FY11 21st CCLC Monitoring Document - Georgia Department …



|Georgia Department of Education |

|21st Century Community Learning Centers |

|Compliance and Performance Assessment Monitoring Form |

|2012-2013 |

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.

PROGRAMMATIC RESPONSIBILITIES

|I: PROGRAM IMPLEMENTATION |

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

| P3 |The subgrantee provides the number|Provide “working” weekly programming schedule for |Meets | |

| |of hours of programming, per week,|each program site |Does Not Meet | |

| |to eligible students as described | | | |

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

| | | | | |

| | | | | |

| | | | | |

| | | | | |

| | | | | |

| | |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). | | |

| 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 | | |

| 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. | | | |

| | | | | |

| | | | | |

| | |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 | | |

| | | | | |

| | | | | |

| | | | | |

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

| 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 item | | |

| | |Meeting sign-in sheets | | |

| | |PowerPoint presentations | | |

| 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 and | | |

| |by GaDOE. |accurate. View After-School 21 Report (Sub-grant/all| | |

| | |sites/district admin 1/Reports/District | | |

| | |Monitoring/District Site Summary Report/View Report).| | |

| | | | | |

| | | | | |

| | | | | |

| | | | | |

|II: STAFFING |

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

| P13 |The subgrantee ensures that all |Provide document, that has been certified and signed |Meets | |

| |staff, regular volunteers, and |by the Human Resources department (or equivalent), |Does Not Meet | |

| |regular contractors who come in |listing all staff, regular volunteers, and regular | | |

| |contact with program participants |contractors, their position, date of their last | | |

| |have current (within the past 365 |national criminal background check, and whether or | | |

| |days) national criminal background|not they were cleared. | | |

| |checks that have cleared the |Provide copy of hiring policy/protocol used to | | |

| |subgrantee’s hiring process. |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: 2012/All Sites/View Report). During | | |

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

| | |presented. | | |

| 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 |Does Not Meet | |

| |documenting regularly occurring |Provide samples of completed classroom observation | | |

| |classroom observations, formal |forms | | |

| |mid-year, and formal end-of-year |Provide samples of completed formal mid-year | | |

| |evaluations of all staff and |evaluations with feedback that supports continuous | | |

| |ensures these |improvement | | |

| |observations/evaluations are done.|Provide sample of the formal end-of-year evaluation | | |

| |Feedback is given to staff on a |instrument to be used for staff evaluations | | |

| |regular basis (minimum of two | | | |

| |instances) for continuous | | | |

| |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 |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 |Samples of standard recurring correspondence (routine| | |

| |the academic instructional |emails, notes, letters, anecdotal information, | | |

| |component of the approved program.|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 to such | | |

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

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

| |effectively communicates with | | | |

| |parents/guardians of participating| | | |

| |students about their behavior, | | | |

| |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: HEALTH/SAFETY/NUTRITION |

|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. It is recommended that | | | |

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

| |and one lockdown drill be | | | |

| |conducted each semester. | | | |

| | | | | |

| | | | | |

|V: PROGRAM EVALUATION |

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

| P29 |The subgrantee utilizes |If a continuation subgrantee, provide copies of |Meets | |

| |information collected through |program revisions based upon FY12’s June 29th |Does Not Meet | |

| |program evaluation in decision |summative evaluation results such as meeting notes, | | |

| |making and program revision for |written correspondence regarding program revisions, | | |

| |the purpose of continuous |and approved program amendments | | |

| |improvement. |If available, provide documentation of program | | |

| | |revisions based upon results of the FY13 formative | | |

| | |evaluation such as meeting notes, written | | |

| | |correspondence regarding program revisions, and | | |

| | |approved program amendments | | |

| | |If (b) is not available, provide documentation of | | |

| | |program revisions based upon results of student | | |

| | |performance (i.e., report cards, surveys, benchmarks,| | |

| | |etc). Documentation can include items such as meeting| | |

| | |notes, written correspondence regarding program | | |

| | |revisions, and approved program amendments | | |

FIDUCIARY RESPONSIBILITIES

|VI: 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 award by Board of Education (LEAs) or | | |

