scale), or unless the institution is designated as lead provider with a key mission to serve returning adults in a state." Does this mean that a college must work with an outside organization in order to be considered? How does one know if one is a "lead provider"? Our institution has more than 20 campuses in a city of 2.2 million, so we could have a large-scale impact with the right program.

Answer: See answer to Question #4, for making the compelling case. Also, an institution likely knows if it has a designated mission as "lead" provider. Usually such missions are assigned by policy (e.g., a System of Higher Education designation) or resides within the institution"s own mission statement as approved by its Board.

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Question #6: We have two potential projects in mind for the Adult Degree Completion program. We were hoping that you would offer some guidance as to which project would fit best with the mission of Lumina Foundation.

Answer: Lumina is unable to provide guidance on specific pre-proposal ideas at this time.

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Question #7: To develop an effective system that works statewide with public community colleges, can a grant focus on one high demand career track to develop a best practice for other career pathways?

Answer: It is unlikely Lumina would support a focus on one high-demand career track since that is equivalent to "no discipline-specific efforts." In such instances, the onus is on applicants to make a compelling case that an effort is a large-scale model that closely links higher education programs from multiple institutions to employer needs, and will impact multiple policies and programs to serve adults in the specified population(s).

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Question #8: Will projects proposed from states and institutions within states that ARE NOT members of the Complete College America program be disadvantaged in the grant competition? I am not aware of why our state is not a part of that group and will try to find out, but in the meantime I am wondering whether our prospects for an award under your initiative will be diminished because it is not a participant at present.

Answer: States that are not in the Complete College America program will not be disadvantaged in this competition.

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Question #9: Is a state coordinating board representing a consortium of institutions eligible to apply for the grant?

Answer: Yes.

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Question #10: Please provide more information about the formative evaluation required.

Answer: Applicants should briefly describe the formative evaluation planned for the proposed effort. The formative evaluation should be designed to assess implementation effectiveness and build in the capacity and flexibility to make mid-course corrections. This might be accomplished through multiple means, such as using an advisory committee to assist in assessing effectiveness and instituting appropriate management activities (e.g., effective communications among participating institutions " website, email communications, progress notes from meetings). An external evaluator can assist with the design of the formative evaluation. The aim is for projects to have well-designed internal milestones and sufficient feedback opportunities to enable mid-point adjustments in the work if warranted.

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Question #11: To what extent can grant funds be used for marketing? What is meant by "no large-scale marketing campaigns will be considered for support unless they are adequately researched prior to implementation and there are policies and programs in place to serve adult learners"?

Answer: Grant funds can be used for marketing (e.g., print and media ads, web portal work). Marketing approaches should be proven and tested (e.g., proven successful in other states), and there should be programs and services in place for adult learners who respond to marketing campaigns. It would not be effective, for example, to operate a marketing campaign if the program at the institutions you"re driving the adult completion population to are not ready to assist them.

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Question #12: During the Webinar, one of the speakers made the comment that the Lumina Foundation is encouraging colleges and universities to set up networks and groups to work together on projects that will help attain the goals. I wanted to express Indiana Tech’s willingness to participate in groups and networks that may be forming. Any advice that you can provide about this at this point would be much appreciated.

Answer: We are including your institution’s name in this answer in case others want to contact you. If you want to participate in the network of meetings/communications that we expect will be part of this RSVP effort, we suggest you fill in the cover form for the pre-proposal and write at the bottom that you would like to be considered to participate in the network. That way we will get your names on the list.

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Question #13: I was unable to submit my question during the teleconference so I am sending it now. On page 10, paragraph 5 you mention indirect costs. Could you please clarify what kinds of items the indirect costs might include?

Answer: Technically, indirect costs will not need to be specified in pre-proposals. We have already identified in the RFP how to budget for indirect cost. Your institution/entity should be able to identify what you consider to be indirect costs. For many institutions, it might be office space, telephone, air conditioning/heating in a building, accounting that supports grant development, etc. Lumina does not maintain a list of indirect costs. That is determined by the applicants. The federal government (IMB) has information since they approve indirect cost rates for institutions for use in federal grants.

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Question #14: If there is a program successfully serving this market at a single institution, would a proposal to expand this program to other universities across the country qualify? Could this scaling be organized by an intermediary instead of the original institution?

Answer: Yes, that sort of expansion could qualify. Yes, this could be organized by an intermediary in partnership with the original institution.

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Question #15: You state that you will not fund discipline-specific programs. We would not be creating a new curriculum but would like to focus on degree completion for early childhood professionals. Is this a fundable area?

