FY11 21st CCLC Monitoring Document



|Georgia Department of Education |

|21st Century Community Learning Centers |

|Compliance and Performance Assessment Monitoring Form |

|2013-2014 |

Reviewer must not be the same person assigned to provide technical assistance to the subgrantee, nor should reviewer provide the subgrantee during the review process with results or determination of the review.

|Program Name: | |Cohort FY___ |

|Fiscal Agent: | |Superintendent/CEO: |

|Program Identification Number: | |

|Program Director/Manager: | |

|Participating Program Staff: | |

|Participating GaDOE Staff: | |

|Participating GaDOE Staff: | |

|Site(s) Visited: | |

|Date(s) of Monitoring Visit: | |

See attached document for list of participants and signatures.

In the column labeled “Evidence” each lettered item is a required item.

* - Indicators marked with an asterisk must include documentation from each site. If there is no asterisk next to the indicator number, then the documentation can cover all sites for the subgrant.

PROGRAMMATIC RESPONSIBILITIES

|I: PROGRAM IMPLEMENTATION |

|Indicator # |Compliance Area |Evidence |Compliance Status |Verification Received/Comments/Recommendations |

|P1 |The subgrantee implements a |Provide copy of recruitment plan. Recruitment Plan |Meets | |

| |recruitment plan that targets the |narrative for the target population(s) should include|Does Not Meet | |

| |student population(s) and their |students with special needs and private school | | |

| |families as identified in the |students | | |

| |approved grant application. |Provide artifacts that support the full | | |

| | |implementation of the approved recruitment plan. | | |

| | |Please include two or more of the following: | | |

| | |Recruitment flyers | | |

| | |Letters | | |

| | |Documents from parent/student orientation such as | | |

| | |sign in sheets, agendas, presentations, etc. | | |

|P2* |The subgrantee implements an |Provide written attendance plan or procedure |Meets | |

| |aggressive attendance plan or |ADA is 70% and above for each site |Does Not Meet | |

| |procedures to ensure the targeted | | | |

| |number of students attend the | | | |

| |program on a regular and | | | |

| |consistent basis. | | | |

| | |Pre-Monitoring Activity Conducted by ERES | | |

| | |Review After-School 21 Average Daily Attendance | | |

| | |report to verify on-target level of attendance (All | | |

| | |Sites/Reports/District Monitoring/ADA Summary Report.| | |

| | |Select 9/3/13 and date the report is run, then select| | |

| | |“Count school days open only” and “Limit last day of | | |

| | |attendance to data range”). | | |

|P3* |The subgrantee provides the number|Provide weekly programming schedule for each program |Meets | |

| |of hours of programming per week |site |Does Not Meet | |

| |to targeted students as described | | | |

| |in the approved grant application.| | | |

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| | |Pre-Monitoring Activity Conducted by ERES | | |

| | |View hours of operation in After-School 21 | | |

| | |(Sub-grant/site/district admin 1/Reports/CLC APR/APR | | |

| | |Section G: Operations). | | |

|Indicator # |Compliance Area |Evidence |Compliance Status |Verification Received/Comments/Recommendations |

|P4* |The subgrantee utilizes academic |Provide complete list of implemented activities and |Meets | |

| |activities designed to increase |curriculum materials used to support Math and Reading|Does Not Meet | |

| |student performance. |or Language Arts or English Literature | | |

| | |Provide complete list of implemented activities and | | |

| | |curriculum materials used to support other academic | | |

| | |subjects (if applicable) | | |

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|P5* |The subgrantee provides a broad |Provide complete list and description of student |Meets | |

| |array of enrichment activities |enrichment activities being implemented |Does Not Meet | |

| |that complement the regular | | | |

| |academic program of the targeted | | | |

| |population identified in the | | | |

| |approved grant application. | | | |

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| P6 |The subgrantee adheres to the |Pre-Monitoring Activity Conducted by ERES |Meets | |

| |staff-to-student ratio as | |Does Not Meet | |

| |described in the approved grant | | | |

| |application. | | | |

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|Indicator # |Compliance Area |Evidence |Compliance Status |Verification Received/Comments/Recommendations |

|P7* |The subgrantee provides activities|Provide a current calendar and/or schedule of events |Meets | |

| |for participant families focusing |for families for each site |Does Not Meet | |