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

| |grant award. | | | |

| | | | | |

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

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

| |segregation of duties (to the extent |employees are required to complete tasks (a),| | |

| |possible based on the number of staff)|(b), and (c) | | |

| |between: (a) performance, review, and | | | |

| |recordkeeping of 21st CCLC activities,|Provide one of the following, in a format | | |

| |(b) review and authorization of 21st |that demonstrates segregation of duties: | | |

| |CCLC costs, and |Organizational chart and list of duties for | | |

| |(c) contracting, accounts payable and |each person | | |

| |cash disbursing. |Job descriptions of the positions performing | | |

| | |these tasks | | |

| | |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 and |fraud, waste, abuse, or noncompliance in | | |

| |implemented a policy that clearly |student/parent and staff handbooks | | |

| |defines the process employees must use|Date of the policy or procedures and how this| | |

| |to report fraud, waste, abuse, or |information was communicated to internal | | |

| |noncompliance of goods and services |(e.g., 21st CCLC employees) and external | | |

| |purchased with 21st CCLC program |stakeholders (e.g., parents). | | |

| |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 of any kind |Not applicable (Subgrantee has not | |

| |program income correctly. |Policy and procedures for the collection of |generated any program income) | |

| | |program income and how the income will be | | |

| |Program income includes, but is not |used. Program income may be used in one of | | |

| |limited to income from fees for |three methods: 1) deducted from outlays, 2) | | |

| |services performed, the use of |added to the project budget, or 3) used to | | |

| |personal property acquired with grant |meet matching requirements | | |

| |funds, and the sale of commodities or |Documentation that program income was used in| | |

| |items fabricated under a grant |accordance with policies and procedures | | |

| |agreement. Program income does not |General ledger report summarizing the amount | | |

| |include the proceeds from the sale of |of program income that has been collected | | |

| |equipment. |since the beginning of the fiscal year to the| | |

| | |most recent month closed | | |

|VII: LEVEL OF EFFORT – SUPPLEMENT NOT SUPPLANT |

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

|F5 |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 |1. 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 |2. 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 | | |

|VIII: PROCUREMENT AND SUSPENSION AND DEBARMENT |

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

|F6 |Procurement |Provide: |Meets | |

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

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

| |Federal law, regulations, and |procurement procedures are followed for 21st| | |

| |standards. |CCLC purchases | | |

| | | | | |

| | | | | |

| | | | | |

| | | | | |

| | | | | |

|F7 |Suspension and debarment |Provide: |Meets | |

| |The subgrantee is prohibited from |Evidence which shows that the subgrantee |Does Not Meet | |

| |contracting with or making sub-awards |checked the Excluded Parties List System | | |

| |under covered transactions to parties |(EPLS) before doing business with a vendor | | |

| |that are suspended or debarred or |or person | | |

| |whose principals are suspended or |Evidence which shows that the subgrantee | | |

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

| | |suppliers list | | |

|F8 |Use of Contractors |Provide: |Meets | |

| |The subgrantee adheres to their |For payments made to contractors obtain a |Does Not Meet | |

| |procurement policies and procedures |copy of the contract used to pay the |Not applicable (subgrantee is not using| |

| |when selecting contractors. |contractors. Determine if the services are |contractors) | |

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

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

| | |contractors are reasonable | | |

|IX: PERSONNEL |

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

|F9 |Support of Salaries, Wages, and |Provide: |Meets | |

| |Benefits | |Does Not Meet | |

| |Subgrantee adheres to all applicable |Timesheets for employees paid hourly | | |

