How to Manage and Report In-Service Training Grants

1. How to Manage and ReportIn-Service Training Grants Douglas Zhu, RoseAnn Ashby, and Diandrea Bailey Rehabilitation Services Administration Training and Service Programs Division National Conference on Rehabilitation Education November 5, 2013

2. Overview of Session • Purpose of the Discussion • How to Manage the Grant • How to Report the Grant Performance: Feedback on 2013 APR • Discussion

3. Purpose of the Discussion • The purpose of the session it to provide the latest guidance on in-service training grant (84.265A and 84.265B) management and performance reporting. RSA staff will lead and facilitate a dialogue with grantees about (1) when and how to revise project goals and objectives to improve effectiveness and achieve expected outcomes; (2) budget revision and financial management requirements; (3) how to organize and coordinate project activities in order to better focus on the purpose of the grant; (4) how to collect data, evaluate the results/impacts, and report performance.

4. How to Manage the GrantA Step by Step Approach • Review the GAN • Review the Application Goals and Objectives: Pre-Approval is required to change goals and objectives • Review the Budget - Financial Planning and Submit Revised Budget (ED-524) • Organize and Coordinate the Project Activities • Monitor the Expenditures • Evaluate the Results and Outcomes

5. 1. Review the GAN • Beginning in FY 2013, all GANs are digitally signed by project officer and available in G5 • Project Directors have access to grant records in G5 • Make sure information in G5 and on the GAN is accurate • Contact RSA Program Officer for changes of project director, certifying official and key personnel

6. Project Director Change • RSA pre-approval is required for Project Director change • How to make a request? • Send request to program officer via email • Subject of email: grant award# + Request for Project Director Change • Required information: • Reason for the change • Effective date • New project director name, mailing address, email address, phone#, level of effort • Resume

7. 2. Review the Application Goals and Objectives • RSA highly recommend grantees to review project goals and objectives prior to new budget period and make revisions as needed to respond to the needs identified in the CSPD • To make sure the goals and objectives are measureable and achievable • Pre-Approval is required to change goals and objectives

8. How to make a request for change on goals and objectives? • There is no standard form to use, it can be on agency letterhead or document attached to email • Grant Award number • Goals and objectives to be replaced or removed or changed • Proposed new goals and objectives • Measureable outcomes under the new goals and objectives and the timeline • Impact of the change on budget and expenditures

9. 3. Review the Budget - Financial Planning and Submit Revised Budget (ED-524) • The total amount of Federal funds budgeted must be the same as the grant award amount shown on the GAN • Revised budget (ED524) is due prior to new budget period (e.g. 10/1/2013) • As of 10/30/2013, 40 of 75 in-service training basic grant recipients have submitted revised budgets

10. 3. Review the Budget - Financial Planning and Submit Revised Budget (ED-524) – continued… • Common mistakes in budget revisions: • The total amount does not match with the grant award amount • Does not meet the minimum requirement on non-federal matching – less than 10% or 4% of the “total costs of the project” • Does not provide specific information on category “Other” for budgeted funds more than $20,000. • Included carryover funds in the new budget

11. 3. Review the Budget - Financial Planning and Submit Revised Budget (ED-524) – continued… • Requirement for Project Year 5 Budget Revision • Due Date: within 30 days after the GAN is issued • Must include all five years budget information on ED-524

12. Conference & Meetings: Issues related to Enclosure 7 • Host meetings and conference: if you plan to use Federal grant funds to pay for food, beverages, or snacks for participants , you are required to provide RSA with copies of documents outlining steps taken to ensure compliance with Enclosure 7, including what rationale exists to demonstrate that paying for food and beverages with Federal funds was necessary to meet the goals and objectives of the Federal grant.

13. 4. Organize and Coordinate the Project Activities • Basic Grant Awards – • Address Recruitment and Retention of Qualified Rehabilitation Professionals; • Provide for Succession Planning; • Provide for Leadership Development and Capacity Building; and • Provide Training on the Amendments to the Rehabilitation Act of 1973. • Quality Grant Awards – Absolute Priorities • Development and Dissemination of Model In-Service Training Materials and Practices; • Distance Education; and • Enhanced Employment Outcomes for Specific Populations.