| |on literacy and related education |Provide parent/family activity sign-in sheets | | |

| |services, as described in the |Provide one or more of the following artifacts: | | |

| |approved grant application. |Newspaper/public service announcements | | |

| | |Parent letters or invitations | | |

| | |Flyers | | |

| | |Note: If activity is co-sponsored by another program,| | |

| | |then 21st CCLC and the other program name must be | | |

| | |listed on the artifacts. | | |

| P8 |The subgrantee provides services |Provide the number of students with IEPS served by |Meets | |

| |and appropriate accommodations to |the program (Student IEPs should not be provided.) |Does Not Meet | |

| |children with special needs and is|Provide list of accommodations used with special | | |

| |encouraging their active and equal|needs students during program hours | | |

| |participation in the program as |See recruitment compliance area in P1 to ensure | | |

| |described in their approved grant |students with special needs are included | | |

| |application and Funding Request | | | |

| |Worksheet. | | | |

| | |Pre-Monitoring Activity Conducted by ERES | | |

| | |View After-School 21 Report (Sub-grant/site/district | | |

| | |admin 1/Search Tab/Find Records/View Report/Print | | |

| | |Demographics Report. Note number of special ed. | | |

| | |students). | | |

| P9 |The subgrantee provides equitable |Provide list of private schools located within the |Meets | |

| |opportunities for the |demographic area served by the grant |Does Not Meet | |

| |participation of both public and |Provide proof of correspondence, occurring within the|Not Applicable | |

| |private school students in the |first 60 days of program operation, to/with private |(no private schools within | |

| |demographic area served by the |schools with one or more of the following pieces of |demographic area) | |

| |grant. Opportunities for |evidence: | | |

| |consultation with private school |Certified mail receipts | | |

| |officials are provided. |Sign-in sheets from meetings | | |

| | |See recruitment and attendance compliance areas in P1| | |

| | |and P2 to ensure private school students are included| | |

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|Indicator # |Compliance Area |Evidence |Compliance Status |Verification Received/Comments/Recommendations |

| P10 |The subgrantee provides activities|Provide the most recently approved program goals and |Meets | |

| |and services that align with the |objectives |Does Not Meet | |

| |goals and objectives, as described|See program activities provided in P4 and P5 | | |

| |in the approved grant application.| | | |

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| P11* |The subgrantee has developed |Provide written procedures and/or protocols as |Meets | |

| |written procedures and/or |published in one or more of the following artifacts: |Does Not Meet | |

| |protocols to effectively manage |Student/Parent Handbook | | |

| |the program and has made these |Staff Handbook | | |

| |available to all stakeholders. |Website | | |

| | |Provide one or more of the following artifacts to | | |

| | |demonstrate that the information has been | | |

| | |disseminated to stakeholders: | | |

| | |Meeting agenda and sign-in sheet | | |

| | |Signed acknowledgement page from handbooks | | |

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| P12 |The subgrantee enters all data |Pre-Monitoring Activity Conducted by ERES |Meets | |

| |into After-School 21 in a timely | |Does Not Meet | |

| |manner, complies with all GaDOE |No After-School 21 red flags are present (with the | | |

| |data entry requirements, and meets|exception of Objectives). | | |

| |all data deadlines as prescribed |Data entered into After-School 21 is complete, up to | | |

| |by GaDOE. |date, and accurate. View After-School 21 Report | | |

| | |(Sub-grant/all sites/district admin | | |

| | |1/Reports/District Monitoring/District Site Summary | | |

| | |Report/View Report). | | |

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|II: STAFFING |

|Indicator # |Compliance Area |Evidence |Compliance Status |Verification Received/Comments/Recommendations |

| P13 |The subgrantee ensures that all |Provide access to copies of current (within the past |Meets | |

| |staff, volunteers, and contractors|365 days) national criminal background checks on all |Does Not Meet | |

| |who come in regular contact (more |staff, regular volunteers, and regular contractors | | |

| |than once) with program |(Random sampling of background checks will be | | |

| |participants have current national|conducted by ERES during monitoring visit.) | | |

| |criminal background checks that |If ERES access to current national background checks | | |

| |have cleared the subgrantee’s |is not permitted by the Human Resources department, | | |

