Grant Administration FY06 ERCM Initial Grantee Meeting San Antonio, TX December 7, 2006

1. Grant AdministrationFY06 ERCM Initial Grantee MeetingSan Antonio, TX December 7, 2006 Rich Lucey Education Program Specialist, U.S. Department of Education, Office of Safe and Drug-Free Schools Bryan Williams Program Analyst, U.S. Department of Education, Office of Safe and Drug-Free Schools

2. Agenda • Monitoring and Reporting Requirements • Faith-Based Organizations • Fiscal Management • Audit Requirements • Expanded Authorities • Freedom of Information Act • Useful Resources

3. Monitoring & Reporting Requirements • Notify Monitor of Changes • Post-Award Performance Call • Semiannual Monitoring Call • Grant Performance Reports • Interim and Final Reports

4. Grant Performance Report (ED 524B) • ED's generic performance report for discretionary grants • Used by ED's program offices as an interim and final performance report • May be submitted electronically through e-Reports

5. Purpose of the ED 524B • ED collects performance measures data from grantees to demonstrate program success to Congress (Government Performance and Results Act) • Performance information: • Guides ED's budget request for programs • Ensures program implementation is focused on results • Ensures success is measured by results achieved

6. Purpose of the ED 524B • Financial and performance monitoring tool for ED program offices for individual grants • Interim Reports: Grantees provide data to demonstrate that they are making substantial progress toward meeting approved goals, objectives, and performance measures to receive continuation funding. • Final Reports: Grantees provide data to demonstrate overall project success and impact.

7. Highlights of the ED 524B • Project Objectives: State what you hope to achieve with your funded grant project • Performance Measures: Demonstrate whether you have met or are making progress toward meeting your project objectives, including GPRA measures

8. Highlights of the ED 524B • ED 524B Cover Sheet (Item 7) • Interim Performance Reports: Reporting period is from start of current budget period through 30 days before due date of report. • Interim performance reports are generally due 7 to 10 months after the start of each budget period.

9. Highlights of the ED 524B • Budget Expenditures Data (Item 8) • All financial questions must be completed by your Business Office • Submit actual budget expenditures for: 1) Entire Previous Budget Period 2) Current Reporting Period • Break down expenditures between federal and non-federal funds

10. Highlights of the ED 524B • Budget Information (Section B of the Project Status Chart) - must address • Provide an explanation if funds have not been drawn down from GAPS to pay for budget expenditures reported in item 8 on Cover Sheet • Describe significant budget changes resulting from modification of project activities

11. Site Visits • Site visits are a grant monitoring tool as provided for in EDGAR Part 74.51(g), "The Secretary may make site visits, as needed." • Also called an on-site review • A site visit may last multiple days

12. Site Visits Reasons to conduct a site visit • Program performance - Excellent • Goals and objectives achieved in unique or innovative ways • Development of effective strategies that may be replicable at other sites

13. Site Visits Reasons to conduct a site visit • Program performance - Problem • Difficulty achieving goals and objectives • Compliance issues • Fiscal improprieties • Technical assistance

14. Site Visits What goes into site visit decision • Review of materials • Performance reports • Financial reports • Performance calls • Correspondence • Request for technical assistance

15. Site Visits What to expect during the site visit • Entrance and exit interviews • Review of grant activities to date • Review recent budget and expenditures with fiscal staff • Review evaluation plan

16. Site Visits What to expect after site visit • Reviewer's written report • Positive findings • Exemplary practices • Negative findings • Required Actions: Compliance • Recommended Actions: Non-binding suggestions

17. Site Visits What to expect after site visit • Grantee's response • Required Actions • Detail corrective actions that will bring grant into compliance with programmatic/fiscal guidelines • Dispute findings and present supporting documents • Recommended Actions • Respond to recommended actions

18. Site Visits What to expect after site visit • Follow-up and closeout • Grant monitor will follow up to ensure that all corrective actions have been accomplished • Grant monitor will inform grantee in writing when review is closed

19. Faith-Based Organizations • White House Office of Faith-Based and Community Initiatives - January 2001 • Federal Agency Centers - January 2001 • Equal Protection of the Laws for Faith-Based and Community Organizations - December 2002

20. Faith-Based Organizations • Focus of the Initiative • Identify and eliminate barriers that impede FBCOs in the federal grants process • Increase accessibility to the federal grants process through training and technical assistance

21. Faith-Based Organizations • Core Principles • Equal treatment for faith-based organizations applying for grants • Preservation of religious liberty/character • Protection of beneficiaries • Federal funds may not be used for inherently religious activities

22. Faith-Based Organizations • The U.S. Department of Education amended its regulations (EDGAR) to reflect these principles. • 74.44: Procurement procedures • 75.52: Grant eligibility • 75.532: Use of funds for religion prohibited

