Post on 13-Jan-2016
description
transcript
New Grantee Orientation
1
Our objectives for this training
Explain the culture of ADE 21st CCLC support and monitoring
Provide an overview of how to get started in implementing the grant
2CT
AgendaWelcome & IntroductionsVision Team Table FacilitatorsFiscal & Programmatic AccountabilityMeeting 21st CCLC Grant RequirementsProgram Implementation…but first, let’s address the elephant in the room
3CT
Elephant in the RoomCycle XI Drawdowns: October / NovemberEnhanced Summer ProgramContract with an entity that offers exceptional youth
programmingOffer STEM programming Offer Technology Based ProgrammingInvolve the program in Youth Quality Program
Intervention (assessment tool / training offered by ADE)
Involve the program in Family Engagement Intervention (training to be offered by Dr. Maria Paredes through ADE)
Send a team to a professional development opportunity especially those facilitated by the ADE 21st CCLC Team
4CT
NameWhere your fromTitle / roleLevel of experience with 21st CCLCExample: First year grantee
orFifth year grantee but new to
the program
5CT
Every dollar of 21st CCLC funds must be spent to forward the
GOALS and OBJECTIVES of the grant and the school improvement
plan.6
AY & PS
Special Guests from the Arizona Special Guests from the Arizona Department of Education: Department of Education: Gary R. Holland, MBA
Audit Manager
and and C. Todd Mason
Grants Manager
7
AY & PS
Surviving ADEFiscal Monitoring & Time and Effort Compliance
Gary Holland
Arizona Department of Education
September 24, 2012
Presentation Focus on:
• Fiscal Monitoring• Time & Effort• Potential Consequences of
Non-Compliance
Grant Sub-recipient Duties
Including Proper Programming and Expenditure of Monies, Goals Achievement and the Related Reporting
Receiving Federal Grant Monies Entails both Programmatic and Financial Duties
Monitoring
During the course of the grant period, LEA’s are required to be monitored by ADE
You are monitored by several entities to ensure that the grant is properly executed and achieves the goals set forth
Definition of Monitoring
A process whereby the programmatic and
business management performance aspects
of a grant are reviewed by collecting and
assessing information from reports, audits,
site visits, and other sources
Why Compliance is Important• Ensure money is spent properly to achieve program
goals
• Program goals are to help kids and families
• Non-compliance could result in “paying back” grant with M&O monies, suspension, and/or termination of grant
• Losing future grants
• Going to jail for fraud/illegal activities
What is Monitored?
• Grant Expenditures• Time and Effort reporting• Fixed Assets• ADE Grants Management • American Recovery and
Reinvestment Act (ARRA) IDEA Part B
Monitoring ExpensesCheck financial reports for:
• Unallowable costs• Late cost transfers (expenses that
are posted significantly later than incurred)
• Budget deviations• Journal entries near end of
funding period• Excessive or unreasonable
expenses
Excessive Expenditures
• All travel expenses must adhere to agency or state travel policies
• Reasonable, NOT Excessive• Able to show clear link and benefit
to program• Remember all expenses must
receive prior approval from ADE
Fixed Assets
All assets must be tracked and safeguardedComplete Fixed Asset report
• Property Identification tag• Asset description• Purchase Date• Cost• Location
Missing Time and Effort report documentation is one of the most frequent and costly audit findings in the state
Time and Effort Reporting
All Federal Funds being used for Payroll expenses MUST have Time and Effort regardless of
amount
Time and Effort Reporting OMB A-87
Time and Effort Reporting for Employees who are paid 100% from a SINGLE cost objective:
An employee whose salary is paid in whole from one federal source must certify, on a semi-annual basis, that they “worked solely on that program (single cost objective) for the period covered by the certification”
• The certification must be signed and dated by the employee and may be signed by a knowledgeable SUPERVISOR