| |hiring process. |then provide signed letter from the Human Resources | | |

| | |department stating access is not permitted and | | |

| | |provide document listing each staff member, their | | |

| | |position, date of their last national criminal | | |

| | |background check, and date of clearance or no | | |

| | |clearance | | |

| | |Provide copy of hiring policy/protocol used to | | |

| | |determine employment eligibility upon completing the | | |

| | |background check requirement. This should include a | | |

| | |statement outlining the steps taken when a background| | |

| | |check comes back with questionable results | | |

| | |Pre-Monitoring Activity Conducted by ERES | | |

| | |View AS21 report (Sub-grant/all sites/district | | |

| | |admin1/Reports/Staff/Staff Background Checks/APR | | |

| | |Year: 2013/All Sites/View Report). During | | |

| | |monitoring, ERES will compare report to evidence | | |

| | |presented. | | |

|P14* |The subgrantee provides |Provide professional learning plan/schedule for the |Meets | |

| |professional learning |year and summer (if summer is applicable) |Does Not Meet | |

| |opportunities to staff. |Include two or more of the following artifacts: | | |

| | |Dated training agendas with corresponding sign-in | | |

| | |sheets | | |

| | |Needs assessments | | |

| | |Training materials | | |

| P15* |Program director develops a |Provide written copy of classroom observation, formal|Meets | |

| |written plan for conducting and |mid-year and formal end-of-year evaluation plan. Plan|Does Not Meet | |

| |documenting regularly occurring |should specify who completes observations and | | |

| |classroom observations, formal |evaluations, how often, and when they will be done. | | |

| |mid-year, and formal end-of-year |Provide copies of completed classroom observation | | |

| |evaluations of all instructional |forms | | |

| |staff and ensures these |Provide copies of completed formal mid-year | | |

| |observations/evaluations are done.|evaluations with feedback that supports continuous | | |

| |Feedback is given to staff on a |improvement | | |

| |regular basis (minimum of two |Provide a sample of the formal end-of-year evaluation| | |

| |instances) for continuous |instrument to be used for staff evaluations | | |

| |performance improvement. | | | |

|III: COMMUNICATION |

|Indicator # |Compliance Area |Evidence |Compliance Status |Verification Received/Comments/Recommendations |

|P16* |A. The subgrantee uses a formal |Provide a written communication plan that |Meets | |

| |process for regular and effective |incorporates sections A-D of compliance area |Does Not Meet | |

| |communication between school day |For sections A,B,C, and D, include one or more of the| | |

| |instructional staff and 21st CCLC |following artifacts: | | |

| |instructional staff to coordinate |Sample of standard reoccurring correspondence | | |

| |the academic instructional |(routine emails, notes, letters, anecdotal | | |

| |component of the approved program.|information, newsletters etc.) | | |

| |B. The subgrantee program director|Meeting schedules or calendars | | |

| |and site coordinator(s) |Meeting agendas and minutes | | |

| |communicate regularly and |Dated sign-in sheets | | |

| |effectively with school |c. For section D, if no EL students/families | | |

| |principal(s) and administration to|currently participate, program must provide a written| | |

| |coordinate resources and use of |plan outlining the communication plan for such | | |

| |school facilities. |participants should they enroll | | |

| |C. The subgrantee regularly and | | | |

| |effectively communicates with |Note: Each artifact should be labeled A, B, C, or D. | | |

| |parents/guardians of participating|Please ensure each artifact is clearly identified | | |

| |students about their behavior, |with the specific site name. | | |

| |experiences, successes, and | | | |

| |challenges. | | | |

| |D. The subgrantee provides regular| | | |

| |and effective communication to | | | |

| |parents/guardians with limited | | | |

| |English proficiency in modes that | | | |

| |are appropriate and easily | | | |

| |understood (if applicable). | | | |

|IV: COLLABORATION AND SUSTAINABILITY |

|Indicator # |Compliance Area |Evidence |Compliance Status |Verification Received/Comments/Recommendations |

