Grants Management: Discussion

Panelists

Patricia Gray, New Jersey Department of Education

Tracy Riddle, North Carolina Department of Public Instruction

Rachel Zellmer, Wisconsin Department of Public Instruction

Facilitated by Jana Rosborough, NCSI Fiscal Support Team

OutcomesParticipants will increase their knowledge about: Grants management systems. Approaches to ensuring sub-recipient compliance with UGG and other

regulations. Challenges and opportunities with the changing landscape of education

in states.

Participants will increase their knowledge through: Discussion with panel participants and other IFF attendees. Application of the panel discussion to their own state work.

State Grant Management Systems Overview

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North Carolina Overview

IDEA 619 & 611 Grant applications are currently on a Lotus Platform (Since 2002) SEA maintains the Grant application

• No outside vendor• Historical Grant application access from 2002-03 to

current year (14 years of electronic access)Need an updated Grant application system

• Hope to have an RFP out next year

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North Carolina Grant Application

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2002-03 Grant Application (LEA view) 2016-17 Grant Application (SEA View)

New Jersey Overview Paper applications until State Fiscal Year (SFY) 2005

• Some of the inherent problems of paper: length of time from submission through initial review, counter review(s) to approval, delayed access to funds for Local Education Agencies (LEAs)

• Inability to coordinate between grant programs• Disconnect between the funding office and the program office

Electronic Process effective SFY 2005 (first grants online) until present• Required RFP from outside vendors due to internal lack of resources• Process actually begun in SFY 2002 (EWEG)• Switched vendors for IDEA and Perkins for SFY 2013, 2014 and 2015 and then

returned to original system in SFY 2016. Historical Grant data dates back to the first year and is also available in the interim system (SAGE)

• All entitlement grants and discretionary grants are processed through the electronic system

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New Jersey Grant Application

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SAGE Grant Application (page based) SFY 2013, 2014 and 2015

2016-17 and prior to SFY 2013 EWEG Grant Application (Tab based)

Wisconsin Overview Web-based applications since State Fiscal Year (SFY) 2000

• Original version was retired in FY 2008 to accommodate the reauthorization of IDEA• Special Education Web Portal housed the IDEA budgets from FY 2008 to FY 2016• WISEgrants launched in June for FY 2016-17

Dedication to web-based monitoring processes• Elected State Superintendent, Dr. Evers has been in office since FY 2009.• No outside vendors have ever been used, all of the web-based grant management

applications have been built in-house by a cross-team of program staff and WI DPI developers.

• DPI uses the Agile process to build the programs.• WISEgrants is currently about 45% built – we need to add in all other Federal grants

(including competitive discretionary grants) and make changes required under ESSA and IDEA (significant disproportionality rules and RDA)

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Wisconsin Grant Application

Applications, Budgets, and Allocations

North Carolina

Electronic Grant application• Grant manual available in Grant application system • Planning allotment data accessible in the Grant• Current News and updates can be posted in the Grant

LEAs have login access based on LEA number• LEAs have to create a unique password after initial Login

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Grant Application Budget

Grant Application Review

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Two levels of Grant application review for internal control• LEAs submit completed Grant to Regional Consultants (RC)

• RC reviews the Grant application (611) and Budget (PRC 060)• RC submits the Grant to Superintendent • Superintendent completes assurances and submits Grant to the

SEA

• SEA IDEA Consultants review the submitted Grant• Consultants ensure that all components of the Grant and budget

are compliant before approving both

Applications, Budgets & Allocations

Grant Amendments

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North Carolina LEAs can submit Grant amendments throughout the year

• Amendments for an approved Grant are submitted directly to the SEA IDEA consultant

• The first required Grant amendment is MOE Expenditures due to SEA by 9/30

• IDEA consultants review MOE to ensure compliance and approve • If a submitted Grant amendment is a change to the use of funds, a PRC

060 budget amendment is required• The budget is reviewed and approved in separate system, the Budget

and Amendment System (BAAS)

BAAS and Grant Application Systems

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Planning Allotments

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Planning allotments completed by Financial and Business Services, Allotment Section

• Planning Allotment amounts are accessible in the Grant and in the NC DPI School Allotment System

LEAs complete IDEA 611 Grant budgets from planning allotments and carry over (if applicable) in the Budget and Amendment System (BAAS)

• When the LEA’s Grant application and budget are approved • First installment of PRC 060 funds in September/October • Final Installment of PRC 060 funds in October/ November, after IDEA Grant

funds are received

Planning Allotment – LEA Report

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New JerseyElectronic Grant application