Answer: It would depend on how large a group of adult completion folks are within this category and what the scale is (is this being proposed on a statewide or multi-state level). This is where applicants need to make a compelling case in the pre-proposal around scale and scope.

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Question #16: The RFP states that "adult populations may be younger than age 25 if the target includes working students who are the primary means of support for their families" (page 9). Could you provide more detail? For example, what percentage of the under-25 population must be students who are the primary means of support for their families? Would you consider efforts that ONLY targeted adults below the age of 25?

Answer: We would consider efforts where the only target is the adult population below 25 but they are working adults who meet the spirit of our target population. There is no specific percentage. We are not targeting with this RFP students moving from high school to college, or adults who have few college credits.

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Question #17: Funding category #3 targets state policy and systems change efforts. Are you interested in funding policy/advocacy work at the federal level, in addition to the state level?

Answer: We answered this question during the Webinar. Yes, we are interested in policy work which impacts both state and federal levels. Be mindful of the difference between advocacy and lobbying efforts.

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Question #18: Approximately 1/3 of the students we serve come to us with an average of 18 college credits (the rest have few or no credits, but earn college credits during our program). Would you consider us a "returning adult program" under funding category #1?

Answer: Probably. You should indicate in your pre-proposal that you are building on an existing program that serves X students who come to you with an average of 18 college credits, and then indicate in what ways you are proposing to build on that.

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Question #19: We have two projects in mind for a proposal for the Adult Degree Completion Grant program. Are we allowed to submit two pre-proposals?

Answer: Yes, multiple pre-proposals are permissible.

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Question #20: The cover sheet says to provide “verification of governmental unit status via letter of status.” Can you explain what you mean by a letter of status? Is an Employer Identification Number and DUNS number sufficient or is the letter still required?

Answer: Lumina is asking for the EIN number unless you are an agent of their state in which case you should have a letter stating this (if you have an EIN number, use it).

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Question #21: Can the Minnesota State Colleges and Universities Foundation submit a Adult Degree Completion program pre-proposal on behalf of the Minnesota State Colleges and Universities system?

Answer: Yes, college/university foundations can submit a pre-proposal for a system effort.

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Question #22: The RFP states that one method for indirect cost reimbursement is the calculation of 20 percent of the project’s personnel costs. Is that calculation based on the personnel costs paid by the grant or the project’s total personnel costs? We have never seen indirect costs referenced this way and would like additional clarification.

Answer: Calculate indirect at 20% of personnel costs (salaries/benefits) for the project.

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Question #23: If we already have five pages of narrative, can we include the estimated budget as an appendix (the appendix would be the sixth page)?

Answer: The estimated budget should be on a 6th page if you cannot stay within 5. If you put key info into an appendix, we may not see the info -- important info goes into the required format.

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Question #24: Are we allowed to use stimulus funds as a cash match?

Answer: Yes.

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Question #25: In order to complete your narrative pre-proposal form, I would greatly appreciate if you could send me the form in a word document.

Answer: The form is downloadable in Word format here.

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Question #26: Can the affiliated foundation for a state system of higher education apply on behalf of its respective state system of higher education?

Answer: Yes.

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Question #27: We are interested in submitting a pre-proposal for a project. However, I would really appreciate feedback regarding our idea, so that we won't burden your grant pipeline with a proposal that doesn't line up with your objectives.

Answer: This idea appears to be discipline-specific (integrating CNA to RN), within a single rural community college serving 8-county area. This would not meet our criteria for large-scale, and appears to be discipline-specific (nursing).

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Question #28: Are state education agencies with a P-20 focus (includes postsecondary and adult education programming and funding responsibilities) considered eligible?

Answer: Yes.

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Question #29: If current adult learners enrolled in college classes can be served by a Lumina-funded program, and are able to attain their degrees faster because of that program, can those existing students be counted as successes in the evaluation piece?

Answer: If we understand the question, you would be providing some new or expanded program to current students in college classes and can you include successes in the evaluation piece? The answer is probably yes. Describe your evaluation plans and we will determine if it seems reasonable.

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Question #30: Would a non-credit program leading to certification in an employable occupation be accepted?

Answer: Lumina’s goal is that adults who have previously earned college credits but have not completed a degree or certificate, complete a degree or certificate. A noncredit program may meet the spirit of this goal; for example, this may be a noncredit industry-certification program that leads to an employable occupation or multiple employers may be working with institutions to make noncredit certifications more accessible to returning adults. The onus is on applicants to make a compelling case in the pre-proposal that a noncredit program leading to certification does meet the spirit of this RFP. Applicants should also be mindful of considerations of scale. Non-credit efforts that are single-institution programs or smaller-scale are not likely to be competitive.