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

| |personnel hired to work on 21st CCLC |who work solely on the 21st CCLC grant. | | |

| |program funds. |These must be signed by the employee or | | |

| | |supervisory official having firsthand | | |

| | |knowledge of the work performed by the | | |

| | |employee | | |

| | |Personnel activity reports (PARs) or | | |

| | |equivalent for employees who work on | | |

| | |multiple cost objectives (i.e. work on 21st| | |

| | |CCLC program and something else). PARs | | |

| | |must: | | |

| | |Reflect an after-the-fact distribution of | | |

| | |the actual activity of each employee | | |

| | |Account for the total activity for which | | |

| | |the employee is compensated | | |

| | |Be prepared at least monthly and coincide | | |

| | |with one or more pay periods | | |

| | |Be signed by the employee | | |

| | |Payroll documentation to show which fringe | | |

| | |benefits are being paid with 21st CCLC | | |

| | |funds (if this has not been submitted as | | |

| | |part of the reimbursement process) | | |

| | | | | |

| | |For the requirements on what documentation | | |

| | |is needed to support salaries and wages see| | |

| | |Attachment B (Selected Items of Cost) of | | |

| | |OMB Circular A-87, 8 (h) for state or | | |

| | |local governments; and Attachment B of OMB | | |

| | |Circular A-122, 8 (m). | | |

|X: EQUIPMENT MANAGEMENT |

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

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

| |Capitalized |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 physically | | |

| |equipment, acquired with 21st CCLC |inspect a random sample of equipment to | | |

| |program funds of items with a useful |ensure that the subgrantee is following | | |

| |life of more than a year and under |their policies and procedures and that the | | |

| |$5,000 per unit but tracked on their |equipment is being used in the 21st CCLC | | |

| |asset inventory. |program. | | |

| | | | | |

| | |Documentation that the subgrantee has | | |

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

| | |equipment: | | |

| | |Description | | |

| | |Acquisition date | | |

| | |Acquisition cost | | |

| | |Location | | |

| | |Other information specified in the 21st CCLC| | |

| | |Subgrantee Operations Manual | | |

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

|Indicator # |Compliance Area |Evidence |Verification |

| | | |Reviewed/Comments |

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

| |Subgrantee has spent 21st CCLC funds |For expenditures that have incurred and have | |

| |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 |Reporting |Provide: | |

| |Sub grantee’s most recent 21st CCLC |Most recent completion report submitted to | |

| |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 | |

|F13 |The subgrantee maintains on-going |Review: | |

| |documentation of actual contributions |AS21 Report: (Subgrantee/all sites/district | |

| |instead of budget or projections |admin 1/Partners tab on Home Screen) | |

| |(in-kind or resources) from partnering|AS21 Report: (Subgrantee/all sites/district | |

| |agencies or other sources. |admin 1/Reports/CLC APR/section B: Partner | |

| |Contributions are recorded on at least|Contributions | |

| |a monthly basis, and are not counted |AS21 Report: (Subgrantee/all sites/district | |

| |as support for other programs. |admin 1/Reports/CLC APR Monitoring/Sites | |

| | |without Partner Contributions | |

| | |Updated MOUs, if needed | |

| | |Volunteer log | |

|F14 |Prior year monitoring visit has been |Review: | |

| |conducted. |Monitoring visit notification letter | |

| |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.) | |

|F15 |LEAs Only: |Review: | |

| |An audit was conducted for the prior |Audit notification letter | |

| |fiscal year (in accordance with OMB |Clearance letter issued by GaDOE | |

| |A-133, if applicable). |(Check if reoccurrence of findings are in | |

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

| |If audit findings, questioned costs, |visit.) | |

| |and management letters were issued, | | |

| |are all conditions corrected and | | |

| |resolved? | | |

|F16 |Non-LEAs Only: |Review: | |

| |An audit was conducted for the prior |Audit report for findings with no concerns | |

| |fiscal year (in accordance with OMB |from FBO | |

| |A-133, if applicable). |(Check if reoccurrence of findings are in | |

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

| |Was audit submitted to GaDOE for |visit.) | |

| |review? | | |

| | | | |

| |If audit findings, questioned costs, | | |

| |and management letters were issued, | | |

| |are all conditions corrected and | | |

| |resolved? | | |

|F17 |Non-LEAs Only: |Review: | |

| |The subgrantee submitted required |Fidelity Bond | |

| |documentation in accordance with terms|Liability Insurance | |

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

| |letter, and program specific | | |

| |assurances #29. | | |

|REFERENCES & RESOURCES |

21st CCLC 2012-2013 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

|NAMES |SIGNATURES |

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