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					          Effectiveness and Compliance Instrument for
        Learn and Serve America Grant Programs - LEAs
District/Program:

Date:

Reviewer(s):

Person(s) Interviewed and their Position(s):




Note:    The accounting procedures in the Financial Accounting and Reporting (FAR) Module,
         Update 13, of the Financial Accountability System Resource Guide apply to LEAs only.
         (See http://www.tea.state.tx.us/school.finance/audit/resguide13/far/far.pdf.) Other
         institutions must maintain auditable accounting records according to the applicable
         uniform administrative requirements (Common Rule) which reflect the use of project
         funds for activities which are in accordance with applicable statutes, regulations,
         guidelines, and the approved application or contract. (For federal education
         administrative guidance, see http://www.ed.gov/policy/fund/reg/edgarReg/edgar.html .)

Service Learning Texas (SLT) of Region 14 Education Service Center conducts on-site program reviews
of service-learning grant recipients to verify effective implementation of the projects as described in the
application or contract and to ensure compliance with applicable state and federal regulations. The
Effectiveness and Compliance Instrument for Learn and Serve America Grant Programs is designed as a
guide to this review process for both the grant recipient and the SLT consultant(s).

Standard I               COMPLIANCE WITH FISCAL AND ACCOUNTING REQUIREMENTS

                         Availability of Funds for Obligation

Y__N__NA__               A. Did all encumbrances occur within the grant period and were all
                            encumbrances liquidated no later than 30 days after the end of this period?

                            Authority Reference: Approved application, General Provisions and
                            Assurances; FAR, Section 1.8.1.1., Allowable Cost Principles, Attachment B,
                            pp. 707-708.



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Date Revised: 9/8/09                            Revision #: 2
Learn and Serve America Grants                                         Effectiveness and Compliance Instrument

                            NOTE: All purchase orders and contracts/agreements for services must be
                            dated within the beginning and ending dates of the project and must be for
                            activities in the approved application. All products and services must be
                            received no later than 30 days after the grant ending date.

                            Documentation:

                                 Payroll ledger
                                 Purchase orders                                   % of records sampled
                                 Accounting journal
                                 Invoices

                                             Questions/Concerns

      Date                Item                 Purchase Order/Ck#             Problem/Amount




                         Budget Summary

Y__N__NA__               B. Is the budget for this program as approved by SLT staff, with correct
                            expenditure/expense object codes for each approved line item?

                            Authority Reference: 34 CFR 80.20; FAR, Section 1.8.1.2, Administrative
                            Requirements, pp. 707-708; RFA Budget Instructions; General Provisions and
                            Assurances

                            NOTE: The addition of a new direct cost category requires an amendment
                            prior to the expenditure of funds.

                            Documentation:

                                 Budget ledgers, journals
                                 Accounting records
                                 Approved budget
                                 Amendment

                         Payroll Costs


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Date Revised: 9/8/09                           Revision #: 2
Learn and Serve America Grants                                            Effectiveness and Compliance Instrument

Y__N__NA__               C. Are expenditures for personnel clearly related to the operation of the program?

                            Authority Reference: Approved budget and application

                             Documentation:

                                  Payroll schedules
                                  Assignment schedules                                % of records sampled
                                  Approved budget and application
                                  Amendment

                                              Questions/Concerns

         Name(s)/Position                      Central Office/Campus(es)                       Discrepancy




Y__N__NA__               D. 1. Are time distribution records maintained (time and effort) for federally
                               funded personnel assigned to more than one program that reflect the actual
                               amount of time the employee spent in each program? Are actual costs
                               charged to the programs on the basis of these records?

                                 Authority Reference: OMB Circular A-87, Attachment B, section 11h;
                                 FAR, Section 1.8.1.1, Allowable Cost Principles, Attachment B, pp. 678-
                                 679; General Provisions and Assurances

                                 NOTE: The daily schedule may be used to document the percentage of time
                                 and related charges for teachers and aides in lieu of time and effort reports.

