1. State Apprenticeship Expansion Grants
June 27, 2018
State Apprenticeship Expansion Grants
Effectively Managing Your SAE Grant: Administrative and Performance Requirements

3. Provide an overview of your SAE grants
Some information may be review information and some may be new
Discuss federal supports for grant success
Review the compliance review process
Review grant modification process

4. Overview of Grant Terms and Conditions

6. Notice of Award

7. Grant Terms Sections Important terms first Funding Restrictions
Administrative Requirements – Many UG-related terms
Program Requirements – Terms only applicable to a single program or initiative
Appropriations – Updated annually based on Congressional approval
Public Policy – Laws and EOs that require a term
Attachments – List of certifications and other documents as needed

8. Grant Agreement Grant Agreement Signature Page / Notice of Award (NOA)
Terms and Conditions
Starts with Order of Precedence
Includes FOA incorporated by Reference
Attachments
Budget
SF424, SF424A, Budget Narrative
Statement of Work (SOW)

10. SAE Grant Overview

11. Grant Award: Continuation NOA
Serves as Addendum to the Original Grant Agreement
Notice of Award Modification
Have all been executed, and transmitted to the A/R and POC on the SF-424
Period of Performance
Total Government Financial Obligation
Additional Actions
Compliance Review Condition
Potentially some others

12. Initial Special Conditions of Award

13. Learn More: Uniform Administrative Requirements and Cost Principles
UAR and Cost Principles are federal regulations that you can find here:
eCFR Title 2 Part 200
Administrative Guidance Trainings
Uniform Guidance Trainings
UG Quick Start Action Planner
We will cover this topic in-depth in a future webinar
Learn More: Financial Responsibilities

14. Performance Requirements

15. Continuation Funding Grant Changes
PURPOSE of Awards – no change
Funding Announcement – no change
SAME Grant Number
Period of Performance
Another extension to October of 2020
Two segments of funding
Both segments must be expended by end of October 2020
Statement of Work
Initial + the continuation submission

16. Performance Requirement: Growth Over the Baseline
Participant Growth – no change
FOA Requires 15 percent growth of Registered Apprenticeship over the baseline number by the end of the period of performance.
How we calculated the baseline
Where to find your baseline numbers
How we monitor your progress

17. Performance Requirements: Goals Written into your Statement of Work
Statement of Work – potential change
Original SOW performance = based on what your organization wrote into your initial grant application
Timeline, workplan, milestones
Continuation SOW = based on what your organization wrote into your continuation application

18. Performance Requirement: Unregistered Apprenticeships
NEW with continuation funding
Identifying unregistered apprenticeships
Will help create new leads for grantees to pursue and support broader efforts to expand apprenticeship
Continuation of tracking activities that grantees are already doing
Stay tuned for further guidance

19. Tracking & Reporting Requirements
Tracking – no change
Individual participants
Demographics
Services being provided to them
Status - up to and including completion
Employer engagement
New programs & their construction

20. Financial Reporting – 9130s
Financial Reporting – no major change
45-days after end of quarter
One Grant Agreement – Grant Number
Are in TWO separate sub-accounts
In PMS and in EBSS
Have to report on both pots of funding
There is no prohibition on spending continuation funding now or prior to full expenditure of first-round funds

21. Sub Recipient Monitoring, Oversight, and Reporting
Sub-Recipient requirements – no change
Prime Grant (SAE recipients) Responsibilities include:
Making sure the funding agreement includes all necessary information/requirements so that you can meet YOUR requirements (including reporting)
Monitoring and technical assistance
Verifying that every subrecipient is audited
Responding to non-compliant subrecipients
Verifying their reporting numbers and systems in order to compile the PRIME QPR and QNR submissions
Details here: [2 CFR ]

22. Quarterly Narrative and Performance Grant Reporting
Change: Revised QPR form to be rolled out prior to next report due date, but still both elements in one report
More substantive narrative questions
Same data points, perhaps some more detailed
i.e.: demographic data
No-change:
Due dates: 45 days after end of quarter
Reporting on grant activity directly funded by the award – not overall statewide activity
Individual level participant data as indicated in the FOA
‘served’ clarification
For the purposes of this grant the definition of served is those who are individuals formally participating in a registered apprenticeship program, participating in a pre-apprenticeship program which results in entrance into a registered apprenticeship program, or receiving other grant-funded services in preparation for entrance into either of the above.
Submission via

23. Key Grant Management Responsibilities

24. Policies and Procedures for Federal Grant Awards
Policy Guide [2 CFR ]
Policy(s) should minimally include:
Payment methods
Determine allowability of costs
Documentation requirements
Travel
Audit and monitoring
Reporting requirements to gather data
Program laws and regulations (if applicable)

25. Grant Management Learning Resources
ETA Office of Grants Management
Includes helpful information about managing competitive grants, including financial reporting, grant modification, auditing, and much more.
And on WorkforceGPS /12/14/10/45/Grant-Management-Training
Grants.gov
A great resource about all stages of Federal grants, formula and discretionary
Grants Training Modules through OMB and CFO
Offers modular training designed to provide basic knowledge training on grants and cooperative agreements.

