How to Manage and Report
In-Service Training Grants
National Conference on Rehabilitation Education
November 5, 2013
Douglas Zhu, RoseAnn Ashby, and Diandrea Bailey
Rehabilitation Services Administration
Training and Service Programs Division
Overview of Session
Purpose of the Discussion
II. How to Manage the Grant
III. How to Report the Grant
Performance: Feedback on 2013 APR
IV. Discussion
I.
2
Purpose of the Discussion

The purpose of the session it to provide the
latest guidance on in-service training grant
(84.265A and 84.265B) management and
performance reporting. RSA staff will lead and
facilitate a dialogue with grantees about (1) when
and how to revise project goals and objectives to
improve effectiveness and achieve expected
outcomes; (2) budget revision and financial
management requirements; (3) how to organize
and coordinate project activities in order to
better focus on the purpose of the grant; (4) how
to collect data, evaluate the results/impacts, and
report performance.
3
How to Manage the Grant
A Step by Step Approach
1. Review the GAN
2. Review the Application Goals and Objectives:
Pre-Approval is required to change goals and
objectives
3. Review the Budget - Financial Planning and Submit
Revised Budget (ED-524)
4. Organize and Coordinate the Project Activities
5. Monitor the Expenditures
6. Evaluate the Results and Outcomes
4
1. Review the GAN
Beginning in FY 2013, all GANs are digitally
signed by project officer and available in G5
 Project Directors have access to grant records
in G5
 Make sure information in G5 and on the GAN
is accurate
 Contact RSA Program Officer for changes of
project director, certifying official and key
personnel

5
Project Director Change
RSA pre-approval is required for Project
Director change
 How to make a request?
◦ Send request to program officer via email
◦ Subject of email: grant award# + Request for
Project Director Change
◦ Required information:

 Reason for the change
 Effective date
 New project director name, mailing address, email address,
phone#, level of effort
 Resume
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2. Review the Application Goals and
Objectives
RSA highly recommend grantees to review
project goals and objectives prior to new
budget period and make revisions as needed to
respond to the needs identified in the CSPD
 To make sure the goals and objectives are
measureable and achievable
 Pre-Approval is required to change goals and
objectives

7
How to make a request for change on
goals and objectives?






There is no standard form to use, it can be on
agency letterhead or document attached to email
Grant Award number
Goals and objectives to be replaced or removed or
changed
Proposed new goals and objectives
Measureable outcomes under the new goals and
objectives and the timeline
Impact of the change on budget and expenditures
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3. Review the Budget - Financial Planning
and Submit Revised Budget (ED-524)
The total amount of Federal funds budgeted
must be the same as the grant award amount
shown on the GAN
 Revised budget (ED524) is due prior to new
budget period (e.g. 10/1/2013)
 As of 10/30/2013, 40 of 75 in-service training
basic grant recipients have submitted revised
budgets

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3. Review the Budget - Financial Planning and
Submit Revised Budget (ED-524) – continued…

Common mistakes in budget revisions:
◦ The total amount does not match with the grant
award amount
◦ Does not meet the minimum requirement on nonfederal matching – less than 10% or 4% of the “total
costs of the project”
◦ Does not provide specific information on category
“Other” for budgeted funds more than $20,000.
◦ Included carryover funds in the new budget
10
3. Review the Budget - Financial Planning and
Submit Revised Budget (ED-524) – continued…

Requirement for Project Year 5 Budget Revision
◦ Due Date: within 30 days after the GAN is issued
◦ Must include all five years budget information on ED-524
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Conference & Meetings: Issues related to
Enclosure 7

Host meetings and conference: if you plan to
use Federal grant funds to pay for food,
beverages, or snacks for participants , you are
required to provide RSA with copies of
documents outlining steps taken to ensure
compliance with Enclosure 7, including what
rationale exists to demonstrate that paying for
food and beverages with Federal funds was
necessary to meet the goals and objectives of
the Federal grant.
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4. Organize and Coordinate the Project
Activities

Basic Grant Awards –
1)
Address Recruitment and Retention of Qualified Rehabilitation
Professionals;
2)
Provide for Succession Planning;
3)
Provide for Leadership Development and Capacity Building; and
4)
Provide Training on the Amendments to the Rehabilitation Act of
1973.

