1 ARRA EETT Competitive Grant Program Teh-yuan Wan Coordinator New York State Education Department June 2010

2 Agenda –ARRA EETT Program Initiation –ARRA EETT Program Implementation –ARRA EETT Program Resources –ARRA EETT Program Coordination –ARRA EETT Program Accountability –ARRA EETT Report Requirement –ARRA EETT Program Evaluation

3 ARRA EETT Program Initiation –Internal and External Approval –ARRA EETT Grantee’s Budget Application Reviewers’ Comments Appropriate Use Review & Approval Budget Funds Allocation Matrix –ARRA EETT Grantee’s Information Project Highlight or Abstract Website on the Grant Project

4 ARRA EETT Program Implementation –Grant Period: 5/1/2010 – 9/30/2011 –Grant Funds Distribution” Initiation – 20% of the funds FS-25 for Reimbursement of Expenses FS-10A for Budget Amendment FS-10F for Final Budget Report (10%) –ARRA EETT Program Activities Web calendar updates Systemic Record Keeping for Accountability

5 ARRA EETT Program Accountability ARRA EETT Report Requirement –Dr. Deborah Cunninghuma ARRA EETT Program Evaluation –Local Program Evaluation –Student Technology Literacy Assessment –Statewide Program Evaluation

6 Requirements for American Recovery and Reinvestment Act Funds Administered by NYSED Deborah H. Cunningham Coordinator New York State Education Department Office of Educational Management Services June 2010

7 1. Legislation and Appropriations ARRA funding is a one-time appropriation to be provided over a 27 month period (mainly and ). President has pledged an unprecedented level of transparency and accountability. Quarterly reporting is required. The first quarter reporting period was for the quarter ending September 30, Grant Recipients have reported three times.

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9 Purpose and Requirements The intent of these funds is to create jobs and avert layoffs while promoting education reforms. Reporting will focus on the number of jobs created and retained. Calculations for all positions reported as a percentage of “Full-Time Equivalents”. For example, the number of hours worked is divided by the number of hours of full time employment. ARRA funds are federal grants and subject to all federal reporting requirements.

2. ARRA Quarterly Reporting Reporting Period and Deadlines * * 2010-Q1 implemented 12/18/09 OMB Revised Guidance to report expenditures cumulatively from the beginning of the Act but to report jobs directly paid for in the quarter being reported. 8

11 Roles Prime recipient: NYSED is serving as the prime recipient for most ARRA education funds in New York State. Sub-recipient: Entities whose mission requires them to perform certain functions regardless of grant funds received, such as local education agencies. Vendors: Organizations or businesses which sub- recipients contract for services, but which are not required to provide services absent the grant funding. Some entities can serve more than one role.

12 NYSED and LEAs NYSED and Sub-recipients Approximately 1,000 sub-recipients, many with multiple awards. Sub-recipients first submitted over 3,000 reports to NYSED through the ARRA system on October 1, 2009 for the first quarter of the fiscal year (July 1-September 23, 2009). Sub-recipients, e.g., school districts, report on vendor contracts. Sub-recipient vendors do not report directly to NYSED. NYSED reviews, approves and aggregates the data from sub- recipients and reports it to the federal government on their behalf.

13 Sub-recipients Report Limited Amount of Data Quarterly through NYSED Online System Online ARRA System collects: - Brief Program Narrative -Jobs created and retained -Vendor information limited to: Payment amount Sub-award ID Name and zip of vendor OR DUNS number -Infrastructure amount (IDEA and Stabilization)

14 The Department Uses Expenditure Information From Existing Financial Systems Expenditure information is provided directly to the agency payment office as part of the claims process. At NYSED, payment offices are the Office of Grants Finance or Fiscal Management. Sub-recipients do not need to report expenditure information through the ARRA Reporting System. –For ARRA funds that NYSED pays to other State agencies, the agency payment office must report expenditure information to NYSED through the program office. For example, OMRDD would report on the use of ARRA-IDEA funds received from NYSED to their VESID program office contact.

