Preparing for the Audit/Monitoring Visit

Download Report

Transcript Preparing for the Audit/Monitoring Visit

Slide 1

Federal and State Monitoring
Title I Directors
Conference September
2014
1

Illinois State Board of Education

OMB Omni Circular and Time
and Effort Documentation

2

Illinois State Board of Education

Topics of Interest
• Overview of OMB Uniform
Administrative Requirements, Cost
Principals and Audit Requirements for
Federal Awards
• Time and Effort

3

Illinois State Board of Education

OMB Super Circular





Subrecipient Monitoring
Compensation Personal Services
Single Audit Requirements – Threshold
Written Policies and Internal Controls

4

Illinois State Board of Education

Super Circular Subrecipient
Monitoring – Risk Assessment






Prior Experience with same or similar awards
Results of previous audits
Is the LEA required to have a A-133 Audit
New Personnel or substantially changed systems
The results of Federal awarding agency monitoring

5

Illinois State Board of Education

Super Circular Compensation
Personal Services
• Increases emphasis on internal controls of
subrecipient for personnel cost.
• Provides less prescriptive guidance on
documentation

6

Illinois State Board of Education

Super Circular Single Audit
Requirements – Threshold
• Increases the Requirement for an A-133 Audit from
current level of $500,000 to $750,000

7

Illinois State Board of Education

Super Circular Written Policies and
Internal Controls
• Increased requirements for written policies for
Federal Grants
• Increased emphasis on LEA’s Internal Control
Structure

8

Illinois State Board of Education

Time and Effort Requirements
• For any staff paid from a federal grant, the
grant rules requires that time and effort
certification be maintained.

9

Illinois State Board of Education

Required Time and Effort
Documentation
• Semiannual Certification
– Single Cost Objective
• Works on one Federal Award
• Totally funded by Federal Award

10

Illinois State Board of Education

Required Time and Effort
Documentation
• Personnel Activity Report – PAR
– Multiple Cost Objective
• Works on more than one Federal Award
• Is split funded

11

Illinois State Board of Education

Reminders for Time and Effort
• Documented Policy and Procedures for
Time and Effort
• Ongoing Training of Staff Regarding Time
and Effort
• Maintaining Time and Effort Records

12

Illinois State Board of Education

Time and Effort Findings
• Not accounting for changes in position,
duties or funding source
• Reporting according to how ratios were
budgeted when different from actual
• Reports not reviewed or signed by
appropriate staff

13

Illinois State Board of Education

References and Helpful Links
• United States Department of Education:
http://ed.gov
• Office of Management and Budget (OMB) Circular A-87:
http://www.whitehouse.gov/omb/circulars/a087/a87_2004.html#a
tta
• Illinois Program Accounting Manual (IPAM):
http://www.isbe.net/sfms/html/ipam.htm
• State and Federal Grant Administration Policy and Fiscal
Requirements and Procedures:
http://www.isbe.net/funding/pdf/fiscal_procedure_handbk.pdf
• http://www.isbe.net/e-bulletins/default.htm
• http://isbe.net/ea/htm/checklist.htm

14

Illinois State Board of Education

Contact Information
Illinois State Board of Education
Federal and State Monitoring Division
100 North First Street
Springfield, IL 62777
217-782-7970

15

Illinois State Board of Education

Questions and Answers

16


Slide 2

Federal and State Monitoring
Title I Directors
Conference September
2014
1

Illinois State Board of Education

OMB Omni Circular and Time
and Effort Documentation

2

Illinois State Board of Education

Topics of Interest
• Overview of OMB Uniform
Administrative Requirements, Cost
Principals and Audit Requirements for
Federal Awards
• Time and Effort

3

Illinois State Board of Education

OMB Super Circular





Subrecipient Monitoring
Compensation Personal Services
Single Audit Requirements – Threshold
Written Policies and Internal Controls

4

Illinois State Board of Education

Super Circular Subrecipient
Monitoring – Risk Assessment






Prior Experience with same or similar awards
Results of previous audits
Is the LEA required to have a A-133 Audit
New Personnel or substantially changed systems
The results of Federal awarding agency monitoring

5

Illinois State Board of Education

Super Circular Compensation
Personal Services
• Increases emphasis on internal controls of
subrecipient for personnel cost.
• Provides less prescriptive guidance on
documentation

6

Illinois State Board of Education

Super Circular Single Audit
Requirements – Threshold
• Increases the Requirement for an A-133 Audit from
current level of $500,000 to $750,000

7

Illinois State Board of Education

Super Circular Written Policies and
Internal Controls
• Increased requirements for written policies for
Federal Grants
• Increased emphasis on LEA’s Internal Control
Structure

8

Illinois State Board of Education

Time and Effort Requirements
• For any staff paid from a federal grant, the
grant rules requires that time and effort
certification be maintained.

9

Illinois State Board of Education

Required Time and Effort
Documentation
• Semiannual Certification
– Single Cost Objective
• Works on one Federal Award
• Totally funded by Federal Award

10

Illinois State Board of Education

Required Time and Effort
Documentation
• Personnel Activity Report – PAR
– Multiple Cost Objective
• Works on more than one Federal Award
• Is split funded

11

Illinois State Board of Education

Reminders for Time and Effort
• Documented Policy and Procedures for
Time and Effort
• Ongoing Training of Staff Regarding Time
and Effort
• Maintaining Time and Effort Records

12

Illinois State Board of Education

Time and Effort Findings
• Not accounting for changes in position,
duties or funding source
• Reporting according to how ratios were
budgeted when different from actual
• Reports not reviewed or signed by
appropriate staff

13

Illinois State Board of Education

References and Helpful Links
• United States Department of Education:
http://ed.gov
• Office of Management and Budget (OMB) Circular A-87:
http://www.whitehouse.gov/omb/circulars/a087/a87_2004.html#a
tta
• Illinois Program Accounting Manual (IPAM):
http://www.isbe.net/sfms/html/ipam.htm
• State and Federal Grant Administration Policy and Fiscal
Requirements and Procedures:
http://www.isbe.net/funding/pdf/fiscal_procedure_handbk.pdf
• http://www.isbe.net/e-bulletins/default.htm
• http://isbe.net/ea/htm/checklist.htm

14

Illinois State Board of Education

Contact Information
Illinois State Board of Education
Federal and State Monitoring Division
100 North First Street
Springfield, IL 62777
217-782-7970

