1. Welcome to Region 2! Webinar Date: December 17, 2015 Presented by:
Office of Special Initiatives and Demonstrations
U.S. Department of Labor
Employment and Training Administration

2. Enter your location in the Chat window – lower left of screen
Where are you?
Enter your location in the Chat window – lower left of screen #

3. Moderator Moderator: Jake Blanch Title: Federal Project Officer
Organization: ETA, Region 2 #

4. Presenters Presenter: Laura Tramontana Title: Federal Project Officer
Organization: ETA, Region 2
Presenter: Antonio McKoy
Title: Federal Project Officer
Organization: ETA, Region 2 #

5. Leading Questions What do we mean by “The Region?”
What makes my grant an Agreement?
What is a Modification?
What does Monitoring look like?
What must be reported, how, and why?

6. ETA: Region 2

7. Region 2’s Alphabet Soup
ETA
DWI
DWS
DFMAS
OSID

8. Region 2 Competitively Awarded Grant Initiatives
YouthBuild
Reentry Employment Opportunities
TAACCCT
Workforce Innovation Fund (WIF)
American Apprenticeship Initiative (AAI)
Linking to Employment Activities Pre-Release (LEAP)
National Farmworker Jobs Program (NFJP)
Senior Community Service Employment Program (SCSEP)
Technical Skills Training Grants
Disability Employment Initiative (DEI)
Training to Work (T2W)
Face Forward
Ready to Work Partnerships
Women in Apprenticeship and Non-Traditional Occupations
Youth Career Connect

9. Key Staff: Federal Project Officers
Primary Point of contact to ETA
Reviewer of grantee financial and performance reports
First point of contact for grant modifications
Responsible for monitoring reviews
Available to provide technical assistance
Advocate for your interests, however, not authorized to approve changes to the grant scope of work and/or budget
Front-line for the ETA Grant Office
Act as stewards of these taxpayer resources
Grants Office
FPO
Program Office #

10. What makes my grant an Agreement?
Laura Tramontana
Federal Project Officer
ETA, Region 2 #

11. Grant Award Agreement: The Highlights
Condition of Award
Funding Opportunity Announcement (FOA)
Evaluation, Data, and Implementation
Funding Restrictions
Administrative Requirements
Public Policy
Approved Budget (SF-424A) & Budget Narrative
Approved Statement of Work (SOW)

12. What makes the Grant Award an Agreement?

13. Knowledge Check
After reviewing your grant award package, you realize that a number of things have changed since your Organization submitted the application. Which of the following changes are possible through a formal Request for Modification?
Your Board of Directors would like a newly hired Director to have signatory authority of this grant.
Your organization has a new Indirect Cost Rate Agreement.
A new partnership has afforded new opportunities for your participants.
All of the above.

14. What exactly is a grant modification, anyway?
What is a “Mod?”
What exactly is a grant modification, anyway? #

15. A grant modification is…
…a change to the approved statement of work, budget or agreement.
Grant Modifications must be:
Allowable, necessary and reasonable (outlined in Federal regulations)
Submitted in a timely fashion
Approved by the Grant Officer before you may act on them

16. When is a Modification Appropriate?
Pre-Award
Implementation
Modifications
Grant Success

17. Five Standard Modifications
Budget Realignment
Statement of Work
Equipment Purchase
Administrative
Period-of-Performance (POP) Extension

18. Budget Realignment
A Budget Realignment reallocates grant funds among the budget categories on the SF 424a and is necessary when…
Any changes exceed the budget flexibility provisions outlined in your Grant Award Package

19. Statement of Work Change
Modifies the scope of activities outlined in the Statement Of Work
Examples may include:
New partnerships, credentials, or curricula
Additional services or worksites

20. Equipment Purchase
The purchase of a piece of tangible property having a useful life of at least a year under the grant, at a per unit acquisition cost of $5,000+
Note: these require prior ETA approval, even if spelled out by you in the grant SOW/budget

21. Administrative Changes
A change in managerial and clerical information, such as:
Authorized/Signatory Representative
Indirect Cost Rate Agreement
Mailing address/phone number
Contact information
Adopting Uniform Guidance

22. Period of Performance Extension
Extends the grant period (POP)
Does not come with additional funding
Goal: Performance Improvement

23. How to Submit a Modification
FIRST, contact your FPO for guidance Submit final, complete paperwork to and cc your FPO Requests are not considered officially submitted until they are sent to this mailbox

24. Remember!
Your Request for Modification is only a request Approval must be granted by the Grant Officer before you may take any action

25. What does Monitoring look like?
Jake Blanch
Federal Project Officer
ETA, Region 2 #

26. What does Monitoring look like?

27. Knowledge Check
ETA notified you that an FPO will be monitoring your grant. How much notice will you have?
24 hours
5 business days
30 calendar days
None. SURPRISE!