Time and Effort Reporting OMB A-87
Time and Effort Reporting for Employees who are paid from Multiple Cost Objectives:
An employee who works on more than one federal program, or on a combination of a federal programs and a non-federal program, must maintain personnel activity reports that accurately declare the amount of time the employee spends performing the federal work activity any other duties
Time and Effort Reporting for Employees who are paid from Multiple Cost Objectives:
Report must reflect an “AFTER-THE-FACT” distribution of actual activities performedAccount for TOTAL activity for which employee is compensatedMust be completed at LEAST MONTHLYBe signed and dated by the EMPLOYEE and may be signed by a knowledgeable SUPERVISOR
Time and Effort Reporting OMB A-87
Time and Effort Reporting OMB A-87
What Type of Reporting is Needed:
•Single cost objective →Semi annual certification
•Multiple cost objectives →Monthly time reports or
Personnel Activity Reports (PARs)
** Reminder - OMB A-87 applies to Districts only
Time and Effort Reporting OMB A-122
Non-Profit Organizations are required to maintain monthly Personnel Activity Report (Time and Effort) that accurately declare the amount of time the employee spends performing the federal work activity and any other duties
Report must reflect an “AFTER-THE-FACT” distribution of actual activities performed
Account for TOTAL activity for which employee is compensated
Must by completed at LEAST MONTHLY Be signed and dated by the EMPLOYEE
and may be signed by a knowledgeable SUPERVISOR
What Type of Reporting is Needed:
Monthly time reports or Personnel Activity Reports (PARs)
Non-Profit organizations are required to maintain monthly personnel activity reports
Time and Effort Reporting OMB A-122
** Reminder - OMB A-122 applies to Charters only
No Time and Effort System at all
Staff failing to date the form after the effort has been completed
Stipends
Supplemental pay
Substitutes
Training/Professional Development
ESY (Extended School Year)
Time and Effort Reporting Common Missed Steps
Monitoring Findings
Common Findings: Non-compliance with financial requirements of federal program
• Inaccurate Fixed Asset/Inventory System Report
• Purchasing Capital Assets that were not previously approved
• Excessive or Unallowable Travel Expenses
• Lack of adequate Time and Effort Reporting
Why Compliance is Important
• Ensure money is spent properly to achieve program goals
• Program goals are to help kids and families
• Non-compliance could result in “paying back” grant with M&O monies, suspension, and/or termination of grant
• Losing future grants
• Going to jail for fraud/illegal activities
The Impact of Non-Compliance with Federal Requirements
Date Institution Settlement Reason
2003 NorthwesternUniversity
$5.5M Researchers spent less time on NIH
sponsored projects than they reported.
2004 Johns HopkinsUniversity
$2.6M Faculty time and effort devoted to NIH
grants was overstated.
2004 HarvardUniversity
$2.4M Unrelated salary costs and otherexpenses were charged to federalgrants.
2005 University ofAlabama atBirmingham
$3.4M Research effort was overstated; the
Medicare program was billed forresearch that was funded by
anothersponsor.
2005 Mayo Clinic $6.5M Research effort associate with other
sponsored projects was charged to
NIH grants.
2005 Cornell $4.4M Grant money alleged to supportstandard care for patients.
The Impact of Non-Compliance with Federal Requirements
Date Institution Settlement Reason
2006 Yale $194K Sub award costs not adequately documented.
2006 Columbus $2.3M Sub award costs not adequately documented.
2008 Detroit $49M Sub award costs not adequately documented.
2009 Houston $238M Sub award costs not adequately documented.
2010 Philadelphia School District
$123M Did not maintain complete Time and Effort documentation for staff charged to federal grant awards.
2011 Colorado Department of
Education
$24M Did not maintain Complete Time and Effort documentation for staff charged to federal grant awards.