15

Illinois State Board of Education

Questions and Answers

16


Slide 3

Federal and State Monitoring
Title I Directors
Conference September
2014
1

Illinois State Board of Education

OMB Omni Circular and Time
and Effort Documentation

2

Illinois State Board of Education

Topics of Interest
• Overview of OMB Uniform
Administrative Requirements, Cost
Principals and Audit Requirements for
Federal Awards
• Time and Effort

3

Illinois State Board of Education

OMB Super Circular





Subrecipient Monitoring
Compensation Personal Services
Single Audit Requirements – Threshold
Written Policies and Internal Controls

4

Illinois State Board of Education

Super Circular Subrecipient
Monitoring – Risk Assessment






Prior Experience with same or similar awards
Results of previous audits
Is the LEA required to have a A-133 Audit
New Personnel or substantially changed systems
The results of Federal awarding agency monitoring

5

Illinois State Board of Education

Super Circular Compensation
Personal Services
• Increases emphasis on internal controls of
subrecipient for personnel cost.
• Provides less prescriptive guidance on
documentation

6

Illinois State Board of Education

Super Circular Single Audit
Requirements – Threshold
• Increases the Requirement for an A-133 Audit from
current level of $500,000 to $750,000

7

Illinois State Board of Education

Super Circular Written Policies and
Internal Controls
• Increased requirements for written policies for
Federal Grants
• Increased emphasis on LEA’s Internal Control
Structure

8

Illinois State Board of Education

Time and Effort Requirements
• For any staff paid from a federal grant, the
grant rules requires that time and effort
certification be maintained.

9

Illinois State Board of Education

Required Time and Effort
Documentation
• Semiannual Certification
– Single Cost Objective
• Works on one Federal Award
• Totally funded by Federal Award

10

Illinois State Board of Education

Required Time and Effort
Documentation
• Personnel Activity Report – PAR
– Multiple Cost Objective
• Works on more than one Federal Award
• Is split funded

11

Illinois State Board of Education

Reminders for Time and Effort
• Documented Policy and Procedures for
Time and Effort
• Ongoing Training of Staff Regarding Time
and Effort
• Maintaining Time and Effort Records

12

Illinois State Board of Education

Time and Effort Findings
• Not accounting for changes in position,
duties or funding source
• Reporting according to how ratios were
budgeted when different from actual
• Reports not reviewed or signed by
appropriate staff

13

Illinois State Board of Education

References and Helpful Links
• United States Department of Education:
http://ed.gov
• Office of Management and Budget (OMB) Circular A-87:
http://www.whitehouse.gov/omb/circulars/a087/a87_2004.html#a
tta
• Illinois Program Accounting Manual (IPAM):
http://www.isbe.net/sfms/html/ipam.htm
• State and Federal Grant Administration Policy and Fiscal
Requirements and Procedures:
http://www.isbe.net/funding/pdf/fiscal_procedure_handbk.pdf
• http://www.isbe.net/e-bulletins/default.htm
• http://isbe.net/ea/htm/checklist.htm

14

Illinois State Board of Education

Contact Information
Illinois State Board of Education
Federal and State Monitoring Division
100 North First Street
Springfield, IL 62777
217-782-7970

15

Illinois State Board of Education

Questions and Answers

16


Slide 4

Federal and State Monitoring
Title I Directors
Conference September
2014
1

Illinois State Board of Education

OMB Omni Circular and Time
and Effort Documentation

2

Illinois State Board of Education

Topics of Interest
• Overview of OMB Uniform
Administrative Requirements, Cost
Principals and Audit Requirements for
Federal Awards
• Time and Effort

3

Illinois State Board of Education

OMB Super Circular





Subrecipient Monitoring
Compensation Personal Services
Single Audit Requirements – Threshold
Written Policies and Internal Controls

4

Illinois State Board of Education

Super Circular Subrecipient
Monitoring – Risk Assessment






Prior Experience with same or similar awards
Results of previous audits
Is the LEA required to have a A-133 Audit
New Personnel or substantially changed systems
The results of Federal awarding agency monitoring

5

Illinois State Board of Education

Super Circular Compensation
Personal Services
• Increases emphasis on internal controls of
subrecipient for personnel cost.
• Provides less prescriptive guidance on
documentation

6

Illinois State Board of Education

Super Circular Single Audit
Requirements – Threshold
• Increases the Requirement for an A-133 Audit from
current level of $500,000 to $750,000

7

Illinois State Board of Education

Super Circular Written Policies and
Internal Controls
• Increased requirements for written policies for
Federal Grants
• Increased emphasis on LEA’s Internal Control
Structure

8

Illinois State Board of Education

Time and Effort Requirements
• For any staff paid from a federal grant, the
grant rules requires that time and effort
certification be maintained.

9

Illinois State Board of Education

Required Time and Effort
Documentation
• Semiannual Certification
– Single Cost Objective
• Works on one Federal Award
• Totally funded by Federal Award

10

Illinois State Board of Education

Required Time and Effort
Documentation
• Personnel Activity Report – PAR
– Multiple Cost Objective
• Works on more than one Federal Award
• Is split funded

11

Illinois State Board of Education

Reminders for Time and Effort
• Documented Policy and Procedures for
Time and Effort
• Ongoing Training of Staff Regarding Time
and Effort
• Maintaining Time and Effort Records

12

Illinois State Board of Education

Time and Effort Findings
• Not accounting for changes in position,
duties or funding source
• Reporting according to how ratios were
budgeted when different from actual
• Reports not reviewed or signed by
appropriate staff

13

Illinois State Board of Education

References and Helpful Links
• United States Department of Education:
http://ed.gov
• Office of Management and Budget (OMB) Circular A-87:
http://www.whitehouse.gov/omb/circulars/a087/a87_2004.html#a
tta
• Illinois Program Accounting Manual (IPAM):
http://www.isbe.net/sfms/html/ipam.htm
• State and Federal Grant Administration Policy and Fiscal
Requirements and Procedures:
http://www.isbe.net/funding/pdf/fiscal_procedure_handbk.pdf
• http://www.isbe.net/e-bulletins/default.htm
• http://isbe.net/ea/htm/checklist.htm

14

Illinois State Board of Education

Contact Information
Illinois State Board of Education
Federal and State Monitoring Division
100 North First Street
Springfield, IL 62777
217-782-7970