                                 Documentation:

                                     Daily schedule
                                     Time and effort records                          % of records sampled
                                     Payroll accounting logs, journals


                                              Questions/Concerns

         Name(s)/Position                      Campus(es)                           Discrepancy

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Y__N__NA__               D. 2. Do time and effort records meet the standards described in OMB Circular
                               A-87 and/or A-121?

                                 (1) They must reflect an after-the fact distribution of the actual activity of
                                 each employee;
                                 (2) They must account for the total activity for which each employee if
                                 compensated;
                                 (3) They must be prepared at least monthly and must coincide with one or
                                 more pay periods;
                                 (4) They must be signed by the employee.

                                 Authority Reference: OMB Circular A-87, Attachment B, section 11h(5);
                                 OMB Circular A-121

                                 Documentation:

                                     Time and effort records                           % of records sampled
                                     Procedures for allocating salaries and wages

Y__N__NA__               D. 3. At a charter school, if a substitute system for allocating salaries and wages
                            to Federal awards is used in place of time and effort reports, does this system
                            meet the acceptable statistical standards described in OMB Circular A-87?

                                 Authority Reference: OMB Circular A-87, Attachment B, section 11h(5);
                                 OMB Circular A-121

                                 Documentation:

                                     Time and effort records                           % of records sampled
                                     Procedures for allocating salaries and wages

Y__N__NA__               D. 4. Are salaries and wages of employees used in meeting cost sharing or
                            matching requirements supported by time and effort documentation in the
                            same manner as those salaries and wages charged to the federal grant?

                                 Authority Reference: OMB Circular A-87, Attachment B, section 11h(5);
                                 OMB Circular A-121

                                 Documentation:
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                                   Time and effort records                          % of records sampled
                                   Procedures for allocating salaries and wages

Y__N__NA__               E. Were funds for professional and contracted services expended in accordance
                            with applicable federal and state regulations and the approved application?

                            Authority Reference: 34 CFR 80.36(b); FAR, Section 1.8.1.1, Allowable Cost
                            Principles, Attachment B, pp. 693-694, and Section 1.8.1.2, Administrative
                            Requirements, pp. 709 and 711-713; General Provisions and Assurances

                            NOTE: Ensure that funds have been expended in accordance with the
                            approved proposal, that payments to individuals for consultant services under
                            the grant do not exceed $540 per day (exclusive of any indirect expenses,
                            travel, supplies, etc.) and that the applicant does all the following:

                            (1) maintains a copy of a signed contract agreement for services to be
                            performed and the rationale/procedure for selecting a particular contractor;

                            (2) maintains evidence that consultants were selected based on qualifications,
                            experience, and reasonableness of costs;

                            (3) identified needs for professional and contracted services based on a prior
                            review of available local resources;

                            (4) ensures that payment was made after service was performed and not
                            before;

                            (5) contracts only with persons not employed by the grantee; and

                            (6) maintains records on the services performed, including the date the service
                            was performed and who received the service and the purpose of the service,
                            and ensures that the services are consistent and satisfactory with that described
                            in the signed contract.

                            Documentation:

                                 Written Contract Agreements
                                 Contractor resumes
                                 Contractor evaluations
                                 Purchase orders, invoices                          % of records sampled
                                 Approved application
                                 Other written documentation
                                 (notes, memos, records, etc.)
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                                                Questions/Concerns


    Date            Contract #                  Consultant                            Problem




                         Supplies and Materials

Y__N__NA__               F. 1. Were funds for supplies and materials spent in accordance with applicable
                               rules and regulations and the approved application?

                                 Authority Reference: FAR, Section 1.8.1.1, Allowable Cost Principles,
                                 Attachment B, pp. 691-692; Provisions and Assurances; approved
                                 application

                                 NOTES:
                                 a. Gifts or items that appear to be gifts are not allowable. Minimal cost
                                 certificates, plaques, ribbons, small trophies, or instruction-related items are
                                 acceptable as awards for participation in program activities. T-shirts are
                                 allowable only if they serve an integral program function and are used as
                                 uniforms that identify student participants.

                                 b. Sales tax will not be reimbursed for supplies and materials purchased for
                                 this grant by tax-exempt organizations. Proper tax-exemption procedures
                                 must be followed when making allowable purchases.

