Transcription
Fall 2021CTSOProvider Training
Webinar Logistics Welcome and thank you for joining us PowerPoint presentation (pdf version) titled “Fall 2021CTSO Provider Training" is available ompliance All participants will be muted Please type your question in the question box2
Purpose of the Webinar To provide participants with information regarding QualityAssurance and Compliance in the following areas: Areas of Focus Regulatory Requirements Risk Assessment Provider Selection, 2021-22 Monitoring Process (how we work) Tools and Resources Describe the pre-monitoring, desk review, and post-monitoringactivities. Share examples of findings and concerns Answer general questions.3
Areas of FocusGrant Programs to be monitored:Carl D. Perkins (CTE)Career and Technical Student OrganizationsFiscal Years (FY) monitored:2018-19, 2019-20, 2020-21 and 2021-224
RegulatoryRequirements5
Regulatory RequirementsFederal and state requiremento2 C.F.R. Part 200, Uniform Grant Guidance (link below)http://www.ecfr.gov/cgi-bin/textidx?SID 704835d27377ef5213a51c149de40cab&node 2:1.1.2.2.1&rgn div52 C.F.R. Part 200.61 and 200.62 (Internal Controls)Carl D. Perkins - The Strengthening Career and TechnicalEducation for the 21st Century Act (Perkins V)6
Risk Assessment7
Implementation of a Risk-Based System Based on project and provider risk; Collaborative in nature; Recognizes positive practices; Identifies findings and concerns related to program quality andcompliance; and Supports systemic and continuous program improvement8
Risk Assessment Factors 2021-22Risk Matrix – Operational Risk Factors (Metrics) Last monitoring reviewNumber of grantsTotal budget of the Perkins V CTSO grantUnexpended grant fundsChange in executive director9
Risk Assessment Process Risk score divided into quartiles Balanced weight between data elements10
Risk Assessment ProcessCalculation of the Risk Score:Point Value Assigned X Weight Total Metric PointSum of all Metric Points Agency Risk ScoreIMPORTANT! A high risk assessment score should NEVER beinterpreted as a negative reflection on the provider.11
Risk Scores Matrix for a Non-College or Non-School District ReceivingCareer and Technical Education (CTE)Carl D. Perkins GrantsTarget Year: 2020-202Monitoring Year: 2021-2022MetricNumber of Years Since LastMonitoredTotal Budget for all Perkins GrantsCombinedNumber of Perkins GrantsAgency CTE Program DirectorChange from Previous Fiscal YearUnexpended Funds from all PerkinsGrants CombinedScalingPoint Value7 or More Years5-63-40-2Upper QuartileUpper MiddleLower Middle7531753Lower Quartile14 or More3217531Yes7No0Upper QuartileUpper MiddleLower MiddleLower Quartile075310Points AssignedWeightTotal MetricPoints3X 10305X8401X887X6425X420AGENCY RISK SCORE:12140
ProviderSelection13
Fall 2021 CTSO Provider Selection Florida SkillsUSA Florida DECA Association and Foundation, Inc. Florida Association of Future Farmers of America, Inc.14
Monitoring Process15
Monitoring Circle of Life: Preparing formonitoringweek MonitoringWeek1. Planning2. Deskwork& Onsite4. Closure3. Reporting Final steps formonitoringclosure Post monitorweek16
Monitoring Strategies Phone calls RFA / RFP reviews Records reviews (quarterlydeliverables) Technical assistance Corrective action plans (ifnecessary) Referral for fiscal review Verification activities Investigations17
Pre-Monitoring Activities Notification (personal and letter correspondence)oPersonal contact with Director of CTSOoLetter from Chancellor to Agency HeadoMemorandum from Director of Quality Assurance andCompliance Conference callsoTraining for providers (August and December) Pre-visit meeting with FDOE staff18
FDOE ShareFilePurpose Citrix ShareFile is the Florida Department of Education’s (FDOE)cloud-based secure file transfer solution. This solution is used totransfer files that are confidential, as well as too large and/or toonumerous to send in a single email. Maintain compliance with The Family Education Rights and PrivacyAct (FERPA).19
Virtual Desk Monitoring Activities Virtual InterviewsoExecutive leadership (if necessary) Records Review (2018-19, 2019-20, 2020-21 and 2021-22)oEvidence of acceptable documentation (deliverables)oSupporting documentation that may not be includedwith the quarterly deliverables Exit Conference20
Post-Monitoring Activities Post monitoring meeting with FDOE staff Thank you letters Evaluation Survey Monitoring ReportoPreliminary Draft – sent to provider contact for feedbackoFinal Report- sent to Agency Head Resolution activities Corrective Action / Action Plans Follow-up communication Closure21
Monitoring ReportPrevious monitoring reports are available to review /compliance22
Examples ofMonitoring Findings23
Examples of Monitoring Findings Records retention – no access to records and/or backupdocumentation Evidence of acceptable documentation not submitted in a timelymanner Receiving payment for deliverables that are non-existent orincomplete24
General Concerns Not meeting goals as defined in your grant applicationand/or not adhering to the agreed upon evidence ofacceptable documentation. Missing documentation and records Continuous need for time extensions and delays insubmitting deliverables25
Tools and Resources The Strengthening Career and Technical Education for the 21stCentury Act (Perkins V) nding-opportunities/PerkinsV.stml Education Department General Administrative /reg/edgarReg/edgar.html26
Tools and Resources Federal Uniform Grant Guidance (Uniform AdministrativeRequirements, Cost Principles, and Audit Requirement for -for-federalawards Florida Department of Education, Quality Assurance andCompliance nce27
Questions&Answers28
Frequently Asked Questions Will the monitoring team need access to anyone otherthan the designated provider contact? Will we still be required to upload documentation onceour actual monitoring week has concluded? If requested documentation and/or records are locatedwithin the deliverables do I still need to provide them inthe ShareFile? What happens if we are issued a finding over the courseof the monitoring period?29
30Compliance TeamKara KearceCharles “Chuck” DavisMichael SwiftOrion PriceDIRECTOR OF QUALITYASSURANCE AND COMPLIANCEPROGRAM SPECIALISTPROGRAM SPECIALISTPROGRAM SPECIALISTKara.Kearce@fldoe.org(850) 245-9033Charles.Davis@fldoe.org(850) 245-9022Michale.Swift@fldoe.org(850) 245-9051Henry Mack, ChancellorDivision of Career and Adult EducationGloria Spradley-Brown, ChiefBureau of Grants Administration and ComplianceOrion.Price@fldoe.org(850) 245-9036
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Pre-visit meeting with FDOE staff 18 . FDOE ShareFile Purpose Citrix ShareFile is the Florida Department of Education's (FDOE) cloud-based secure file transfer solution. This solution is used to transfer files that are confidential, as well as too large and/or too