15

Illinois State Board of Education

Questions and Answers

16


Slide 5

Federal and State Monitoring
Title I Directors
Conference September
2014
1

Illinois State Board of Education

OMB Omni Circular and Time
and Effort Documentation

2

Illinois State Board of Education

Topics of Interest
• Overview of OMB Uniform
Administrative Requirements, Cost
Principals and Audit Requirements for
Federal Awards
• Time and Effort

3

Illinois State Board of Education

OMB Super Circular





Subrecipient Monitoring
Compensation Personal Services
Single Audit Requirements – Threshold
Written Policies and Internal Controls

4

Illinois State Board of Education

Super Circular Subrecipient
Monitoring – Risk Assessment






Prior Experience with same or similar awards
Results of previous audits
Is the LEA required to have a A-133 Audit
New Personnel or substantially changed systems
The results of Federal awarding agency monitoring

5

Illinois State Board of Education

Super Circular Compensation
Personal Services
• Increases emphasis on internal controls of
subrecipient for personnel cost.
• Provides less prescriptive guidance on
documentation

6

Illinois State Board of Education

Super Circular Single Audit
Requirements – Threshold
• Increases the Requirement for an A-133 Audit from
current level of $500,000 to $750,000

7

Illinois State Board of Education

Super Circular Written Policies and
Internal Controls
• Increased requirements for written policies for
Federal Grants
• Increased emphasis on LEA’s Internal Control
Structure

8

Illinois State Board of Education

Time and Effort Requirements
• For any staff paid from a federal grant, the
grant rules requires that time and effort
certification be maintained.

9

Illinois State Board of Education

Required Time and Effort
Documentation
• Semiannual Certification
– Single Cost Objective
• Works on one Federal Award
• Totally funded by Federal Award

10

Illinois State Board of Education

Required Time and Effort
Documentation
• Personnel Activity Report – PAR
– Multiple Cost Objective
• Works on more than one Federal Award
• Is split funded

11

Illinois State Board of Education

Reminders for Time and Effort
• Documented Policy and Procedures for
Time and Effort
• Ongoing Training of Staff Regarding Time
and Effort
• Maintaining Time and Effort Records

12

Illinois State Board of Education

Time and Effort Findings
• Not accounting for changes in position,
duties or funding source
• Reporting according to how ratios were
budgeted when different from actual
• Reports not reviewed or signed by
appropriate staff

13

Illinois State Board of Education

References and Helpful Links
• United States Department of Education:
http://ed.gov
• Office of Management and Budget (OMB) Circular A-87:
http://www.whitehouse.gov/omb/circulars/a087/a87_2004.html#a
tta
• Illinois Program Accounting Manual (IPAM):
http://www.isbe.net/sfms/html/ipam.htm
• State and Federal Grant Administration Policy and Fiscal
Requirements and Procedures:
http://www.isbe.net/funding/pdf/fiscal_procedure_handbk.pdf
• http://www.isbe.net/e-bulletins/default.htm
• http://isbe.net/ea/htm/checklist.htm

14

Illinois State Board of Education

Contact Information
Illinois State Board of Education
Federal and State Monitoring Division
100 North First Street
Springfield, IL 62777
217-782-7970

15

Illinois State Board of Education

Questions and Answers

16


Slide 6

Federal and State Monitoring
Title I Directors
Conference September
2014
1

Illinois State Board of Education

OMB Omni Circular and Time
and Effort Documentation

2

Illinois State Board of Education

Topics of Interest
• Overview of OMB Uniform
Administrative Requirements, Cost
Principals and Audit Requirements for
Federal Awards
• Time and Effort

3

Illinois State Board of Education

OMB Super Circular





Subrecipient Monitoring
Compensation Personal Services
Single Audit Requirements – Threshold
Written Policies and Internal Controls

4

Illinois State Board of Education

Super Circular Subrecipient
Monitoring – Risk Assessment






Prior Experience with same or similar awards
Results of previous audits
Is the LEA required to have a A-133 Audit
New Personnel or substantially changed systems
The results of Federal awarding agency monitoring

5

Illinois State Board of Education

Super Circular Compensation
Personal Services
• Increases emphasis on internal controls of
subrecipient for personnel cost.
• Provides less prescriptive guidance on
documentation

6

Illinois State Board of Education

Super Circular Single Audit
Requirements – Threshold
• Increases the Requirement for an A-133 Audit from
current level of $500,000 to $750,000

7

Illinois State Board of Education

Super Circular Written Policies and
Internal Controls
• Increased requirements for written policies for
Federal Grants
• Increased emphasis on LEA’s Internal Control
Structure

8

Illinois State Board of Education

Time and Effort Requirements
• For any staff paid from a federal grant, the
grant rules requires that time and effort
certification be maintained.

9

Illinois State Board of Education

Required Time and Effort
Documentation
• Semiannual Certification
– Single Cost Objective
• Works on one Federal Award
• Totally funded by Federal Award

10

Illinois State Board of Education

Required Time and Effort
Documentation
• Personnel Activity Report – PAR
– Multiple Cost Objective
• Works on more than one Federal Award
• Is split funded

11

Illinois State Board of Education

Reminders for Time and Effort
• Documented Policy and Procedures for
Time and Effort
• Ongoing Training of Staff Regarding Time
and Effort
• Maintaining Time and Effort Records

12

Illinois State Board of Education

Time and Effort Findings
• Not accounting for changes in position,
duties or funding source
• Reporting according to how ratios were
budgeted when different from actual
• Reports not reviewed or signed by
appropriate staff

13

Illinois State Board of Education

References and Helpful Links
• United States Department of Education:
http://ed.gov
• Office of Management and Budget (OMB) Circular A-87:
http://www.whitehouse.gov/omb/circulars/a087/a87_2004.html#a
tta
• Illinois Program Accounting Manual (IPAM):
http://www.isbe.net/sfms/html/ipam.htm
• State and Federal Grant Administration Policy and Fiscal
Requirements and Procedures:
http://www.isbe.net/funding/pdf/fiscal_procedure_handbk.pdf
• http://www.isbe.net/e-bulletins/default.htm
• http://isbe.net/ea/htm/checklist.htm

14

Illinois State Board of Education

Contact Information
Illinois State Board of Education
Federal and State Monitoring Division
100 North First Street
Springfield, IL 62777
217-782-7970

