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THE GRANT MANAGEMENT TRACK Monday • February 4, 2013
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THE GRANT MANAGEMENT TRACK Monday • February 4, 2013

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  1. Capacity-Building Workshop 2013 THE GRANT MANAGEMENT TRACK Monday • February 4, 2013 SESSION A Introduction to Grants Management Yvonne Lovell, Executive DirectorGEAR UP Kentucky
  2. DISCLAIMER This workshop is not: Fiscal management training For accountants—no accounting principles covered
  3. WHO WE ARE (10 minutes) Who’s in the Room: ►Introductions—individually exchange information Who are you—name, title, organization, how long with GEAR UP ► Experiences—individually share a recent experience Why you chose this track
  4. GEAR UP 2002 AUDIT FINDINGS Information about program changes not shared with appropriate offices Agency procedures not followed No monitoring plan Procedures not followed for determining eligibility No reviews conducted for completeness and accuracy
  5. SESSION OUTCOMES Participants understand the stages of a GEAR UP grant cycle, post award Participants understand the grant management concerns at each stage Participants use tools provided to identify key grant management players and roles
  6. REALITY CHECK You cannot possibly anticipate every grant management issue no matter how proactive you are!!
  8. KEY PLAYERS IN GRANT MANAGEMENT ED places primary responsibility withGEAR UP project director
  10. KEY PLAYERS IN KY GRANT MANAGEMENT Overlapping Grant Management Functions Grant Management Positions
  11. TABLE TALK Briefly share—identify key grants management players at your institution. Look for differences or talk about those roles (one or two) that make you curious Identify one challenge/advantage these present
  12. REMEMBER Functions and lines of authority must align with the approved grant application Key personnel changes require Department of Education approval Key grant management staff must remain up-to-date on regulatory changes in the program
  14. Capacity-Building Workshop 2013 THE GRANT MANAGEMENT TRACK SESSION B We Got the Grant – Now What? Susan St. George, Grant AdministratorWashington State GEAR UP Program
  15. SESSION OUTCOMES Participants understand the critical elements of the award notice Participants can identify the GEAR UP requirements in the Higher Education Opportunity Act (HEOA) Participants understand the do’s and don’ts of administering ED grants
  16. THE GRANT AWARD NOTIFICATION (GAN) Make sure you thoroughly understand the GAN Review and understand grant terms, conditions, and all of the important information (including the small print)
  17. GOVERNMENT PERFORMANCE AND RESULTS ACT OF 1993 (GPRA) Requires federal agencies to develop: Strategic plans describing their overall goals and objectives Annual performance plans with quantifiable measures of progress Performance reports describing their success in meeting those standards and measures Ties federal funding to results Requires greater accountability Grant objectives and activities must reflect GPRA indicators
  18. HIERARCHY OF GOVERNING DOCUMENTS Statute: Public Law 110-315, GEAR UP program legislation (very broad) Program Regulations: EDGAR and 34 CFR Part 694 (much more detailed) Federal Cost Principles: OMB Circulars (even more detailed)
  19. HIERARCHY OF GOVERNING DOCUMENTS Order of Precedence: The documents that govern GEAR UP are diverse and sometimes confusing. When you encounter conflicts or inconsistencies: Begin with the GEAR UP statute Next move to EDGARand the OMB Circulars Seek clarification from USDOE Program Officer
  20. THE GEAR UP STATUTE The statute is a federal law that authorizes or governs a program. In the case of GEAR UP, the term statute refers to the program legislation found in Higher Education Act of 1965, as amended, Title IV, Part A, Subpart 2, Chapter 2. The statute sits at the top of the hierarchy but affords the Secretary of Education the authority to set program-specific policies, which are commonly known as program regulations. The statute only broadly defines how the program should operate.
  21. PROGRAM REGULATIONS Program regulations provide additional guidance when the statute is silent or vague on an issue. They provide details that govern the application competition, dictate how programs will be implemented, and other implementation details. EDGAR The Education Department General Administrative Regulations (EDGAR) are agency-wide and set broad administrative policies that impact nearly all grant programs funded at the USDOE. The regulations are published in Title 34 of the Code of Federal Regulations (CFR). The pertinent sections of EDGAR to your grant administration are 34 CFR parts 74, 75, 77, 79, 80, 81, 82, 84, 85, 86, 97, 98, and 99.
  22. PROGRAM REGULATIONS OMB Circulars Cost principles A-21, Educational Institutions. A-87, State, Local Governments and Indian Tribe Governments (Includes School Districts). A-122, Non-Profit Organizations. Administrative Requirements A-102, State and Local Governments. A-110, Institutions of Higher Education, Hospitals, and Other Non-Profit Organizations. Audit Requirements A-133, States, Local Governments, and Non-Profit Organizations.
