21st Century Community Learning Centers

1
21st Century Community Learning Centers

• New Grantee Orientation

2
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

CT
3
Agenda

• Welcome Introductions
• Vision Team Table Facilitators
• Fiscal Programmatic Accountability
• Meeting 21st CCLC Grant Requirements
• Program Implementation
• but first, lets address the elephant in
• the room

CT
4
Elephant in the Room

• Cycle XI Drawdowns October / November
• Enhanced Summer Program
• Contract with an entity that offers exceptional
  youth programming
• Offer STEM programming
• Offer Technology Based Programming
• Involve 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

CT
5
Introductions at your tables

• Name
• Where your from
• Title / role
• Level of experience with 21st CCLC
• Example First year grantee
• or
• Fifth year grantee but new to the program

CT
6
Fiscal Programmatic Accountability

• Every dollar of 21st CCLC funds must be spent to
  forward the GOALS and OBJECTIVES of the grant and
  the school improvement plan.

AY PS
7
Fiscal Programmatic Accountability

• Special Guests from the Arizona Department of
  Education
• Gary R. Holland, MBA
• Audit Manager
• and
• C. Todd Mason
• Grants Manager

AY PS
8
Surviving ADE Fiscal Monitoring Time and Effort
Compliance Gary Holland Arizona Department of
Education September 24, 2012
9
Presentation Focus on

• Fiscal Monitoring
• Time Effort
• Potential Consequences of Non-Compliance

10
Grant Sub-recipient Duties
Receiving Federal Grant Monies Entails both
Programmatic and Financial Duties
Including Proper Programming and Expenditure of
Monies, Goals Achievement and the Related
Reporting
11
Monitoring
During the course of the grant period, LEAs 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
12
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
13
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 MO monies, suspension, and/or
  termination of grant
• Losing future grants
• Going to jail for fraud/illegal activities

14
What is Monitored?

• Grant Expenditures
• Time and Effort reporting
• Fixed Assets
• ADE Grants Management
• American Recovery and Reinvestment Act (ARRA)
  IDEA Part B

15
Monitoring Expenses

• Check 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

16
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

17
Fixed Assets

• All assets must be tracked and safeguarded
• Complete Fixed Asset report
• Property Identification tag
• Asset description
• Purchase Date
• Cost
• Location

18
Time and Effort Reporting
Missing Time and Effort report documentation is
one of the most frequent and costly audit
findings in the state
All Federal Funds being used for Payroll expenses
MUST have Time and Effort regardless of amount
19
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

20
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

21
Time and Effort Reporting OMB A-87

• Time and Effort Reporting for Employees who are
  paid from Multiple Cost Objectives
• Report must reflect an AFTER-THE-FACT
  distribution of actual activities performed
• Account for TOTAL activity for which employee is
  compensated
• Must be completed at LEAST MONTHLY
• Be signed and dated by the EMPLOYEE and may be
  signed by a knowledgeable SUPERVISOR

22
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

23
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

24
Time and Effort Reporting OMB A-122
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
Reminder - OMB A-122 applies to Charters only
25
Time and Effort Reporting Common Missed Steps

• 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)

26
Additional Reference
27
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

28
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 MO monies, suspension, and/or
  termination of grant
• Losing future grants
• Going to jail for fraud/illegal activities

29
The Impact of Non-Compliance with Federal
Requirements
Date Institution Settlement Reason
2003 Northwestern University 5.5M Researchers spent less time on NIH sponsored projects than they reported.
2004 Johns Hopkins University 2.6M Faculty time and effort devoted to NIH grants was overstated.
2004 Harvard University 2.4M Unrelated salary costs and other expenses were charged to federal grants.
2005 University of Alabama at Birmingham 3.4M Research effort was overstated the Medicare program was billed for research that was funded by another sponsor.
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 support standard care for patients.
30
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.
31
The Impact of Non-Compliance with Federal
Requirements in AZ
2011/2012 Questionable Cost
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
32
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)

33
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

34
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

35
Investigation Examples

• Federal Inspector General School Z
• School 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

36
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 [phone]
gary.holland_at_azed.gov
37
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

38
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

AY PS
39
Fiscal Compliance

• Grantees 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

AY PS
40
Fiscal Compliance

• 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

AY PS
41
Fiscal Compliance

• Grantees 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.