The Impact of Non-Compliance with Federal Requirements in AZ
School/Charter: Questionable Cost:
District A $ 222,396
Charter A $ 5,137
District B $ 29,546
District C $ 168,104
District D $ 7,833
District E $ 254,953
Charter B $ 46,600
School/Charter: Questionable Cost:
District F $2,286,854
Charter C $ 41,166
District G $ 28,285
District H $ 178,540
District I $ 149,751
District J $ 102,959
2011/2012 Questionable Cost
Investigative Entities
Depending on the finding the following may be involved:
• Local Law Enforcement
• Attorney General
• Auditor General
• Federal Dept of Ed Inspector General (OIG)
Investigation Examples
Arizona Attorney General – School X • School X should use effective internal
controls to demonstrate responsible stewardship for the tax dollars it receives
• School X failed to comply with the USFR. AG noted certain deficiencies in controls to ensure its responsibility to establish and maintain adequate financial stewardship and to comply with the USFR
Investigation Examples
Auditor General – School Y•Allegations of financial misconduct by their former business manager
•Internal controls over the disbursement process were inadequate
•Specifically, check preparing, check signing, and recordkeeping duties were not properly segregated; supporting documents were not required to process transactions; and authorization controls were circumvented
Investigation Examples
• Federal Inspector General – School ZSchool Z draw of grant funds on June 8, 2004 exceeded its immediate needs and, previous to that date, the District had made other excessive draws of grant funds
Questions, Concerns – PLEASE ASK:
– ADE Federal Program Contact
– ADE Grants Management
– LEA Business and Grants Managers
– LEA External Auditors
Gary Holland, M.B.A.ADE Audit Unit (602)364-3518 gary.holland@azed.gov
Resources
• OMB Source documents– www.whitehouse.gov/omb/circulars– Cost Principles – A-87 and A-122– Audit Requirements – A-133
• Grants Management Common Rule– Code of Federal Regulations– Organized by Department– Education is 34 CFR 80
• ADE – www.ade.state.az.us
• Review grant agreements
38
Fiscal Compliance for Recipients of 21st CCLC Funding
ADE is the pass-through agency for the 21st CCLC grant (Feds to State to LEA)
Sub-grant recipients (grantees) must comply with State and Federal guidelines for fiscal management, reporting and expenditures
AY & PS
39
Fiscal ComplianceGrantees must comply with the signed
General Statement of Assurance that is submitted yearly to the ADE (changes during the year need to be reported immediately)
Grantees are required to follow the ADE Business Rules
The same Federal/State Rules and Regulations apply for any contracted services hired with grant funding
AY & PS
40
Cash management reporting and completion reports are areas of continuing concern for the ADE
Draw down based on 30 day projected need
District may not accumulate excess cash
ADE may request that excess cash be remitted back
Improper monthly cash management reporting will jeopardize reimbursement and continuation of funding
Fiscal Compliance
AY & PS
Fiscal ComplianceGrantees are responsible for using grant
monies as approved in their original awarded application and to implement what is WRITTEN in the awarded grant. Expenses must be in approved budget.
Sites that fail to serve the targeted number of students on their campus may be subject to a 25% reduction in funding.
41
AY & PS
42
Supplement NOT supplant (define)
Programs must be equally accessible- if charge a fee must be nominal and used for a specific grant activity
Charging fees for sustainability is NOT allowed
Fiscal Compliance
AY & PS
Fiscal ComplianceBurn Rate of Budget
Are expenses proportionate with programming?
Basic GuidelinesAsk yourself, is the purchase…
Necessary? Reasonable? Allocable?
Non-Regulatory Guidelines:See page 26 section G. Local use of Funds.
43
AY & PS
44
Business RulesGuidelinesApplicationsIndirect Cost RateAmendments (Programmatic / Fiscal)
Cash Management (Federal Projects)
Completion ReportsAY & PS
Business RulesReturn of FundsCarryover of Funds - NO CARRY OVER
InterestAudit of Federal ProgramsCompliance Checklist
45
AY & PS
Fiscal MonitoringA minimum of one on-site visit to fiscal
agent per year Fiscal monitoring visits may be
unannounced Request for Documentation (Fiscal Record
Keeping Tabs i.e. T/E logs)Non-Compliance Report/ Corrective
Action PlanReduction of Funding Notice
46
AY & PS
Record KeepingALL expenditures MUST be approved in
awarded grant budget PRIOR to incurring expense
Record keeping should be kept current, follow approved budget and be available for review at any time
21st CCLC Site Coordinator should keep track of ALL expenditures charged to grant, by budget line with current balance monthly (Excel sheet)
47
AY & PS
48
Vision Team Processing QuestionsWhat is clear or confusing regarding the
fiscal requirements of the grant?