15

Illinois State Board of Education

Questions and Answers

16


Slide 7

Federal and State Monitoring
Title I Directors
Conference September
2014
1

Illinois State Board of Education

OMB Omni Circular and Time
and Effort Documentation

2

Illinois State Board of Education

Topics of Interest
• Overview of OMB Uniform
Administrative Requirements, Cost
Principals and Audit Requirements for
Federal Awards
• Time and Effort

3

Illinois State Board of Education

OMB Super Circular





Subrecipient Monitoring
Compensation Personal Services
Single Audit Requirements – Threshold
Written Policies and Internal Controls

4

Illinois State Board of Education

Super Circular Subrecipient
Monitoring – Risk Assessment






Prior Experience with same or similar awards
Results of previous audits
Is the LEA required to have a A-133 Audit
New Personnel or substantially changed systems
The results of Federal awarding agency monitoring

5

Illinois State Board of Education

Super Circular Compensation
Personal Services
• Increases emphasis on internal controls of
subrecipient for personnel cost.
• Provides less prescriptive guidance on
documentation

6

Illinois State Board of Education

Super Circular Single Audit
Requirements – Threshold
• Increases the Requirement for an A-133 Audit from
current level of $500,000 to $750,000

7

Illinois State Board of Education

Super Circular Written Policies and
Internal Controls
• Increased requirements for written policies for
Federal Grants
• Increased emphasis on LEA’s Internal Control
Structure

8

Illinois State Board of Education

Time and Effort Requirements
• For any staff paid from a federal grant, the
grant rules requires that time and effort
certification be maintained.

9

Illinois State Board of Education

Required Time and Effort
Documentation
• Semiannual Certification
– Single Cost Objective
• Works on one Federal Award
• Totally funded by Federal Award

10

Illinois State Board of Education

Required Time and Effort
Documentation
• Personnel Activity Report – PAR
– Multiple Cost Objective
• Works on more than one Federal Award
• Is split funded

11

Illinois State Board of Education

Reminders for Time and Effort
• Documented Policy and Procedures for
Time and Effort
• Ongoing Training of Staff Regarding Time
and Effort
• Maintaining Time and Effort Records

12

Illinois State Board of Education

Time and Effort Findings
• Not accounting for changes in position,
duties or funding source
• Reporting according to how ratios were
budgeted when different from actual
• Reports not reviewed or signed by
appropriate staff

13

Illinois State Board of Education

References and Helpful Links
• United States Department of Education:
http://ed.gov
• Office of Management and Budget (OMB) Circular A-87:
http://www.whitehouse.gov/omb/circulars/a087/a87_2004.html#a
tta
• Illinois Program Accounting Manual (IPAM):
http://www.isbe.net/sfms/html/ipam.htm
• State and Federal Grant Administration Policy and Fiscal
Requirements and Procedures:
http://www.isbe.net/funding/pdf/fiscal_procedure_handbk.pdf
• http://www.isbe.net/e-bulletins/default.htm
• http://isbe.net/ea/htm/checklist.htm

14

Illinois State Board of Education

Contact Information
Illinois State Board of Education
Federal and State Monitoring Division
100 North First Street
Springfield, IL 62777
217-782-7970

15

Illinois State Board of Education

Questions and Answers

16


Slide 8

Federal and State Monitoring
Title I Directors
Conference September
2014
1

Illinois State Board of Education

OMB Omni Circular and Time
and Effort Documentation

2

Illinois State Board of Education

Topics of Interest
• Overview of OMB Uniform
Administrative Requirements, Cost
Principals and Audit Requirements for
Federal Awards
• Time and Effort

3

Illinois State Board of Education

OMB Super Circular





Subrecipient Monitoring
Compensation Personal Services
Single Audit Requirements – Threshold
Written Policies and Internal Controls

4

Illinois State Board of Education

Super Circular Subrecipient
Monitoring – Risk Assessment






Prior Experience with same or similar awards
Results of previous audits
Is the LEA required to have a A-133 Audit
New Personnel or substantially changed systems
The results of Federal awarding agency monitoring

5

Illinois State Board of Education

Super Circular Compensation
Personal Services
• Increases emphasis on internal controls of
subrecipient for personnel cost.
• Provides less prescriptive guidance on
documentation

6

Illinois State Board of Education

Super Circular Single Audit
Requirements – Threshold
• Increases the Requirement for an A-133 Audit from
current level of $500,000 to $750,000

7

Illinois State Board of Education

Super Circular Written Policies and
Internal Controls
• Increased requirements for written policies for
Federal Grants
• Increased emphasis on LEA’s Internal Control
Structure

8

Illinois State Board of Education

Time and Effort Requirements
• For any staff paid from a federal grant, the
grant rules requires that time and effort
certification be maintained.

9

Illinois State Board of Education

Required Time and Effort
Documentation
• Semiannual Certification
– Single Cost Objective
• Works on one Federal Award
• Totally funded by Federal Award

10

Illinois State Board of Education

Required Time and Effort
Documentation
• Personnel Activity Report – PAR
– Multiple Cost Objective
• Works on more than one Federal Award
• Is split funded

11

Illinois State Board of Education

Reminders for Time and Effort
• Documented Policy and Procedures for
Time and Effort
• Ongoing Training of Staff Regarding Time
and Effort
• Maintaining Time and Effort Records

12

Illinois State Board of Education

Time and Effort Findings
• Not accounting for changes in position,
duties or funding source
• Reporting according to how ratios were
budgeted when different from actual
• Reports not reviewed or signed by
appropriate staff

13

Illinois State Board of Education

References and Helpful Links
• United States Department of Education:
http://ed.gov
• Office of Management and Budget (OMB) Circular A-87:
http://www.whitehouse.gov/omb/circulars/a087/a87_2004.html#a
tta
• Illinois Program Accounting Manual (IPAM):
http://www.isbe.net/sfms/html/ipam.htm
• State and Federal Grant Administration Policy and Fiscal
Requirements and Procedures:
http://www.isbe.net/funding/pdf/fiscal_procedure_handbk.pdf
• http://www.isbe.net/e-bulletins/default.htm
• http://isbe.net/ea/htm/checklist.htm

14

Illinois State Board of Education

Contact Information
Illinois State Board of Education
Federal and State Monitoring Division
100 North First Street
Springfield, IL 62777
217-782-7970

