College and Career Counseling Program Grants
Year Three of the Three-Year Plan
2008-2009
Grant Approval is Contingent upon the Availability of Funds.
BUREAU OF CAREER AND TECHNICAL EDUCATION PENNSYLVANIA DEPARTMENT OF EDUCATION
Commonwealth of Pennsylvania Edward G. Rendell, Governor Department of Education Gerald L. Zahorchak, Secretary Office of Elementary and Secondary Education Diane Castelbuono, Deputy Secretary Bureau of Career and Technical Education Lee Burket, Director Division of Professional Development and Support Services K. C. Simchock, Manager Professional Personnel Development Jay Cannon, Coordinator March 2008 The Pennsylvania Department of Education does not discriminate in its educational programs, activities or employment practices based on race, color, national origin, gender, sexual orientation, disability, age, religion, ancestry, union membership, or any other legally protected category. This policy is in accordance with state law, including the Pennsylvania Human Relations Act, and with federal law, including Title VI and Title VII of the Civil Rights Act of 1964, Title IX of the Education Amendments of 1972, Section 504 of the Rehabilitation Act of 1973, the Age Discrimination in Employment Act of 1967 and the Americans with Disabilities Act of 1990. If you have any questions about this publication, contact: Bureau of Career and Technical Education, 333 Market Street, 6th Floor, Harrisburg, PA 17126, telephone number (717) 772-4177, fax number (717) 783-6672, or e-mail us at ra-bvtefunding@state.pa.us. The following persons have been designated to handle inquiries regarding the non-discrimination policies: For Inquiries Concerning Non-Discrimination in Employment: Pennsylvania Department of Education Equal Employment Opportunity Representative Bureau of Human Resources 333 Market Street, 11th Floor Harrisburg, PA 17126-0333 Voice Telephone: (717) 787-4417 Text Telephone: (717) 783-8445 Fax: (717) 783-9348 For Inquiries Concerning Non-Discrimination in All Other Pennsylvania Department of Education Programs and Activities: Pennsylvania Department of Education School Services Unit Director 333 Market Street, 5th Floor Harrisburg, PA 17126-0333 Voice Telephone: (717) 783-3750 Text Telephone: (717) 783-8445 Fax: (717) 783-6802
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Listing of Contents
INTRODUCTION A. Background B. Grant Program Purpose C. Objectives for Career Development System Improvement Process D. Timeline, Participation and Responsibility Plan E. Evaluation Plan ADMINISTRATIVE PROVISIONS A. Eligibility for Funding B. Requirements for Funding C. Allocations D. Rating of College and Career Counseling Grants GENERAL INFORMATION A. Application Deadline B. How to Apply C. Reasons for Disqualification D. Reasons for Failure of Applications to be Funded E. Notification of Application Approval and Formal Contract F. Justification and Intent to Receive Funding G. Eligible Expenditures GENERAL ADMINISTRATIVE PROVISIONS A. Contracts, Riders, Memoranda of Understanding and Subgrant Agreements B. Classification of Expenditures
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INTRODUCTION A. Background Studies show that when quality counseling programs are fully implemented, students are more likely to take advanced courses, earn higher grade, and develop positive relationships with teachers (1Gysbers, 2004). Students realize the importance of their academic preparation in relation to career choices and postsecondary aspirations. Students become increasingly motivated to learn, to complete advanced courses and to complete high school. In addition, when school counselors and teaching staff focus on the interactions between students and their school, with the expressed purpose of reducing the effects of environmental and institutional barriers that impede student academic success, they become powerful systemic change agents. Likewise studies indicate that too many students are not receiving adequate support in eighth and ninth grade to make sound decisions that enable them to enter the labor market or college ready to succeed. School counselors can be important proactive leaders who ensure that all school personnel, parents and other external stakeholders are effectively collaborating to ensure the success of each and every student (2Education Trust, 2000). Pennsylvania efforts to boost student achievement will have optimal results when assisting students in reaching tangible career exploration, wise course selection and motivational activities that ensure each student is affiliating with the need for good academic results. The Pennsylvania Department of Education is granting the 2006-2007 grant awardees to apply for year three of the original three year grant that will tap the collaboration and leadership skills of academic leaders and school counselors to create a vibrant career exploration, career planning and goal setting process for each and every student in grades 8-12. Grant applicants will be expected to create a student-centered career development system facilitated by the school counselor(s) or other academic leader(s). The Department will be monitoring the applications to demonstrate both systemic reform in a district’s or school’s career development system and a substantive evaluation system that will ensure each year increasingly large percentages of students are prepared for college and career success upon graduation. Schools will provide all students with a college preparatory sequence of courses as defined in Project 720. College and Career Counseling Program Best Practices The following strategies have been found to be successful College and Career Counseling Program components. For year three of this grant, schools will review and implement one or more of these strategies within the context of their local school community. (This section is provided as a simple introduction to successful strategies. For more information and resources, contact Jay Cannon, jcannon@state.pa.us.) 1. Career Pathways
A Career Pathway is a coherent, articulated sequence of rigorous academic and career/technical courses, commencing in the ninth grade and leading to an associate degree, baccalaureate degree and beyond, an industry recognized certificate and/or licensure. The Career Pathway is developed, implemented and
Gysbers, N.C. (2004, October). Comprehensive guidance and counseling programs: The evolution of accountability (pp. 1-8). American School Counseling Association, 8:1. 2 Education Trust. (2000). Challenging the myths: Rethinking the role of school counselors. Author
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maintained in partnership among secondary and postsecondary education, business and employers. Career Pathways are available to all students and lead to rewarding careers3.