23. Faith-Based Organizations • Monitoring • Faith-based organizations are subject to the same accounting and reporting requirements as all other grantees • Federal funds may not be used for inherently religious activities

24. Faith-Based Organizations • Section 75.532: Use of funds for religion prohibited • (a) No grantee may use its grant to pay for any of the following: • (1) Religious worship, instruction, or proselytization • (2) Equipment or supplies to be used for any of those activities

25. Faith-Based Organizations • Guidance to Faith-Based and Community Organizations on Partnering with the Federal Government • www.fbci.gov • U.S. Department of Education's Center for Faith-Based and Community Initiatives • www.ed.gov/about/inits/list/fbci/index.html

26. Fiscal Management • Memo to discretionary grantees • Draw down funds only as necessary • Project director should continually monitor fiscal activity • Excessive Drawdowns • First Quarter: 50 percent or more • Second Quarter: 80 percent or more • Third Quarter: 100 percent

27. Fiscal Management • Large Available Balances • 70 percent of the project's budget is available 90 days or less before the budget period ends • Grant monitor works with grantee to reconcile situation

28. Fiscal Management • Indirect Cost Rates (ICR) • Grantee must have a current ICR agreement to charge indirect costs • Applicants without a current negotiated indirect cost rate that are selected for funding are subject to the terms and conditions included in Attachment D: Prohibition against Indirect Cost Recovery

29. Fiscal Management • Attachment D: Prohibition against Indirect Cost Recovery • Grantee shall submit ICR proposal to cognizant agency (i.e., ED) within 90 days after award of the grant • Grantee may not charge its grant for indirect costs until negotiated ICR agreement is in place • Grantee must provide proof of its negotiated ICR agreement to grant monitor

30. Audit Requirements • Two types of audits • Grantee-Initiated Audit • Independent Auditor • Compliance with OMB Circular A-133 • Annually expend $500,000 or more in federal funds must have a single audit or program-specific audit performed for that year

31. Audit Requirements • Two types of audits • OIG Audit • Office of Inspector General • Not every grantee is audited • Office of Chief Financial Officer reviews A-133 audit reports • OIG audit triggered by serious audit findings identified by OCFO • Questions? Contact grant monitor

32. Expanded Authorities • Budget Transfers • No-Cost Time Extensions

33. Expanded AuthoritiesBudget Transfers • Parts 74.25 and 75.264 • No prior approval required unless: • Change in project scope or objectives • Change in key personnel • Notify grant monitor of transfer • Amount of money • Identify categories • Purpose

34. Expanded AuthoritiesNo-Cost Time Extensions • Parts 74.25(e)(2) and 75.261 • One-time extension for up to 12 months without prior approval • Written justification needed at least 10 days prior to extension • Cannot be for the purpose of exhausting unexpended funds • Cannot require additional funds nor change the project's scope or objectives

35. Freedom of Information Act (FOIA) • Any person has the right to request access to federal agency records or information • All records must be made available, except: • Privileged or confidential information • Personal information

36. Freedom of Information Act (FOIA) • FOIA Process • Project Director contacted • 10 days to respond to ED • Memo to FOIA Officer from ED • Information sent to requestor • Fee involved: research and personnel

37. Useful Resources • Web Sites • Publications • Telephone Numbers

38. Useful Resources • OSDFS Web Site • www.ed.gov/osdfs

39. Useful Resources • What Works Clearinghouse • Gathers studies on effectiveness of educational interventions • www.w-w-c.org

40. Useful Resources • The Challenge Newsletter • OSDFS Publication • Provides information and resources to help create safe and healthy learning environments • www.thechallenge.org

41. Useful Resources • Training and Technical Assistance Centers • Character Education and Civic Engagement • Emergency Response/Crisis Management • Higher Education • Mentoring

42. Useful Resources • Character Education and Civic Engagement Technical Assistance Center • Provides state program administrators, local educators, and the public with information on character education and civic engagement • www.cetac.org • Contact: Rita Foy Moss • rita.foy@ed.gov

43. Useful Resources • Emergency Response and Crisis Management Technical Assistance Center • Provides technical assistance and resources to grantees and non-grantee local educational agencies regarding crisis planning • www.ercm.org

44. Useful Resources • Higher Education Center for Alcohol and Other Drug Abuse and Violence Prevention • Provides training, technical assistance, and publications related to drug abuse and violence prevention on college campuses and in their surrounding communities • www.higheredcenter.org • Contact: Rich Lucey • richard.lucey@ed.gov

45. Useful Resources • Mentoring Program Training and Technical Assistance Center • Ensure that programs funded under the Mentoring Program receive help in management and implementation of projects • Contact: Bryan Williams • bryan.williams@ed.gov