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How to Prepare for a Federal Monitoring Visit (SASA/OSEP) Jennifer S. Mauskapf, Esq. [email protected] Brustein & Manasevit, PLLC Fall Forum 2012 AGENDA • SASA • OSEP • Preparing for a Monitoring Visit • Common Findings Brustein & Manasevit, PLLC • Overview of the Monitoring Process 2 Brustein & Manasevit, PLLC OVERVIEW OF THE MONITORING PROCESS 3 • Title I, Part A • Title I, Part D (Neglected, Delinquent, or At-Risk) • Title X, Part C (McKinney-Vento Act/Homeless Program) • Section 1003(g) School Improvement Grants (SIG) • Title III, Part A Brustein & Manasevit, PLLC SASA Monitoring Covers… 4 OSEP ‘Monitoring’ Covers… • Continuous Improvement Visits State Performance Plan (SPP) / Annual Performance Report (APR) Review • Determinations. Brustein & Manasevit, PLLC http://therightidea.tadnet.org/assets/browse_by_folder?folder=36&folder_n ame=OSEP+Continuous+Improvement+Visits • Results Component http://www2.ed.gov/about/offices/list/osers/osep/rda/index.html • Stakeholder Input Process • Verification Component http://therightidea.tadnet.org/assets/browse_by_folder?folder=61&folde r_name=CrEAGs-+Part+B 5 Prior to Visit • State contact gathers and analyzes data and information • Information collected primarily through Web-based searches and document analysis • Specific documentation requested from SEA • Selection of LEAs • Receipt of Agenda and List of ED Participants Brustein & Manasevit, PLLC • Desk monitoring of each State 6 The Visit Itself • HOW LONG? • WHAT WILL ED BE DOING DURING THE VISIT? • Review documentation not available prior to the trip • Interview SEA and LEA staff, principals, teachers, parents, and other stakeholders • Exit Conference Brustein & Manasevit, PLLC • Typically one full week 7 Post-Visit – SASA-specific DRAFT comprehensive monitoring report issued FINAL report issued SEA Response SEA has 30 business days to respond to any required actions SASA sends a letter approving proposed actions or requiring revision/further action May require close collaboration (e.g., CAPs) and/or follow-up visits Significant compliance findings can lead to special conditions Brustein & Manasevit, PLLC To be issued within 35 business days of the on-site visit SEA has 5 business days to review and provide technical edits and corrections 8 TOP 10 WAYS TO PREPARE FOR A MONITORING VISIT Brustein & Manasevit, PLLC Preparation is the Key! 9 1. Organizational Meeting • Meet with Key Personnel • All about Communication! Brustein & Manasevit, PLLC • Discuss program and areas that will be reviewed 10 2. Select Main Visit Contact • • • • Schedule meetings Ensure lead personnel schedules clear Organize travel requests / information (as requested by SASA) Schedule visits to schools (as requested by SASA) • Schedule conference calls with SASA prior to visit Brustein & Manasevit, PLLC • 1 Main Visit Contact 11 3. Select Main Interview Contacts • • • • • • Title I, Part A Title I, Part D – Neglected, Delinquent or At-Risk Title X, C - McKinney-Vento Title III, Part A SIG IDEA Results • These representatives must know who should be present for each indicator and where all documentation is located! Brustein & Manasevit, PLLC • A representative should be appointed as lead interviewer for each program (and topic) as appropriate 12 4. Select Meeting Place • Want meeting place separate from main offices so that all parties can remain focused • All personnel should have cleared scheduled and be ready to participate as necessary • Organized by the applicable lead contact Brustein & Manasevit, PLLC • Don’t completely isolate 13 • Complete the Actual Monitoring Document the Monitors will be using! • Put your best foot forward • Narrative Form • How? • Answer the Question Being Asked! • Respond to correct fiscal year! • Include Specific Citations as appropriate. Brustein & Manasevit, PLLC 5. Complete Monitoring Documents 14 5. Complete Monitoring Documents (cont.) • OSEP: Critical Elements Analysis Guide (CrEAG) Part B • SASA Monitoring Plan for Formula Grant Programs • SIG: Application Process, Implementation, Fiscal, Technical Assistance, Monitoring, Data Collection • Title I Team • Title I-A Fiduciary • Title I-D • McKinney-Vento Brustein & Manasevit, PLLC • Gen. Supervision • Fiscal Systems 15 • Title III-A: Monitoring of Subgrantees; Standards, Assessments & Accountability, Instructional Support, Fiduciary Critical Element General Supervision (GS)-1: Does the State have a general supervision system that is reasonably designed to identify noncompliance in a timely manner using its different components? Related Question Response A. Describe the components and data sources of the State’s general supervision system and how they are used to identify Notes: noncompliance (e.g., database, selfassessments, desk audits, on-site monitoring, dispute resolution, etc.). Document Review Notes: • OSEP’s CrEAG Format Brustein & Manasevit, PLLC 5. Complete Monitoring Documents (cont.) State Monitoring Manual Monitoring Reports Training Calendar Database Reports APR Indicator 15 Customer Service Info. Notes: OGC Comments Notes: Interview Info. Interview Summary 16 Related Requirements 34 CFR §300.100 [Eligibility for assistance] 34 CFR §300.149(a)&(b)[SEA responsibility for general supervision] 34 CFR §300.149(a)&(b)[SEA responsibility for general supervision] 34 CFR §300.200 [Condition of assistance] 5. Complete Monitoring Documents (cont.) • Title I & Title III Team Format Brustein & Manasevit, PLLC • SIG Format 17 6. Organize Documentation • • • • Tabbed! Organized! Complete Examples! Connect-the-Dots! • Copies for yourself • Include any additional documents given to SASA during the visit Brustein & Manasevit, PLLC • Corresponding Binders 18 • Practice Makes Perfect! (sort of) • Take the monitoring instrument and review the current system in place • Interview selected personnel (“test”) • CONDUCT PRIOR TO VISIT • Chance to change systems as needed! • Chance to create corrective action plans and begin implementation as needed! Brustein & Manasevit, PLLC 7. Mock SASA Visit 19 8. Be Prepared to Address Noncompliance • If no corrective action plan then attempt to create a plan prior to SASA’s arrival. Brustein & Manasevit, PLLC • Be prepared to address any corrective action plan already created or implemented. 20 9. Review Findings From Your State • Did you complete everything you said you would? • Review audits • Including A-133 Single Audit Brustein & Manasevit, PLLC • Review old monitoring reports • Special Conditions • State Plans 21 10. Review Monitoring Findings In Other States • Title I & Title III Reports (2011-2012): • SIG Reports: http://www2.ed.gov/programs/sif/monitoring/index.html • OSEP Continuous Improvement Letters: http://www2.ed.gov/fund/data/report/idea/partbvvltr/chron date.html • Review reports to identify focus areas, trends in findings. Brustein & Manasevit, PLLC http://www2.ed.gov/admins/lead/account/monitoring/report s12/index.html 22 Brustein & Manasevit, PLLC COMMON FINDINGS ACROSS THE BOARD 23 Written Policies and Procedures If you have to explain how something is done without being able to point to a clear and current written policy or procedure, you probably have some work to do!!! Brustein & Manasevit, PLLC • Conflicting policies • Out-of-date policies • Non-existent policies 24 • Timeliness • Required Items • Public Reporting • Examples: • Title I-A: Annual LEA Report Card, HQT Status Letter, School Improvement Status, SES and Choice Notice • Title III: Student Identification, AMAO Determination • IDEA: Procedural Safeguards, Stakeholder Input for SPP/APR Brustein & Manasevit, PLLC Notification Requirements 25 • • • • • Timely review and approval of LEA applications Timely allocation of subgrants Period of availability of funds to LEAs Process for Reallocating Funds Timely Obligation and Liquidation Brustein & Manasevit, PLLC Fiduciary 26 Fiduciary • • • • • • Consistent with Federal Cost Principles? Consistent with EDGAR? Consistent with program-specific rules? How does SEA/LEA ensure and document allowability? Program-specific Fiscal Rules • • • MOE Supplement not Supplant Caps Brustein & Manasevit, PLLC Ensuring Funds are Used for Allowable Uses 27 Brustein & Manasevit, PLLC Fiduciary – High Dollar Areas of Concern • Procurement • Property / Inventory Management • Time Distribution 28 EDGAR Procurement Rules • Must have written code of conduct for all employees engaged in contract award and administration • Must