To find further information on career pathways, visit Educational Resources Information Center (ERIC), www.eric.ed.gov and use the keyword “career pathways.” 2. Career Academies Career Academies keep students actively engaged in the learning process and focuses upon the successful transition of every student to postsecondary education and employment. Normally, students enter a career academy in either 9th or 10th grade. Typically serving between 150 and 200 students, these small learning communities infuse academic and technical student standards in a career theme, and establish partnerships with local businesses to provide work-based learning opportunities4. School community partnerships begin the development of Career Academies by identifying high priority career clusters. The curriculum is redesigned within each academy to show how various course curricula relate to each other and the career field. The career curriculum is then designed to develop a broad knowledge of the careers within that cluster. Special projects are designed and require students to bring together academic skills across their subjects and apply these to career related experiential projects. 3. Student Peer Mentoring Developing successful mentor relationships between upper class high school students and middle school students assist younger students in understanding the importance of the selection of their courses and academic performance on grade point average and future postsecondary options. These mentors become powerful teachers and can help facilitate a successful transition to high school. Successful program components include clearly defined objectives, highly structured lesson formats, comprehensive training for peer mentors and close supervision of the program.
4. Advisory Programs Through an Advisory Program, teachers and appropriate staff and/or community volunteers assist students in making well-informed academic and career choices. Advisory Programs promote the development of important relationships between an adult and a small number of students. Successful programs have a clearly stated purpose and measurable objectives. The organization and structure of the program has been well thought out and the content/curriculum is clearly relevant to student academic, career and personal/social development. In addition, strong program leadership, on-going assessment and professional development and continuing support for advisors are critical program elements5.
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The above definition of Career Pathways was jointly developed by CORD and the College and Career Transitions Initiative (The League for Innovation in the Community College) and approved by the Office of Vocational and Adult Education (U.S. Department of Education). More information may be found at http://www.cord.org. 4 Kemple, J. J. (2004, March). Career academies: Impacts on labor market outcomes and educational attainment. Retrieved from http://www.mdrc.org. 5 Osofsky, D., Sinner, G. & Wolk, D (2003). Changing systems to personalize learning The power of advisories. Retrieved from http://www.alliance.brown.edu/pubs/changing_systems/power_of_advisories/thepower.pdf
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5. Business and Higher Education Partnerships The development of extensive, productive business partnerships is critical to the success of any career development system. The Department envisions business and higher education partnerships focused upon collaborative partnerships in the development, implementation and evaluation of the career development system. 6. Educator in the Workplace Internships This strategy provides a structure for teachers to gain a learning experience in the workplace in order to develop activities that help students see the rigor that is required in the world they are preparing to enter. The educator in the workplace program can be a long-term program that operates as a standalone program or can be part of the school district in-service plan. The program provides teachers with a realistic understanding of the relationship between a student's academic achievement and the student's future personal and economic success. B. Grant Program Purpose The purpose of year three of the three-year grant is to support a redesign and implementation process that is aimed at dramatically changing and enhancing the approach taken by a school or district toward: • Career exploration • Career development • Career-oriented mentoring • Student support for career goal setting • Student course selection The Department expects that districts or schools will vest the responsibility for facilitating the system redesign and implementation with the school counselor or another academic leader, if appropriate. However, every applicant will be expected to define roles, training and responsibility for every adult in the building with respect to ensuring the success of each student in the targeted school building(s). Applicants must also describe how through this effort, or in tandem with this effort, the school will implement a planned sequence of instruction and strategies that require the mastery of the Pennsylvania Career Education and Work Standards (www.pde.state.pa.us/stateboard_ed) by all students in grades 8 through 12. College counseling and career development uncover the link between learning and life, generate a demand for high achievement regardless of postsecondary goals and provide every student with at least one adult who cares about them, values education and understands career development and educational planning. The end result of a successful College and Career Counseling Program will ensure that every student: 1. Successfully completes an essential core of courses (aligned with Project 720) traditionally prescribed only for college bound students; 2. Is ready for college and requires less remediation once enrolled in college and 3. Is able to analyze the relationship between career choices, career preparation opportunities and creates an individual career plan.