AY PS
42
Fiscal Compliance

• 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

AY PS
43
Fiscal Compliance

• Burn Rate of Budget
• Are expenses proportionate with programming?
• Basic Guidelines
• Ask yourself, is the purchase
• Necessary?
• Reasonable?
• Allocable?
• Non-Regulatory Guidelines
• See page 26 section G. Local use of Funds.

AY PS
44
Business Rules

• Guidelines
• Applications
• Indirect Cost Rate
• Amendments (Programmatic / Fiscal)
• Cash Management (Federal Projects)
• Completion Reports

AY PS
45
Business Rules

• Return of Funds
• Carryover of Funds - NO CARRY OVER
• Interest
• Audit of Federal Programs
• Compliance Checklist

AY PS
46
Fiscal Monitoring

• A 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 Plan
• Reduction of Funding Notice

AY PS
47
Record Keeping

• ALL 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)

AY PS
48
Vision Team Processing Questions

• What 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
49
Meeting 21st CCLC Grant Requirements

• Why are after-school programs so important?
  Because childrens minds dont close down at 300
  p.m., and neither should their schools.
• Richard W. Riley,
• Former U.S. Secretary of Education
• October 2000

MLN
50
Grant is the Blueprint

• Know and understand grant objectives
• Implement what is in YOUR proposal
• Evaluate program to assess progress towards
  achieving goal of meeting grant objectives

MLN
51
Grant is the Blueprint

• Align academic services with schools 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

MLN
52
Vision Team Processing Questions

• What impression / thought / insight did you gain
  from exploring the grant application?
• Why is the written grant important?
• Now that youve skimmed the grant, what will be
  different in your implementation approach?

VT Facilitators
53
Program Implementation

• Thoughtful management, careful planning, and
  collaborative decision making with advisory
  groups provide a strong foundation for a
  successful afterschool program.

CLE
54
Getting Started

• Timeline of services-Road to achievement
• Alignment to school calendar
• Alignment to the regular school day

CLE
55
Getting Started

• Transportation
• Daily afterschool snack summer meals that meet
  USDA guidelines
• NEW Afterschool meals now available
• http//www.azed.gov/health-nutrition/ Tel (602)
  542-8700Toll Free [phone]

CLE
56
Getting Started

• Registration
• Safety
• Marketing
• Forms Handbooks
• 21st CCLC website- Roadmap
• http//www.azed.gov/century-learning-centers/

CLE
57
Recruiting Students

• Intentional strategic approach to targeting
  students
• Use data to target and place students in
  appropriate classes
• District/Classroom Assessments
• Report Cards
• Benchmark Scores
• Arizona Standardized Testing
• DIBELS
• Teacher Recommendation

MLN
58
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
59
Engaging Purposeful Activities

• Deliver 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

MLN
60
Enrichment Classes

• Elementary
• Its My Body
• Young Authors
• Soccer Club
• Mad Scientists
• Book Cooks
• Art Masterpiece
• Fun in the Sun
• Brain Games I
• Chess Club
• Scrabble Club
• Choral Club
• STEM Club

• Junior High
• Gizmos and Gadgets
• Where in the World?
• Basketball Team
• Thimble Time
• Chefs
• Brain Games II
• Art Masterpiece II
• Extreme Sports
• Student Government
• Chess Club
• Health
• Arboretum
• STEM Camp

High School
MLN
61
Building Student Investment

• Tell 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 days
• Extra credit for attendance in program
• Make visuals in the school to mark students
  progressing toward goals

JC
62
Let students know that we care and that it
MATTERS if they dont attend.

Our program just wasnt the same without you!
Hope to see you next week!
JC
63
Ways to Build Student Investment

• Invite family members to attend classes,
  ceremonies and celebrations
• Form a student leadership group that acts as
  advisory
• Create family-centered traditions that promote
  learning family
• Form partnerships to donate prizes or special
  field trips for students with excellent
  attendance

JC
64
Vision Team Processing Questions

• What 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?