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Question #31: I want to know if as a higher education institution that serves adult learners my institution can collaborate with more than one organization submitting a pre-proposal for the Request for Proposals to Increase Adult Degree Completion.

Answer: Yes, you can collaborate with more than one organization.

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Question #32: I'm not sure what type of information you're looking for under the first question in the pre-proposal form: "Describe how significant the need is to address this priority(s) to your state, locale, region?" Do you want us to describe the need for the type of intervention we are proposing or to discuss the degree completion rates for the area we propose to serve?

Answer: Describe whatever you think is most significant. In your example you may want to address both.

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Question #33: Is there any limitation on OTPS expenses that would be used for equipment or renovation in ratio to personnel expenses?

Answer: Generally, no. If you are invited to submit a final proposal we will provide more budget guidance. We aren't likely to support predominantly equipment or renovation efforts, however.

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Question #34: If a technical college is partnering with the state department of employment and economic development and the state adult basic education agency, would this partnership meet the eligibility requirements?

Answer: Yes, such a partnership would meet the eligibility requirements as long as the work results in degree or certificate completion for the target population.

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Question #35: Is it acceptable to have co-project directors?

Answer: Yes.

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Question #36: For purposes for example of government grant applications, each CUNY university is considered a single institution, so were we to apply, although the universities are all part of the CUNY system, we are considered separate institutions. Would this also be the case for the Lumina Foundation?

Answer: Yes, a single institution in a system is a single institution. If multiple institutions are working on this, then indicate this is the case. If all institutions in the system are working on this, I would call that a system effort.

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Question #37: By whom must we be designated a "lead provider with a key mission to serve returning adults in NY State?"

Answer: Some states designate by Board of Regents. Sometimes it is the institution mission that has evolved although there may not be policy on this. State your case if this is a grey area.

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Question #38: What are numbers that constitute a "large-scale" impact?

Answer: We did our best to answer this in the webinar. There is not a specific number.

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Question #39: We are a small, growing organization. We are not a degree granting institution. We work directly with adult learners attending various degree granting institution in New York City and surrounding area. Have read RFP and listened to webcast. It remains unclear whether non profits are eligible. Our organization works with adult women who have been convicted of crimes and/or incarcerated at some point in time. In our state, college courses (privately funded) are available in 4 of the state's female correctional facilities. Thus, many women come out of these institutions having earned college credits. Depending on length of their sentences, many have nearly completed degrees. Our program is only one whose mission is to see these women complete the college degrees they began while incarcerated. Average participant is 35, has one or more children, is African American or Latina, living at or below poverty line, etc. While our program is not "large scale" in that we serve a very narrowly defined population and are not directly connected to an institution of higher, we do cover all of New York City and work within the entire state correctional system to act as bridge to get women back into school upon release. We have strong ties to university systems. Would New York State Department of Corrections qualify as a State Institution within RFP? Would work with 250-300 women be considered large-scale because it covers the entire New York metro area, engages all female facilities in the state system of corrections, has huge replicability implications in other states where people may be released from correctional institutions with college credits (population has specific needs relative to getting in and staying in school).

Answer: The State Department of Corrections could qualify as state institution if it plays a role in adult degree completion. It is up to applicants to describe the scale in pre-proposal (e.g., metro area, statewide, number of partners). If you have data on the number of adults in this population who have completed degrees or who are in the queue to complete (or could be), describe. We can't advise on the specific number for scale. We will be reviewing pre-proposals to assess the scale of efforts that present from the various pre-proposals.

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Question #40: Would a non-profit that is not a degree granting institution but is working with college students using innovative methods to increase retention rates be eligible? Would work with 250-300 students be considered large scale if it:, 1. Covers a specific demographic group of students in an entire Metropolitan Area, 2. Engages all female college students in a state system (not of higher ed but of Corrections, 3. Has implication for replication statewide, regionally, and nationally.

Answer: See our answer to the corrections-related question posted earlier, regarding the case of a non-profit working with higher education institutions, serving a large metro area serving a specific population of previously incarcerated women.

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Question #41: The intermediate outcomes listed as examples in the RFP are met by our program. So as not to simply relist them and to avoid giving you too much text, could you offer guidance regarding how much of a description is preferred in this section? Bulleted list with one sentence description? Paragraph on each? (all within page limits I understand).

Answer: Our reviewers will want to see what your intermediate outcomes are. If your program already adheres to the examples in the RFP, you might indicate that is so and provide the list, in bulleted format. If you have data points you have been collecting on some of them, you might share that; or if some outcomes are especially high priority for your program, you might describe why that is so.

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Question #42: I don't see any restriction on the allowability to charge indirect costs. Is that correct?