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C. Objectives for Career Development System Improvement Process In order to ensure true systemic change, rather than short-term programmatic change, applicants for the third year College and Career Counseling Program Grant must describe in the application how they will approach the systemic change process, specifically they must explain the following objectives: *Please note that it is important to provide specific data for each objective and to fully describe in each response how things have changed as a result of the CCC Grant. Objective 1: Improved College and Career Counseling Program activities: From year one and two, what data was used to measure the success of this objective? a. How has your Grant contributed to all students taking rigorous courses that will ensure college and career readiness? b. What will your career development program offer to students for year three? c. Summarize year two of the grant and describe what will be the new activities for year three of the three-year grant. d. How often did the College and Career Planning Committee meet during year two? What strategies were designed to engage the school community in the development, implementation and evaluation of the College and Career Counseling Program? e. Did your district hire new staff members from the grant in year two? If so, describe their position and responsibilities. f. In year two, how were business and higher education partners engaged in a meaningful collaboration to design strategies necessary to ensure that not only students, but also parents and faculty, understand the importance of high academic achievement for college and career success? g. Explain how higher education partners are engaged in career development. g. Describe how the CCC Grant increased parent participation within career guidance activities. i. Specifically explain and show data as to how you are working cooperatively with your local Career and Technical Center in implementing the goals and objectives of your Grant. Objective 2: According to your plan for year three, what are the major ways you propose to change your Career and Counseling Program? From year one and two, provide data that was used to measure the success of this objective. a. How does your College and Career Planning Committee collaborate with the Career Technical Center in the development of grant activities? How is this collaboration different from any collaboration with the Career Technical Center before the grant? What have been the outcome thus far from the collaboration and how will they be measured? b. How will the entire school faculty and staff be involved in the implementation and evaluation of the career development system? 6
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c. How will the upper classmen be engaged in the implementation of the career development system? If a peer-mentoring program is in place, please provide data in measuring the success of this program. d. How will parents be engaged on an ongoing basis in the career development system? Objective 3: Year Three of your three year Action Plan: How will data be used to drive change? a. Did the baseline data from years one and two show impact on the system for improvements? How many students currently have a college ready roster at graduation that reflects the impact of the enhanced career development system? Present data to demonstrate that all students are moving toward proficiency on the Career Education and Work Standards. b. What process will be used to analyze the data and use it to improve future work? c. How do you propose to introduce this data into the Career Guidance Program to bring about needed change? d. How do you propose this data will lead to more cooperation with your local Career Technical Center? D. Timeline, Participation and Responsibility Plan Applicants will describe their implementation timeline indicating what aspects of the enhanced career development system will be implemented. The timeline must indicate major milestones, quantitative measures that indicate meeting the milestone, specific strategies employed, implementation summary, adults responsible for ensuring the milestone is met and proposed outcomes. The three-year action plan is to be entered on the eGrant system, which will include the following topics: • • • • • • Major Milestone Objectives Quantitative Measure Participation Target Group Implementation Summary Persons Responsible Outcomes - for year 3 and from year 1 and 2.
