REGION 10 EDUCATION SERVICE CENTER by malj

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									      ONGOING IMPROVEMENT
      SELF-ASSESSMENT GUIDE:
        PROGRAM AND FISCAL
           PERFORMANCE

                          for

 Texas Support for Homeless Education
    Program (TEXSHEP) Subgrant
              Recipients
Funded by the U.S. Department of Education McKinney-Vento
   Education for Homeless Children and Youths Program

    Years 2 &3 of Three-Year Grant Cycle:
            September 1, 2010-August 31, 2012
                        REGION 10 EDUCATION SERVICE CENTER
     Texas Support for Homeless Education Program (TEXSHEP), 2009-2012
     Subgrantee Program and Fiscal Performance Guide––Years Two and Three, 2010-2012




For all grant years, please submit your completed document by email by the date in the
notification letter to: appropriate reviewer’s email address




FOR REVIEWER ONLY––Provide the information below in order to complete this
document

Type of Review (Answer: On-Site or Phone)

Year of Review (Answer: Two or Three)

Reviewer(s) from THEO

Reviewer(s) from Region 10

Date of Review

Date Received by Reviewer




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                           REGION 10 EDUCATION SERVICE CENTER
      Texas Support for Homeless Education Program (TEXSHEP), 2009-2012
     Subgrantee Program and Fiscal Performance Guide––Years Two and Three, 2010-2012




                        Purpose of the Self-Assessment
McKinney-Vento subgrant recipients manage many responsibilities, including identifying
students in homeless situations and ensuring that they are enrolled in school, arranging
transportation for these students, developing activities that are likely to keep them in school and
increase the students’ academic success, collaborating with other district programs as well as
community programs, collecting and submitting data, and working closely with the business
office to ensure expenditures are correct and reports are submitted in a timely manner. The self-
assessment provides the subgrantee an opportunity to step away from these demands and reflect
on the degree to which the project is carrying out its proposed plan for ensuring a quality
program for students experiencing homelessness.

The goal of this self-assessment is to help the subgrantee identify the program and fiscal
strengths of the project as well as areas where improvement might be needed. It is also
designed to help the subgrantee determine the extent to which it complies with McKinney-
Vento and other Federal laws as well as with state laws. Working with the project reviewer,
THEO, and Region 10, the subgrantee will use the information gleaned from the review to build
on successes and improve where necessary.

Projects will be scored using the following rubric:

Maximum Possible: 100 Points
90-100    Exceeds Expectations
80-89     Above Expectations
70-79     Meets Expectations
Below 70  Does Not Meet Expectations

Please answer questions as briefly and completely as possible. Throughout the document, items
in bold underline call for a response, an attachment, or some similar action. These items are
highlighted to assist the subgrantee; several other items require responses but are not highlighted
because they are obvious.




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                           REGION 10 EDUCATION SERVICE CENTER
     Texas Support for Homeless Education Program (TEXSHEP), 2009-2012
     Subgrantee Program and Fiscal Performance Guide––Years Two and Three, 2010-2012



                           Federal and State Compliance
IMPORTANT NOTE: This section is to be completed only by projects that received a “0”
on any compliance item in the previous project review

List below any compliance items for which the project received a “0” in the last report. State
the number of the item and a description of the item exactly as it appeared on the report (this can
be cut and pasted from the electronic version of the report). For each item, briefly describe the
steps the project is taking to remain in compliance regarding that issue.




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                               REGION 10 EDUCATION SERVICE CENTER
       Texas Support for Homeless Education Program (TEXSHEP), 2009-2012
      Subgrantee Program and Fiscal Performance Guide––Years Two and Three, 2010-2012



                                 Part 1: Project Information
                                           (8 Points)

TEXSHEP subgrant recipients: Do not complete questions 1 and 2. These two items will
be scored by the reviewer(s) and are provided here for informational purposes only.

1.    The degree to which the Assessment Guide was sent to the reviewer in a timely manner (3
      Points)

2.    The degree to which the Assessment Guide was complete and accurate when received by
      the reviewer (5 Points)


TEXSHEP subgrant recipients: Provide the information for items 3 – 19.