| P17 |The subgrantee ensures the |Provide meeting announcements |Meets | |

| |integration of existing |Provide agendas and minutes |Does Not Meet | |

| |collaborating groups/partners – |Provide sign-in sheets | | |

| |parents, community members, | | | |

| |Advisory Council members, | | | |

| |volunteers, and social services | | | |

| |agencies/organizations – in the | | | |

| |planning and evaluation of the | | | |

| |21st CCLC program, as described in| | | |

| |the approved application. Must | | | |

| |hold at least two meetings per | | | |

| |year, with at least one occurring | | | |

| |prior to the monitoring visit. | | | |

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| P18 |The subgrantee utilizes an updated|Provide written and updated sustainability plan. An |Meets | |

| |sustainability plan to increase |updated plan lists or describes new actions unique to|Does Not Meet | |

| |collaboration and community |FY 2013-2014 | | |

| |support, beyond the initial |See P17 | | |

| |approved grant application. The | | | |

| |program uses a wide variety of | | | |

| |methods to identify and secure | | | |

| |material, financial and human | | | |

| |resources. | | | |

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|V: HEALTH/SAFETY/NUTRITION |

|Indicator # |Compliance Area |Evidence |Compliance Status |Verification Received/Comments/Recommendations |

| P19 |The subgrantee provides safe and |Pre-Monitoring Activity Conducted by ERES |Meets | |

| |appropriate facilities that are | |Does Not Meet | |

| |accessible to students and their | | | |

| |families and can safely | | | |

| |accommodate the number of | | | |

| |students, families, and activities| | | |

| |identified in the approved grant | | | |

| |application. | | | |

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|P20 |The subgrantee provides plans for |Provide written student transportation plan or policy|Meets | |

| |safely transporting or escorting |for the 21st CCLC program |Does Not Meet | |

| |students to or from program sites | | | |

| |and/or activities. |If non-traditional school buses are being used to | | |

| | |transport students provide: | | |

| | | | | |

| | |A list of current drivers | | |

| | |National criminal background check clearance date of | | |

| | |driver | | |

| | |Current driver qualifications | | |

| | |Current driver training and date(s) of training | | |

| | |Current vehicle maintenance records | | |

| | |Pre-Monitoring Activity Conducted by ERES | | |

| | |If traditional school buses are used, annual GaDOE | | |

| | |self-assessment completion by Superintendent must be | | |

| | |completed and noted in Consolidated Application | | |

|P21* |The subgrantee has written |Provide copies of student/parent and staff handbook |Meets | |

| |procedures for authorized student |that includes written procedures/policies for student|Does Not Meet | |

| |pick-up and drop-off and has |pick-up/drop-off | | |

| |included this information in the |Provide copies of completed sign-in/sign-out forms | | |

| |parent/student and staff | | | |

| |handbooks. | | | |

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|Indicator # |Compliance Area |Evidence |Compliance Status |Verification Received/Comments/Recommendations |

|P22* |The subgrantee maintains updated |Provide brief narrative or statement referencing |Meets | |

| |emergency student and staff |where student and staff emergency contact information|Does Not Meet | |

| |contact information in an easily |is kept at each site for easy accessibility | | |

| |accessible central location and at|Provide sample completed student emergency contact | | |

| |each program site. |information forms | | |

| | |Provide sample completed staff emergency contact | | |

| | |information forms. (This is contact information | | |

| | |whereby staff’s family members may be contacted in | | |

| | |case of emergency.) | | |

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|P23 |The subgrantee has clear standards|Provide copy of behavior management plan |Meets | |

| |for student behavior, has written |Provide sample copies of completed student discipline|Does Not Meet | |

| |policy/plan/protocol for student |records | | |

| |discipline, and has communicated |Provide evidence that the behavior management | | |

| |this policy/plan/protocol to |policy/plan/protocol has been communicated to | | |

| |students, all staff, and parents. |students, staff, and parents. Include two or more of | | |

| | |the following as evidence: | | |

| | |Parent/student and staff handbook | | |

| | |Meeting minutes with sign-in sheets | | |

| | |Signed acknowledgement page for parent/student | | |

| | |handbook and staff handbook | | |

|P24* |The subgrantee has a written |Provide copy of emergency preparedness plan, specific|Meets | |

| |emergency preparedness plan that |to program operating hours, for each site |Does Not Meet | |

| |is program/site specific to |Provide copies of two or more of the following where | | |

| |program operating hours/times and |the emergency preparedness plan has been shared with | | |