26. Modifications Including Compliance Review Responses

27. Compliance Review Instructions
BUCKETS
Several ‘themes’ identified in looking at all the grants (ex: Baseline document incorporation)
Some will result in further informing how the TA plan for the remainder of this grant period will be developed
Some will result in a required response from you, which ultimately will result in a modification to your grant in order to stay in compliance with the grant terms

28. Compliance Review Instructions
Letters
Will contain any findings and any required responses
Any required response will need to be submitted to your FPO within 30-days of the receipt of the letter
Transmitted to the Authorized Representative and Point of Contact on the submitted SF-424
Let them know this is coming and is time sensitive
We anticipate these beginning to be transmitted in the next 10-days

29. Compliance Review Instructions
Responses
Need to be submitted to your FPO for review within 30- days
FPO may require further revision
FPO will transmit documentation to the National Grants & Program Offices for review and approval
Either Office may require further revision/s
Once approved, a modification will be executed to make the appropriate changes to your grant agreement
The National Office will be talking to your FPO during this process to hopefully reduce the number of revisions required
If you have any questions – contact your FPO ASAP

30. Mechanism to Change the Terms of the Grant Agreement
What Is a Modification?
Mechanism to Change the Terms of the Grant Agreement

31. Why Do a Modification? Statement of Work Change Budget Realignment
Change in Period of Performance
Change Indirect Cost Rate
Change Authorized Representative

32. Submitting Modifications
Must be submitted on organization’s letterhead
Must be signed by the Authorized Rep
Indicate the purpose and why it’s necessary
How the change will benefit the program
Appropriate paperwork to support modification

33. Submitting Modifications
Submit all documentation to your FPO
FPO will review and potentially ask for revisions
Once FPO has approved, will send it on for concurrence with program office, then Grant Officer approval
It is reviewed again through different lenses
Once executed, an NOA is transmitted to the A/R and POC on the SF-424

34. Modification Analysis
Is it in the best interest of the government?
Is it in the best interest of the grantee?
Is it a clear & persuasive request?

35. Modification Analysis
Budget Re-alignment
Grant Officer approval required for:
ANY change in personnel, fringe benefits, and/or indirect costs line items
After aggregate budget changes of more than 10%
FPO consultation suggested for
ANY change to budget
SOW Re-alignment
Requires Program Office Review as well

36. Supporting Grantee Success – Management Structure

37. ETA and You: Partners in Grant Success
Grantee
DOL
Meet the Goals
Adhere to the Grant Requirements
Report Accurately and Timely
Monitor Progress
Ask Questions
Provide Support through Programmatic and Fiscal Technical Assistance
Oversight/Monitoring
Review Requests/Reports
Follow-up
Answer Questions

38. ETA Grant Management Team approach to grants management
Federal Project Officer
Grant management, first point of contact
Apprenticeship Consultant
Apprenticeship program expertise
TA Coach
Problem solvers extraordinaire
National Office
Putting together the BIG picture

39. Communication is the Key (keep in mind FPO is primary contact)
Employment and Training Administration (National Office)
Office of Grants Management ~ Office of Apprenticeship
State Apprenticeship Expansion Grantees Supported by
TA Coach
from Maher & Maher
Federal Project Officer
(Regional Office)
Apprenticeship Consultant (OA Staff)

40. Who should grantees contact?
If grantees have questions …
Contact:
about their grant
(e.g., grant requirements, SOW, allowable use of grant funds, modifications, general reporting questions, etc.)
Federal Project Officer
about developing apprenticeship program standards and registration of apprenticeships
Apprenticeship consultant
of a specific nature with performance reporting function or system
with a copy to their FPO
or difficulty accessing the financial reporting system
with a copy to their FPO
about technical assistance activities
TA Coach

41. NEXT STEPS Compliance Review Results & Response
Additional, more frequent and new TA
Revised QPR
REMEMBER the end date
OCTOBER of 2020
PLAN ACCORDINGLY
Share the plan with your FPO, TA Coach, OA Staff