Annual Performance Reports & Matching Funds

November 2013

Year 3 APR Webinar for 2010 i3 Grantees

Agenda

• Purpose of Annual Performance Report• ED 524B

• Cover Sheet• Executive Summary• Section A: Performance Objectives Information• Section B: Budget Information• Section C: Additional Information

• SF 425 • Q&A

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Reporting Requirements

• Annual Performance Report (APR)– 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 14th, 2014

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Purpose

• 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

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Parts of the APR

• Grantees will complete an APR using the ED 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

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Cover Sheet

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Sample APR Cover Sheet

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10 1 2012 09 30 2013

APR Cover Sheet

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$1,250,000.00 $250,000.00

10 1 2012 09 30 2013

Executive Summary

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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 three

of the project including:– Outline of year three 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,

including a description of how your project defines high-need student– Cost per student

• A description of challenges encountered and the solutions implemented

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APR Executive Summary

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LEA City 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 1 Niskayuna, NY

750 625 50 25 7-8

District 2 Cohoes, NY

500 500 50 25 7-8

District 3 Rochester, NY

600 600 50 25 7-8

Section A: Performance Objectives Information

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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.

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APR Section A- Status Chart

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

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Program Measures vs. Project MeasuresProgram Measures

• Also called Government Performance and Results Act (GPRA) Measures

• Standardize reporting requirements

• Aggregate data across i3 projects• Provide data about i3 program

effectiveness

Project Measures

• 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

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GPRA Measures

1. The percentage of grantees that reach their annual target number of students as specified in the application.

2. The percentage of programs, practices, or strategies supported by evaluations that provide evidence or promise of improving student outcomes (actual measure requirements varies according to i3 grant type).

3. The percentage of programs practices, or strategies supported by a grant that have ongoing evaluations that are providing high-quality implementation data and performance feedback that allow for periodic assessment of progress toward achieving intended outcomes.

4. The cost per student actually served by the grant.

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GPRA 1

For Scale-up and Validation grantees, there are two GPRA measures to which grantees need to respond. The first of which is:

1. The percentage of grantees that reach their annual target number of students as specified in the application.

For this measure, grantees will actually report on the following :

1. The number of students served by the project.

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Notes on Students Served

When calculating students served, please remember:•“Served” must be defined by the grant project and included in the APR explanation of progress

•Calculations should reflect treatment group participants only

•Data are reported according to the federal reporting period whenever possible.

•Grantees must maintain internal consistency in reporting.

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GPRA 1 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.

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Sample APR Section A- Status Chart

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1. Performance Measure Measure Type Quantitative Data

The number of students served by the project

GPRA

Target Actual Performance Data

RawNumber

Ratio %Raw

NumberRatio %

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.

GPRA 4All grantees are to report on GPRA measure 4 :

4. The cost per student actually served by the grant.

Cost per student will be based on the total funds encumbered in year one (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 one.

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Expenditures=

(Federal, non-Federal, and other costs expended in year three) - Evaluation Costs expended in year three

Students Served Number of students served during year three

APR Section A- Status Chart

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1. Performance Measure Measure Type Quantitative Data

The cost per student actually served by the grant

GPRATarget Actual Performance Data

RawNumber

Ratio %Raw

NumberRatio %

/ $513$500,000/

975

Explanation of Progress: During year one, 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 for 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).

Project MeasuresFor 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 by the end of year one.•The percentage of students who score “proficient” or better on the state grade level literacy exam after two years of Project READ.

Objective 2:Performance Measure 2aPerformance Measure 2b

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Project Measures1a. Performance Measure Measure Type Quantitative DataThe number of English/Language Arts teachers who complete professional development to become certified in Project READ competencies by the end of year one.

ProjectTarget Actual Performance Data

RawNumber

Ratio %Raw

NumberRatio %

60 59

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.

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1b. Performance Measure Measure Type Quantitative Data

The percentage of students who score “proficient” or better on the state grade level literacy exam after two years of Project READ.

Project

Target Actual Performance Data

RawNumber

Ratio %Raw

NumberRatio %

320/400 80 323/400 81

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

Section B- Budget Information

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APR Section B—Budget Information

• Provide an overview of the expenses for the performance period 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 one , actual year one expenditures, carryover, and projected year two expenses for each budget line item of the ED 524 budget form

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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 one will be used in year two by elaborating on:

• Timeline for completion of activities delayed in year one

• In the case of surplus funds, reallocating them toward other project objectives

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APR Section B- Budget Information

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Budget Categories Year one Budgeted Year one Actual Carryover Year Two Projected

Personnel $70,000 $70,000 $0 $70,000

Fringe $10,000 $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 2, 3, 4, and 5.

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 of the second 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 6/5/12) for year one; in year two we will be starting one fewer school sites.

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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 required private match.

• Reporting on matching funds ensures that all funds were secured as described in the previously submitted match letters

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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 are included (as an attachment) with the Dear Colleague Letter

• To submit, scan and then email to respective program officer

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Section C: Additional Information

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APR Section C—Additional Information

• Include any changes in project activities

• Provide updates on the evaluation plan, including any changes to the evaluation design or instruments that will be used and copies of any interim findings or reports

• 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

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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”

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How to Submit in G5• Go to https://www.g5.gov and log into the system.

• Go to Grant Maintenance Package Submission Select to mark the correct PR# for the grant Current Report Package and Initiate the Interim 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.

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