Applications Must be Approved For ARRA-funded programs, sub-recipients must apply and have their application approved by NYSED. Sub-recipients then submit ARRA reporting data on each funded program, subject to approval by NYSED. 13

16 Proposed Reporting Timeline Online System opens on the Portal: 6/2/10 Deadline for data from sub-recipients: 6/30/10 NYSED submits report to federal government: 7/10/10 NYSED makes corrections: 7/11/10-7/12/10 Federal review and SED corrections: 7/13/10-7/29/10 Reports published on 7/30/10www.recovery.gov Next quarterly report cycle begins: 9/1/10

17 Accessing the Online Portal through NYSED Currently, only the CEO, using their user identification and password can access the ARRA Reporting option on the SED portal. The CEO must delegate access to the application through SEDDAS for others (including auditors) to use the portal or view the data. Technical assistance options are available on-line for any difficulties with the SEDDAS system or questions on how to delegate access to other administrators. Office of Management Services provides individual phone assistance during working hours.

18 The NYSED Application Business Portal

19 ARRA Reporting System Reporting will answer key questions: -Who is receiving Recovery Act funds and in what amounts? -What projects or activities are being funded with Recovery Act dollars? -What is the completion status of such projects or activities and what impact have they had on job creation and retention? Reporting is required for each grant a sub-recipient receives. Recipients select the appropriate fund from a drop-down list. For Education Stabilization Funds, the system also includes an application and will include a final expenditure report.

Sub-recipient Information 18

Sub-recipient Information Data Universal Numbering System (DUNS) number Date for Central Contractor Registration (CCR) -Additional information about DUNS and CCR can be found at: Review guidance at Chief executive must certify and submit data 19

Program Narrative and Summary Describe the programs to be provided Enter jobs saved and directly funded during the quarter Enter jobs created and directly funded during the quarter Enter amount for infrastructure from inception (7-1-09) to end of reporting period (e.g., 6/15/10)—ESF and IDEA only Guidance on job estimates is at 20

Sub-recipient Vendor Data 21

Sub-recipient Vendor Data Sub-recipients must provide data on funds awarded to vendors including BOCES. Sub-recipients must report: –vendor/organization name and zip OR DUNS number, sub-award number and payment amount –FTE’s for jobs retained or created by the vendor 22

CEO Certify and Submit 23

New York State Education ARRA Jobs Reported and Compliance 24

Topics 1.Legislation and Appropriations 2.ARRA Quarterly Reporting 3.Requesting Payment 4.Accounting 5.Allowable Expenses 6.Education Stabilization Funds 7.State Legislation and Recommendations 8.ARRA Monitoring 9.Non-compliance 10.Common Misunderstandings 11.Resources 25

Requesting Payment District staff must have a thorough understanding of the processes and requirements summarized in the Department's Fiscal Guidelines for Federal and State Grants and A Guide to Grants Administration and Implementation Resources. Some funds have an automatic 20 percent first payment upon SED approval of the application Grant recipients draw down funds using FS-25 forms up to 90 percent of the grant amount for actual expenditures to date Districts submit final expenditure information using the FS-10F long form or the on-line system for ESF. For information: –Web— 26

Accounting ARRA grant recipients should have separate accounting of ARRA funds within their financial system The Comptroller has specified revenue codes: The grant recipient must create separate expenditure codes. 31

Allowable Expenses Most grants are governed by the requirements of the particular program (e.g., Title I, Mentor-Teacher Intern Program, etc.) and OMB Circular A-87 Cost Principles Education Stabilization funds can be use for any ESEA or IDEA purposes –Non-allowable expenses are detailed (see Education Stabilization Fund, CFDA No Supplemental Application- Guidance Document Feb 2010) 34

Topics 1.Legislation and Appropriations 2.ARRA Quarterly Reporting 3.Requesting Payment 4.Accounting 5.Allowable Expenses 6.Education Stabilization Funds 7.State Legislation and Recommendations 8.ARRA Monitoring 9.Non-compliance 10.Common Misunderstandings 11.Resources 35

