1. Annual Performance Reports & Matching Funds Year 2 APR Webinar for 2010 i3 Grantees November 2012

2. Agenda Purpose of Annual Performance Report ED 524B Cover Sheet Executive Summary Section A: Performance Objectives and Performance Measures Section B: Budget Information Section C: Additional Information SF 425 Q&A 2

3. Reporting Requirements Annual Performance Report Completed annually using the ED 524B Reports on activities, challenges, program (GPRA) measures, project objectives and expenditures Electronic reporting through G5 Match Reporting Completed annually using the ED 524B and in the SF 425 The SF 425 should be scanned and emailed to program officers Both reports due January 8 th, 2013 3

4. Why Submit an APR? Annual and Final Performance reports are REQUIRED of all grantees APRs help to ensure that individual i3 projects are making substantial progress toward meeting program performance goals and project objectives APRs clearly and comprehensively describe the extent to which an i3 project has progressed toward meeting stated goals and objectives as described in the funded application 4

5. Parts of the APR Grantees will complete an APR using the 524B reporting form Cover Sheet Executive Summary Project Status Chart Section A- Performance Objectives Information and Related Performance Measures Data Section B- Budget Information and SF 425 Section C- Changes/Additional Information 5

6. Cover Sheet 6

7. Sample APR Cover Sheet 10 1 20119 30 2012 7

8. APR Cover Sheet $750,000.00 $1,250,000.00 $150,000.00 $250,000.00 8

9. Executive Summary 9

10. APR Executive Summary A 2-3 page concise and focused overview of the project A narrative description of the activities and work completed in year two of the project including: Outline of year two program activities Description of participants/population served (students, teachers, locations of LEAs served, student grade levels, etc.) Description of the progress of the independent evaluation Highlights of the project’s goals, including: Extent to which individual project objectives, expected outcomes, and performance measures were achieved Number of students served and number of high-need students served Cost per student A description of challenges encountered and the solutions implemented 10

11. APR Executive Summary LEACity and State of LEA Number of Students Served Number of High- Need Students Served Number of Teachers Served Number of Principals Served Grade Levels Served District 1Niskayuna, NY 75062550257-8 District 2Cohoes, NY500 50257-8 District 3Rochester, NY 600 50257-8 11

12. Section A: Performance Objective Information 12

13. APR Section A- Status Chart GPRA vs. Project Measures GPRA measures GPRA 1: The percentage of grantees that reach their annual target number of students as specified in the application GPRA 2: The cost per student actually served by the grant Project measures Target vs. Actual Data Target data are the goals for each measure as stated in the approved application. Target data should match the targets in the application. Actual data are the measures of actual performance for this performance period. 13

14. APR Section A—Status Chart cont. Use the Explanation of Progress box below the status charts to provide additional information on the data. Provide highlights of the project's goals, the extent to which the expected outcomes and performance measures were achieved, and what contributions the project has made to research, knowledge, practice, and/or policy. Explain the instruments used for the measures and interpret, in plain language, the results. Note: numbers in executive summary should match what is reported in the measures 14

15. Program Measures vs. Project Measures Program MeasuresProject Measures Also called Government Performance and Results Act (GPRA) Measures Standardize reporting requirements Aggregate data across i3 projects Provide data about i3 program effectiveness May have been included in the grant application, derived from logic model or developed with Abt or Program Officer Tailored to each individual i3 project Measures assessed to evaluate services provided and monitor project implementation 15

16. GPRA Scale-Up and Validation For Scale-up and Validation grantees, there are two GPRA indicators to which grantees need to respond. They are measures (1) and (4) from the short-term GPRA measures: (1) The percentage of grantees that reach their annual target number of students as specified in the application. (4) The cost per student actually served by the grant. For these indicators, grantees will need to report on the following measures: (1) The number of students served by the project. (4) The cost per student actually served by the grant. 16

17. GPRA Scale-up and Validation cont. Grantees are encouraged to report on the number of high-need students reached as part of the total number of students—specify in the explanation of progress section what the numbers represent. Example: 85 students were served- of the 85, 60 were high-need. Grantees are also encouraged to report on subgroups relevant to specific objectives. Example: 85 students were served—of the 85, 40 were ELL students, 12 were special education students. Cost per student will be based total funds encumbered in year two, minus evaluation costs. 17