E. Evaluation Plan The evaluation plan must address how the school district will assess student proficiency on the proposed academic standards, Career Education and Work Standards, www.pde.state.pa.us/stateboard_ed and demonstrate an increasing larger percentage of students graduating with a college ready roster, college credit and industry certifications and increasing number of students demonstrating developed entrepreneurial skills. Districts should also consider demonstrating impact on student achievement and applicable related variables such as student behavior, attendance, homework completion rates, GPA, enrollment and successful completion of upper level course work, etc. The following information is required: • Number of students, teachers, counselors, paraprofessionals, advisors, mentors and coaches for grades 8 -12 • Students with college preparatory academics 7
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• • • • • • • • •
College credit earned in high school Industry certifications earned in high school Proficiency on Career and Education Work Standards Attendance rate PSSA Math 8th grade level of proficiency PSSA Reading 8th grade level of proficiency PSSA Math 11th grade level of proficiency PSSA Reading 11th grade level of proficiency Incidences of disciplinary referrals
The Department reserves the right to at any time conduct on-site visits during the term of the contract period. During the visits, school districts may be asked to show evidence of the grant.
ADMINISTRATIVE PROVISIONS A. Eligibility for Funding Eligible agencies are school districts that received a College and Career Counseling Grant in 2007-08. Funds will be awarded for year three, based on the availability of funds and on the schools completing their goals and objectives from year two of the grant. B. Requirements for Funding Each grant will be awarded by the Pennsylvania Department of Education to school districts that address the three objectives. School districts must include the secondary career and technical education centers. Each grant recipient must complete a mid year due on January 15th and final report due on July th 15 of 2009. The Pennsylvania Department of Education, Bureau of Career and Technical Education, manages this state funded program. Correspondence concerning this funding program should be addressed to: Jay Cannon Career Counseling Education Advisor Bureau of Career and Technical Education Pennsylvania Department of Education 333 Market Street, 11th Floor Harrisburg, PA 17126-0333 (717) 772-4857 E-mail: jcannon@state.pa.us C. Allocations Each eligible institution may be awarded the same amount of funds as year one of the three-year grant program. Funding for the program is contingent upon the continued availability of funds.
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D. Rating of College and Career Counseling Grants Each application received in accordance with these guidelines will be reviewed and determined by the BCTE. Applicants must ensure that all expenses meet the requirements within these guidelines. The complete evaluation form is on the next page.
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RATING FORM FOR CAREER COUNSELING FUNDING
The purpose of this review instrument is to evaluate the quality of the applications to determine if these projects should be supported. A composite of all reviewer evaluations will determine the success of each application. Unsuccessful applicants may review their scores and reviewers’ comments, but the identity of reviewers will not be revealed.
Applicant _______________________________________________________________ Reviewer _______________________________________________________________
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The proposal addresses the needs assessment of year three and a summary of the plan. The proposal addresses how the college and career counseling planning committee improved the career program.
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The proposal addresses objective 2 20 to describe changes proposed to career counseling plan for year three of the plan. The proposal addresses how the time-lines will use the data to drive change in the program. Evaluation plan identifies evaluation strategies used to determine program effectiveness. The budget expenditures are justified. 25
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TOTAL MAXIMUM POINTS = 105 Comments:
TOTAL SCORE
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GENERAL INFORMATION A. Application Deadline Eligible grant recipients must submit the proposal to the Pennsylvania Department of Education by close of business on May 2, 2008. B. How to Apply Identified school districts applying for college and career counseling funds are required to submit for funding through the online, Internet-based eGrant system found at http://www.pde.state.pa.us C. Reasons for Disqualification 1. Eligibility agency decided to withdraw their school from the application process. 2. The proposal does not propose to develop or operate eligible programs. 3. The proposal does not include service to all students in the schools. D. Reasons for Failure of Applications to be Funded 1. Contractor is identified as not being responsible due to delinquent tax debt, bankruptcy, criminal activity or other conditions specified in the State Contractor Responsibility Program (see Management Directive 215.9 12/30/91). E. Notification of Application Approval and Formal Contract A complete application is accomplished by following the menu on the eGrant system. All sections will need to be completed before an LEA will be able to “SUBMIT.” Once the College and Career Counseling grant is submitted and reviewed by BCTE staff, the grant will be given “Substantial Approval,” and the applicant will be notified automatically via the eGrant email system to print out the contract Rider, obtain appropriate signatures, and send to: Jay Cannon, Bureau of Career and Technical Education, 333 Market Street, 11th Floor, Harrisburg, PA 17126-0333. The chief school officer must sign and date the rider or contract document and send (in paper form) to PDE. The only individual authorized to sign contracts or a rider is the School District Superintendent. F. Justification and Intent to Receive Funding All identified applicants must submit an eGrant application, completing all sections detailing justification for receiving a College and Career Counseling Grant. Proposals must address: a) b) c) d) Need for the Project Objectives of the Project Evaluation Strategies Budget
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G. Eligible Expenditures Related activities as identified in the Objectives section are eligible. Eligible expenditures include: 1. 2. 3. 4. 5. 6. Salaries Benefits Purchased Professional and Technical Services Other Purchased Services Supplies Operational Cost
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GENERAL ADMINISTRATIVE PROVISIONS
A.