Quality Grant Awards – Absolute Priorities
1)
Development and Dissemination of Model In-Service Training
Materials and Practices;
2)
Distance Education; and
3)
Enhanced Employment Outcomes for Specific Populations.
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5. Monitor the Expenditures
The Roles of Project Director and Financial Key
Personnel of the Grant
 Allowable Costs – the in-service training grant funds
can only be used for State VR personnel/employees
 Financial Records Management
 Financial Reports – APR and SF-425
 Monitor Drawdown Amount
 Tracking Expenditures of Carryover Funds
 Carryover Request from Year 4 (no later than
4/30/2014)
 Carryover is not allowed from Year 5

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6. Evaluate the Results and Outcomes




Results and Outcomes by Design – Goals and
Objectives
Evaluation Criteria
Quantitate and Qualitative Data Collection
Two Areas –
◦ Program Areas: effective management of VR program
◦ Skill Areas: staff’s ability to provide VR services that
lead to employment outcomes for individuals with
disabilities

Impact on VR bottom-line
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How to Manage the Grant
Essential Toolkit and Resources
1.
2.
3.
4.
5.
Notice Inviting Applications (NIA)
34 CFR 388 State Vocational Rehabilitation
Unit In-Service Training
Grant Award Notification (GAN) and
Attachments
Education Department General
Administrative Regulations (EDGAR) 80
State Plan – CSPD
16
How to Manage the Grant
Communications with RSA Project Officer
Teleconference – Quarterly
2. Technical Assistance Needs
3. On-going Communications –significant
progress or issues that may cause delay of the
project
4. For grant official records, to make sure to
include grant PR/Award# in the subject line,
and separation of basic and quality grants
1.
17
How to Report the Grant?
Feedback on 2013
APR Reports
18
Feedback on 2013 APR
1.
2.
3.
4.
5.
All submissions by the due date
All signed ED524B Cover Sheets submitted
by due date
All APRs are comprehensive and shown
improvement in reporting – indicating
substantial progresses were made
Project directors demonstrated innovated
ways in organizing the report especially the
Executive Summary
There are areas for improvement
19
Feedback on 2013 APR (continued…)
Ways the Executive Summary Organized:
By Goals and Objectives: Performed and
Planned under each goals and objective
2. By Performed and Planned
3. By Training Activities
4. By Telling the Story
1.
20
Feedback on 2013 APR (continued…)
Areas for Improvement: From Good to
Excellent
1.
2.
3.
4.
5.
6.
7.
Report CSPD Data
How to Use the Status Chart
Clarification on Measure Type
Summary of Personnel Training Needs
How to report for quality grant
Focus on Purpose and Impact of the IST project
Provide a Big Picture of IST
21
Feedback on 2013 APR (continued…)
Areas for Improvement: From Good to
Excellent
1.
2.
3.
4.
5.
6.
7.
Report CSPD Data
How to Use the Status Chart
Clarification on Measure Type
Summary of Personnel Training Needs
How to report for quality grant
Focus on Purpose and Impact of the IST project
Provide a Big Picture of IST
22
How to Report the Grant?
Recommendations:
“Substantial progresses were made
under the goals and objectives of:”
CSPD data must reported in APR
Budget and financial planning for grant
Year 4 is critical
23
How to Report the Grant?
Review of the
Requirements
24
Reporting Requirements

NIA: Grantees must submit an annual performance report
that provides the most current performance and financial
expenditure information as specified by the Secretary under
34 CFR 75.118.
34 CFR 75.118: Requirements for a Continuation Award
a) A recipient that wants to receive a continuation award shall
submit a performance report that provides the most
current performance and financial expenditure information,
as directed by the Secretary, that sufficiently meets the
reporting requirements of 34 CFR 74.51, 75.590, 75.720, and
80.40.
b) If a recipient fails to submit a performance report that
meets the requirements of paragraph (a) of this section, the
Secretary can/will deny continued funding for the grant.

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Reporting Requirements (continued…)


a)
b)
c)
34 CFR 80.40: Monitoring and Reporting Program
Performance
Performance reports will contain, for each grant, brief
information on the following:
A comparison of actual accomplishments to the
objectives established for the period, and where the
output of the project can be quantified(a
computation of the cost per unit of output may be
required if that information will be useful).
The reasons for slippage if established objectives
were not met.
Additional pertinent information including, when
appropriate, an analysis and explanation of cost
overruns or high unit costs.
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Reporting Requirements (continued…)
Significant developments: Events may occur between the
scheduled performance reporting dates which have
significant impact upon the grant supported activity. In such
cases, the grantee must inform the Federal agency as soon as
the following types of conditions become known:
1) Problems, delays, or adverse conditions which will materially
impair the ability to meet the objective of the award. This
disclosure must include a statement of the action taken or
contemplated, and any assistance needed to resolve the
situation.
2) Favorable developments which enable meeting time
schedules and objectives sooner or at less cost than
anticipated or producing more beneficial results than
originally planned.