LEA information:
3.    Name of the LEA/ESC

4,    County/District Number


McKinney-Vento Project Director information:
5,    Name of McKinney-Vento Project
      Director

6.    Phone Number of McKinney-Vento
      Project Director

7.    Email address of McKinney-Vento
      Project Director


Homeless Liaison information:
8.    Name of Homeless Liaison

9.    Phone Number of Homeless Liaison

10.   Email address of Homeless Liaison


Business Office Contact information:
11.   Name of Business Office Contact

12.   Phone Number of Business Office
      Contact


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                               REGION 10 EDUCATION SERVICE CENTER
       Texas Support for Homeless Education Program (TEXSHEP), 2009-2012
      Subgrantee Program and Fiscal Performance Guide––Years Two and Three, 2010-2012



13.   Email address of Business Office
      Contact


Person completing this assessment information:
14.   Name of person completing this
      assessment

15.   Phone number for person completing
      this assessment guide

16.   Email address for person completing
      this assessment guide


Cut-off date for information:
17.   Cut-off date for student data reflected
      in this assessment guide

18.   Cut-off date for financial data
      reflected in this assessment guide



19.   Attach the Contact Information form for all staff participating in the mid-year
      review that are not identified above




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                           REGION 10 EDUCATION SERVICE CENTER
     Texas Support for Homeless Education Program (TEXSHEP), 2009-2012
     Subgrantee Program and Fiscal Performance Guide––Years Two and Three, 2010-2012




   Part 2: Project Implementation/Evaluation Design/Use of Data
               (Schedule #6D/Project Data Collection)
                                          (60 Points)

Schedule #6D is used to measure progress toward achievement of stated outcomes. To
complete this schedule, an electronic copy of the schedule that incorporates all the changes that
might have been made to the schedule during negotiation must be available. Do not use the
original electronic copy of Schedule #6D if changes were made to it. If changes were made
to Schedule #6D, an electronic copy of the schedule as it was most recently approved in
your application will have to be created. If Schedule #6D was extended in year 2 and/or 3,
the copy included must be the most recently approved copy of the schedule with all changes that
were made in negotiation.

There were several items that were left blank on Schedule #6D when the application was
completed (#4, #9, #10, #11). Those blank columns are to be filled in now as part of the self-
assessment. There are directions below for completing each of the blank boxes—please fill out
the blank boxes for each objective and activity as directed below.

Attach a completed Schedule #6D as approved in the NOGA from Region 10 for each
objective following the directions below for each box as described below. Samples of
completed Schedule #6D can be found in the Grant Management section of the THEO website.

DO NOT SUBMIT THE EXAMPLES; USE THEM AS A REFERENCE ONLY.

 Box 4

 State the Actual Outcome(s). Record the project’s actual outcomes at mid-year for each
 objective and note if the outcome is likely not to meet expectations, to meet expectations, or to
 exceed expectations within the identified time frame.

 Box 9

 State the Actual Measurable Output(s). Record what actually occurred as a result of the
 activities based on data collected on an on-going basis throughout the school year. Be
 prepared to show documentation to verify the response.

 Box 10

 Status. In this section, be prepared to discuss where the project is as of the date of the review
 regarding the following: 1) time frames, 2) data analysis; 3) outputs, 4) measured criteria, and
 5) budget implications for each activity. Use these elements to describe the status of each
 activity now that the project has advanced to mid-year.

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                           REGION 10 EDUCATION SERVICE CENTER
      Texas Support for Homeless Education Program (TEXSHEP), 2009-2012
     Subgrantee Program and Fiscal Performance Guide––Years Two and Three, 2010-2012



 Box 11

 Changes/Adjustments needed for the remainder of this year and for next year (Changes
 for next year are applicable only in Year 2). Record the changes or adjustments that will be
 made in order to ensure greater success in meeting anticipated measurable target outcomes for
 the remainder of the current grant year. This description may also show that no adjustments
 are needed as the anticipated measurable outcome has been met or exceeded; therefore, the
 project will continue to be implemented as is into the next grant year, if applicable.