Answer: Correct. We provided guidelines for indirect cost charges in the RFP. This is not really an issue in the pre-proposal stage. You can estimate 20% of the personnel costs.

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Question #43: Is cost share (institutional match) a mandatory requirement or a suggested requirement?

Answer: We are requiring that there is some cost-share in all efforts we support. This does not necessarily have to be institutional match, but could come from other sources.

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Question #44: The LIM Fashion Education Foundation (FEF) is a 501(c)3 organization whose mission is to raise funds for scholarships for students who have chosen to attend LIM College and for educational enhancements. Is the Foundation eligible to submit a proposal in support of Adult Degree Completion?

Answer: We do not provide funds for scholarships. So, a project funded with that focus would not be eligible.

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Question #45: Are instructor expenses/salaries allowable to pay for additional key courses to help adult learners complete their Associate's or Bachelor's degrees at community colleges and public universities? (not supplanted but added)

Answer: Yes.

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Question #46: Would the provision of child care, provided at campuses (a planned but not currently implemented service) be fundable to support adult learner/parents in completing their degrees?

Answer: Lumina generally does not provide support for scholarships, or direct payments to students. Childcare costs would typically fall into that category.

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Question #47: Would small training stipends (i.e. for partial assistance for transportation, college supplies, etc,) be permissible and fundable, both as part of the request and as in-kind match?

Answer: Scholarships and stipends would not generally be supported. They could, however, be used as an in-kind match.

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Question #48: Would evaluation assessment of degrees/translation of those degrees/credits for immigrants/refugees with degrees from their native country also be permissible?

Answer: Yes, immigrant populations who have prior college credits (or degrees) would be an interest area.

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Question #49: Could a consortium applicant utilize college's "forgiveness of student bills" from students who dropped out shy of degree completion as in-kind matching funding?

Answer: Yes.

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Question #50: The pre-proposal for the Adult Degree Completion is expected to be 3 to 5 pages. Is it permissible to include links within these 5 pages? Is it permissible to add appendices?

Answer: You can include links but the reviewers are not likely to be able to link to. We will be doing paper reviews. We prefer no appendices.

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Question #51: How can I register so that I can listen to the recording of the the Pre-Proposal Web Conference held on April 14 regarding the Lumina Adult Degree Completion Pre-Proposal RFP?

Answer: You can register here. If you have technical difficulties, contact WebEx Technical Support at 1-877-509-3239.

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Question #52: I represent Allied American University (AAU), an 100% online degree-granting institution located in Southern California. AAU is nationally accredited by the Distance Education and Training Council (DETC). The DETC is recognized by the U.S. Department of Education and the Council for Higher Education Accreditation (CHEA). In addition, AAU has recently received initial eligibility for regional accreditation by the Western Association of Schools and Colleges (WASC) and we are actively in the process of earning candidacy status with WASC. AAU is a for-profit educational institution. In addition to offering associate and bachelor degree programs in Business Administration, Computer Information Systems, Criminal Justice, and General Studies, AAU also provides degree completion programs in those areas. AAU assesses and accepts all credits that satisfy AAU’s standards of educational quality. I received your RFP through CAEL (on 4/30/10). I have reviewed it and fully understand that in order for AAU to submit a pre-proposal to Lumina Foundation it must partner with eligible applicants. Do you have a listing of eligible institutions that AAU could partner with? AAU is very interested in participating in this program and would appreciate any information that could make this a possibility for us. Any information you could provide, would be greatly appreciated.

Answer: We will post this question in case others wish to contact you directly. Lumina does not have a list of eligible institutions. The regionally accredited institution lists are available from the accrediting associations.

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Question #53: Please clarify if grant funding would include the following: 1) Student tuition support or funding to subsidize the college for providing a discounted tuition for students in the program; 2) Salaries for faculty or staff in expanded services to support this program; 3) Program costs—for example, packaging completion programs for adults completing degrees; 4) Administrative costs for managing the expanded program; 5) Costs for marketing and recruitment materials – web based promotional initiatives; 6) Costs for targeted workshops and speakers for the students in the program.

Answer: In general, here are guidelines as you think about budget: 1) no on student tuition support; 2) yes on salaries for faculty/staff in expanded services if this does not constitute supplanting; 3) yes on program costs although there will be scrutiny on the sustainability after grant funds ends; 4) yes on administrative costs; 5) yes on marketing costs; 6) yes on workspace speakers.

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Question #54: 1) What level of "ownership" does Lumina Foundation have in programs (not a degree program) that are developed with grant funding? What is the relationship of program "ownership" if the grant awardee obtains matching funds? 2) Does the intent for seeking matching funds need to be stated in the pre-proposal? If so, does an estimated dollar amount need to be stated? 3) Can you verify the rate of indirect costs? Our interpretation is 20%.