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Reporting Requirements (continued…)


a)
b)
c)
34 CFR 75.590: Evaluation by the Recipient
A recipient shall submit a performance
report that evaluates at least annually:
The recipient's progress in achieving the
objectives in its approved application;
The effectiveness of the project in meeting
the purposes of the program; and
The effect of the project on participants
being served by the project.
28
Performance Measures and
Absolute Priorities

1.
2.
3.
There are three types of measures that ED may have
established for discretionary grant programs:
GPRA MEASURES: Measures established for reporting to
Congress under the Government Performance and Results
Act;
PROGRAM MEASURES: Specific measures established by the
program office for the particular grant competition (i.e.,
established absolute priority or other program
requirement(s)); and
PROJECT MEASURES: Grantees will report on any projectspecific performance measures (i.e. yearly goals and
benchmarks) that the grantee had established in the
approved grant application to meet the project
goals/objectives.
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Performance Measures and Absolute Priorities
(continued…)

There are no specifically established or published GPRA measures for in-service
training grants (84.265A and 84.265B).

Program Measures:

In-Service Training Basic Awards (84.265A):
1)
2)
3)
4)
Address recruitment and retention of qualified rehabilitation professionals;
Provide for succession planning;
Provide for leadership development and capacity building; and
Provide training on the amendments to the Rehabilitation Act of 1973.
addition to the program measures
listed above, they also include the established absolute priorities:
1)
Development and Dissemination of Model In-Service Training Materials and
Practices;
2)
Distance Education; and
3)
Enhanced Employment Outcomes for Specific Populations.

In-Service Training Quality Awards (84.265B), in
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Performance Measures and Absolute Priorities
(continued…)
Project Measures:
 Include the goals and objectives in the approved grant
applications and thereafter approved revised goals and
objectives.


RSA Project Officers will not approve an APR
that is missing appropriate evaluation of the
performance measures, specifically the
Program Measures and Project Measures.
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Executive Summary

A narrative containing a brief summary of grant accomplishments toward the goals and
objectives that occurred from October 1, 2012 through March 31, 2013, and a brief
summary of planned activities that will occur from April 1, 2013 to September 30, 2013.

All grants funded under the 84.265A Program must include
information in the Executive Summary that demonstrates
progress toward:
1.
Achieving the goals and objectives established in the
approved In-Service Training grant application; and
2.
The impact of the project on addressing the needs identified
in the Comprehensive System of Personnel Development
(CSPD) and meeting the Designated State Unit (DSU)
personnel standards required under section 101(a)(7) of the
Rehabilitation Act of 1973, as amended.
32
Executive Summary for the In-Service
Training Quality Grants (84.265B)
The Executive Summary must include information that
demonstrates progress toward:
1. The goals and objectives established in the approved
In-Service Training grant application; and
2. Addressing the regulatory priorities of the in-service
training quality awards as described in 34 CFR 388.22,
as applicable, including:

A. Development and dissemination of model in-service
training materials and practices;
B. Distance education; and
C. Enhanced employment outcomes for specific populations.
33
Executive Summary Tips
•
Be brief and focus on the important factual
outcomes and impacts.
•
Have a balance of achievements/successes, impact,
and challenges.
•
Avoid lengthy summaries that restate the project
proposal.
•
Avoid lists of meetings, events, and individuals
involved with no connection to the project goals,
objectives and impact.
34
Section B - Budget Narrative

The Budget Narrative must
a)
Contain a summary of actual expenditures from
October 1, 2012 - March 31, 2013 and a summary of
planned expenditures from April 1, 2013 - September
30, 2013; and
b)
Specifically indicate whether the grant is on track for
spending grant funds by September 30, 2013 or
whether unexpended funds are anticipated and
include the estimated amount of those funds. If
unexpended funds are anticipated, an explanation is
required.
35
Section B - Budget Narrative
(continued…)

a)
b)
c)
d)

In addition, the Budget Narrative must also include, as applicable:
Any anticipated changes in your budget for the next budget period
that require prior approval from the Department (see EDGAR 34
CFR 80.30).
State “No anticipated changes to the budget that require RSA
Project Officer approval,” if there are no changes,
Significant changes to your budget resulting from modification of
project activities, costs, and/or any other conditions.
Changes to your budget that affected your ability to achieve your
approved project activities and/or project objectives.
If your budget for the current project year needs to be revised,
attach a revised budget to the report or email it to your RSA
Project officer.
36
Section C- Additional
Information

Information should be included in this section:
a)
A Summary of Performance in the last six
months of previous budget year which details
goals and objectives achieved and not achieved
during that period.
b)
Results of the employees’ in-service training
needs assessment.
c)
Other evaluations conducted during the report
period.
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DISCUSSION
38
Thank You!
39