                                 Documentation:

                                      Approved application
                                      Purchase Orders                                   % of records sampled
                                      Invoices

Y__N__NA__               F. 2. If any funds were expended for food costs, were such expenditures
                               approved as line items in the budget narrative, were they reasonable in cost,
                               and were they necessary to accomplish the objectives of the program and
                               allowable as described in the applicable agreement?

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                         NOTE: Only food costs which are justifiable and necessary to accomplish the
                         objectives of the service-learning activities are allowable. Examples of allowable
                         expenditures include snacks for childcare, extended day programs, nutrition
                         education programs, parent involvement activities to encourage participation/
                         attendance, and food for working meals where other alternatives are not feasible.
                         A guest speaker does not constitute a working meal. Refreshments or snacks for
                         staff meetings or staff training are also not allowable expenditures.



                                              Questions/Concerns

      Date          P.O./Ck. #             Vendor                       Amount               Problem




                         Other Operating Costs

Y__N__NA__               G. Were travel funds and other operating costs expended as approved in the
                            application and according to state and federal requirements?

                            Authority Reference: 34 CFR 80.20; FAR, Section 1.8.1.1, Allowable Cost
                            Principles, Attachment B, pp. 698-700; General Provisions; RFA budget
                            instructions
Y__N__NA__                  1. Does documentation for travel indicate mileage, destination, and purpose
                               of travel?

                                 NOTE: Under state guidelines, staff who are required to perform
                                 in-district travel may not be paid a travel allowance. All travel
                                 expenditures must be documented with travel reports/vouchers indicating
                                 date of travel, destination(s), purpose, persons contacted, and costs such as
                                 lodging, meals, and transportation.

                                 Documentation:

                                     Travel vouchers and mileage logs                    % of records sampled
                                     Receipts for lodging
                                     LEA travel policy
                                     Receipts for airfare
                                     Amendment

                                              Questions/Concerns

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Date           Voucher/Ck.#               Vendor                       Name                   Problem




Y__N__NA__                    2. Does the travel specifically relate to the purposes and objectives of the
                                 program?

Y__N__NA__                    3. Is the amount of travel reimbursed in accordance with the maximum
                                 allowable rates for mileage, lodging, and meals?

                                 NOTE: Travel paid from grant funds may not exceed state rates or local
                                 rates, whichever is lower. Any excess must be paid locally and must be
                                 consistent with local policy or must be justified based on written cost
                                 calculations showing equivalent or greater cost of other options (i.e., car
                                 rental for travel, parking, etc.). Exceptions may also be justified to
                                 provide reasonable accommodation for individuals with disabilities, for
                                 emergency travel, and to conduct official business during late-night
                                 meetings. Out-of-state rates follow the per diem rates at www.gsa.gov.

Y__N__NA__                    4. Were other operating expenditures, i.e., insurance, non-employee stipends,
                                 fees, dues, and awards, etc., approved in the application and appropriately
                                 documented?

                                 Documentation:

                                      Purchase orders                                     % of records sampled
                                      Invoices
                                      Approved application

                                             Questions/Concerns

        Date              Expenditure Item                    Amount                      Problem




Y__N__NA__               H. Were students not paid stipends, allowances, post-service benefits, or other
                            financial support except as reimbursement for transportation, meals, and other
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                            reasonable out-of-pocket expenses directly related to program participation?

                            Authority reference: RFP, Provisions and Assurances

                            NOTE: Minor expenses for identification of service learning participants or
                            recognition of excellent or outstanding participant service are allowable.

                            Documentation:

                                 Interviews
                                 Budget ledgers


                                             Questions/Concerns

        Date              Expenditure Item                    Amount                 Problem




                         Equitable Expenditure of Funds for Private School Students

Y__N__NA__               I. If private nonprofit schools are participating in the program, are fiscal records
                            maintained which reflect and support an equitable expenditure of federal funds
                            for students (or teachers, if applicable) for private nonprofit schools as
                            described in the application?