18. Sample APR Section A- Status Chart 1. Performance MeasureMeasure TypeQuantitative Data The number of students served by the project GPRA TargetActual Performance Data Raw Number Ratio% Raw Number Ratio% 1,000 / 975 / Explanation of Progress: During the reporting year, our program served 975 students, through 38 elementary school teachers. This count of students was determined by examining the class rosters of the 38 teachers. Because of the nature of the program, all students in each of the 38 elementary school teachers were counted as being served by the program. The annual target was 1,000 students, so we did not reach our target this year. We believe that this was because this was the program’s first year. We have undertaken a review to determine why we missed the target and will implement changes in the coming year to avoid this problem again. Of the 975 students served, 432 were high-needs students. The state uses the Race to the Top definition of high-needs students, which can be found on page 12 of this document (http://www2.ed.gov/programs/racetothetop/executive- summary.pdf) and is as follows: students at risk of educational failure or otherwise in need of special assistance and support, such as students who are living in poverty, who attend high-minority schools, who are far below grade level, who have left school before receiving a regular high school diploma, who are at risk of not graduating with a diploma on time, who are homeless, who are in foster care, who have been incarcerated, who have disabilities, or who are English language learners.http://www2.ed.gov/programs/racetothetop/executive- summary.pdf 18

19. GPRA- Development Development grantees are to report on GPRA measure (4) from the short- term GPRA Measures: (4) The cost per student actually served by the grant. Cost per student will be based on the total funds encumbered in year two (minus evaluation costs), divided by the number of students served. Grantees are encouraged to report on the target number of students to be served and the actual number of students served in year two. Expenditures = (Federal, non-Federal, and other)- Evaluation Costs Students ServedNumber of students served during year two 19

20. APR Section A- Status Chart 1. Performance MeasureMeasure TypeQuantitative Data The cost per student actually served by the grant GPRA TargetActual Performance Data Raw Number Ratio% Raw Number Ratio% /$513 $500,000/ 975 Explanation of Progress: During year two, the program served 975 students. This count of students was determined by examining the class rosters of the 38 teachers counted as being served by the grant. The grant’s budget was $450,000 in Federal grant funds and $100,000 in state funds this year, but the grant set aside $50,000 of Federal funding f or evaluation. Therefore, we did not include it in the above calculation. So, the cost (minus evaluation) per student this year was $513. Of the 975 students served, 432 were high-need. We used the state definition of “high-need” to assign students to that group. The state definition can be found on page 12 of this document and at the following link (http://www2.ed.gov/programs/racetothetop/executive-summary.pdf).http://www2.ed.gov/programs/racetothetop/executive-summary.pdf 20

21. Project Measures For each of your project objectives, you may have several performance measures to include in Section A of the report: Objective 1: Increase the number of district students who read at grade level The number of English/Language Arts teachers who complete professional development to become certified in Project READ competencies. The percentage of students who score “proficient” or better on state grade level literacy exam. Objective 2 Performance Measure 2a Performance Measure 2b 21

22. Project Measures 1a. Performance MeasureMeasure TypeQuantitative Data The number of English/Language Arts teachers who complete professional development to become certified in Project READ competencies. Project TargetActual Performance Data Raw Number Ratio% Raw Number Ratio% 6059 Explanation of Progress: This year we targeted two thirds (60 out of 90) of the districts English/language arts teachers and all completed the two week training program except for one who had to drop out for personal reasons. This teacher will join the next cohort in the upcoming grant year. All of those teachers who completed the professional development program demonstrated the Project READ competencies through a written assessment at the end of the program, a portfolio of lesson plans, and observations that were embedded in the training. Following the summer training, they taught the core English language arts course that was required of all Project READ students. 1b. Performance MeasureMeasure TypeQuantitative Data The percentage of students who score “proficient” or better on state grade level literacy exam. Project TargetActual Performance Data Raw Number Ratio% Raw Number Ratio% 320/40080323/40081 Explanation of Progress: This year’s target was 80% (or 320) of the 400 students enrolled in Project READ. This is their second full year in the program. 323 or 80.75% of the 400 students scored at or above the targeted level. Those students who did not meet grade level proficiency will receive special one-on-one tutoring with community volunteers. Objective 1: Increase the number of district students who read at grade level 22

