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ONSITE TRAC TRAININGMay 16, 2014
TRAC OVERVIEW
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Technical Review, Assistance, and Compliance
The purpose of TRAC is:•To provide technical assistance, and •Monitor for compliance with State and Federal laws
Each Region Every Five Years•Added Cost•CTE Perkins•CTE Instructional Programs
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OVERVIEW OF TRAC PROCESS
MAJOR STEPS
• Pre-visit preparation and desk review• Onsite visit• Report to region• Compliance plan submitted by region• Compliance plan and evidence approved
by OCTE
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REVIEW CATEGORIES• Data• Finance• Grants• CTE Instructional ProgramsNOTE: The Office of Professional Preparation Services (OPPS) will join
OCTE on TRAC reviews to complete OPPS review of Teacher Certification. More information will be given during OPPS Presentation this afternoon.
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WARNING:
Submission of documents that are subject to confidentiality and privacy laws should NOT be submitted electronically. These documents will be reviewed onsite.
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QUESTIONS?
TRAC TIMELINE (OCTE)• What’s happened:
• Region selection • Onsite visit notification• TRAC training
• What’s ahead:• Grant activity selections• Fiscal agency selections• CTE instructional program selections
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TRAC TIMELINE (Region)Document Submission for Desk Review:
• CIP Self-Review documentation for selected programs is submitted through Navigator
• Data, Finance, and Grant documents submitted through GEMS (checklists)
• All documents are due September 8, 2014• Agenda (due three weeks prior to onsite)
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TRAC TIMELINE• Day 1 - Program reviews begin• Day 2 -
• Program reviews continue• Introduction meeting• Data/Finance/Grant reviews begin
• Day 3 – • Program reviews continue• Interviews• Wrap Up meeting
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TRAC TIMELINE
• Desk Review and Onsite Visit • OCTE Report Of Findings in GEMS
• Not In Compliance - Action Required• Recommendations (comments, technical
assistance, observations)• Commendations (exemplary program, best
practices)
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TRAC TIMELINE
• Appeals Process• Compliance Plan (created by Region)• Compliance Plan and Evidence
(Approved by OCTE)• Final Letter
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IMPORTANT CHANGES Expanded State Desk Review
Documents RequiredNo Compliance Plan WorkshopNo Priority (I/II) FindingsImplementation of GEMSNavigator – CIP Programs
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QUESTIONS?
GRANTS
• ALL desk review documents for Grant review must be uploaded to GEMS by September 8, 2014.
• Personally identifiable information must be redacted from documents before upload or documents must be provided onsite.
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GRANTS G01 – 20% of CPI Indicator Activities from 2013-14 application
Factors considered in selection process:•CPI Deficiencies•Regional Improvement Plan Activities•Amount of grant funds budgeted•Relevancy of activity
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GRANT G01 DOCUMENTATION
• Evidence as identified and approved in the application must be provided
• Evidence must reflect the expected outcomes as identified in the application
• Evidence must be consistent with the scope of the activity and outcome
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GO1 – Evidence Examples
G01 evidence may include: • Meeting minutes and sign-in sheets• Pre- and post-test scores• Revised curriculum• Planning documents• Documentation of services provided to
students (payroll records and work logs)• Dated vendor payments• Other
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EXAMPLEEXPECTED OUTCOME
CPI: 1S1 Academic Attainment/ReadingActivity: Curriculum Integration
Expected Outcome: 60% of the region's CTE teachers will participate in professional development related to the integration of reading concepts and will integrate contextual reading activities into curriculum to support student growth in reading.
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EXAMPLE
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G01 - Evidences• Provide Regional/CEPD/District
documents (as appropriate) listed under DESK REVIEW for review items (participation may have been at the regional, CEPD or district level).
• No personally identifiable information
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Evidences Supporting:
•Regional Long Range Plan•Eligibility for Perkins Funding
(G02 – G06)
G02 - Equity and Access
Documents that demonstrate:Students have equal access to CTE
programsAll students are included in outreach
activitiesCompliance with federal law and
regulations (includes eligible charter schools and home-schooled students)
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G02 - Evidences
Evidences may include:Counseling, advising and admission policies and procedures demonstrating equal accessOutreach materials which may include brochures, videos, letters or flyers (including ELL languages as applicable)
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G03 – Regional Planning/Stakeholder
Documents that demonstrate:Grant priorities Joint planning and coordination of CTE
programsWDB/EAG was provided the opportunity
to review and provide input
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G04 – Special Population Services
Documents that demonstrate:Region/CEPD/District plan is in place to
identify and provide services to SPOPS (LRP)
Region/CEPDs/Districts have assessed and met the needs of SPOPS
Region/CEPDs/Districts have conducted outreach targeting SPOPS
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G05 – Professional Development
Documents demonstrating Professional Development:
Secondary teachers and personnelAdministratorsCareer Guidance and Academic
Counselors
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G06 – Nonpublic and Charter Schools
Documents that demonstrate compliance with federal laws and regulations regarding participation by students, teachers and administrators in:
Nonprofit, nonpublic schools and home-schooled students
Charter schools
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G07 – Previous Onsite
Only provide documents if requested after the desk review is completed.