| |has shared this plan with |students, parents, and staff: | | |

| |students, parents and staff. |Student/parent handbook | | |

| | |Staff handbook | | |

| | |Meeting/training agendas | | |

| | |Sign-in sheets | | |

| | |Meeting minutes | | |

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|Indicator # |Compliance Area |Evidence |Compliance Status |Verification Received/Comments/Recommendations |

|P25* |The subgrantee conducts regularly |Provide copies of safety drill logs from each site |Meets | |

| |(at least 2 drills each semester) |with the type of drill conducted and dates and times |Does Not Meet | |

| |scheduled safety drills during |that are specific to program operation hours | | |

| |program hours to include fire, | | | |

| |tornado/inclement weather, and | | | |

| |lockdown drills. It is recommended| | | |

| |that one fire drill, one tornado | | | |

| |drill, and one lockdown drill be | | | |

| |conducted each semester. | | | |

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|P26* |A. The subgrantee has written |Section A: |Meets | |

| |procedures for mandated reporting |Provide copy of child abuse reporting procedures |Does Not Meet | |

| |of child abuse and ensures |Provide evidence that procedures have been shared | | |

| |compliance with procedures for |with program staff in the form of two or more of the | | |

| |mandated reporting of child abuse.|following: | | |

| |The subgrantee has informed |Staff Handbook | | |

| |program staff of these |Meeting agendas | | |

| |procedures/protocols. |Meeting sign-in sheets | | |

| |B. The subgrantee has written |Meeting minutes | | |

| |procedures for mandated reporting | | | |

| |of sexual harassment and ensures |Section B: | | |

| |compliance with procedures for |Provide copy of sexual harassment reporting | | |

| |mandated reporting of sexual |procedures | | |

| |harassment. The subgrantee has |Provide evidence that procedures have been shared | | |

| |informed program staff of these |with program staff in the form of two or more of the | | |

| |procedures/protocols. |following: | | |

| | |Staff Handbook | | |

| | |Meeting agendas | | |

| | |Meeting sign-in sheets | | |

| | |Meeting minutes | | |

|P27 |The subgrantee utilizes an |Provide copy of Acceptable Usage Policy |Meets | |

| |Acceptable Usage Policy for | |Does Not Meet | |

| |students and staff to include | | | |

| |internet usage, the transmission | | | |

| |of any inappropriate material, and| | | |

| |violation of copyright. | | | |

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|Indicator # |Compliance Area |Evidence |Compliance Status |Verification Received/Comments/Recommendations |

|P28 |The subgrantee provides nutritious|Provide copy of snack menus |Meets | |

| |snacks to participating students. | |Does Not Meet | |

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|VI: PROGRAM EVALUATION |

|Indicator # |Compliance Area |Evidence |Compliance Status |Verification Received/Comments/Recommendations |

|P29 |The subgrantee utilizes |Program revisions based upon FY13’s June 28th |Meets | |

| |information collected through |summative evaluation results is documented by one or |Does Not Meet | |

| |program evaluation in decision |more of the following: | | |

| |making and program revision for |Meeting notes detailing recommendations and/or | | |

| |the purpose of continuous |revisions | | |

| |improvement. |Written correspondence regarding program revisions | | |

| | |Approved program amendments of program revisions | | |

| | |Continuous program revision is documented by one or | | |

| | |more of the following: | | |

| | |Revisions based upon results of student performance | | |

| | |(i.e., report cards, benchmark results, test scores, | | |

| | |etc.). Documentation may include meeting notes, | | |

| | |written correspondence regarding program revisions, | | |

| | |and approved program amendments | | |

| | |If available, revisions based upon results of the | | |

| | |FY14 formative evaluation such as meeting notes, | | |

| | |written correspondence regarding program revisions, | | |

| | |and approved program amendments | | |

|Indicator # |Compliance Area |Evidence |Compliance Status |Verification Received/Comments/Recommendations |

| P30 |Evaluation results (formative, |Provide one or more of the following supporting |Meets | |

| |summative, and/or other periodic |artifacts: |Does Not Meet | |

| |evaluations such as report cards |Notifications of most recent evaluation results to | | |

| |and surveys) and recommendations |staff, partners, students, stakeholders | | |

| |are regularly and effectively |Newsletter articles containing most recent evaluation| | |

| |communicated to staff, partners, |results | | |

| |parents, students, and other |Letters communicating most recent evaluation results | | |