15

Illinois State Board of Education

Questions and Answers

16


Slide 9

Federal and State Monitoring
Title I Directors
Conference September
2014
1

Illinois State Board of Education

OMB Omni Circular and Time
and Effort Documentation

2

Illinois State Board of Education

Topics of Interest
• Overview of OMB Uniform
Administrative Requirements, Cost
Principals and Audit Requirements for
Federal Awards
• Time and Effort

3

Illinois State Board of Education

OMB Super Circular





Subrecipient Monitoring
Compensation Personal Services
Single Audit Requirements – Threshold
Written Policies and Internal Controls

4

Illinois State Board of Education

Super Circular Subrecipient
Monitoring – Risk Assessment






Prior Experience with same or similar awards
Results of previous audits
Is the LEA required to have a A-133 Audit
New Personnel or substantially changed systems
The results of Federal awarding agency monitoring

5

Illinois State Board of Education

Super Circular Compensation
Personal Services
• Increases emphasis on internal controls of
subrecipient for personnel cost.
• Provides less prescriptive guidance on
documentation

6

Illinois State Board of Education

Super Circular Single Audit
Requirements – Threshold
• Increases the Requirement for an A-133 Audit from
current level of $500,000 to $750,000

7

Illinois State Board of Education

Super Circular Written Policies and
Internal Controls
• Increased requirements for written policies for
Federal Grants
• Increased emphasis on LEA’s Internal Control
Structure

8

Illinois State Board of Education

Time and Effort Requirements
• For any staff paid from a federal grant, the
grant rules requires that time and effort
certification be maintained.

9

Illinois State Board of Education

Required Time and Effort
Documentation
• Semiannual Certification
– Single Cost Objective
• Works on one Federal Award
• Totally funded by Federal Award

10

Illinois State Board of Education

Required Time and Effort
Documentation
• Personnel Activity Report – PAR
– Multiple Cost Objective
• Works on more than one Federal Award
• Is split funded

11

Illinois State Board of Education

Reminders for Time and Effort
• Documented Policy and Procedures for
Time and Effort
• Ongoing Training of Staff Regarding Time
and Effort
• Maintaining Time and Effort Records

12

Illinois State Board of Education

Time and Effort Findings
• Not accounting for changes in position,
duties or funding source
• Reporting according to how ratios were
budgeted when different from actual
• Reports not reviewed or signed by
appropriate staff

13

Illinois State Board of Education

References and Helpful Links
• United States Department of Education:
http://ed.gov
• Office of Management and Budget (OMB) Circular A-87:
http://www.whitehouse.gov/omb/circulars/a087/a87_2004.html#a
tta
• Illinois Program Accounting Manual (IPAM):
http://www.isbe.net/sfms/html/ipam.htm
• State and Federal Grant Administration Policy and Fiscal
Requirements and Procedures:
http://www.isbe.net/funding/pdf/fiscal_procedure_handbk.pdf
• http://www.isbe.net/e-bulletins/default.htm
• http://isbe.net/ea/htm/checklist.htm

14

Illinois State Board of Education

Contact Information
Illinois State Board of Education
Federal and State Monitoring Division
100 North First Street
Springfield, IL 62777
217-782-7970

15

Illinois State Board of Education

Questions and Answers

16


Slide 10

Federal and State Monitoring
Title I Directors
Conference September
2014
1

Illinois State Board of Education

OMB Omni Circular and Time
and Effort Documentation

2

Illinois State Board of Education

Topics of Interest
• Overview of OMB Uniform
Administrative Requirements, Cost
Principals and Audit Requirements for
Federal Awards
• Time and Effort

3

Illinois State Board of Education

OMB Super Circular





Subrecipient Monitoring
Compensation Personal Services
Single Audit Requirements – Threshold
Written Policies and Internal Controls

4

Illinois State Board of Education

Super Circular Subrecipient
Monitoring – Risk Assessment






Prior Experience with same or similar awards
Results of previous audits
Is the LEA required to have a A-133 Audit
New Personnel or substantially changed systems
The results of Federal awarding agency monitoring

5

Illinois State Board of Education

Super Circular Compensation
Personal Services
• Increases emphasis on internal controls of
subrecipient for personnel cost.
• Provides less prescriptive guidance on
documentation

6

Illinois State Board of Education

Super Circular Single Audit
Requirements – Threshold
• Increases the Requirement for an A-133 Audit from
current level of $500,000 to $750,000

7

Illinois State Board of Education

Super Circular Written Policies and
Internal Controls
• Increased requirements for written policies for
Federal Grants
• Increased emphasis on LEA’s Internal Control
Structure

8

Illinois State Board of Education

Time and Effort Requirements
• For any staff paid from a federal grant, the
grant rules requires that time and effort
certification be maintained.

9

Illinois State Board of Education

Required Time and Effort
Documentation
• Semiannual Certification
– Single Cost Objective
• Works on one Federal Award
• Totally funded by Federal Award

10

Illinois State Board of Education

Required Time and Effort
Documentation
• Personnel Activity Report – PAR
– Multiple Cost Objective
• Works on more than one Federal Award
• Is split funded

11

Illinois State Board of Education

Reminders for Time and Effort
• Documented Policy and Procedures for
Time and Effort
• Ongoing Training of Staff Regarding Time
and Effort
• Maintaining Time and Effort Records

12

Illinois State Board of Education

Time and Effort Findings
• Not accounting for changes in position,
duties or funding source
• Reporting according to how ratios were
budgeted when different from actual
• Reports not reviewed or signed by
appropriate staff

13

Illinois State Board of Education

References and Helpful Links
• United States Department of Education:
http://ed.gov
• Office of Management and Budget (OMB) Circular A-87:
http://www.whitehouse.gov/omb/circulars/a087/a87_2004.html#a
tta
• Illinois Program Accounting Manual (IPAM):
http://www.isbe.net/sfms/html/ipam.htm
• State and Federal Grant Administration Policy and Fiscal
Requirements and Procedures:
http://www.isbe.net/funding/pdf/fiscal_procedure_handbk.pdf
• http://www.isbe.net/e-bulletins/default.htm
• http://isbe.net/ea/htm/checklist.htm

14

Illinois State Board of Education

Contact Information
Illinois State Board of Education
Federal and State Monitoring Division
100 North First Street
Springfield, IL 62777
217-782-7970