Contracts, Riders, Memoranda of Understanding and Subgrant Agreements
1. Agreements for funding between the Pennsylvania Department of Education and the eligible recipient are in the form of a binding agreement. This agreement will be in the form of a Standard Contract, a Rider to a Master Agreement, a Memorandum of Understanding or a Subgrant Agreement, depending on the type of eligible recipient. The appropriate rider will be made available for printing and signing when your application is received and the Bureau reviewer assigns the effective start date. All school district and career centers use a Rider to the five-year Master Agreement. 2. Authorized signatures on agreements. The term “agreement” used below means any of the previous contract formats. Type of Eligible Recipient School District Authorized Signature Superintendent
3. Changes to the agreement language are not recommended. Any change will require the review and approval by PDE’s Chief Counsel and will cause delays in approving the agreement. 4. The term of the project will appear on the agreement when it is printed. The start date is determined by the date that the application was received by PDE in substantially approvable form. 5. After a complete review and approval by PDE and the Comptroller’s Office, an approved and fully executed agreement will be returned to the eligible recipient. B. Classification of Expenditures Items requested are those required to implement the activities described in the project. Each application must contain an itemized budget of all planned expenditures with dollar amounts. Reimbursable costs are limited to the eligible expenditures identified in each function/object. The budget is separated into various functions and objects in accordance with the Pennsylvania School Accounting Manual. Not all functions/objects are allowable budget categories for college and career counseling projects. See individual guidelines for allowable functions/objects. Below is a listing and explanation of the functions and objects. Functions 1. Instruction (1000)—Includes all activities dealing directly with the interaction between teachers or support personnel and students including paraprofessionals, aides or tutors who assist students. Also includes other approved medium such as teleconferencing or distance learning. 2. Pupil Personnel Services (2100)—Activities associated with counseling students and parents, evaluating student abilities, career counseling, referral and placement assistance and support personnel providing assistance with these activities. 13
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3. Staff Support Services (2200)—Activities associated with assisting, supporting and advising the instructional staff with or on the content and process of providing learning experiences for students. Staff in-service and curriculum development activities are listed here. 4. Other Financing Uses—Operational Cost (5000) (state)--Grantees may budget and claim up to six percent (6%) of their project amount for operational cost. The eGrant system will calculate your allowable operational cost. However, you must fill in the amount of the allowable cost you are budgeting. Objects 1. Salaries—Object Code 100—Salaries are budgeted within the function for which they are employed. Show as full-time percentage of full-time, or hourly rate times the number of hours, as applicable. a) Instruction—Function 1000 (1) substitute teachers who interact with students (2) paraprofessionals, aides and tutors assisting instructional personnel (3) drivers for instructional field trips (4) clerical and secretarial staff to support project-funded personnel b) Pupil Personnel Services—Function 2100 (1) guidance personnel (adhere to supplanting rules) (2) clerical and secretarial staff to support project-funded personnel (3) drivers for career-related field trips c) Staff Support Services—Function 2200 (1) personnel assigned to curriculum development (2) personnel assigned to participate in staff development and in-service (3) clerical and secretarial staff to support project-funded personnel 2. Benefits—Object Code 200—Benefits are charged to the same function as the salaries to which they are applicable. Benefits must be charged at the same percent as salaries, e.g., a teacher paid for 50% of his/her time would have benefits charged at 50% or less as well. The amount charged must be the net of offsetting revenue received from the Commonwealth. Benefits do not need to be itemized—a composite rate may be used. 3. Purchased Professional and Technical Services—Object 300 These costs are assigned to the function served. Rate (hourly, daily, etc. and number of hours/days) should be shown as part of the calculation. Copies of sub-contracts may be requested by PDE. Honoraria for Consultants/Resource Persons • If contracted consultant is to provide instruction to students, the costs would appear in the Instruction Function (1000) • If contracted consultant is to provide guidance, counseling or career exploration, the costs would appear under the Pupil Personnel Services Function (2100). • If contracted consultant is to provide support to instructional staff in the form of inservice/professional development or curriculum development, the costs would appear under the Staff Support Services Function (2200). 14