28. Enhanced Desk Monitoring
2 Types of Monitoring
Enhanced Desk Monitoring
By phone, Skype, , and/or other remote communication
On-Site Monitoring
Physically on location

29. Who: Conducted by your FPO and additional ETA staff
Monitoring Visit
Who?
What?
When?
Who: Conducted by your FPO and additional ETA staff
What: Usually 3-4 days of interviews, file review, and site visits
When: Conducted at any point during the life of the grant; typically conducted at the midpoint of the period of performance

30. Notice and Preparation
Official Notification of Review:
Formal letter confirming scheduled date of review
Core Monitoring Guide & Review Planning Tool
Pre-Monitoring Review Materials list
On-Site Monitoring Review Materials list
Proposed (draft) agenda
Core Monitoring Guide
April 2005
eta
UNITED STATES DEPARTMENT OF LABOR
EMPLOYMENT AND TRAINING ADMINISTRATION

31. Monitoring Steps Notification & Pre-Planning Entrance Conference
Monitoring Review Activities
Exit Conference
Written Report & the Grantee response to Monitoring

32. Review policies and procedures Programmatic Review
What to Expect
Fiscal Review
Transaction Testing
9130 Review
Match documentation
Procurement
Equipment
Time & Effort
A-133 Audit Review
Review policies and procedures
Programmatic Review
Interview:
Staff
Participants
Partners and employers
Review:
Participant Files
Class/Training Schedules
Policies and Procedures
Visit Worksites and other Contracted Providers

33. Common Findings: SOW
Changes were made to the Statement of Work without Grant Officer approval
Change in scope or objective
Adding/deleting program
component
Adding/deleting partner
Changing the Program Structure
Changing target group

34. Common Findings: Compliance
Project significantly behind schedule in achieving grant goals or deliverables
Eligibility requirements and enrollment processes are not sufficiently reflected in official operating policies and procedures
Policies for participant stipends are incomplete and do not reflect current practice

35. Common Findings: Fiscal
Inaccurate reporting on quarterly Financial Reports (accrual, obligations, leveraged resources)
Insufficient:
Cost allocation methodology
Source documentation
Contract administration
Lack of effective controls over grant funds
Budget realigned beyond flexibility limitations and without prior approval

36. Knowledge Check
Grantees have budget flexibility without the need for approval in each of the following categories except…
Supplies
Contractual
Equipment
Travel

37. Federal Project Officer
Reporting
Antonio McKoy
Federal Project Officer
ETA, Region 2 #

38. Reporting Requirements
What you need to know
Reporting Requirements

39. Quarterly Reports for all
ETA Reporting
Quarterly Reports for all
Grant Initiatives
Financial
Performance

40. Reporting Period Reports Due
ETA Reporting
Reporting Period
Reports Due
October 1 - December 31
February 14
January 1 - March 31
May 15
April 1 - June 30
August 14
July 1 - September 30
November 14

41. Regulations to Reference
Code of Federal Regulations Federal Uniform Guidance Training and Employment Guidance Letters Program-specific Regulations (See FOA) Grant Agreement Specifications

42. Financial Reporting
The
ETA Reporting Form

43. Pin and Password
Identify two individuals responsible for financial reporting:
The Primary Contact person will certify the accuracy of the report by entering a PIN (which acts as an electronic signature)
The Secondary Contact will enter the reporting data.
Contact with the following:
Grant agreement number
Name & phone number of both individuals
address for Primary contact person
For more, visit the Financial Reporting section of

44. What is required for the 9130?
Federal Cash
Federal Expenditures
Total Administrative Expenditures Line
Unliquidated Obligations
Recipient Share
Program Income
Additional Federal Funds
Remarks

45. The 9130-Identifying Information
Items 1-9
Background/general information
Check for accuracy
Subaccount number
Grant number
Basis of Accounting
ETA Regulations require that all recipients report on an accrual basis
Final report?
Grant expired
Funds fully expended

46. 5 Major Sections Item 10: Transactions Federal Cash
Federal Expenditures and Unobligated Balance
Recipient Share
Program Income
Additional Expenditure Data Required

47. Reporting Spotlight: Administrative Cost Limitations
Costs not related to the direct provision of workforce investment services, including services to participants and employers
Note that these costs:
…Can be personnel or they can be non-personnel
…Can be direct or indirect
Exact % Limitation identified in your Grant Agreements

48. Reporting Spotlight: Remarks and Certification
12. Remarks: Attach any explanations deemed necessary or information required by Federal sponsoring agency in compliance with governing legislation:
13. Certification: I certify to the best of my knowledge and belief that this report is correct and complete and that all expenditures and unliquidated obligations are for the purposes set forth in the award documents.
a. Typed or Printed Name and Title of Authorized Certifying Official
c. Telephone (Area code, number and extension)
d. address
b. Signature of Authorized Certifying Official
e. Date Report Submitted (Month, Day, Year)

49. ETA 9130: The Reporting Process
Certify
Accepted
Rejected

50. Quarterly Performance Reports (QPR)
Same deadline schedule as 9130
Submission differs per grant initiative
Not sure? Ask your FPO!

51. Funding Opportunity Announcement Statement of Work
Know Your Goals
Funding Opportunity Announcement
Statement of Work
Training and Employment Guidance Letters
Performance Memos #

52. Why Quarterly Fiscal & Performance Reports?
Ensure Success
Trigger TA
Chart Progress #

53. Focusing on Success

54. What does Successful Performance Look Like?
Meeting (or exceeding!) Stated Goals
Implementation of SOW
Compliance with Grant Package & Regulations
Expenditures

55. Tips for Success Have Staff Review the Grant Package & SOW
Keep Data System Up-to-date
Submit modifications allowing for approval time
Create policies based on benchmarks, not dates
Keep grant policies up to date
Keep detailed records of staff and participant activities
Create an Expenditure Projection
Understand allowable costs
And always, always, always…

56. Tips for Success
Contact your FPO!

57. How did we do? What do we mean by “The Region?”
What makes my grant an Agreement?
What is a Modification?
What does Monitoring look like?
What must be reported, how, and why?

58. #

59. Contact your FPO for more information!
Jake Blanch
Matt Capuccini
Nicole Duchman
Keith Hubert
Antonio McKoy
Ralph Person
Christopher Ransome
Laura Tramontana