Grants Management: Discussion

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

Outcomes Participants 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.

4 State Grant Management Systems Overview

5 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

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

7 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

8 New Jersey Grant Application SAGE Grant Application (page based) SFY 2013, 2014 and 2015 2016-17 and prior to SFY 2013 EWEG Grant Application (Tab based)

9 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)

Wisconsin Grant Application

Applications, Budgets, and Allocations

12 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

Grant Application Budget

14 Grant Application Review 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

16 Grant Amendments 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)

17 BAAS and Grant Application Systems

18 Planning Allotments 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

19 Planning Allotment LEA Report

20 New Jersey Electronic 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

21 Grant System

22 Grant Application

23 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

24 Grant Application Summary

25 System Summary 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

26 Grant Submission Information

27 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

28 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)

29 Reimursement Request

Sub-Recipient Monitoring

31 Monitoring North Carolina 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

32 Allowable Costs 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

33 Allowable Costs North Carolina Budget Program Report Codes used for IDEA Grant funds PRC 049 (619) PRC 060 (611) PRC 070 (CEIS) Categorical Funds with only allowable account codes Reviewed by both Regional and IDEA consultant to ensure that the budgets meet allowable costs under the Uniform Grant Guidance (UGG)

34 Monitoring New Jersey 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)

35 New Jersey Risk Determination Risk Determination Rubric

Challenges and Opportunities

37 North Carolina Challenges LEA EC Director Turn Over Charter Schools Significant 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 2 nd month of school

38 North Carolina Opportunities 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

39 New Jersey Challenges 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)

40 New Jersey Opportunities Grant Application Ability to leverage monitoring and universal planning modules in the current system Professional Development Targeted training opportunities in Spring 2017 through webinars to reach the 667 LEAs Increasing Collaboration between LEAs Encourage consolidation of resources

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