15

Illinois State Board of Education

Questions and Answers

16


Slide 11

Federal and State Monitoring
Title I Directors
Conference September
2014
1

Illinois State Board of Education

OMB Omni Circular and Time
and Effort Documentation

2

Illinois State Board of Education

Topics of Interest
• Overview of OMB Uniform
Administrative Requirements, Cost
Principals and Audit Requirements for
Federal Awards
• Time and Effort

3

Illinois State Board of Education

OMB Super Circular





Subrecipient Monitoring
Compensation Personal Services
Single Audit Requirements – Threshold
Written Policies and Internal Controls

4

Illinois State Board of Education

Super Circular Subrecipient
Monitoring – Risk Assessment






Prior Experience with same or similar awards
Results of previous audits
Is the LEA required to have a A-133 Audit
New Personnel or substantially changed systems
The results of Federal awarding agency monitoring

5

Illinois State Board of Education

Super Circular Compensation
Personal Services
• Increases emphasis on internal controls of
subrecipient for personnel cost.
• Provides less prescriptive guidance on
documentation

6

Illinois State Board of Education

Super Circular Single Audit
Requirements – Threshold
• Increases the Requirement for an A-133 Audit from
current level of $500,000 to $750,000

7

Illinois State Board of Education

Super Circular Written Policies and
Internal Controls
• Increased requirements for written policies for
Federal Grants
• Increased emphasis on LEA’s Internal Control
Structure

8

Illinois State Board of Education

Time and Effort Requirements
• For any staff paid from a federal grant, the
grant rules requires that time and effort
certification be maintained.

9

Illinois State Board of Education

Required Time and Effort
Documentation
• Semiannual Certification
– Single Cost Objective
• Works on one Federal Award
• Totally funded by Federal Award

10

Illinois State Board of Education

Required Time and Effort
Documentation
• Personnel Activity Report – PAR
– Multiple Cost Objective
• Works on more than one Federal Award
• Is split funded

11

Illinois State Board of Education

Reminders for Time and Effort
• Documented Policy and Procedures for
Time and Effort
• Ongoing Training of Staff Regarding Time
and Effort
• Maintaining Time and Effort Records

12

Illinois State Board of Education

Time and Effort Findings
• Not accounting for changes in position,
duties or funding source
• Reporting according to how ratios were
budgeted when different from actual
• Reports not reviewed or signed by
appropriate staff

13

Illinois State Board of Education

References and Helpful Links
• United States Department of Education:
http://ed.gov
• Office of Management and Budget (OMB) Circular A-87:
http://www.whitehouse.gov/omb/circulars/a087/a87_2004.html#a
tta
• Illinois Program Accounting Manual (IPAM):
http://www.isbe.net/sfms/html/ipam.htm
• State and Federal Grant Administration Policy and Fiscal
Requirements and Procedures:
http://www.isbe.net/funding/pdf/fiscal_procedure_handbk.pdf
• http://www.isbe.net/e-bulletins/default.htm
• http://isbe.net/ea/htm/checklist.htm

14

Illinois State Board of Education

Contact Information
Illinois State Board of Education
Federal and State Monitoring Division
100 North First Street
Springfield, IL 62777
217-782-7970

15

Illinois State Board of Education

Questions and Answers

16


Slide 12

Federal and State Monitoring
Title I Directors
Conference September
2014
1

Illinois State Board of Education

OMB Omni Circular and Time
and Effort Documentation

2

Illinois State Board of Education

Topics of Interest
• Overview of OMB Uniform
Administrative Requirements, Cost
Principals and Audit Requirements for
Federal Awards
• Time and Effort

3

Illinois State Board of Education

OMB Super Circular





Subrecipient Monitoring
Compensation Personal Services
Single Audit Requirements – Threshold
Written Policies and Internal Controls

4

Illinois State Board of Education

Super Circular Subrecipient
Monitoring – Risk Assessment






Prior Experience with same or similar awards
Results of previous audits
Is the LEA required to have a A-133 Audit
New Personnel or substantially changed systems
The results of Federal awarding agency monitoring

5

Illinois State Board of Education

Super Circular Compensation
Personal Services
• Increases emphasis on internal controls of
subrecipient for personnel cost.
• Provides less prescriptive guidance on
documentation

6

Illinois State Board of Education

Super Circular Single Audit
Requirements – Threshold
• Increases the Requirement for an A-133 Audit from
current level of $500,000 to $750,000

7

Illinois State Board of Education

Super Circular Written Policies and
Internal Controls
• Increased requirements for written policies for
Federal Grants
• Increased emphasis on LEA’s Internal Control
Structure

8

Illinois State Board of Education

Time and Effort Requirements
• For any staff paid from a federal grant, the
grant rules requires that time and effort
certification be maintained.

9

Illinois State Board of Education

Required Time and Effort
Documentation
• Semiannual Certification
– Single Cost Objective
• Works on one Federal Award
• Totally funded by Federal Award

10

Illinois State Board of Education

Required Time and Effort
Documentation
• Personnel Activity Report – PAR
– Multiple Cost Objective
• Works on more than one Federal Award
• Is split funded

11

Illinois State Board of Education

Reminders for Time and Effort
• Documented Policy and Procedures for
Time and Effort
• Ongoing Training of Staff Regarding Time
and Effort
• Maintaining Time and Effort Records

12

Illinois State Board of Education

Time and Effort Findings
• Not accounting for changes in position,
duties or funding source
• Reporting according to how ratios were
budgeted when different from actual
• Reports not reviewed or signed by
appropriate staff

13

Illinois State Board of Education

References and Helpful Links
• United States Department of Education:
http://ed.gov
• Office of Management and Budget (OMB) Circular A-87:
http://www.whitehouse.gov/omb/circulars/a087/a87_2004.html#a
tta
• Illinois Program Accounting Manual (IPAM):
http://www.isbe.net/sfms/html/ipam.htm
• State and Federal Grant Administration Policy and Fiscal
Requirements and Procedures:
http://www.isbe.net/funding/pdf/fiscal_procedure_handbk.pdf
• http://www.isbe.net/e-bulletins/default.htm
• http://isbe.net/ea/htm/checklist.htm

14

Illinois State Board of Education

Contact Information
Illinois State Board of Education
Federal and State Monitoring Division
100 North First Street
Springfield, IL 62777
217-782-7970