Answer: We don't know what you mean by ownership. Lumina does not own programs developed with our funds. Yes, it would be helpful for you to mention you will be seeking matching funds in the pre-proposal if you are to already able to identify matching funds. The indirect rate is either 20% of personnel costs or the option of accounting for these costs as direct costs. This is covered in the RFP.

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Question #55: Will you be issuing another RFP on this same topic again next year or later this year? I just learned about this opportunity and would need some time to work with our colleges prior to submitting a proposal.

Answer: Lumina has no plans to issue another RFP on this topic next year or later this year. If you are interested in being considered to be included in various networking activities Lumina hopes to sponsor in the coming few years (e.g., convenings, communications), send us your contact information and indicate your interests so we can include you in our files.

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Question #56: I am having difficulty distinguishing the response needed for questions 5 and 7. My outcomes for #5 are stated in such a way that provides the formative evaluation. Can you help me understand what information is needed for the two questions.

Answer: In the evaluation question, we have asked that you briefly describe your approach to evaluation. To include both formative and other assessments of impact/outcomes. That is different than indicating the intended outcomes and key activities you are planning.

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Question #57: What information you are expecting to be included in the Cover Letter, which is required for the Pre-proposals to Increase Adult Degree Completion? Also, are you expecting the letter to come from a certain individual at the institution (I.e., project director, grants administrator, president, etc.)?

Answer: The cover letter should be submitted by a leading representative of the institution. Lumina requires receipt of pre-proposals on a bona fide letterhead, which is why we are requiring the cover letter. The cover letter can speak briefly to the purpose of the work you are planning and serve as an introduction to the pre-proposal. Often-times the cover letter speaks to the commitment of the institution/agency to the proposed work.

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Question #58: Would it be allowable to include a small portion of the funds to pay someone to coordinate the grant statewide?

Answer: Yes. If you are invited to submit a final proposal, we will ask you to describe sustainability plans post-grant to cover such costs for coordination.

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Question #59: We are wondering if tuition assistance/scholarships are allowable project costs under this grant. We realize that the RFP speaks about decreasing the cost of earning a degree as a potential expected outcome, but we are unsure about whether direct scholarships are allowable for adult students, or if this language refers strictly to providing assistance in locating financial aid from various sources.

Answer: Lumina does not provide support for scholarships or tuition assistance. If the project provides them through other avenues, you could apply these funds toward match/cost sharing.

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Question #60: Would Lumina be interested in funding childcare for adult students? The adults could attend class and have study time while their children were in a safe, educational environment on campus. The grant would pay for the childcare fees. We would also track their educational efforts and provide support where needed. I could either partner with another community college in the state to help them offer the same program and/or partner with another 4-year college in the area and provide evening care for their students while attending their university

Answer: We did answer a question earlier on childcare. Typically, Lumina does not support direct services costs to students in programs. If the project provides these through other avenues, you could apply these funds toward match/cost sharing.

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Question #61: Does this particular support option include Graduate work? I am a woman in her 50's, with history of high academic performance and related work experience, seeking to complete a much needed MA to continue to work in my field, which is oriented toward serving special needs adults. Please direct me to the proper area on the site if this opportunity is limited to undergraduate work only.

Answer: The RFP focuses on degree completion -- for associate and bachelor’s degrees and certificates. It does not include a focus on graduate level degrees. Your question seems to be about locating support for yourself, to attend graduate school. Lumina Foundation does not support scholarships or individual requests to students. Our mission and grant activity is described at our website. You may want to contact a university that offers programs in your area of interest and ask them about support options.

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Question #62: The RFP limits indirect costs to 20% of the salary/wage/benefits base for project costs. This results in an indirect cost recovery that is considerably less than our institution's federally approved rate for instructional programs which is 49.8% of a Modified Total Direct Cost (MTDC) base. Can we show this unrecoverable indirect costs (difference between 20% cap and our normal rate) and count it as institutional Cost Share for the project?

Answer: Yes. You also have an option to list indirect costs as direct costs.

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Question #63: Should the Indirect costs line item be included in the total budget request range of $100,000 to $200,000 each year?

Answer: Yes.

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Question #64: How would the Foundation view two applications from one state, each with different applicant institutions/fiscal agents, but with many of the same institutions involved in both grants and serving the same geographic region (the state)?

Answer: We will review each pre-proposal on its merits.

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In preparation for the upcoming RFP review process, we will cease posting further Q and A on Wednesday, May 12.