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.
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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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 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
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)
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
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 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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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 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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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)
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
Web: http://cifr.wested.org/Email: [email protected]: 855.865.7323Twitter: @CIFR_IDEA
Web: https://ideadata.org/Email: [email protected]: 888.819.7024Twitter: @IDEAdatacenter