New Grantee Orientation

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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

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AgendaWelcome & IntroductionsVision Team Table FacilitatorsFiscal & Programmatic AccountabilityMeeting 21st CCLC Grant RequirementsProgram Implementation…but first, let’s address the elephant in the room

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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

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NameWhere your fromTitle / roleLevel of experience with 21st CCLCExample: First year grantee

orFifth year grantee but new to

the program

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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

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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

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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

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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

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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.

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AY & PS

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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.

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AY & PS

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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

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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

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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)

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AY & PS

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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

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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

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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

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MLN

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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

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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

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Getting StartedRegistrationSafetyMarketingForms & Handbooks21st CCLC website- Roadmap http://www.azed.gov/century-

learning-centers/56

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Recruiting StudentsIntentional strategic approach to

targeting studentsUse data to target and place students in

appropriate classesDistrict/Classroom AssessmentsReport CardsBenchmark ScoresArizona Standardized TestingDIBELSTeacher Recommendation

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MLN

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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

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MLN

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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

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JC

Let students know that we care and that it MATTERS if they don’t attend.

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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

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JC

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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?

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Dr. Maria Dr. Maria ParedesParedes

JC

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Family Engagement PurposeIncrease family and community engagement – linking involvement to student achievement

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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.

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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

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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

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JC

21st CCLC Site CoordinatorEnsure that your program follows

your 21st Century GrantOversee program implementationSupervise 21st CCLC staff,

schedulingManage budgetCollect data, complete required

reports

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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!!!

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JC

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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

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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

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Communication StrategiesStaff MeetingsNewsletters, video announcements

Communication FoldersCommittee InvolvementAdvisory Boards/ School Improvement Team

EmailPSAsSocial Networking (when applicable)

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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

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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

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CLE

Data Collection, Cont.Number of SY Days AttendedNumber of (Prior) Summer

Days AttendedELLSpEdGenderEthnicity

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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”

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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”

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21st CCLC Website Resources

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RR

http://www.azed.gov/century-learning-centers/

21st CCLC Website Resources

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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/

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Vision Team Facilitators Vision Team Facilitators Final Words of WisdomFinal Words of Wisdom

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“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…”

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Reflection: Reflection: Please share in your groupsPlease share in your groups

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“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

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