ARRA Monitoring Plan for New York State Desk audits of applications and quarterly reports On-site monitoring of Education Stabilization Funds, Cafeteria grants and programs funded with Other Government Services Funds On-site audits of ARRA ESF, ARRA Title I, and ARRA IDEA 47

ARRA Non-Compliance Make the reporting task easy by streamlining reporting retrieving many data elements from available databases and thus reducing the burden on sub- recipients; Provide good information and training on ARRA reporting in order to win compliance with reporting requirements; and Continue to watch for noncompliance and take steps as appropriate on case-by-case basis. 51

Common Misunderstandings True: Sub-recipients submit requests for payments through a payment office (Grants Finance in most cases) –False: Quarterly reporting is a request for payment True: a Full-time employee is 1.0 FTE per quarter –False: A full-time employee is.25 FTE per quarter True: Job creation refers to jobs created with ARRA funds compared with school year A job created and funded throughout the year remains a job created. –False: That a job created in one quarter is a job saved in the next 53

Common Misunderstandings True: ARRA funds appropriated for school year must be obligated by June 30, 2010 and expended by September 30, 2010 (without legislative change) –False: Supplemental ESF funds can be used next year True: Quarterly reports are due at the end of each quarter: 3/31, 6/30, 9/30, 12/31. This is when quarterly reports are due for each and every ARRA grant (even if there are no changes). –False: Not knowing when the report is due! Fact: Regular updates are available at –False: Forgetting to check the ARRA website 54

11. Resources usny.nysed.gov/arra/ your reporting questions to NYSED: Grants Finance Questions to: s for Federal guidance: SFSF: IDEA: Title I: Office of the Inspector General hotline: Inspector General: 56

37 Use of all ARRA Funds Must Comply with Federal Guidance Saving and Creating Jobs and Reforming Education: An Overview Federal ARRA Legislation: OMB Circular A-87 are the cost principles that are applicable for school districts. Office of Management and Budget: EDGAR ARRA Federal Reporting

38 ARRA EETT Program Initiation –Internal and External Approval –ARRA EETT Grantee’s Budget Application Reviewers’ Comments Appropriate Use Review & Approval Budget Funds Allocation Matrix –ARRA EETT Grantee’s Information Project Highlight or Abstract Website on the Grant Project

39 ARRA EETT Program Implementation –Grant Period: 5/1/2010 – 9/30/2011 –Grant Funds Distribution” Initiation – 20% of the funds FS-25 for Reimbursement of Expenses FS-10A for Budget Amendment FS-10F for Final Budget Report (10%) –ARRA EETT Program Activities Web calendar updates Systemic Record Keeping for Accountability

40 ARRA EETT Program Accountability ARRA EETT Report Requirement ARRA EETT Program Evaluation –Local Program Evaluation –Student Technology Literacy Assessment –Statewide Program Evaluation ARRA EETT Evaluation Reports: –Progress Report (1/31/2011) –Final Project Report (9/30/2011)

41 ARRA EETT Program Evaluation –Local Project Evaluation To help ensure accountability for Ed Tech funds, funded projects must develop a process and accountability measures that they will use to evaluate the extent to which activities funded under the program are effective in: (1) integrating technology into curricula and instruction; (2) increasing the ability of teachers to teach; and (3) enabling students to meet challenging State academic achievement standards including technology literacy standards.

42 ARRA EETT Program Evaluation SEAs must report, through their annual EDFacts submissions, the performance of LEAs receiving Ed Tech funds (either through ARRA or the regular FY 2009 appropriation) on the following four measures: –The percentage of districts receiving Ed Tech funds that have effectively and fully integrated technology. –The percentage of classrooms with Internet access in high and low-poverty schools. –The percentage of teachers who meet their State technology standards. –The percentage of students who meet State technology standards by the end of the eighth grade.

43 ARRA EETT Program Coordination Monthly Webinar on Program Coordination Theme-based Project Coordination Web-based Communication and Collaboration (Ning, Wikispace, etc) Promising Practice Sharing