VT Facilitators
65
Family Engagement
Dr. Maria Paredes
JC
66
Family Engagement Purpose

• Increase family and community engagement
  linking involvement to student achievement

CT
67
Vision Team Processing Questions

• What 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
68
Recruiting and Retaining High Quality Staff

• Set high expectations for staff, and treat them
  as professionals.

JC
69
Staffing Your Program

• Design high quality job description
• Share 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

JC
70
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

JC
71
21st CCLC Site Coordinator

• Ensure that your program follows your 21st
  Century Grant
• Oversee program implementation
• Supervise 21st CCLC staff, scheduling
• Manage budget
• Collect data, complete required reports

JC
72
Creating a Team Approach

• Focus on your grant objectives and school goals
• Identify leadership and expertise on your campus
• Present information and data, ask for input
• CELEBRATE!!!

JC
73
Vision Team Processing Questions

• What 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
74
Collaboration Communication

• A culture of connection with the school day
  depends on building trust, understanding, mutual
  respect, and common purpose with school staff.

CT
75
Collaborating Not Competing

• One comprehensive out-of-school time program for
  school
• Work with other programs already in place
• -Title I
• -Compensatory Education
• -Migrant Education
• -Sports (Homework Services)
• Equal rate of pay
• Active collaboration/partnerships

CT
76
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

CT
77
Communication Strategies

• Staff Meetings
• Newsletters, video announcements
• Communication Folders
• Committee Involvement
• Advisory Boards/ School Improvement Team
• Email
• PSAs
• Social Networking (when applicable)

CT
78
21st CCLC Program APR, Evaluation and Quality
79
What is The Youth PQA?

• AZ 21st CCL Pilot hopes to involve 20 new
  grantees in the YPQA

80
What is YPQA?Quality Construct The Youth PQA

1. 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.

81
Why use YPQA?Higher scores at higher domains
are associated with higher levels of youth
engagement

• Youth self-reports of
• Belonging
• Interest
• Challenge
• Learning

82
High quality instruction provides youth with
opportunities to practice emerging social and
emotional skills

• Efficacy
• Communication
• Empathy
• Problem Solving

that supports success in adolescence and early
adulthood
83
What is the YPQI Process?
84
Where does the process happen?
85
Program Self Assessment Step By Step
86
This improvement process is
supported with professional development
workshops. ADE will provide Methods Workshops in
Phoenix, Tucson and Flagstaff in March
87
Next steps for interested 21st CCLC Programs

• 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

88
Timeline for YPQI in AZ
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 OctoberDec 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.
89
Accountability Continuous Program Improvement
Start with implementing what is in your
application

Plan your approved grant application
What can we do better?
Are we meeting our grant objectives?
CLE
90
Mandatory Reports

• Student Attendance Database
• Annual Performance Report (APR)
• Grantee Profile
• Summary of Classes Offered
• Site Evaluation Report

CLE
91
Data Collection, Cont.

• Number of SY Days Attended
• Number of (Prior) Summer Days Attended
• ELL
• SpEd
• Gender
• Ethnicity

CLE
92
Data Collection, Cont.

• Grades, Fall Spring
• Math
• Reading/ Language Arts
• Data on Program Objectives
• Teacher Survey
• PPICS (APR)and EVALUATION TRAINING
• February 78 2012 - Phoenix

CLE
93
Reporting Dates

• Due 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

CT
94
Vision Team Processing Questions

• What 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
95
2012-2013 Professional Development Opportunities

• New Grantee Orientation
• Networking Meetings
• Trainings in relevant topics such as
• Family Engagement
• Science Technology Engineering and Mathematics
  (STEM)
• Youth Program Quality Improvement
• Sustainability
• http//www.azed.gov/century-learning-centers/
• Scroll down to Important Dates to Know

CT
96
21st CCLC Website Resources
http//www.azed.gov/century-learning-centers/
RR
97
21st CCLC Website Resources

• 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/

RR
98
Vision Team Facilitators Final Words of Wisdom
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
CT
99
Reflection Please share in your groups
I feel more confident in leading efforts for
21st CCLC because.
What is one light bulb moment from todays
training?
CT
100
Youre Never Alone

• Networking Meetings
• Your Program Specialist
• 21st CCLC Web Site

CT