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David [email protected]
(517) 241-6202
Krishnan [email protected]
(517) 241-7652
Valerie [email protected]
(517) 335-1066
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Focus of Data Review
State Funding & Reporting
Data Use for Program
Improvement
CTEProgram
FederalFunding
and Reporting
DATA - Common Findings• Course section minutes or weeks reported in
CTEIS and shown on X0107 report, do not match district documentation:• Master schedule• Bell schedule• District calendar
• Failure to provide bell schedule, master schedule or district calendar for ALL PSNs specified by OCTE for review
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DATA - Common Findings• Course section titles often don’t match those in CTEIS
and shown on the X0107 report.• Could result in findings of noncompliance• If master schedule course names do not match
course section names in CTEIS, please provide a crosswalk showing both course names
• Enrollments reported to OCTE don’t match teacher class/course records
• Please be sure to provide documents for the year under review (usually prior school year)
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DATA - Common Findings• Documentation not provided to demonstrate that:
• CPI reports were shared with instructors• CPI reports were used for program improvement• Follow Up Survey results, including related
placement data shared with instructors
(Examples of adequate evidence include meeting minutes or memos)
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DATA - Common Findings• Data processes and procedures documentation
such as data security procedures, not provided
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DATA - Common Findings• Evidence not provided for all CEPDs or districts in
Region.PSN-specific documentation is required for data
reported at the course-section level (and is only required for the specified PSNs):Examples:
Class listsInstructional DesignMinutesWeeks
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DATA - Common Findings• Evidence not provided for all CEPDs or districts in
Region (continued):Documentation demonstrating effort across the entire
region is required for non-PSN-specific data activities:Examples: Sharing CPI results, Sharing follow-up
results, Data security procedures
Documentation must be provided demonstrating that activity was carried out at the regional level or, if carried out at CEPD or district level, a representative sample of documentation must be provided for every CEPD.
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TIPS FOR REVIEW ITEMSD01-Perkins quality data:Provide teacher class lists for specified PSNs on-site (do NOT upload Personally-Identifiable Information (PII) to GEMS
Provide PII onsiteExamples: documents with student names,
UICs, information on individual students, IEP (even without name)
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TIPS FOR REVIEW ITEMSD02-Accurate CPI data:Teacher class lists for specified PSNs (see D01). Provide onsite only. Do not upload to GEMS.List of Students showing Special Populations category
From DISTRICT records (not exported from CTEIS).
Provide onsite only. Do not upload to GEMS.
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TIPS FOR REVIEW ITEMSD02-Accurate CPI data:Teacher instructional design document for every PSN identified by OCTE (not printed from CTEIS)Articulation agreements for PSNs identified by OCTERegional list of PSNs that have articulation agreements
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TIPS FOR REVIEW ITEMSSee review checklist for recommended evidence. Findings of noncompliance are common in:D03-CPI Reports/CPI ActivitiesD04-Added Cost Quality Data
Tip: provide counts of days of instruction on calendars and minutes of instruction on schedules.
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TIPS FOR REVIEW ITEMSSee review checklist for recommended evidence. Findings of noncompliance are common:D05-Placement data (follow-up survey)
Tip: Remember to provide evidence for:Total placementRelated placementCPIs used for program improvementCPIs shared with staff
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TIPS FOR REVIEW ITEMSD06-CPI Report availability
Tip: Provide web links to reports
for all districts in the region
D07-Data security
Tip: Provide district-level policy documents for all districts in region.
Tip: Agendas, meeting minutes or memos can be used to demonstrate that policies and procedures were shared with staff.
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TIPS FOR REVIEW ITEMSD08-Previous monitoring reviewOnly provide evidence if requested from OCTE after desk reviewTip: Review prior TRAC Report to avoid repeat findings.