• Grant manual and fiscal information available throughout the Grant application system

• LEA allocations are created through an automated process in the grant system

• Current news and updates will be posted in the new interface shortly

LEAs receive logins through the SEA with identified security levels

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Grant System

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Grant Application

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Grant Application Levels Several levels of Grant application review for internal control

• LEAs submit completed Grant electronically to the SEA, with signed assurances made by the Chief School Administrator and Chief School Business Official

• SEA staff then review through a two tier process• Tier 1 - County Supervisors review and approve or send back for

changes the application which contains both fiscal and programmatic components

• After Tier 1 approval the Office of Grants Management then reviews and final approves or returns for changes

• Once final approved the LEA is able to draw down funds electronically

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Grant Application Summary

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System Summary

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The online grant system includes both the 611 and 619 grants Front section for global eligibility and programming; Coordinated

Early Intervening Services, Assurances, Nonpublic, and Eligibility Standard for Excess Cost and Maintenance of Effort Each grant has its own separate fiscal budget section and the funds

are treated separately Having both grants on one consolidated application has

streamlined the system and the LEA’s ability to apply for and receive funds in a timely fashion

Grant Submission Information

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Grant Amendment Submission

LEAs may submit Grant amendments throughout the year• Amendments for an approved grant are submitted within the grants

system • Each iteration of the grant retains its uniqueness following approval

• The review process is the same as the original grant and final reports

• Amendments are required if; there is a budget change of more than 10% of the original budget, change in scope, budget in a line not previously budgeted and to incorporate the carryover/ overpayments from the previous fiscal year

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Funding

Drawing down funds• LEAs, once the grant is final approved, may draw down their funds

monthly, on a reimbursement basis• This prevents an LEA from obtaining funds and then not spending

them• Allows for direct connection to the budget

The electronic system applies all requests for funds to old funds first and then the new (FIFO)

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Reimursement Request

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Sub-Recipient Monitoring

Monitoring – North Carolina

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Three Tier System

Tier 1: Budget vs Expenditures > than 10% Variance • LEAs are contacted and must correct the appropriate budget

Tier 2: IDEA Fiscal Desk Reviews• Cyclical• LEAs complete Desk Review once every 5 years

Tier 3: Fiscal Site Reviews • LEAs selected using a Risk Rubric

Allowable Costs

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Uniform Grant Guidance (UGG) Factors affecting allowability of costs

• Necessary and reasonable• Conform to limitations and exclusions• Consistent with policies• Be accorded consistent treatment • Be determined in accordance with generally accepted

accounting practices (GAAP)• Not be a match or cost share • Adequately documented

Allowable Costs – North Carolina

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Budget Program Report Codes used for IDEA Grant funds • PRC 049 (619)• PRC 060 (611)• PRC 070 (CEIS)

Categorical Funds with only allowable account codesReviewed by both Regional and IDEA consultant to ensure

that the budgets meet allowable costs under the Uniform Grant Guidance (UGG)

Monitoring – New Jersey

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Three Tier System Tier 1: Grant Application; contains many fiscal controls that restrict

the LEA to allowable spending. County is the first level of review in the application. Use the Uniform Grant Guidance to determine what is allowable. Tier 2: Targeted reviews (desk) Tier 3: Fiscal Site Reviews

• LEAs selected using a Risk Rubric – Consolidated Monitoring (Program and fiscal)

New Jersey Risk Determination

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Risk Determination Rubric

Challenges and Opportunities

North Carolina Challenges

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LEA EC Director Turn Over Charter SchoolsSignificant Disproportionality

• If CEIS proposed rule making becomes a reality, the number of LEAs identified as significantly disproportionate will increase

Timeliness of PRC 060 Allocations • Currently first installment is allocated to LEAs 2nd month of school

North Carolina Opportunities

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Grant Application • Considering new Grant system within the next few years

Professional Development• CEIS,Equitable Services and MOE Training opportunities in Spring

2017

Increased Collaborative Opportunities • Financial and Business Services

New Jersey Challenges

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Key LEA personnel turn over

Charter Schools (new and merging, currently 85 and 5 or more are added every year)

Nonoperating LEAs

Reduced resources both at the local and state level

State funded programs that should supplement the federal (Chapter 193 – nonpublic)

New Jersey Opportunities

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Grant Application • Ability to leverage monitoring and universal planning

modules in the current systemProfessional Development

• Targeted training opportunities in Spring 2017 through webinars to reach the 667 LEAs

Increasing Collaboration between LEAs• Encourage consolidation of resources

Contact Us

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