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4. Other Purchased Services—Object 500 a) Student transportation—This object is used for services of a contracted carrier. For instructional field trips, use Function 1000. For career guidance field trips, use Function 2100. b) Travel—Limited to travel within the Commonwealth for staff providing instructional or supplementary services. Justification for travel must be directly tied to specific objectives and activities in the application. Costs should be on the same basis as other employees of the educational agency. Show miles and rate per mile or other calculation for total costs. If the rate per mile exceeds $.445, a board resolution is required if not part of a Master Agreement that references a higher rate. c) Communication costs—The costs for telephone and postage are allowable for project activities only. Telephone and postage costs must be specifically accounted for and documented. d) Printing and Advertising—List anticipated item cost and total cost. Show under function for which the cost is applicable. Only advertising related to recruiting of personnel, procurement of goods or services and public relation costs for notifying the community of the activities of the program are allowable. Promotional and memorabilia or give away items are not allowable. 5. Supplies—Object 600 Supplies and materials, as well as equipment costing less than $1,500, are reported in Object 600 under the function for which the items are purchased. 6. Other Financing Uses—Operational Cost (Object 900) (state) Grantees may budget and claim up to six percent (6%) of their project amount for operational cost. The eGrant system will calculate your allowable operational cost. However, you must fill in the amount of the allowable cost you are budgeting. Utilization and Control of Funds 1. Period of Obligation of Funds by Eligible Recipients—The Department of Education, Bureau of Career and Technical Education determines the beginning date and period of obligation of each project when the total application is received in substantially approvable form. The Bureau acknowledges the completeness of each application via notification on the e-grant system. The period during which funds may be obligated is also included in the agreement. The agreement is printed from an approved e-grant project and will have the beginning and ending dates of the project printed on the document. Obligations shall be in accordance with the following: If the obligation is for: Acquisition of real or personal property The obligation is made: On the date on which the eligible recipient makes a binding written commitment to obtain the property When the services are performed On the date on which eligible recipient makes a binding written commitment to obtain the services On the date on which the eligible recipient makes a binding written commitment to obtain the work 15
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Personal services by an employee of the eligible recipient Personal services by a person who is not an employee of the eligible recipient Performance of work other than personal services
Public utility services Travel Rental of real or personal property
When the eligible receives the services When the travel is taken When the eligible recipient uses the property
Funding of Projects All projects are placed on a system of scheduled payments to provide operating funds during the period of the project. Monthly payments are determined by dividing the project amount by the number of months that the project operates. The Pennsylvania Department of Education Comptroller’s Office will initiate payments upon approval of the project. In the event the start of payments is delayed, the Comptroller’s Office will include back payments in the initial project payment up to a maximum of four monthly payments. No scheduled payments will be issued after the end of the project period, or June 30. Reconciliation of Cash on Hand Quarterly Report The Quarterly Reconciliation of Cash on Hand Reports are due on the 10th working day after each quarter (October, January, April). All grant recipients are required to submit their quarterly reports electronically using the FAI (Financial Accounting Information) website. Paper copies will not be accepted and will not be returned. Such reports will be considered delinquent. The FAI system operates within the e-PDE portal. The e-PDE portal can be accessed through the Pennsylvania Department of Education homepage at www.pde.state.pa.us. From the PDE homepage there is a link marked e-PDE Web Portal on the left side of the page. Technical questions relating to the e-PDE portal should be directed to the e-PDE Help Desk at 717-783-6686. For payment-related questions or for assistance in completion of the quarterly report, call the Labor, Education and Community Services (LECS) Comptroller’s Office, Federal Accounting Division at 717-783-9093, 7839033 or 783-9085. Revisions to Approved Projects 1. Requests for approval of revisions must be submitted no later than April 21 of each fiscal year. The eGrant system will not transmit revisions after April 30. 2. Revisions to approved projects shall be initiated by completing the applicable components of the Grant application online. No revisions may be made until a project has final approval. 3. A project revision must be submitted under any of the following conditions: a) Any costs need to be budgeted in a previously unbudgeted function or object. b) Any changes are requested in equipment items (either new, substitutions or quantity changes). c) Funds need to be transferred from one function or object to another because costs in that function or object are expected to exceed the budgeted amount by at least 10% of the TOTAL budget amount. This 10% variance does not permit expenditures in unbudgeted categories or for unapproved equipment items. The total of each function and each object as shown on the summary budget are used to determine if a budget revision is necessary. For example, a total budget of $50,000 would allow each object TOTAL to exceed the amount budgeted by $5,000 before a budget revision is required. Likewise, each function TOTAL may exceed the amount budgeted by $5,000 before a revision is needed. d) Programmatic changes involve or alter the objective of the project. Programmatic changes need prior approval, even if they are within the 10% rule. 16
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C.