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Naming Evidence Files In GEMS• Label each file uploaded to GEMS with:
• Review item code (example: “D02”)• PSN (for PSN-specific evidence)
• -or- District (for District-level evidence)• -or- CEPD (for CEPD-level evidence)
• Description: (example: “InstructDesign”)
EXAMPLE FILE NAME:Example: ReviewItemCode_PSN_DescriptionPSN example: D02_12509_InstructDesignBuilding example: D04_Randolph_MasterScheduleDistrict example: D04_DetroitPS_DistrictCalendarCEPD example: D03_CEPD41_AgendaWhereCPIsShared
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For Evidence Provided Onsite• Don’t forget to use:
• A sticky note on a page• Highlight a sentence, paragraph, etc.• Draw an arrow to the sentence, picture,
etc.• Provide crosswalks between district
documents and or with CTEIS reports, if different
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QUESTIONS?
BREAK TIME!
Pleasereconvene in15 minutes
FINANCE AGENCY REVIEWS
2013-2014
CTE Perkins fiscal agency
and
1-3 additional participating agencies
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F01 – Level of Effort: Supplement Not Supplant
Documentation demonstrating that federal funds were used to supplement, not supplant, nonfederal funds expended to carry out career and technical education activities.
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F01 - Evidences
Desk Review documents:Board policy prohibiting supplanting
Onsite documents:Interview with business officialInterview with CTE administrator
OCTE documentation
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F02 - ProcurementDocumentation that region maintains a written
code of standards of conduct governing the performance of its employees engaged in the award or administration of contracts; and maintains records sufficient to detail the history of a procurement transaction; and procurement procedures provide for full and open competition to the extent practicable, and no contract is made with a vendor that has been suspended or debarred.
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F02 - Evidences• Desk Review documents:
Procurement/purchasing policies and procedureBoard-approved Code of Conduct or Conflict of Interest policy for employees and
officers involved in procurement• Onsite documents:
Evidence that the System for Award Management was checked ( www.sam.gov )Employee-signed copy of Code of Conduct or Conflict of Interest (required if Board-
approved Code of Conduct or Conflict of Interest policy is not evident)Interview with business officialInterview with CTE administrator
OCTE documentation
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F03 – Expenditure Review
Documentation demonstrating fiscal control and fund accounting policies and procedures ensure proper expenditure of and accounting for federal and nonfederal funds expended for career and technical education.
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F03 – Evidences• Desk Review documents:
General ledger summary and transaction details (or equivalent) for federal CTE grant expenditures
General ledger summary and transaction details (or equivalent) for nonfederal expenditures used to support required CTE Perkins grant activities
Budget policies and proceduresAccounting policies and proceduresProcess, procedures and forms used to monitor reimbursements to participating
agencies (fiscal agency only)Chart of accounts (or equivalent) that defines accounting codes used in general ledger
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F03 – Evidences Continued• Onsite documentation:
Supporting documentation for selected sample.Signed Cooperative Agreements for Designation of Fiscal
Agency for ALL participating agencies generating CTE Perkins funds (fiscal agency only)
Interview with business officialInterview with CTE administrator or CTE Perkins federal grant
coordinatorOCTE documentation
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F04 – Time and Effort Reporting
Documentation demonstrating employees whose salaries and benefits are paid in whole or in part with federal funds maintain time distribution and personnel activity reports (PARS) in accordance with OMB Circular A-87.
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F04 – Evidences
• Desk Review documents:List of employees and titles whose salary and
benefits were paid in whole or in part with CTE Perkins funds.
Payroll ledgerPolicy and procedures complying with federal
time and effort reporting requirements
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F04 – Evidences ContinuedOnsite documentation:
Reconciliation of actual payroll costs to budgeted amounts
Semi-annual certifications (100%)Personnel Activity Reports for split-funded
personnelInterview with business officialInterview with CTE administrator or CTE
Perkins federal grant coordinatorOCTE Documentation
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PAR vs. Semi-Annual Certification
There are only four (4) possible options to consider when determining whether to complete a semi-annual certification or personnel activity report. All possible circumstances will apply to one of the four options.
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Timekeeping Decision Making Rubric
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F05 – Property ManagementDocumentation demonstrating prior written approval is required for purchasing equipment for state-approved career and technical education programs and that recipient's inventory management system meets the requirements in EDGAR. ONLY applicable if equipment was purchased with 2013-2014 Perkins funds.Equipment is defined as tangible, nonexpendable property having a useful life or more than one year and an acquisition cost of $5,000 or more per unit.
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F05 - EvidencesDesk Review documentation:
Equipment inventoryBoard policy for capital outlay purchases (if not
submitted for F02)Onsite documentation:
Accounting records for instructional equipment purchases
Interview with business officialInterview with CTE administrator or CTE Perkins
federal grant coordinatorOCTE documentation
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F06 - Previous Onsite Monitoring Visit
Provide evidence for F06 only if requested by OCTE after the desk review.