23. Section B- Budget Information 23

24. APR Section B—Budget Information Provide an overview of the expenses for the performance year with a budget summary chart and a narrative explanation A budget summary chart should be included using budget categories from the ED 524 budget form Show budgeted expenses for year two, actual year two expenditures, carryover, and projected year three expenses for each budget line item of the ED 524 budget form 24

25. APR Section B—Budget Information Provide explanations for deviations from the approved budget. Describe why there are unspent funds, why there is a difference in use of funds across the budget categories, and any budgetary issues for example: Changes that affected your ability to achieve approved project activities and/or project objectives Explain how funds not expended (“carryover”) in year two will be used in year three by elaborating on: Timeline for completion of activities delayed in year two In the case of surplus funds, reallocating them toward other project objectives 25

26. APR Section B- Budget Information Budget Categories Year Two Budgeted Year Two ActualCarryoverYear Three Projected Personnel $70,000 $0$70,000 Fringe $10,000 $0$10,000 Travel $20,000 $16,845$3,155$25,000 Equipment $7,000 $5,413$1,587$7,000 Supplies $30,000 $10,465$19,535$30,000 Contractual $100,000 $75,087$24,913$100,000 Other $40,000 $25,789$14,211$40,000 Total Direct Costs $277,000 $213,599$63,401$282,000 Indirect Costs $11,634 $8,971$2,663$11,844 Training Stipends $20,000 $28,000-$8,000$30,000 Total Costs$308,634$250,570$58,064$323,844 Explanation of Budget: The unexpended projected funds in each category are due mostly to an over-estimation of costs. After the proposal was funded, contracts with our partners were finalized, and we found many services, such as usage of partner facilities for training, were much less costly than projected and, in some cases, free. The amount spent on stipends increased from $20,000 to $28,000, as we served more teachers than originally planned. We plan to use the carryover from our first project year to increase the number of teacher participants, offer an additional weekend training seminar, and increase training stipends distributed across grant years 3, 4, and 5. 26

27. APR Section B—Budget Information Example of a budget explanation: 1) We spent less on travel than anticipated because our advisory group meeting was delayed. Instead of being held in August, it will be held in late October, just after the start of the third budget year. 2) We had shortfalls in expenditures in supplies and in contractual because of delays in the selection of school sites. We were not able to provide all planning services during the summer and have had to defer these until fall. 3) The increase in “other” results from increased planning stipends to schools because of the addition of an additional school site (approved by program officer 11/5/12) for year two; in year three we will be starting one fewer school sites. 27

28. APR Section B—Budget Information Matching funds should be reported in a similar format to the federal funds, accounting for both private and, where applicable, public funds in those cases where grantees have promised contributions beyond the 20% private match. Reporting on matching funds ensures that all funds were secured as described in the previously submitted match letters 28

29. SF 425 Gives recipients of grants a standard format for reporting the financial status of their awards Follow the step-by-step SF 425 Instructions that were included with the Dear Colleague Letter 10i: Total Recipient Share Required 10j: Recipient Share of Expenditures To submit, scan and then email to respective program officer 29

30. Section C: Additional Information 30

31. APR Section C—Additional Information Include any changes in project activities Provide updates on the evaluation plan DO NOT use this section to attach press clippings, meeting agendas, materials, testimonials, and other “extras”; please send these to your ED project officer under separate cover 31

32. APR Tips Always address GPRA and Project Measures Provide relevant detail in a succinct format Complete all sections of the APR Use numbers and always interpret data provided in layman’s terms Do not use vague language like “more,” “most,” “less” 32

33. How to Submit in G5 Go to https://www.g5.gov and log into the system.https://www.g5.gov Go to Grant Maintenance  Package Submission  Select to mark the correct PR# for the grant  Current Report Package  and Initiate the Annual Performance Report. We must have current project director information in order for each grantee to access the report. You will have until 4:30PM EST on the submission date to access and submit the report. 33

34. Questions 34