Final Expenditure Reports a. All grant recipients are required to submit their Final Expenditure Reports electronically using the PDE eGrant website. Paper copies will not be accepted and will not be returned. If an electronic copy of the report and signed copy of Page One are not submitted, the report will be considered delinquent. Instructions for completing the Final Expenditure Report are available on PDE’s website at http://www.pde.state.pa.us/career_edu; once there, choose Grants and Funding followed by fiscal reporting forms. b. The Final Expenditure Report is due no later than 60 days after the close of the project. Final Expenditure Reports may be submitted only after completion of project activities and payment of all obligations. However recipients should submit the Final Expenditure Report as soon as all project obligations are paid. c. The Bureau of Budget and Fiscal Management will conduct a review of the Final Expenditure Report for completeness, accuracy and budget compliance. Approved reports are forwarded to the Comptroller’s Office for closure and final payment. Reports found to be incomplete or incorrect are returned to the recipient for further explanation or correction. d. Costs found to be unallowable will be deducted from the total expenditures claimed and will either be subtracted from the final payment or requested as a refund. The recipient has the right to request a reconsideration of any disallowed costs. Upon receipt of notification of a disallowance, a recipient may write to the Bureau of Budget and Fiscal Management at the address below and request reconsideration by explaining the reason for the request. Any documentation that will substantiate the recipient’s request should accompany the letter. A notification will be sent to the recipient regarding the Bureau’s decision. If the recipient is dissatisfied with the response, a request for further reconsideration may be sent to the Director of the Bureau of Career and Technical Education, 11th Floor, 333 Market Street, Harrisburg, PA 17126-0333. e. If circumstances prevent timely submission of the report, approval for an extension of time must be requested by writing to the Career and Technical Education Fiscal Administration Section at the address listed below. f. PDE reserves the right to stop any and all payments of state and federal funds from any source due to a recipient for failure to submit the Final Expenditure Report within 60 days after the close of the project. If a recipient fails to submit a Final Expenditure Report, even after notification of delinquency, PDE may require the recipient to return all funds advanced under the project. g. Any omissions in, or corrections to, the initial submission may be made by submitting a revised Final Expenditure Report. Revised Final Expenditure Reports must be submitted no later than four months after the original due date. h. Even though the Final Expenditure Report will be submitted online, it will be necessary to print out a copy of Page One of the report, obtain an original signature from the Chief School Administrator and mail Page One to:
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Department of Education Bureau of Budget and Fiscal Management Career and Technical Education Fiscal Administration Section 333 Market Street, 4th Floor Harrisburg, PA 17126-0333 It is not necessary to send Page Two to PDE, since it can be printed from the eGrant system. i. A check for any unused funds must accompany Page One. The check should be made payable to the Commonwealth of Pennsylvania. j. Questions concerning the instruction for completion of the Final Expenditure Report should be directed to the Career and Technical Education Fiscal Administration Section, Bureau of Budget and Fiscal Management, PA Department of Education. Telephone number 717-783-6870; email address: ra-ctefiscal@state.pa.us. Record Keeping 1. Each eligible recipient shall retain records of grant activities for at least six years after completion of the activity for which grant funds were used. Equipment records shall be maintained for six years after the disposition, transfer or replacement of the equipment. In the event of an audit, the six-year records retention may be extended until the final resolution of the audit or until the end of the regular six-year period, whichever is later. Federal records retention requirements for state-administered programs are for five years after completion of the activity for which states use grant funds or eligible recipients use subgrant funds. They are set forth in 34 CFR Sections 74.21 and 76.730. The state records retention regulations are for at least six years and are found in the Pennsylvania School Code of 1949, Title 24—Education, Chapter 1, Article 5 (24 PS 5-518). 2. Each eligible recipient is required to maintain adequate records to provide full disclosure of grant expenditures. Such records include purchase orders, invoices, payroll records, time and service function records in support of payroll, bid solicitations, contracts and checks issued.
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