14. 5. Monitor the Expenditures • The Roles of Project Director and Financial Key Personnel of the Grant • Allowable Costs – the in-service training grant funds can only be used for State VR personnel/employees • Financial Records Management • Financial Reports – APR and SF-425 • Monitor Drawdown Amount • Tracking Expenditures of Carryover Funds • Carryover Request from Year 4 (no later than 4/30/2014) • Carryover is not allowed from Year 5

15. 6. Evaluate the Results and Outcomes • Results and Outcomes by Design – Goals and Objectives • Evaluation Criteria • Quantitate and Qualitative Data Collection • Two Areas – • Program Areas: effective management of VR program • Skill Areas: staff’s ability to provide VR services that lead to employment outcomes for individuals with disabilities • Impact on VR bottom-line

16. How to Manage the GrantEssential Toolkit and Resources • Notice Inviting Applications (NIA) • 34 CFR 388 State Vocational Rehabilitation Unit In-Service Training • Grant Award Notification (GAN) and Attachments • Education Department General Administrative Regulations (EDGAR) 80 • State Plan – CSPD

17. How to Manage the GrantCommunications with RSA Project Officer • Teleconference – Quarterly • Technical Assistance Needs • On-going Communications –significant progress or issues that may cause delay of the project • For grant official records, to make sure to include grant PR/Award# in the subject line, and separation of basic and quality grants

18. How to Report the Grant? Feedback on 2013 APR Reports

19. Feedback on 2013 APR • All submissions by the due date • All signed ED524B Cover Sheets submitted by due date • All APRs are comprehensive and shown improvement in reporting – indicating substantial progresses were made • Project directors demonstrated innovated ways in organizing the report especially the Executive Summary • There are areas for improvement

20. Feedback on 2013 APR (continued…) Ways the Executive Summary Organized: • By Goals and Objectives: Performed and Planned under each goals and objective • By Performed and Planned • By Training Activities • By Telling the Story

21. Feedback on 2013 APR (continued…) Areas for Improvement: From Good to Excellent • Report CSPD Data • How to Use the Status Chart • Clarification on Measure Type • Summary of Personnel Training Needs • How to report for quality grant • Focus on Purpose and Impact of the IST project • Provide a Big Picture of IST

22. Feedback on 2013 APR (continued…) Areas for Improvement: From Good to Excellent • Report CSPD Data • How to Use the Status Chart • Clarification on Measure Type • Summary of Personnel Training Needs • How to report for quality grant • Focus on Purpose and Impact of the IST project • Provide a Big Picture of IST

23. How to Report the Grant? Recommendations: “Substantial progresses were made under the goals and objectives of:” CSPD data must reported in APR Budget and financial planning for grant Year 4 is critical

24. How to Report the Grant? Review of the Requirements

25. Reporting Requirements • NIA: Grantees must submit an annual performance report that provides the most current performance and financial expenditure information as specified by the Secretary under 34 CFR 75.118. • 34 CFR 75.118: Requirements for a Continuation Award • A recipient that wants to receive a continuation award shall submit a performance report that provides the most current performance and financial expenditure information, as directed by the Secretary, that sufficiently meets the reporting requirements of 34 CFR 74.51, 75.590, 75.720, and 80.40. • If a recipient fails to submit a performance report that meets the requirements of paragraph (a) of this section, the Secretary can/will deny continued funding for the grant.

26. Reporting Requirements (continued…) • 34 CFR 80.40: Monitoring and Reporting Program Performance • Performance reports will contain, for each grant, brief information on the following: • A comparison of actual accomplishments to the objectives established for the period, and where the output of the project can be quantified(a computation of the cost per unit of output may be required if that information will be useful). • The reasons for slippage if established objectives were not met. • Additional pertinent information including, when appropriate, an analysis and explanation of cost overruns or high unit costs.

27. Reporting Requirements (continued…) • Significant developments: Events may occur between the scheduled performance reporting dates which have significant impact upon the grant supported activity. In such cases, the grantee must inform the Federal agency as soon as the following types of conditions become known: • Problems, delays, or adverse conditions which will materially impair the ability to meet the objective of the award. This disclosure must include a statement of the action taken or contemplated, and any assistance needed to resolve the situation. • Favorable developments which enable meeting time schedules and objectives sooner or at less cost than anticipated or producing more beneficial results than originally planned.