have protest procedures to handle disputes • Follow Procurement Rules!!! Brustein & Manasevit, PLLC • Section 80.36 of EDGAR • All procurement transactions must be conducted with full and open competition • Conflict of Interest: 29 • Determining between “equipment” and “supply” • Determining level of control over item • Tracking non-equipment items Brustein & Manasevit, PLLC Inventory Management: Common Problems 30 Equipment Rules • Location of equipment • Custody of equipment • Security of equipment • Property records • Description, serial number or other ID, title information, acquisition date, cost, percent of federal participation, location, use and condition, and disposition (if applicable) • Physical inventory • Brustein & Manasevit, PLLC • Section 80.32 of EDGAR • Must have adequate controls in place to account for: Must be performed at least every 2 years • Control system to prevent loss, damage and theft • All incidents must be investigated 31 Equipment Rules (cont.) • Must protect against unauthorized use • When property is no longer needed, must follow disposition rules: • Transfer to another federal program • Over $5,000 – Keep or sell, but must pay a share based on the percentage of federal ED participation at initial acquisition • Under $5,000 – May keep, sell, or dispose of it with no obligation to ED Brustein & Manasevit, PLLC • May use for other projects as long as use is incidental and does not interfere with authorized use 32 Supplies • Do not cost much money • Used fairly quickly • Examples: pens, paper, toner, laptops • EDGAR does not set out any specific tracking requirements • As a practical matter, ED expects subgrantees to track all property purchased with federal funds, in order to prove there has been an allocable benefit to the federal program Brustein & Manasevit, PLLC • Section 80.33 of EDGAR • Supplies are everything else 33 Time Distribution • Selected Items of Cost: Salaries and Wages • Time Distribution Records must be maintained for all employees whose salaries are: • Paid in whole or in part with federal funds • Used to meet a match/cost share requirement Brustein & Manasevit, PLLC • Allowable if proper time distribution records 34 Time Distribution – Common Problems • • • • • PAR vs. Semi-annual Certification Correct Signatory? Correct Time Period? Time reported add up to 100% time worked? Signed after-the-fact? • Quarterly Reconciliations Brustein & Manasevit, PLLC • Proper Identification of “Cost Objective(s)” • Completion of Required Documentation 35 Equitable Services • Program • Funds—no reimbursement! • Property—tags, inventory • Evaluation of Services • Identification of Eligible Students • Administration Costs NOT Charged Against Equitable Services Set-Aside Brustein & Manasevit, PLLC • Timely and Meaningful Consultation • LEA Maintaining Control 36 Subrecipient Monitoring Brustein & Manasevit, PLLC • Comprehensive Monitoring Protocol • Follow-up procedures to ensure corrective actions taken to address compliance issues • Linking Monitoring Findings with Technical Assistance 37 RESOURCES 2011-2012 SASA Monitoring Protocol http://www2.ed.gov/admins/lead/account/monitoring/indicators1112.pdf Continuous Improvement Visit Page Brustein & Manasevit, PLLC Title I & Title III Reports (2011-2012): http://www2.ed.gov/admins/lead/account/monitoring/reports12/index.html SIG Reports: http://www2.ed.gov/programs/sif/monitoring/index.html http://therightidea.tadnet.org/assets/browse_by_folder?folder=36&folder _name=OSEP+Continuous+Improvement+Visits OSEP Continuous Improvement Letters: http://www2.ed.gov/fund/data/report/idea/partbvvltr/chrondate.html Part B SPP and APR Determination Letters: http://www2.ed.gov/fund/data/report/idea/partbspap/allyears.html 38 Brustein & Manasevit, PLLC Questions? 39 This presentation is intended solely to provide general information and does not constitute legal advice. Attendance at the presentation or later review of these printed materials does not create an attorney-client relationship with Brustein & Manasevit, PLLC. You should not take any action based upon any information in this presentation without first consulting legal counsel familiar with your particular circumstances. Brustein & Manasevit, PLLC Disclaimer 40