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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 2013 AGENDA Overview of the Monitoring Process ▪ ESEA Flexibility ▪ SASA ▪ Non-Flexibility States ▪ Unwaiverable Title I Requirements IDEA - OSEP Preparing for a Monitoring Visit Common Findings Brustein & Manasevit, PLLC ESEA 2 Brustein & Manasevit, PLLC OVERVIEW OF THE MONITORING PROCESS 3 ESEA Flexibility Monitoring • Pilot • Remaining States • 1/3 On-site • 2/3 Desk • Inclusion of LEAs/schools in monitoring ? Brustein & Manasevit, PLLC • 2 States (CO, MS) participated in on-site monitoring pilot in May • 2 States (NJ, CT) to participate in desk pilot in July • Revisions to Process 4 ESEA Flexibility – Depth of Review Desk Monitoring All 17 elements Comprehensive Review • All SEA Systems & • All SEA Processes elements (4) Systems & Processes • 3 of 9 ‘List A’ elements elements (4) • 2 ED selected • 1 SEA selected Unwaived Title I Requirements 8 requirements requirements To be monitored via8separate process…STAY TUNED! Brustein & Manasevit, PLLC Depth of Review On-site Monitoring Foundational All 17 elements Review 5 • • • • • • • ED Contacts SEA re: Type and Date Preliminary Monitoring Call (6 weeks prior) If on-site: SEA selects element (5 weeks prior) ED sends customized protocol (4-5 weeks prior) SEA submits documentation (at least 2 weeks prior) Exit Conference (within 2 weeks of visit) Monitoring Report within 35 business days of visit Brustein & Manasevit, PLLC ESEA Flexibility Monitoring Timeline 6 SASA Monitoring Covers… • • • • Title I, Part A Title I, Part D (Neglected, Delinquent, or At-Risk) Title X, Part C (McKinney-Vento Act/Homeless Program) Title III, Part A Brustein & Manasevit, PLLC • SASA Monitoring for Select Non-Flex States: 7 Non-Flex Selection Factors 2012-2013 Brustein & Manasevit, PLLC • SEA has not been monitored since the 2006-2007 or 20072008 monitoring cycle • Review of Audits and Previous Monitoring Findings • Staff Leadership Turnover or New Staff 8 • • • • Pre-site document reviews SEA and LEA website reviews Previous corrective actions Combination of program specific— • • • • Desk Teleconference / Videoconference Web-based conference On-site monitoring review of indicators Brustein & Manasevit, PLLC Monitoring Strategies, 20122013 9 OSEP ‘Monitoring’ Covers… http://therightidea.tadnet.org/assets/browse_by_folder?folder=36&fold er_name=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&fo lder_name=CrEAGs-+Part+B State Performance Plan (SPP) / Annual Performance Report (APR) Review • Determinations. Brustein & Manasevit, PLLC • Continuous Improvement Visits 10 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 11 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 12 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 13 Preparation is the Key! Brustein & Manasevit, PLLC TOP 10 WAYS TO PREPARE FOR A MONITORING VISIT 14 1. Organizational Meeting • Meet with Key Personnel • All about Communication! Brustein & Manasevit, PLLC • Discuss program and areas that will be reviewed 15 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 • Main Visit Contact 16 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 17 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 18 • 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. • Note Flexibility Monitoring Webinar Comment Brustein & Manasevit, PLLC 5. Complete Monitoring Documents 19 5. Complete Monitoring Documents (cont.) OSEP: Critical Elements Analysis Guide (CrEAG) Part B SASA Monitoring Plan for Formula Grant Programs Brustein & Manasevit, PLLC Gen. Supervision Fiscal Systems SIG: Application Process, Implementation, Fiscal, Technical Assistance, Monitoring, Data Collection Title I Team: Title I-A Fiduciary, Title I-D, McKinney-Vento Title III-A: Monitoring of Subgrantees; Standards, Assessments & Accountability, Instructional Support, Fiduciary ESEA Flexibility Monitoring Protocol (Customized) 20 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 • OSEP’s CrEAG Format Notes: State Monitoring Manual Monitoring Reports Training Calendar Database Reports APR Indicator 15 Customer Service Info. Notes: OGC Comments Notes: Interview Info. Interview Summary 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] Brustein & Manasevit, PLLC 5. Complete Monitoring Documents (cont.) 21 5. Complete Monitoring Documents (cont.) • Title I & Title III Team Format Brustein & Manasevit, PLLC • SIG Format 22 5. Complete Monitoring Documents (cont.) Brustein & Manasevit, PLLC • ESEA Flexibility Format 23 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 24 • 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 Visit 25 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. 26 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 27 • Title I & Title III Reports (2011-2012): http://www2.ed.gov/admins/lead/account/monitoring/rep orts12/index.html • SIG Reports: http://www2.ed.gov/programs/sif/monitoring/index.html • OSEP Continuous Improvement Letters: http://www2.ed.gov/fund/data/report/idea/partbvvltr/chro ndate.html • ESEA Flexibility: http://www2.ed.gov/policy/elsec/guid/eseaflexibility/monitoring/index.html • Review reports to identify focus areas, trends in findings. Brustein & Manasevit, PLLC 10. Review Monitoring Findings In Other States 28 Brustein & Manasevit, PLLC COMMON FINDINGS ACROSS THE BOARD 29 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 30 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 31 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 32 Fiduciary Ensuring Funds are Used for Allowable Uses 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 33 Brustein & Manasevit, PLLC Fiduciary – High Dollar Areas of Concern • Procurement • Property / Inventory Management • Time Distribution 34 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: 35 • Determining between “equipment” and “supply” • Determining level of control over item • Tracking non-equipment items Brustein & Manasevit, PLLC Inventory Management: Common Problems 36 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 Must be performed at least every 2 years Brustein & Manasevit, PLLC Section 80.32 of EDGAR Must have adequate controls in place to account for: Control system to prevent loss, damage and theft All incidents must be investigated 37 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 38 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 39 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 40 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 41 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 42 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 43 RESOURCES - SASA ESEA Flexibility Monitoring http://www2.ed.gov/policy/elsec/guid/esea-flexibility/monitoring/index.html SASA Monitoring Indicators (2011-2012) http://www2.ed.gov/admins/lead/account/monitoring/indicators1112.pdf Title I & Title III Reports (2012-2013): http://www2.ed.gov/admins/lead/account/monitoring/reports13/index.html NASTID Presentation on SASA Monitoring for 2012-2013 http://www.nationaltitleiassociation.org/resource/resmgr/t12s/20122013_overview_sasa_moni.pdf Brustein & Manasevit, PLLC http://www2.ed.gov/admins/lead/account/monitoring/index.html Office of School Turnaround – SIG Monitoring SIG Monitoring Plan http://www2.ed.gov/programs/sif/sigmonitoringplan2012-2013.pdf SIG Reports: http://www2.ed.gov/programs/sif/monitoring/index.html 44 RESOURCES - OSEP http://therightidea.tadnet.org/assets/browse_by_folder? folder=36&folder_name=OSEP+Continuous+Improvemen t+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 Brustein & Manasevit, PLLC Continuous Improvement Visit Page 45 Brustein & Manasevit, PLLC Questions? 46 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 47