What strategy of fiscal and programmatic management do you already have in place?
What are some of the important decisions you will have to make regarding fiscal and programmatic management?
How do model sites handle the fiscal and programmatic management challenges and celebrations?
VT Facilitators
“Why are after-school programs so important? Because children’s minds don’t close down at 3:00 p.m., and neither should their schools.”Richard W. Riley, Former U.S. Secretary of EducationOctober 2000
49
MLN
Grant is the BlueprintKnow and understand grant objectives
Implement what is in YOUR proposal
Evaluate program to assess progress towards achieving goal of meeting grant objectives
50
MLN
Grant is the BlueprintAlign academic services with school’s curriculum in the core subject areas
Focus services of Academic Enrichment opportunities
Offer adult family members of participating students educational opportunities that engage them in supporting their students’ learning
51
MLN
52
Vision Team Processing QuestionsWhat impression / thought / insight did you gain from exploring the grant application?
Why is the written grant important?
Now that you’ve skimmed the grant, what will be different in your implementation approach?
VT Facilitators
Thoughtful management, careful planning, and collaborative decision making with advisory groups provide a strong foundation for a successful afterschool program. 53
CLE
Getting StartedTimeline of services-Road to achievement
Alignment to school calendarAlignment to the regular school day
54
CLE
Getting StartedTransportation Daily afterschool snack & summer meals that meet USDA guidelines
NEWNEW – Afterschool meals now available
http://www.azed.gov/health-nutrition/ Tel: (602) 542-8700Toll Free: (800) 352-4558
55
CLE
Getting StartedRegistrationSafetyMarketingForms & Handbooks21st CCLC website- Roadmap http://www.azed.gov/century-
learning-centers/56
CLE
Recruiting StudentsIntentional strategic approach to
targeting studentsUse data to target and place students in
appropriate classesDistrict/Classroom AssessmentsReport CardsBenchmark ScoresArizona Standardized TestingDIBELSTeacher Recommendation
57
MLN
58
Strategies to link 21st CCLC Programs with day time instruction
Promote collaborative professional development and planning.
Identify student academic deficiencies and how the program can address them.
Alignment of curricular and instructional resources.
JC
Engaging & Purposeful ActivitiesDeliver exciting, engaging and purposeful enrichment activities.
Activities should be designed to increase student participation,
to directly support academic growth and
to contribute to positive youth development
59
MLN
60
Enrichment ClassesElementary
It’s My BodyYoung AuthorsSoccer ClubMad ScientistsBook CooksArt MasterpieceFun in the SunBrain Games IChess ClubScrabble ClubChoral ClubSTEM Club
Junior HighGizmos and GadgetsWhere in the World?Basketball TeamThimble TimeChefsBrain Games IIArt Masterpiece IIExtreme SportsStudent GovernmentChess ClubHealthArboretumSTEM Camp
MLNHigh School
Building Student InvestmentTell me and I forget; show me and I
remember; involve me and I understand. - unknown
Promote your program- Pictures, videos, showcasing programs and their benefits at every opportunity
Promote attendance- must reach at least 30 daysExtra credit for attendance in programMake visuals in the school to mark students
progressing toward goals
61
JC
Let students know that we care and that it MATTERS if they don’t attend.
62
Our program just wasn’t the same
without you! Hope to see you next
week!
JC
Ways to Build Student InvestmentInvite family members to attend classes,
ceremonies and celebrationsForm a student leadership group that acts
as advisoryCreate family-centered traditions that
promote learning & familyForm partnerships to donate prizes or
special field trips for students with excellent attendance
63
JC
64
Vision Team Processing QuestionsWhat program implementation
requirements do you think will be most challenging?