| |stakeholders. |Most recent evaluation results posted on website | | |

| | |Agendas and/or sign in sheets to communicate most | | |

| | |recent evaluation results to stakeholders | | |

FIDUCIARY RESPONSIBILITIES

|VII: MANAGEMENT & ACCOUNTABILITY |

|Indicator # |Compliance Area |Evidence |Compliance Status |Verification Received/Comments/Recommendations |

| F1 |Board acceptance |Provide: |Meets | |

| |The subgrantee assumes responsibility |Minutes of meetings with official acceptance |Does Not Meet | |

| |and support for the 21st CCLC program |of current year award by Board of Education | | |

| |and documents official acceptance of |(LEAs) or Board of Directors (Non-LEAs). | | |

| |grant award on a yearly basis. |Meeting must occur after State Board of | | |

| | |Education approval on July 19, 2013 | | |

| F2 |Segregation of duties |Interview : |Meets | |

| |Subgrantee maintains adequate |Staff to determine that at least two |Does Not Meet | |

| |segregation of fiduciary duties (to |employees are required to complete tasks | | |

| |the extent possible based on the |listed in the compliance area | | |

| |number of staff). | | | |

| | |Provide one of the following, in a format | | |

| | |that demonstrates segregation of duties: | | |

| | |Flowcharts which show which positions are | | |

| | |responsible for performing these tasks | | |

|F3 |Reporting of fraud, waste, abuse, and |Provide: |Meets | |

| |non-compliance |Published policy or procedures for reporting |Does Not Meet | |

| |The subgrantee has developed, |fraud, waste, abuse, or noncompliance in | | |

| |implemented, and clearly communicated |student/parent and staff handbooks | | |

| |a policy that clearly defines the |Date of the policy or procedures and how this| | |

| |process stakeholders must use to |information was communicated to internal | | |

| |report fraud, waste, abuse, or |(e.g., 21st CCLC employees) and external | | |

| |noncompliance of goods and services |stakeholders (e.g., parents). | | |

| |purchased with 21st CCLC program | | | |

| |funds. | | | |

|F4 |Program income |Provide: |Meets | |

| |The subgrantee has written policies |Written approval from GADOE allowing program |Does Not Meet | |

| |and procedures to identify and record |to charge fees/tuition/generate income of any|Not applicable (Subgrantee has not | |

| |program income correctly. |kind |generated any program income) | |

| | |Policy and procedures for the collection of | | |

| |Program income includes, but is not |program income and how the income will be | | |

| |limited to income from fees for |used. Program income may be used in one of | | |

| |services performed, the use of |three methods: 1) deducted from outlays, 2) | | |

| |personal property acquired with grant |added to the project budget, or 3) used to | | |

| |funds, and the sale of commodities or |meet matching requirements | | |

| |items fabricated under a grant |General ledger report or other documentation | | |

| |agreement. |summarizing the amount of program income that| | |

| | |has been collected and utilized since the | | |

| | |beginning of the fiscal year to the most | | |

| | |recent month closed | | |

|F5 |Reporting |Provide: |Meets | |

| |Sub grantee’s most recent 21st CCLC |Most recent completion report submitted to |Does Not Meet | |

| |completion report reconciles to their |GaDOE | | |

| |financial records. |General ledger report (for the same time | | |

| | |period as the most recent completion report | | |

| | |submitted to GaDOE), which shows all 21st | | |

| | |CCLC expenditures | | |

| | |Documentation demonstrating “a” has been | | |

| | |reconciled with “b” | | |

|VIII: LEVEL OF EFFORT – SUPPLEMENT NOT SUPPLANT |

|Indicator # |Compliance Area |Evidence |Compliance Status |Verification Received/Comments/Recommendations |

|F6 |Level of effort – supplement not |Note: In the following instances, it is |Meets | |

| |supplant |presumed that supplanting has occurred: |Does Not Meet | |

| |The subgrantee uses 21st CCLC funds to |a. Subgrantee used Federal funds to provide|Not applicable (subgrantee did not have| |

| |supplement other funding sources. If |services that the subgrantee was required |a program in existence before receiving| |

| |other funding sources provided similar |to make available under other Federal, |a 21st CCLC grant) | |