                           Authority Reference: 34 CFR 76.655

                           NOTE: This includes participating private nonprofit Neglected and Delinquent
                           Institutions

                           Documentation:

                                 Budget                                              % of records sampled
                                 Accounting journal

                                             Questions/Concerns

        Private Nonprofit School                  Expenditure                  Problem


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                         Expenditures to Meet Cost-Sharing or Matching Requirements

Y__N__NA__               J. Were matching or cost-sharing expenditures allowable, used to enhance the
                            identified program, and supported by appropriate, auditable documentation?

                            Authority Reference: 34 CFR 80.24; Learn and Serve America Special
                            Provisions; approved SAS or contract

                            (1) Costs must be allowable according to OMB Circular A-87 Cost Principles
                            or other applicable cost principles.

                            (2) Costs must be contributed during the grant period.

                            (3) Third party in-kind contribution or cost-sharing or matching funds may be
                            met by using state, local, or federal sources other than funds made available
                            under National Service laws.

                            Documentation:

                                 Time and Effort                                    % of records sampled
                                 Budget ledgers
                                 Justification for the valuation of donated services by grantee or
                                 subgrantee (Donated services are valued at rates consistent with pay for
                                 similar work in grantee's organization.)
                                 Justification for time of employees of other organizations. (Time is
                                 valued at employees’ regular rate of pay exclusive of fringe benefits and
                                 overhead costs.)
                                 Justification for third party donated supplies and loaned equipment or
                                 space. (Supplies must be valued at the market value; equipment or space
                                 must be valued at the fair rental rate of the equipment or space.)
                                 If a third party donates equipment, building, or land and passes the title to
                                 the grantee or subgrantee, review 34 CFR 80.24(e) for determining the
                                 value of such property.

                                             Questions/Concerns

   Date           Matching Cost Description                   Amount                 Problem




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 Standard II              PRIVATE NONPROFIT SCHOOL PARTICIPATION
                          (34 CFR 76.650-76.662); P.L. 103-382, Section 14503,
                          (Determining compliance with Standard II may require an on-site visit to one
                          or more participating private nonprofit schools)

                          Consultation with Private Nonprofit School Officials

Y__N__NA__                A. Were private nonprofit school officials consulted in the design and
                             development of the program and contacted annually about educational
                             opportunities available through this grant?

                             Authority Reference: 34 CFR 76.652; P.L. 103-382

                             NOTE: This probe may be marked NA if there are no private nonprofit
                             schools located within the boundaries of the LEA or if the applicant is an
                             open-enrollment charter school.

                             Documentation:

                                  Method of consultation
                                  Date of consultation
                                  Documents available

                                              Questions/Concerns

                                         Private Schools Not Consulted




                          Secular, Neutral, and Nonideological Services

 Y__N__NA__               B. If applicable, are private nonprofit school children provided with services,
                             materials, equipment or other benefits that are secular, neutral and
                             nonideological?

                             Authority Reference: ESEA, Title VI, Innovative Education Program
                             Strategies, Sec. 6402(a)(1); and Section 14503 for Part C of Title I (Migrant
                             Education; Title VII Eisenhower Professional Development; and Title VII,
                             Bilingual Education; Title IV, Safe and Drug Free Communities Act)

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                             Documentation:

                                   Purchase orders, invoices                % of records sampled
                                   Purchased materials
                                   Interviews with private school personnel

                         Public Supervision and Control of Employees and Funds

Y__N__NA__               C. 1. Does the applicant exercise administrative direction and control over funds
                               and property (equipment and supplies) that benefit children in private
                               nonprofit schools?

                                 Authority Reference: 34 CFR 76.661; P.L. 103-382, Section 14503(d)

                                 Documentation: Fixed asset inventory

                                     Applicant maintains title to all equipment in private nonprofit schools.
                                     Applicant ensures that equipment or supplies placed in
                                     private nonprofit schools are used for the purposes of
                                     the applicable program.
                                     Applicant ensures that applicable program funds are used
                                     to meet the needs of the participating children.
                                     Interviews

Y__N__NA__               C. 2. If grant funds are used to pay for the services of employees serving private
                               nonprofit school students, are these services performed outside of regular
                               hours of duty and supervised by the public agency?