  23. FISCAL AGENT FOR THE GRANT The award recipient—named as grantee in the Grant Award Notification (GAN) Bears primary responsibility for: Fiscal reporting, compliance with federal cost principles Satisfying the match obligation Record keeping and disclosure of financial results Choosing and establishing formal agreement with partners Ensures the budget: Is clear, detailed, and concise Meets federal requirements Is aligned with GPRA Addresses the achievement of project goals Stays within the scope of work Is consistent with institutional policy
  24. FINANCIAL MANAGEMENT IN GEAR UP Payment Method: Cost reimbursement–grantees request reimbursement of actual cash expenditures Payments must be supported by current, accurate, and complete documentation of use of all funds (federal and non-federal) Grant Administration Payment System (GAPS)—all GEAR UP payments or drawdowns are made using this system
  25. FINANCIAL MANAGEMENT IN GEAR UP Drawdown Policy Request funds in a timely manner Drawdown funds proportionate to approved scope of work and milestones Drawdown funds regularly—as funds are spent Avoid excessive drawdowns 1st Quarter – more than 50% 2nd Quarter – more than 80% 3rd Quarter – 100%
  26. SUB-RECIPIENT MONITORING GEAR UP grantees must exercise good management and stewardship of federal funds Sub-recipient monitoring ensures goals and objectives are being met Monitoring helps build relationships that in turn foster sustainability
  27. AUDITS Organizations must have an audit if they expend $500,000 or more in federal funds—see OMB Circular A-133 Common Audit Findings: Missing time and effort reports Poor or missing record-keeping Failure to obtain prior approval Unallowable costs Incorrect cost rates Lack of internal controls
  28. DEPARTMENT OF EDUCATION RED FLAGS Large amount of unobligated funds at the end of a budget period Excessive or infrequent drawdown of funds Project goals and objectives are not met When in doubt: Research your question Network with fellow grant staff CALL YOUR PROGRAM OFFICER!
  29. MANAGING MISCELLANEOUS GEAR UP FISCAL ITEMS Pre-award costs – incurred up to 90 days before budget period begins (no prior approval). Incurred at own risk and funds not available until budget period begins. Indirect Cost Rate A grantee must obtain a current indirect cost rate agreement from its cognizant agency to charge indirect costs to a GEAR UP grant within 90 days after the date the Department issues the Grant Award Notification (GAN). (See Education Department General Administrative Regulations (EDGAR) at 34 CFR 75.560 (b)). Carry-forward. Funds can be carried forward and may require a written explanation. Budget transfers between categories. Notify Program Officer of major changes – may require written explanation and/or approval. Prior approval necessary for: Changes in project scope or objectives. Changes in key personnel.
  30. ONE-TIME NO-COST EXTENSION Request in final year of program (year 6 or 7 depending on the GEAR UP model) Request no later than 10 days before project end State reason for extension Include extension budget and revised end date May request up to one year to complete previously begun activities NOT just for using unexpended funds NO additional federal funds NO change to scope of work or objectives May not use funds to start new initiatives or serve new students
  32. Capacity-Building Workshop 2013 THE GRANT MANAGEMENT TRACK SESSION C Cost Share & Matching Contributionsin GEAR UP Charlotte Curtis, Ed.D – GEAR UP Director Lori Botelho, MPA - GEAR UP Grants Analyst Nevada State GEAR UP Bruce Brooks, Director of Operations – GEAR UP Kentucky
  33. SESSION OUTCOMES Participants understand the primary types of match in GEAR UP Participants understand strategies for meeting cost sharing requirements Participants hear unique examples of match and understand key steps to document match
  35. WHY COST SHARE/MATCH Bipartisan Congressional decision in 1999 to create sustaining partnerships Brings partners to advise and assist with college preparation for local communities Increases value of grant (50/50 split) due to inkind services and goods
  36. ED AND COST SHARING ED pays major attention to grantee cost sharing ED uses various sources for reviewing grantee match Internal practices and audits External audits Integrity/fidelity APR
  37. CONSEQUENCES OF NOT MEETING MATCH ED can impose consequences for not meeting cost sharing or keeping adequate match documentation Reduction of federal award amount Potential refund of federal funds to ED Possible termination of grant
  38. PARTNERS AND MATCH Interdependent relationships among: Educators Community Business Parents Seniors
  39. MAKING MATCH COMMITMENTS STICK Reconfirm match commitments in grant application Identify strategies to develop, keep and/or separate from partners Examples from session participants
  40. TYPES OF MATCH Financial assistance obligated to students Waivers of tuition, fees Mentoring & counseling provided by volunteers & partners Equipment, supplies, cash contributions, discounts, grants Facility usage
  41. HOW TO DOCUMENT MATCH Documentation MUST Include: Description of the items and description of use Name of donor(s) with an authorized signature Date donated Description of method used to determine value
  42. IN-KIND MATCH: GEAR UP STAFF Teacher/counselor time should be after regular school day—volunteer after school, weekends or holidays for planning and activities. Administrator/professional staff time should be kept per event, per month, etc.