15

Illinois State Board of Education

Questions and Answers

16


Slide 13

Federal and State Monitoring
Title I Directors
Conference September
2014
1

Illinois State Board of Education

OMB Omni Circular and Time
and Effort Documentation

2

Illinois State Board of Education

Topics of Interest
• Overview of OMB Uniform
Administrative Requirements, Cost
Principals and Audit Requirements for
Federal Awards
• Time and Effort

3

Illinois State Board of Education

OMB Super Circular





Subrecipient Monitoring
Compensation Personal Services
Single Audit Requirements – Threshold
Written Policies and Internal Controls

4

Illinois State Board of Education

Super Circular Subrecipient
Monitoring – Risk Assessment






Prior Experience with same or similar awards
Results of previous audits
Is the LEA required to have a A-133 Audit
New Personnel or substantially changed systems
The results of Federal awarding agency monitoring

5

Illinois State Board of Education

Super Circular Compensation
Personal Services
• Increases emphasis on internal controls of
subrecipient for personnel cost.
• Provides less prescriptive guidance on
documentation

6

Illinois State Board of Education

Super Circular Single Audit
Requirements – Threshold
• Increases the Requirement for an A-133 Audit from
current level of $500,000 to $750,000

7

Illinois State Board of Education

Super Circular Written Policies and
Internal Controls
• Increased requirements for written policies for
Federal Grants
• Increased emphasis on LEA’s Internal Control
Structure

8

Illinois State Board of Education

Time and Effort Requirements
• For any staff paid from a federal grant, the
grant rules requires that time and effort
certification be maintained.

9

Illinois State Board of Education

Required Time and Effort
Documentation
• Semiannual Certification
– Single Cost Objective
• Works on one Federal Award
• Totally funded by Federal Award

10

Illinois State Board of Education

Required Time and Effort
Documentation
• Personnel Activity Report – PAR
– Multiple Cost Objective
• Works on more than one Federal Award
• Is split funded

11

Illinois State Board of Education

Reminders for Time and Effort
• Documented Policy and Procedures for
Time and Effort
• Ongoing Training of Staff Regarding Time
and Effort
• Maintaining Time and Effort Records

12

Illinois State Board of Education

Time and Effort Findings
• Not accounting for changes in position,
duties or funding source
• Reporting according to how ratios were
budgeted when different from actual
• Reports not reviewed or signed by
appropriate staff

13

Illinois State Board of Education

References and Helpful Links
• United States Department of Education:
http://ed.gov
• Office of Management and Budget (OMB) Circular A-87:
http://www.whitehouse.gov/omb/circulars/a087/a87_2004.html#a
tta
• Illinois Program Accounting Manual (IPAM):
http://www.isbe.net/sfms/html/ipam.htm
• State and Federal Grant Administration Policy and Fiscal
Requirements and Procedures:
http://www.isbe.net/funding/pdf/fiscal_procedure_handbk.pdf
• http://www.isbe.net/e-bulletins/default.htm
• http://isbe.net/ea/htm/checklist.htm

14

Illinois State Board of Education

Contact Information
Illinois State Board of Education
Federal and State Monitoring Division
100 North First Street
Springfield, IL 62777
217-782-7970

15

Illinois State Board of Education

Questions and Answers

16


Slide 14

Federal and State Monitoring
Title I Directors
Conference September
2014
1

Illinois State Board of Education

OMB Omni Circular and Time
and Effort Documentation

2

Illinois State Board of Education

Topics of Interest
• Overview of OMB Uniform
Administrative Requirements, Cost
Principals and Audit Requirements for
Federal Awards
• Time and Effort

3

Illinois State Board of Education

OMB Super Circular





Subrecipient Monitoring
Compensation Personal Services
Single Audit Requirements – Threshold
Written Policies and Internal Controls

4

Illinois State Board of Education

Super Circular Subrecipient
Monitoring – Risk Assessment






Prior Experience with same or similar awards
Results of previous audits
Is the LEA required to have a A-133 Audit
New Personnel or substantially changed systems
The results of Federal awarding agency monitoring

5

Illinois State Board of Education

Super Circular Compensation
Personal Services
• Increases emphasis on internal controls of
subrecipient for personnel cost.
• Provides less prescriptive guidance on
documentation

6

Illinois State Board of Education

Super Circular Single Audit
Requirements – Threshold
• Increases the Requirement for an A-133 Audit from
current level of $500,000 to $750,000

7

Illinois State Board of Education

Super Circular Written Policies and
Internal Controls
• Increased requirements for written policies for
Federal Grants
• Increased emphasis on LEA’s Internal Control
Structure

8

Illinois State Board of Education

Time and Effort Requirements
• For any staff paid from a federal grant, the
grant rules requires that time and effort
certification be maintained.

9

Illinois State Board of Education

Required Time and Effort
Documentation
• Semiannual Certification
– Single Cost Objective
• Works on one Federal Award
• Totally funded by Federal Award

10

Illinois State Board of Education

Required Time and Effort
Documentation
• Personnel Activity Report – PAR
– Multiple Cost Objective
• Works on more than one Federal Award
• Is split funded

11

Illinois State Board of Education

Reminders for Time and Effort
• Documented Policy and Procedures for
Time and Effort
• Ongoing Training of Staff Regarding Time
and Effort
• Maintaining Time and Effort Records

12

Illinois State Board of Education

Time and Effort Findings
• Not accounting for changes in position,
duties or funding source
• Reporting according to how ratios were
budgeted when different from actual
• Reports not reviewed or signed by
appropriate staff

13

Illinois State Board of Education

References and Helpful Links
• United States Department of Education:
http://ed.gov
• Office of Management and Budget (OMB) Circular A-87:
http://www.whitehouse.gov/omb/circulars/a087/a87_2004.html#a
tta
• Illinois Program Accounting Manual (IPAM):
http://www.isbe.net/sfms/html/ipam.htm
• State and Federal Grant Administration Policy and Fiscal
Requirements and Procedures:
http://www.isbe.net/funding/pdf/fiscal_procedure_handbk.pdf
• http://www.isbe.net/e-bulletins/default.htm
• http://isbe.net/ea/htm/checklist.htm

14

Illinois State Board of Education

Contact Information
Illinois State Board of Education
Federal and State Monitoring Division
100 North First Street
Springfield, IL 62777
217-782-7970