 If the target outcome was met and doesn’t need to be repeated, there might be a need for a new
 objective with new measurable target outcome(s) for the subsequent grant year (if applicable).
 Or, the analysis might indicate the need for a different objective/outcome that will more
 successfully address the prioritized need.

PLEASE NOTE: The data the project collects on an ongoing basis is important because it
gives the project an overall understanding of the nature of homelessness in the district or region.
For this section, also attach a copy of the most recent data submission, i.e., the data tables
submitted to THEO.

Information collected in this section and during the interview will assist the reviewer in
understanding the effectiveness of the overall project.

Project Implementation
IMPORTANT: Questions 1-6 are yes/no questions. Answer “yes” only if the item has been
fully accomplished to the extent possible given the time of year the review is being conducted.
If the item has not been accomplished, answer “no” and explain why.

1. Is the project on track to meet its anticipated outcomes as outlined on Schedule #6D, box #4,
   of the application? (5 Points)

Answer either yes or no.
If no, please explain.

2. Has the project conducted the number and types of activities as planned on Schedule #6D,
   box #5, of the application? (5 Points)

Answer either yes or no.
If no, please explain.




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                           REGION 10 EDUCATION SERVICE CENTER
     Texas Support for Homeless Education Program (TEXSHEP), 2009-2012
     Subgrantee Program and Fiscal Performance Guide––Years Two and Three, 2010-2012



3. Is the project meeting its time frames for activity completion as planned on Schedule #6D,
   box #6, of the application? (4 Points)

Answer either yes or no.
If no, please explain.

4. Is the project collecting the data to measure the criteria identified on Schedule #6D, box #7,
   of the application that is most effective for measuring the actual outputs/outcomes? (5
   Points)

Answer either yes or no.
If no, please explain.

5. Is the project meeting the anticipated outputs as identified on Schedule #6D, box #8, and
   addressed for results at mid-year on Schedule #6D, box #9, of the application? (9 Points)

Answer either yes or no.
If no, please explain.

6. Did the project update the status of each activity on Schedule #6D, box #10, of the
   application? (4 Points)

Answer either yes or no.
If no, please explain.

7. Briefly describe any changes that are needed in order to meet the anticipated outputs
   and outcomes, as identified on Schedule #6D, box #11, of the application. (4 Points)


Successes
8. Briefly describe the project’s successes including any best practices the project has
   developed or implemented. (6 Points)




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                           REGION 10 EDUCATION SERVICE CENTER
      Texas Support for Homeless Education Program (TEXSHEP), 2009-2012
     Subgrantee Program and Fiscal Performance Guide––Years Two and Three, 2010-2012



Overall Data Collection Analysis
9. Use the project’s most recent data submission to answer items 9a-9c below. (8 Points)

   9a. Identify any trends suggested by the data collection (example: the number of
       younger students in homeless situations seems to be increasing; there are more students
       living in motels and hotels; etc.)

   9b. State any issues and/or concerns that have emerged as a result of analyzing the data.

   9c. Describe any changes already made or that will be made because of information
       gleaned from analyzing project data, such as services that might be needed for students
       or a change in project activities.

DO NOT ANSWER ITEMS 10 AND 11. Information gathered by the reviewer during the
review will be used to assess these items. These items will appear in the project review
report the district will receive and are provided here for informational purposes only.


Project Management
10. The extent to which the project director is knowledgeable about the day-to-day project
    operations and is able to address current activities, data collection, and output status as
    stated in Schedule #6D (5 Points)

11. The extent to which the project director is knowledgeable about the overall goals of the
    program and is able to identify best practices and/or changes needed to achieve the
    anticipated outcomes in Schedule #6D (5 points)




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                           REGION 10 EDUCATION SERVICE CENTER
     Texas Support for Homeless Education Program (TEXSHEP), 2009-2012
     Subgrantee Program and Fiscal Performance Guide––Years Two and Three, 2010-2012




    Part 3: Collaboration/Coordination (Schedule #6F) and Title I
       Services for Children and Youth in Homeless Situations
                           (Schedule #6G)
                                          (12 Points)

Attach a copy of Schedule 6F as approved in the NOGA from Region 10 and state any
progress made in Column 3, “Status of collaborative activity.” The individual completing
this schedule must have an electronic copy of the schedule that incorporates all the changes that
might have been made to the schedule during negotiation. Do not use the original electronic
copy of Schedule #6F if changes were made to it. If changes were made to Schedule #6F,
create an electronic copy of the schedule as it was most recently approved in your
application. If extended Schedule #6F was extended in year 2 and/or 3, the copy included
should be the most recently approved copy of the schedule, with all changes that were made in
negotiation.