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FINANCE INTERVIEWS
• Interviews as needed with:• Business office representatives• CTE directors or administrators
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FINANCE CHECKLIST • Provide DISTRICT documents listed under
DESK REVIEW for all review items • Due to OCTE on or before September 8, 2014• ONSITE documents should be provided at the
site.
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QUESTIONS?
DESK REVIEW DOCUMENTS
• Before Onsite Visit• Collect and organize materials electronically
• Virtual folders to prepare for GEMS• Label with review item number (D01, F01, G01,
etc.) and Document Name including CEPD, PSN, Building as necessary
• Mark pages/highlight sections (if possible)• Provide all requested documentation• Submit Desk Review documentation in GEMS on
or before September 8, 2014.
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Example of Virtual Folders
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GEMS Access
Each Region Liaison will need access to GEMS. This access is granted by your region’s GEMS Sub-recipient administrators.
Information about this was sent to each Region Liaison via email on May 13, 2014.
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GEMS Demonstration
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ONSITE DOCUMENTS
• Only one copy of each item• Documents should be placed in the
document review room at the homebase location for day two of the agenda
• Materials remain with region
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FINAL REMINDERS• Documentation should represent the whole
Region - not just one CEPD or district unless otherwise specified
• Don’t treat each CEPD separately; put all evidence for each review item together
• Have someone available on day two and three of the onsite visit who knows the documents
• Watch for program and grant selection notification via email on June 2, 2014.
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Onsite Visits Dates
Please see the TRAC Schedule in your folder for your region’s scheduled visit date.
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QUESTIONS?
Program Selection Criteria• Added Cost funding amounts• Enrollment and completion data• Geographical location• New program established within last five years• New teacher for program• OCTE program file information• Program and building level core performance indicator
data including special populations• Regional CIP Summary information and CIP
Improvement Plans
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Program Selection NotificationOCTE notifies Regional TRAC Liaison Regional TRAC Liaison notifies CEPD administratorsCEPD administrator notifies building administrator,
teacher(s), and OCTE consultantTeacher uploads all information into MCCTE Navigator
by September 8, 2014OCTE consultant contacts teacher(s) to finalize visit
details and copies the CEPD administrator, building administrator, Regional TRAC Liaison, and OCTE TRAC Coordinator
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Program Selection Follow-Up
• 2014-15 Master schedule highlighting program teacher(s) schedule
• Program Location - Building address
• Exceptions - Notation of teacher on leave, retired; program relocated, closed, etc.
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CIP Self-Review
• Complete and upload in Navigator by PSN (http://ctenavigator.org)
• Single review for each PSN-all teachers • Evidence for 2013-2014 school year• Must be complete by September 8, 2014
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CO1 – Program Teacher Certification
Enter legal name(s) exactly as printed on teaching credential(s)
Upload: Copy of state professional license, if applicableCopy of industry certification, if applicableCopy of Community College Instructor letter, if applicable
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CO2 - Program Teacher PDTo stay current with all aspects of program-related industry
That promotes the integration of coherent and rigorous content aligned with challenging academic standards and relevant CTE.Effective integration and use of challenging academic in CTE provided jointly with academic teachersEffective research-based teaching skillsEffective practices to improve parental and community involvementEffective use of research and data to improve instructionProvide relevant experience in the related business or industry (internship)Training in the effective use and application of technology to improve
instruction.
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Upload Professional Development Records
To show:DateSponsor(s)Topic(s) or focus of Professional Development
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CO6 - Program Advisory Committee
Upload:Advisory Committee roster-appropriate businesses, parent, and postsecondaryDocumentation of two meetings for year.Evidence of Advisory Committee assessment of and input on facilities, equipment, materials, and resources that reflect current industry standards and technology.
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C10 – Implementation of Program Standards/Course Content
Upload:Program Gap AnalysisSyllabi for all courses within the programProgram Instructional Design Form (Segments)Record of safety training (CIP specific)Documentation of work-based learning opportunities for students (CIP specific)Documentation of student leadership opportunities
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Upload:Program Facilities (evidence of accessibility)Bias review resultsRecruitment materials/brochuresProgram applications/prerequisitesEnrollment demographics (over/under representation of sub groups)
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C13 – Strategies to Eliminate Barriers to Program Access
Upload one or more of the following: Program of Study (CIP specific)Articulation AgreementConcurrent/Dual enrollment agreement, if applicableDirect Credit agreement, if applicable
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C16 – Secondary-Postsecondary Connections
QUESTIONS?
ONSITE TRAC TRAININGMay 16, 2014