  43. IN-KIND MATCH: PARTNER STAFF Postsecondary education staff—put a value on time Business and community—put a value on time Major presenters—often alsogive GU discount from regular presentation price
  45. TABLE TALK System of Recordkeeping – chart recordkeeping ideas and report out
  46. RECORD KEEPING GEAR UP grants must Demonstrate ongoing progress toward meeting match Ensure timely submission of match reports over 6-7 year term of grant Provide technical assistance to subgrantees and contractors
  47. HOW TO KEEP RECORDS Various systems available—choose one that works for your environment Excel Database Digital records System should: Be Transparent Allow Flexibility Have trained staff Include tools = timelines & forms
  48. WHERE TO KEEP RECORDS Centralized or decentralized Fiscal agent office Facility for current record storage Facility for archives
  49. COST SHARE TABOOS Athletic tickets Antiques/fine art Social events Development of proposals Commencement expense Fines Flowers Gifts Prizes Lobbying
  50. SOURCES FOR COST SHARE INFORMATION OMB A-102 for States A-110 for Partnerships A-21 for IHEs A-133 for everyone EDGAR, 34 CFR 74.23 and 80.24 GAGAS
  51. RESOURCES Develop relationship with partnership grants in your state Tools and techniques—beg, borrow, and steal; refine tools already developed
  52. THE BOTTOM LINE Cost Sharing is to SUPPLEMENT not SUPPLANT. GEAR UP match must: Enhance beyond current educational funding Avoid replacing any funds that are paid from local and state sources Avoid overlapping services with TRIO and CACG or other programs Count match only once for one grant
  54. Capacity-Building Workshop 2013 THE GRANT MANAGEMENT TRACK SESSION D Developing a Project Management Plan Yvonne Lovell, Executive Director, GEAR UP KentuckyCorinne Nilsen, Wichita State University Tracey D. Taylor, Ed.D., LPC, Higher Education Consultant, Michigan GEAR UP Program Susan St. George, Grant Administrator, Washington State GEAR UP Program
  55. SESSION OUTCOMES Participants understand and recognize key stages in grant management planning Participants understand how to use the budget as an effective tool in grant management Participants make connections between grant management planning and performance reporting
  56. PROJECT PLANNING Is vital in project management Project plan involves Using schedules such as Gantt Charts or other planning tools Reporting progress within the project
  59. ELEMENTS OF A PROJECT MANAGEMENT PLAN The approved GEAR UP grant provides key elements needed in project planning: List of stakeholders Project goals Deliverables and deadlines
  60. PROJECT MANAGEMENT PLANNING - DELIVERABLES A completed project management plan requires details on each deliverable including: List of tasks—what needs to be done A human resource plan–individuals that get tasks done Timeframe—when each task is to be done What it will take to get task done—costs
  62. THINGS THAT CAN GO WRONG Not meeting deadlines Not sticking to the budget Departures—staff, partners
  63. TRAINING/PROFESSIONAL DEVELOPMENT Procedures Manuals Tools and Templates Technical Training Staff Development Skills Inventory

    APR Planner Timeline Management Calendar Three useful tools
  66. APR PLANNER Working backwards— What do we report on the APR? What data do we need to collect? What services will we provide? What tools and personnel do we need? Who will be responsible? Note: A planner is also useful for writing job descriptions
  67. TIME MANAGEMENT Timelines Big picture Individual Projects
  68. MANAGEMENT CALENDAR Calendar year or grant year Overall grant or individual schools Include meetings, conferences, services, deadlines, reminders All staff have input on information and deadlines
  70. USING BUDGETS TO MANAGE THE PROJECT Advantages Disadvantages
  71. THE ULTIMATE TEST Should You Buy This and Get That? Allowable Reasonable Allocable
  73. THE PROJECT MANAGEMENT PLAN AND REPORTING PROGRESS The best project management plan ensures goals will be met Operational plans must cover what is needed to meet goals/objectives Evaluation is a major component of project planning Keep ED Program Officer well informed
  74. TIPS FOR PROJECT SUCCESS Get off to a good start Update progress regularly and revisit objectives often Ensure all stakeholders understand what to expect Address staff concerns immediately Seek broad spectrum feedback—partners, contractors, schools, others Create open environment to invite ideas sharing Provide staff development opportunities Break project into doable parts for easier tracking of progress