15

Illinois State Board of Education

Questions and Answers

16


Slide 15

Federal and State Monitoring
Title I Directors
Conference September
2014
1

Illinois State Board of Education

OMB Omni Circular and Time
and Effort Documentation

2

Illinois State Board of Education

Topics of Interest
• Overview of OMB Uniform
Administrative Requirements, Cost
Principals and Audit Requirements for
Federal Awards
• Time and Effort

3

Illinois State Board of Education

OMB Super Circular





Subrecipient Monitoring
Compensation Personal Services
Single Audit Requirements – Threshold
Written Policies and Internal Controls

4

Illinois State Board of Education

Super Circular Subrecipient
Monitoring – Risk Assessment






Prior Experience with same or similar awards
Results of previous audits
Is the LEA required to have a A-133 Audit
New Personnel or substantially changed systems
The results of Federal awarding agency monitoring

5

Illinois State Board of Education

Super Circular Compensation
Personal Services
• Increases emphasis on internal controls of
subrecipient for personnel cost.
• Provides less prescriptive guidance on
documentation

6

Illinois State Board of Education

Super Circular Single Audit
Requirements – Threshold
• Increases the Requirement for an A-133 Audit from
current level of $500,000 to $750,000

7

Illinois State Board of Education

Super Circular Written Policies and
Internal Controls
• Increased requirements for written policies for
Federal Grants
• Increased emphasis on LEA’s Internal Control
Structure

8

Illinois State Board of Education

Time and Effort Requirements
• For any staff paid from a federal grant, the
grant rules requires that time and effort
certification be maintained.

9

Illinois State Board of Education

Required Time and Effort
Documentation
• Semiannual Certification
– Single Cost Objective
• Works on one Federal Award
• Totally funded by Federal Award

10

Illinois State Board of Education

Required Time and Effort
Documentation
• Personnel Activity Report – PAR
– Multiple Cost Objective
• Works on more than one Federal Award
• Is split funded

11

Illinois State Board of Education

Reminders for Time and Effort
• Documented Policy and Procedures for
Time and Effort
• Ongoing Training of Staff Regarding Time
and Effort
• Maintaining Time and Effort Records

12

Illinois State Board of Education

Time and Effort Findings
• Not accounting for changes in position,
duties or funding source
• Reporting according to how ratios were
budgeted when different from actual
• Reports not reviewed or signed by
appropriate staff

13

Illinois State Board of Education

References and Helpful Links
• United States Department of Education:
http://ed.gov
• Office of Management and Budget (OMB) Circular A-87:
http://www.whitehouse.gov/omb/circulars/a087/a87_2004.html#a
tta
• Illinois Program Accounting Manual (IPAM):
http://www.isbe.net/sfms/html/ipam.htm
• State and Federal Grant Administration Policy and Fiscal
Requirements and Procedures:
http://www.isbe.net/funding/pdf/fiscal_procedure_handbk.pdf
• http://www.isbe.net/e-bulletins/default.htm
• http://isbe.net/ea/htm/checklist.htm

14

Illinois State Board of Education

Contact Information
Illinois State Board of Education
Federal and State Monitoring Division
100 North First Street
Springfield, IL 62777
217-782-7970

15

Illinois State Board of Education

Questions and Answers

16


Slide 16

Federal and State Monitoring
Title I Directors
Conference September
2014
1

Illinois State Board of Education

OMB Omni Circular and Time
and Effort Documentation

2

Illinois State Board of Education

Topics of Interest
• Overview of OMB Uniform
Administrative Requirements, Cost
Principals and Audit Requirements for
Federal Awards
• Time and Effort

3

Illinois State Board of Education

OMB Super Circular





Subrecipient Monitoring
Compensation Personal Services
Single Audit Requirements – Threshold
Written Policies and Internal Controls

4

Illinois State Board of Education

Super Circular Subrecipient
Monitoring – Risk Assessment






Prior Experience with same or similar awards
Results of previous audits
Is the LEA required to have a A-133 Audit
New Personnel or substantially changed systems
The results of Federal awarding agency monitoring

5

Illinois State Board of Education

Super Circular Compensation
Personal Services
• Increases emphasis on internal controls of
subrecipient for personnel cost.
• Provides less prescriptive guidance on
documentation

6

Illinois State Board of Education

Super Circular Single Audit
Requirements – Threshold
• Increases the Requirement for an A-133 Audit from
current level of $500,000 to $750,000

7

Illinois State Board of Education

Super Circular Written Policies and
Internal Controls
• Increased requirements for written policies for
Federal Grants
• Increased emphasis on LEA’s Internal Control
Structure

8

Illinois State Board of Education

Time and Effort Requirements
• For any staff paid from a federal grant, the
grant rules requires that time and effort
certification be maintained.

9

Illinois State Board of Education

Required Time and Effort
Documentation
• Semiannual Certification
– Single Cost Objective
• Works on one Federal Award
• Totally funded by Federal Award

10

Illinois State Board of Education

Required Time and Effort
Documentation
• Personnel Activity Report – PAR
– Multiple Cost Objective
• Works on more than one Federal Award
• Is split funded

11

Illinois State Board of Education

Reminders for Time and Effort
• Documented Policy and Procedures for
Time and Effort
• Ongoing Training of Staff Regarding Time
and Effort
• Maintaining Time and Effort Records

12

Illinois State Board of Education

Time and Effort Findings
• Not accounting for changes in position,
duties or funding source
• Reporting according to how ratios were
budgeted when different from actual
• Reports not reviewed or signed by
appropriate staff

13

Illinois State Board of Education

References and Helpful Links
• United States Department of Education:
http://ed.gov
• Office of Management and Budget (OMB) Circular A-87:
http://www.whitehouse.gov/omb/circulars/a087/a87_2004.html#a
tta
• Illinois Program Accounting Manual (IPAM):
http://www.isbe.net/sfms/html/ipam.htm
• State and Federal Grant Administration Policy and Fiscal
Requirements and Procedures:
http://www.isbe.net/funding/pdf/fiscal_procedure_handbk.pdf
• http://www.isbe.net/e-bulletins/default.htm
• http://isbe.net/ea/htm/checklist.htm

14

Illinois State Board of Education

Contact Information
Illinois State Board of Education
Federal and State Monitoring Division
100 North First Street
Springfield, IL 62777
217-782-7970

15

Illinois State Board of Education

Questions and Answers

16