The reviewer will discuss the degree to which each collaboration activity has been completed
through the date of the review. Refer to letters of support, activities underway, and any
resources provided by collaborators. Be prepared to provide supporting documentation should
the reviewer request it. Samples of completed Schedule #6F can be found in the Grant
Management section of the THEO website.

This part of the review will also examine Title I collaboration as described on Schedule #6G.
Do not attach Schedule #6G but do have it ready for review during the interview.

DO NOT SUBMIT THE EXAMPLES; USE THEM AS A REFERENCE ONLY.


1. The Project updated Schedule #6F Collaboration/Coordination as part of this review. Attach
   completed Schedule #6F per above instructions. (2 Points)

2. Briefly describe how the project has collaborated with other programs in the district as
   outlined in the application, noting any changes. (2 Points)

3. Briefly describe how the project has collaborated with other federal, state, and local
   organizations or agencies as outlined in the application, noting any changes. (2 Points)

4. Briefly describe any collaborative successes, including innovative or model activities and
   best practices. (2 Points)




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                        REGION 10 EDUCATION SERVICE CENTER
     Texas Support for Homeless Education Program (TEXSHEP), 2009-2012
    Subgrantee Program and Fiscal Performance Guide––Years Two and Three, 2010-2012



5. Describe how McKinney-Vento and Title I work together, including:

   a. how student needs are identified

   b. how funds are budgeted

   c. how the McKinney-Vento project accesses Title I funds

   (4 Points)




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                           REGION 10 EDUCATION SERVICE CENTER
     Texas Support for Homeless Education Program (TEXSHEP), 2009-2012
     Subgrantee Program and Fiscal Performance Guide––Years Two and Three, 2010-2012




              Part 4: Financial and Fiscal Compliance Review
                                          (20 Points)

Purpose Of The Financial Review
The purpose of the financial review is to ensure that the project is spending funds according the
budget outlined in the approved application. The financial review also ensures that expenditures
are made according to guidelines set forth by TEA. Some discrepancies may be able to be
corrected at the time of the review, such as coding errors or typos, while others might require
further review and action.

Immediately after this introductory page, please attach the following:

   1. A summary General Ledger, a report of detailed general ledger transactions, and a
      payroll ledger for the period from the beginning of the year in review to the date of
      this self-assessment report. These data should tie to the expenditure chart below.
   2. A copy of the most recently submitted quarterly expense report.
   3. The most recently completed Anticipated Annual Expense form.
   4. An adjusted AAE form if necessary.

The reviewer will go over each program budget category and line items within those categories.
The reviewer may ask for specific information about particular expenditures and/or for
documentation to verify that funds have been spent as described in the application. Please be
prepared to present supporting documentation that verifies how specific expenditures are tied to
or being used to support homeless students in the manner approved in the application.

In general, subgrantees are required to manage federal financial assistance programs in
compliance with applicable laws and regulations. Specifically, OMB Cost Principles, Code of
Federal Regulations, and the TEA Financial Accounting System Resource Guide. Controls
should be in place to ensure that funds are expended in accordance with the allowable
expenditure rules.

While the project director is responsible for completing this section, it is recommended that
some level of collaboration with the finance department take place in finalizing this section of
the self-assessment.

Please read the items below carefully and provide responses for all items in bold underline.
Missing information is likely to result in a loss of points.

1. A copy of the current accounting policies and procedures manual should be available for
   review on the date of the visit.