What program implementation requirement comes to you as new or surprising?
What are the requirements all about? What will the requirements mean for
the students, families and community as a whole?
VT Facilitators
65
Dr. Maria Dr. Maria ParedesParedes
JC
66
Family Engagement PurposeIncrease family and community engagement – linking involvement to student achievement
CT
67
Vision Team Processing QuestionsWhat are your thoughts about the term
Family Engagement vs. Parent Involvement?
What element of family engagement or student investment is most clear to you?
How have other model sites / pilot sites handled family engagement?
What could a strong family engagement strategy and outcome mean to your school?
VT Facilitators
Set high expectations for staff, and treat them as professionals.
68
JC
Staffing Your ProgramStaffing Your ProgramDesign high quality job descriptionShare your program-at-a-glance document to educate staff about goals of grant
Conduct interviews with all staff members
See your role as an instructional leader
69
JC
Principal Responsibilities
Collaborate with the 21st CCLC Site Coordinator(s)
Utilize the program as a key strategy to support the School Improvement Plan or other academic goals
Ensure that staff understands the importance of the program in helping students succeed academically
70
JC
21st CCLC Site CoordinatorEnsure that your program follows
your 21st Century GrantOversee program implementationSupervise 21st CCLC staff,
schedulingManage budgetCollect data, complete required
reports
71
JC
Creating a Team ApproachFocus on your grant objectives and school goals
Identify leadership and expertise on your campus
Present information and data, ask for input
CELEBRATE!!!
72
JC
73
Vision Team Processing QuestionsWhat struck you as interesting about the
staffing your 21st CCLC program?
What element of staffing / principal responsibilities is most difficult to get your mind around?
What challenges will have to be overcome?
How do model sites handle staffing and principal / superintendent leadership challenges and celebrations?VT
Facilitators
A culture of connection with the school day depends on building
trust, understanding, mutual respect, and common purpose with
school staff. 74
CT
Collaborating Not Competing One comprehensive out-of-school
time program for schoolWork with other programs already in
place -Title I-Compensatory Education-Migrant Education-Sports (Homework Services)
Equal rate of payActive collaboration/partnerships
75
CT
Communication with the School Community
Programs must have on-going collaboration and communication between regular school day teachers and after-school teachers
Communication strategy is necessary for gaining internal coherence and external support for program
76
CT
Communication StrategiesStaff MeetingsNewsletters, video announcements
Communication FoldersCommittee InvolvementAdvisory Boards/ School Improvement Team
EmailPSAsSocial Networking (when applicable)
77
CT
AZ 21st CCL Pilot hopes to involve 20 new grantees in the YPQA
What is YPQA?Quality Construct: The Youth PQA1. A validated instrument designed to assess the quality of
youth programs and identify staff training needs.
2. A set of items that measures youth access to key developmental experiences.
3. A tool which produces scores that can be used for comparison and assessment of progress over time.
Why use YPQA?Higher scores at higher domains are associated with higher levels of youth engagement
Youth self-reports of: BelongingInterestChallenge Learning
EfficacyCommunicationEmpathyProblem
Solving
High quality instruction provides youth with opportunities to practice emerging social and emotional skills…
…that supports success in adolescence and early adulthood
Where does the process happen?
Point of ServiceSetting
Quality Instruction & Proximal Child Outcomes
This improvement process is supported with professional development workshops. ADE will provide Methods Workshops in Phoenix, Tucson and Flagstaff in March
• Let your ADE Educational Specialist know that you are interested in the YPQA pilot
• Plan on attending a BASIC Training on October 25th in Phoenix
Element YPQI Project
Dates Description and Action
Kickoff Meeting X X Aug-Sept, 2012
Sites participate in a kickoff workshop to introduce the elements of the quality improvement system, review timelines, expectations, etc.
External assessment at baseline (Youth PQA or School-Age PQA)
X X October–Dec 2012;
External Assessments completed in the fall of 2012 by reliable External Assessors. Post intervention assessments may also be completed in the Spring of 2013.