| |services in previous year(s), current |state, or local laws | | |

| |level of services must have increased |b. Subgrantee used Federal funds to provide| | |

| |in proportion to the level of 21st CCLC|services that the subgrantee provided with | | |

| |program’s share. |non-Federal funds in the prior year | | |

| | | | | |

| | |If an afterschool program was in existence | | |

| | |prior to receiving 21st CCLC then ask the | | |

| | |subgrantee to provide: | | |

| | |a. Current year general ledger report | | |

| | |showing all expenditures from all fund | | |

| | |sources | | |

| | |b. Prior year general ledger showing all | | |

| | |expenditures from all fund sources | | |

|IX: PROCUREMENT AND SUSPENSION AND DEBARMENT |

|Indicator # |Compliance Area |Evidence |Compliance Status |Verification Received/Comments/Recommendations |

|F7 |Procurement |Provide: |Meets | |

| |The subgrantee shall use procurement |Procurement procedures |Does Not Meet | |

| |procedures that conform to all |Documentation which shows that the | | |

| |applicable laws, regulations, and |procurement procedures are followed for 21st| | |

| |standards. |CCLC purchases | | |

| | |For payments made to contractors provide a | | |

| | |copy of the contract used to pay the | | |

| | |contractors. Determine if the services are | | |

| | |adequately documented and necessary for the | | |

| | |program. Determine if the rates paid to the | | |

| | |contractors are reasonable | | |

|F8 |Suspension and debarment |Provide: |Meets | |

| |The subgrantee is prohibited from |Evidence, such as a printout or screenshot, |Does Not Meet | |

| |contracting with or making sub-awards |which shows that the subgrantee checked the | | |

| |under covered transactions to parties |System for Award Management () | | |

| |that are suspended or debarred or |website before doing business with a vendor | | |

| |whose principals are suspended or |or person | | |

| |debarred. |Evidence which shows that the subgrantee | | |

| | |checked the State’s suspended and debarred | | |

| | |suppliers list | | |

|X: PERSONNEL |

|Indicator # |Compliance Area |Evidence |Compliance Status |Verification Received/Comments/Recommendations |

|F9 |Support of Salaries, Wages, and |Provide the necessary time and effort |Meets | |

| |Benefits |documentation, as appropriate: |Does Not Meet | |

| |Subgrantee adheres to all applicable |Timesheets | | |

| |laws, policies and procedures for |Semi-annual certifications | | |

| |personnel hired to work on 21st CCLC |Personnel activity reports (PARs) or | | |

| |program funds. |equivalent | | |

| | | | | |

| | |Please note all documentation must be | | |

| | |signed, dated, and completed after-the-fact| | |

| | |and represent the actual activity of each | | |

| | |employee. Please refer to section IX, G | | |

| | |“Salaries, Wages, and Benefits” on page 26 | | |

| | |of the FY14 Subgrantee Operations Manual | | |

| | |for more information. | | |

| | | | | |

|XI: EQUIPMENT MANAGEMENT |

|Indicator # |Compliance Area |Evidence |Compliance Status |Verification Received/Comments/Recommendations |

|F10 |Equipment Management –Assets not |Provide: |Meets | |

| |Capitalized (inventory) |Documentation that the subgrantee is |Does Not Meet | |

| |The subgrantee’s policies and |tracking assets per the policies and |Not applicable (subgrantee has not | |

| |procedures cover the management and |procedures |purchased any equipment) | |

| |disposition of inventory, property and| | | |

| |equipment, including highly pilferable|During the on-site examination (if | | |

| |equipment, acquired with 21st CCLC |applicable) physically inspect a random | | |

| |program funds of items with a useful |sample of equipment to ensure that the | | |

| |life of more than a year and under |subgrantee is following their policies and | | |

| |$5,000 per unit but tracked on their |procedures and that the equipment is being | | |

| |asset inventory. |used in the 21st CCLC program. | | |

| | | | | |

| | |Documentation that the subgrantee has | | |

| | |recorded the following information on the | | |

| | |equipment: | | |

| | |A description of the property | | |

| | |A serial number or other identification | | |

| | |number | | |

| | |The source of property (supplier) | | |

| | |Title holder | | |

| | |The acquisition date | | |

| | |The cost of the property | | |

| | |The location | | |

| | |The condition of the property | | |

|XII: GaDOE PRE-MONITORING REVIEW- For GaDOE use only |

|Indicator # |Compliance Area |Evidence |Compliance Status |Verification Received/Comments/Recommendations |