                                 Authority Reference: 34 CFR 76.660

                                 Documentation:

                                     Personnel records                             % of records sampled
                                     Contracts
                                     Interviews with employees securing private nonprofit school students

                                               Questions/Concerns

                                                         Grade                   Nature of
             Teacher(s)/Campus(es)                       Level(s)                Exception(s)




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Y__N__NA__               D. Do services provided for private nonprofit school children and teachers
                            supplement and not supplant the level of services provided by the private
                            nonprofit school? [See Standard III, B.1. for a definition of “supplement, not
                            supplant.]

                            Authority Reference: 34 CFR 76.658


                            Documentation:

                                 Interviews
                                 Required Policies/Curriculum


Y__N__NA__               E. Are the program activities and services for private nonprofit school children
                            and teachers implemented as described in the application?

                            Authority Reference: 34 CFR 76.656; approved application

                            Documentation:

                                 RFA Private School Addendum
                                 Interview/Observation




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STANDARD III             PROGRAM PLANNING AND IMPLEMENTATION ACCORDING TO
                         THE APPROVED APPLICATION AND ACCORDING TO THE
                         APPLICABLE LAWS, REGULATIONS, AND GUIDELINES

Y__N__                   A. Does the program include at least two partners, one of which includes a
                            private nonprofit community-based organization or government agency that
                            has demonstrated expertise in meeting educational, environmental, public
                            safety, or health and human needs, has been in existence for at least one year
                            prior to the grant application, and makes service opportunities available to
                            student participants?

                            Authority Reference: RFA

                            NOTE: If a private nonprofit community-based organization does not exist in
                            the community, the LEA may partner instead with another community-based
                            organization, a faith-based organization, or a similar group.

                            Documentation:

                                 Interviews
                                 Project timelines/calendar
                                 Informational brochures/fliers/newsletters
                                  Meeting agendas and notes
                                 Meeting sign-in sheets

Y__N__                   B. Following receipt of the Notice of Grant Award, were the program
                            components/activities implemented on schedule (or within a reasonable
                            amount of time) according to the timeline described in the task/activity plan in
                            the application? In particular, were employees hired, were supplies and
                            materials ordered, and was training provided in a timely manner so that
                            program participants received the maximum benefit from services?

                            Authority Reference: 34 CFR 80.30(d)(1); approved application

                            Documentation:

                                 Purchase Orders
                                 Contracts
                                 Interviews

          Activities Not Completed on Schedule                            Reason for Delay

Y__N__                   C. Does the applicant have allowable liability coverage of its organization,
                            employees, and participants, including coverage of participants engaged in on-

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                            and off-site project activities? Additionally, has the applicant instituted
                            safeguards as necessary and appropriate to ensure the safety of participants?

                            Authority Reference: Special Provisions and Assurances

                            NOTE: Participants may not participate in projects that pose undue safety
                            risks.

                            Documentation:

                                 Insurance policies
                                 Written safety protocols and procedures
                                  Interviews

Y__N__                   D. Has the applicant established and implemented a process for filing and
                            adjudicating grievances from participants, labor organizations, and other
                            interested parties concerning program or project operations?

                            Authority Reference: Special Provisions and Assurances; 42 U.S.C. §12636;
                            45 C.F.R. §2540.230

                            NOTE: A grievance process may include dispute resolution programs such as
                            mediation, facilitation, assisted negotiation and neutral evaluation. A
                            grievance process must provide an opportunity for a grievance hearing and
                            binding arbitration. If the grievance alleges fraud or criminal activity, it must
                            be brought to the attention of Service Learning Texas immediately.

                            Documentation:

                                 Written policies and procedures
                                 Interviews

Y__N__                   E. Do federal funds supplement and not supplant all state and local funds and
                            programs?

                            Authority Reference: FAR, Section 1.6.1.2., Types of Indirect Cost Rates,
                            p. 544; RFA

                            NOTE: Grant funds may not be used to replace state or local funding for
                            previously existing programs nor to duplicate or replace these programs.