Program self assessment at baseline (Youth PQA or School-Age PQA)
X X Oct– Dec, 2011
Site staff attends the PQA Basics training and completes a team-based program self assessment in the fall of 2012. Online Basics course is also available.
Improvement Planning X X January 2013
Sites participate in a 1-day Planning with Data workshop, continue planning on-site with teams, and, and develop program improvement plans. Online Planning with Data course is also available.
Youth Work Methods trainings (High/Scope Active Participatory Approach aligned to PQA)
X X Jan – May, 2013
Youth Work Methods Summit for staff and manager delivered by local trainers that have attended the Youth Work Methods Training of Trainers Workshop. Selected workshops are identified by improvement plans. Staff and managers plan and deliver new instructional practices. Youth Work Methods online courses are also available.
Quality Coaching for staff (focused on instruction)
X X Jan – May, 2013
Site managers attend the Quality Coaching workshop and are trained to provide instructional coaching for staff, which includes providing observation and feedback (instructional coaching) using the relevant PQA items as a standard for skill-building practice.
TA Coaching for site managers (focused on continuous improvement practices)
X Site managers are supported by technical assistance coaches to implement the quality improvement practices described above.
Accountability & Continuous Accountability & Continuous Program ImprovementProgram Improvement
89
CLE
Start with
implementi
ng what is in your
application
Are we meeting our grant
objectives?
Wha
t can
we
do
better
?
Plan = your
approved
grant application
Mandatory ReportsStudent Attendance DatabaseAnnual Performance Report (APR)
Grantee Profile Summary of Classes OfferedSite Evaluation Report
90
CLE
Data Collection, Cont.Number of SY Days AttendedNumber of (Prior) Summer
Days AttendedELLSpEdGenderEthnicity
91CLE
Data Collection, Cont.Grades, Fall & Spring
Math Reading/ Language Arts
Data on Program ObjectivesTeacher Survey
PPICS (APR)and EVALUATION TRAINING
February 7&8 2012 - Phoenix 92CLE
Reporting DatesDue January 25, 2013 & June 28, 2013:
Summary of Classes
Due August 9, 2013:Site Evaluation Report Student Attendance Database Annual Performance Report
http://www.azed.gov/century-learning-centers/Scroll down to “Important Dates to Know”
93
CT
94
Vision Team Processing QuestionsWhat is clear or confusing regarding the
evaluation / APR / Continuous Improvement requirements?
What strategy of data collection do you already have in place?
What are some of the important decisions you will have to make regarding accountability efforts?
How do model sites handle the evaluation / APR and CI challenges and celebrations?
VT Facilitators
2012-2013 Professional Development Opportunities
New Grantee OrientationNetworking Meetings
Trainings in relevant topics such asFamily Engagement Science Technology Engineering and Mathematics
(STEM)Youth Program Quality ImprovementSustainability
http://www.azed.gov/century-learning-centers/Scroll down to “Important Dates to Know”
95
CT
21st CCLC Website Resources
96
RR
http://www.azed.gov/century-learning-centers/
21st CCLC Website Resources
97
RR
• www.azed.gov/century-learning-centers/• www.ideal.azed.gov/• www.sedl.org/afterschool/toolkits/• www.beyondthebell.org/• www.afterschoolalliance.org/• www.familyfriendlyschools.com/• http://y4y.ed.gov/
98
Vision Team Facilitators Vision Team Facilitators Final Words of WisdomFinal Words of Wisdom
CT
“If I only knew then what I now know…”
“One thing I wish someone had told me
as a new grantee…”
“If I only knew then
what I know now…”
99
Reflection: Reflection: Please share in your groupsPlease share in your groups
CT
“I feel more confident in
leading efforts for 21st CCLC because….”
What is one ‘light bulb
moment’ from today’s
training?
You’re Never Alone
Networking MeetingsYour Program Specialist21st CCLC Web Site
100
CT