|F11 |Activities Allowed or Unallowed |Review: |Meets | |

| |Subgrantee has spent 21st CCLC funds |For expenditures that have incurred and have |Does Not Meet | |

| |only on activities allowed under the |been submitted for reimbursement review | | |

| |grant. |documentation to determine if the costs were | | |

| | |related to one of the following activities: | | |

| | |Grant awards may be used to carry out a broad| | |

| | |array of before and after school activities | | |

| | |that advance student academic achievement | | |

| | |including: | | |

| | |Remedial education activities and academic | | |

| | |enrichment learning programs | | |

| | |Mathematics and science education activities | | |

| | |Arts and music education activities | | |

| | |Entrepreneurial education programs | | |

| | |Tutoring services and mentoring programs | | |

| | |Programs that provide after school activities| | |

| | |for limited English proficient students | | |

| | |Recreational activities | | |

| | |Telecommunications and technology education | | |

| | |programs | | |

| | |Expanded library service hours | | |

| | |Programs that promote parental involvement | | |

| | |and family literacy | | |

| | |Programs that provide assistance to students | | |

| | |who have been truant, suspended, or expelled | | |

| | |to allow students to improve their academic | | |

| | |achievement | | |

| | |Drug and violence prevention programs, | | |

| | |counseling programs, and character education | | |

| | |programs. | | |

|F12 |Prior year monitoring visit has been |Review: |Meets | |

| |conducted. |Monitoring visit notification letter |Does Not Meet | |

| |If monitoring findings, questioned |Follow-up letter from GaDOE indicating list | | |

| |costs, and management letters were |of findings | | |

| |issued, have all issues been resolved?| | | |

| | |Corrective Action Plan | | |

| | | | | |

| | |Clearance letter issued by GaDOE | | |

| | |(Check if reoccurrence of findings are in | | |

| | |current program during on-site monitoring | | |

| | |visit.) | | |

|F13 |Audit: An audit was conducted for the |Review: |Meets | |

| |prior fiscal year (in accordance with |If notification (e.g., non-submission of |Does Not Meet | |

| |OMB A-133, if applicable). |audit reports or findings) or concern has | | |

| | |been forwarded to the 21st CCLC unit by | | |

| |If audit findings, questioned costs, |Financial Review or auditors | | |

| |and management letters were issued, |If related issues have been resolved and that| | |

| |are all conditions corrected and |the issues are not recurring | | |

| |resolved? |Indicator will be marked as “Meets” if audit | | |

| | |has been submitted on time with no findings. | | |

|F14 |Non-LEAs Only: |Review: |Meets | |

| |The subgrantee submitted required |Fidelity Bond |Does Not Meet | |

| |documentation in accordance with terms|Liability Insurance |Not applicable (LEA) | |

| |and conditions of the grant, award | | | |

| |letter, and program specific | | | |

| |assurances #29. | | | |

|REFERENCES & RESOURCES |

21st CCLC 2013-2014 Subgrantee Operational Manual

21ST CCLC Non-Regulatory Guidance:



Education Department General Administrative Regulations (EDGAR) 34 CFR Parts 74, 75, 76, 77, 79, 80, 81, 82, 84, 85, 86, 97, 98, and 99:



Financial Management for Georgia LUAs Manual



OMB Circulars A-21, Cost Principles for Educational Institutions



OMB Circulars A-87, Cost Principles for State, Local and Indian Tribal Governments



OMB Circular A-102, Grants and Cooperative Agreements with State and Local Governments (grants management common rule)



Attachments to OMB Circular A-102

See EDGAR §34 CFR 80 ()

OMB Circular A-122, Cost Principles for Non-Profit Organizations



OMB Circular A-123, Management’s Responsibility for Internal Control



OMB Circular A-133 and the Compliance Supplement to this circular - Audits of States, Non-Profits and Local Organizations June 2010:



Regulations:



State Board of Education Rules:

(160-5-2-23)

PARTICIPANTS AND SIGNATURES- FY14 MONITORING

Program Name_____________________________________________ Date______________________________________

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