28. Reporting Requirements (continued…) • 34 CFR 75.590: Evaluation by the Recipient • A recipient shall submit a performance report that evaluates at least annually: • The recipient's progress in achieving the objectives in its approved application; • The effectiveness of the project in meeting the purposes of the program; and • The effect of the project on participants being served by the project.

29. Performance Measures and Absolute Priorities • There are three types of measures that ED may have established for discretionary grant programs: • GPRA MEASURES: Measures established for reporting to Congress under the Government Performance and Results Act; • PROGRAM MEASURES: Specific measures established by the program office for the particular grant competition (i.e., established absolute priority or other program requirement(s)); and • PROJECT MEASURES: Grantees will report on any project-specific performance measures (i.e. yearly goals and benchmarks) that the grantee had established in the approved grant application to meet the project goals/objectives.

30. Performance Measures and Absolute Priorities (continued…) • There are no specifically established or published GPRA measures for in-service training grants (84.265A and 84.265B). • Program Measures: • In-Service Training Basic Awards (84.265A): • Address recruitment and retention of qualified rehabilitation professionals; • Provide for succession planning; • Provide for leadership development and capacity building; and • Provide training on the amendments to the Rehabilitation Act of 1973. • In-Service Training Quality Awards (84.265B), in addition to the program measures listed above, they also include the established absolute priorities: • Development and Dissemination of Model In-Service Training Materials and Practices; • Distance Education; and • Enhanced Employment Outcomes for Specific Populations.

31. Performance Measures and Absolute Priorities (continued…) • Project Measures: • Include the goals and objectives in the approved grant applications and thereafter approved revised goals and objectives. • RSA Project Officers will not approve an APR that is missing appropriate evaluation of the performance measures, specifically the Program Measures and Project Measures.

32. Executive Summary • A narrative containing a brief summary of grant accomplishments toward the goals and objectives that occurred from October 1, 2012 through March 31, 2013, and a brief summary of planned activities that will occur from April 1, 2013 to September 30, 2013. • All grants funded under the 84.265A Program must include information in the Executive Summary that demonstrates progress toward: • Achieving the goals and objectives established in the approved In-Service Training grant application; and • The impact of the project on addressing the needs identified in the Comprehensive System of Personnel Development (CSPD) and meeting the Designated State Unit (DSU) personnel standards required under section 101(a)(7) of the Rehabilitation Act of 1973, as amended.

33. Executive Summary for the In-Service Training Quality Grants (84.265B) • The Executive Summary must include information that demonstrates progress toward: • The goals and objectives established in the approved In-Service Training grant application; and • Addressing the regulatory priorities of the in-service training quality awards as described in 34 CFR 388.22, as applicable, including: • Development and dissemination of model in-service training materials and practices; • Distance education; and • Enhanced employment outcomes for specific populations.

34. Executive Summary Tips • Be brief and focus on the important factual outcomes and impacts. • Have a balance of achievements/successes, impact, and challenges. • Avoid lengthy summaries that restate the project proposal. • Avoid lists of meetings, events, and individuals involved with no connection to the project goals, objectives and impact.

35. Section B - Budget Narrative • The Budget Narrative must • Contain a summary of actual expenditures from October 1, 2012 - March 31, 2013 and a summary of planned expenditures from April 1, 2013 - September 30, 2013; and • Specifically indicate whether the grant is on track for spending grant funds by September 30, 2013 or whether unexpended funds are anticipated and include the estimated amount of those funds. If unexpended funds are anticipated, an explanation is required.

36. Section B - Budget Narrative (continued…) • In addition, the Budget Narrative must also include, as applicable: • Any anticipated changes in your budget for the next budget period that require prior approval from the Department (see EDGAR 34 CFR 80.30). • State “No anticipated changes to the budget that require RSA Project Officer approval,” if there are no changes, • Significant changes to your budget resulting from modification of project activities, costs, and/or any other conditions. • Changes to your budget that affected your ability to achieve your approved project activities and/or project objectives. • If your budget for the current project year needs to be revised, attach a revised budget to the report or email it to your RSA Project officer.

37. Section C- Additional Information • Information should be included in this section: • A Summary of Performance in the last six months of previous budget year which details goals and objectives achieved and not achieved during that period. • Results of the employees’ in-service training needs assessment. • Other evaluations conducted during the report period.

38. DISCUSSION

39. Thank You!