                            Definitions of supplement not supplant:

                                 Federal funds are not used to pay for any activities that are required by
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                                 state law, SBOE rule, or local policy.
                                 State or local funds were not diverted for other uses simply because
                                 of the availability of federal funds.
                                 Federal funds are used to pay for services and activities that are not
                                 otherwise available to be provided with local and state funds.

                            Documentation:

                                 Personnel interviews
                                 Teacher schedules
                                 Payroll records
                                 Local district policies
                                 Inservice/workshop calendars

Y__N__NA__               F. Did program participants perform any services or duties or engage in activities
                            that otherwise would have been performed by an employee as part of the
                            assigned duties of such employee, thereby resulting in the displacement of that
                            employee or the infringement of his or her promotional opportunities?

                            Authority Reference: Special Provisions and Assurances

                            NOTE: A participant in a program or project may not perform services or
                            duties that have been performed by or were assigned to a presently employed
                            worker; an employee who recently resigned or was discharged; an employee
                            who is subject to a reduction in force or who has recall rights pursuant to a
                            collective bargaining agreement or applicable personnel procedures; an
                            employee who is on leave (terminal, temporary, vacation, emergency, or sick);
                            or an employee who is on strike or is being locked out.

                            Documentation:

                                 Interviews
                                 Informational brochures/fliers/newsletters
                                 Meetings agendas and minutes

Y__N__                   G. Were all expenditures reasonable and justifiable and integral to the service-
                            learning projects described in the approved application?

                            Authority Reference: RFA

                            Documentation:

                                 Budget ledgers
                                 Purchase orders
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                                 Invoices

Y__N__NA__               H. If income was earned as a direct result of the program’s activities during the
                            award period, was it retained by the applicant and used to meet the matching
                            or cost-sharing requirements of the program?

                            Authority Reference: Special Provisions and Assurances

                            NOTE: The applicant may not enter into a contract for or accept fees for
                            service performed by participants when: the service benefits a for-profit entity;
                            the service involves other prohibited program activities; or the service violates
                            the non-displacement clause of the Special Provisions (section H of this
                            document).

                            Documentation:

                                 Budget ledgers
                                 Personnel Interviews

Y__N__ NA __             I. Did the applicant ensure that grant funds were not used to provide religious
                            instruction, conduct worship services, or engage in any form of proselytization; to
                            assist, promote, or deter union organizing; to finance, directly or indirectly, any
                            activity designed to influence the outcome of an election to any public office; or to
                            impair existing contracts for services or collective bargaining agreements?

                            Authority Reference: Special Provisions and Assurances

                            NOTE: Non-partisan events such as voter registration drives, forums, and
                            discussions are allowable as long as they are educational in nature and focus on
                            civics or government in a democracy. Direct lobbying, which is unallowable,
                            involves communicating views on a specific legislative proposal to a legislator or
                            staff member or any other government employee who may help develop
                            legislation; asking a legislator to take an action that would require legislation,
                            such as funding an agency; and trying to influence the public to express a
                            particular view to their legislators about a specific legislative proposal, referenda,
                            or ballot initiatives. However, program participants may provide information to
                            elected officials about their program, about service-learning, or about particular
                            issues, all of which are considered allowable public awareness activities.

                            Documentation:

                                 Interviews
                                 Grant products
                                 Meetings agendas and minutes
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                                 Informational brochures/fliers/newsletters

Y__N__ NA__              J. Did the subgrantee ensure that any external report or publication of material
                            based upon work supported by this grant includes the acknowledgment and
                            disclaimer noted below?

                            Authority Reference: Special Provisions and Assurances

                            NOTE: Publications created by participants may include a Learn and Serve
                            logo if they are consistent with the purposes of the grant. The
                            acknowledgement and disclaimer should read: “This material is based upon
                            work supported by the Corporation for National Service under Learn and
                            Serve America Grant No. 06KSWTX001. Opinions or points of view
                            expressed in this document are those of the authors and do not necessarily
                            reflect the official position of the Corporation or the Learn and Serve America
                            Program.”

                            Documentation:

                                 Grant-related reports, materials, and products




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Date Revised: 9/8/09                           Revision #: 2

				
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