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                              REGION 10 EDUCATION SERVICE CENTER
     Texas Support for Homeless Education Program (TEXSHEP), 2009-2012
     Subgrantee Program and Fiscal Performance Guide––Years Two and Three, 2010-2012



   Please identify and describe the policies and procedures applicable to grants
   management and the McKinney-Vento subgrant in particular. (5 points)


2. Fill in the table below by summary expense object. Be prepared to provide
   documentation of actual expenditures (e.g., listing of vendors and amounts spent per vendor,
   invoices and contracts for services rendered, receipts for goods purchased, sign-in sheets or
   hours logged for payroll, etc.).

   The information in the table below is as of (date):

   This date should match that of the summary and detailed General Ledgers that were
   submitted prior to the review.


                Summary Expense            Budgeted           Actual           %       Remaining           Expected
                  Object Code             Expenditures      Expenditures      Spent   Expenditures(3)   timeframe for
                                           Including       Spent to Date(2)    to                         Remaining
                                         Amendments (1)                       Date                      Expenditures(4)
              6100  Payroll Costs
              6200  Professional &
                    Contracted
                     Services
              6300 Supplies &
              Materials
              6400 Other Operating
              Costs
              6600 Capital Outlay
                        Indirect Costs
                                 Total
              1
                Amount should agree to the budgeted expenditures as shown in the most recently approved
              budget
              2
                Amount should agree to the General Ledger detail provided to date at a summarized level.
              3
                Budgeted Expenditures including amendments less Actual Expenditures Spent to date
              4
                Briefly describe when the remaining funds are expected to be spent (i.e. $10k in February, $5k
              in March, etc.).


   To determine if funds have been spent in the manner specified in the application,
   explain any differences between the Anticipated Annual Expenditures form, the RFA
   budgeted expenditures and actual expenditures as shown in the table above; if there
   are no differences, simply write “no differences”: (5 points)

   Will an amendment be required as a result of this review of your project’s activities
   and budget (Answer: Yes or No):

   If Yes, briefly describe the purpose of the amendment:




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                          REGION 10 EDUCATION SERVICE CENTER
     Texas Support for Homeless Education Program (TEXSHEP), 2009-2012
     Subgrantee Program and Fiscal Performance Guide––Years Two and Three, 2010-2012



   Identify the name and position of the staff member who is responsible for coding
   expenditures related to the TEXSHEP program:

   Name:
   Position:

3. NOTE: A zero score on this item will require immediate corrective action and
   may result in serious funding consequences.

   Describe how revenue and expenditures are coded to ensure that TEXSHEP subgrant
   funds are not commingled with other grant funding sources:



   Describe the support documentation that is kept for all TEXSHEP subgrant revenues
   and expenditures recorded in the General Ledger:

   Describe how this support documentation is maintained:

   During the Visit
   Be prepared to show appropriate payroll records and time-and-effort reports for all grant-
   funded positions. Be prepared to show that all TEXSHEP subgrant expenditures shown in
   the General Ledger are tied specifically to homeless students (e.g., if TEXSHEP funds are
   budgeted for tutoring, the project can produce a list of homeless students who were tutored
   by personnel paid by TEXSHEP funds). (5 points)


4. Describe below, as applicable, how the project director, homeless liaison and/or other
   appropriate grant personnel are included a. in the hiring process for all payroll-related
   expenditures and b. in the approval process for all non-payroll related expenditures:

   a. hiring process:

   b. approval process:

   Explain in the box below the process and frequency with which the project director and
   finance department employee meet to a. ensure that the organization’s budget is in
   agreement with the project budget and, b. that revenues and expenditures are properly
   recorded and reported: (5 points)




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                          REGION 10 EDUCATION SERVICE CENTER
     Texas Support for Homeless Education Program (TEXSHEP), 2009-2012
     Subgrantee Program and Fiscal Performance Guide––Years Two and Three, 2010-2012



Process (explain each process below):

a. The project director and finance department employee meet to      Frequency of meetings
   ensure that project’s budget is in agreement with the             (e.g., weekly, monthly,
   organization’s budget.                                            etc.)

Explanation:                                                         Frequency:




b. The project director and finance department employee meet to      Frequency of meetings
   ensure that revenues and expenditures are properly recorded and   (e.g., weekly, monthly,
   reported.                                                         etc.)

Explanation:                                                         Frequency:




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