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Carl D. Perkins OPERATIONAL HANDBOOK-4DEVELOPED : REVISED : DEVELOPED BY: For Additional Information Visit Our Web Site: http://www.cte.mnscu.edu Upon request, this Operational Handbook will be made available in alternative formats, such as Braille, large print or audiotape. TOPICAL AREAS Section 1 Financial Requirements Page 1.1 Local Application Budget Changes with in Fiscal Year 2.1 Perkins III Annual Performance Report (APR) Section 3 Frequently Asked Questions (FAQ’s) Page Frequently Asked Questions (FAQ’s) APPENDICES A. Perkins III Institution and Program Eligibility Criteria SECTION 1 -- FINANCIAL REQUIREMENTS top1.1 Local Application Budget Changes within the Fiscal Year: Fiscal year budget changes of $10,000.00 or more, among any required or permissive activity area, must be pre-approved by the Minnesota State Colleges and Universities, Office of the Chancellor, Perkins Director. College Perkins Coordinators must receive approval before the expenditure can be made. All budget changes will be recorded as part of the college file. 1.2 Fiscal Year Expenditure Timelines: Perkins III does NOT allow colleges to carry-over unexpended funds from one fiscal year to the next. All expenditure orders must be completed by May 31 st of the Local Application fiscal year. Attempts should be made to pay all invoices by June 30 th of the Local Application fiscal year or shortly thereafter. 1.3 Workforce Center Collaborative Expenditures: Post-secondary vocational and technical education programs, assisted under Perkins III, are mandatory partners in the one-stop career center delivery system established by the Workforce Investment Act of 1998. While colleges are encouraged to collaborate with their one-stop partners, mandatory Perkins resource expenditures are not required as part of the collaboration. However, as specified in the local application, colleges must report (see Perkins budget summary sheet, area five) all direct and indirect resources that were used in collaborative efforts with Workforce Centers each fiscal year. 1.4 Funds for Support Services (Non-Traditional-Gender): If a college determines a need to fund support services for non-traditional (gender) students, they must develop local guidelines, within state and federal laws, to provide assistance with dependent care, transportation services, special services, supplies, books, and materials for non-traditional students in vocationally approved programs and/or services. The Federal Office of Vocational and Technical Education (OVAE) has provided the following guidelines:
1.5 Funds for New Program Development: Colleges may use Perkins III resources for new program/curriculum development provided that all the following provisions are met:
1.6 Perkins III Indicator Finance Cost Centers: Colleges expending Perkins III resources are required to establish cost centers for each required and permissive activity area . Individual activity cost centers are required in capturing funds and reporting purposes for OVAE. Expenditure by activity area must be reported each year in the college Perkins III Annual Performance Report (APR). 1.7 Using Perkins III Resources to Fund Personnel: Colleges may not use Perkins III resources to fund instruction within for-credit or customized training courses. Personnel may be funded via the college's Perkins grant in cases where:
In all cases the following conditions must be met:
1.8 Using Perkins III Resources to Fund Customized Training: Perkins III resources may only be used by colleges for program expenditures relating to students pursuing program completion in any certificate, diploma, associate in applied science, or associate in science degree. Resources are not intended for training students for a specific business need. For example: Perkins funds may not be used for costs related to providing customized training for ABC Corporation. 1.9 Perkins III 5% Administrative Cost Allowances: Perkins III allows eligible colleges 5% for administrative costs. Administration is defined as "activities necessary for the proper and efficient performance of the eligible agency under this Act, including supervision, but does not include curriculum development activities, personnel development or research activities." The administrative 5% allowance may be used for Perkins Coordinator salaries, associated travel and/or activities related to the college local plan development, implementation, evaluation, and continuous improvement. The administrative 5% allowance cannot be used for general overhead or operation of the college (i.e. costs such as space and related facilities/utilities). 1.10 Perkins III Fiscal Requirement --- Supplement Not Supplant: Part A, Sec. 311 states that funds made available under Perkins III for vocational and technical education activities shall supplement, and shall not supplant , non-Federal funds expended to carry out vocational and technical education activities.
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| A: Type of Cost: | Obligation Occurs: |
| Equipment & Supplies | Date of Purchase Order |
| Work of Employees | When Work is Done |
| Contracted Services | Date of Written Agreement |
| Travel | When Travel is Taken |
(If travel overlaps a fiscal year, the expenses of the trip must be split between the two years based on the date the expenses were incurred.)
Q: What types of costs can generally be considered eligible under Perkins III?
A:
Administrative Costs (5%)
Consultants
Personnel Services (PARs)
Instructional Materials
Travel
Stipends
Instructional Equipment
Others, as evaluated case-by-case
Q: What types of costs are not eligible under Perkins III?
A:
Student Expenses/Direct Assistance to Students
Expenses That Supplant
Entertainment
Audits, Except Single Audit
Awards and Memorabilia
Contributions and Donations
Individual Memberships
Contingencies
Facilities and Furniture
General Administration
College Tuition, Fees, Books
General Advertising
Fines and Penalties
Alcohol
Insurance/Self-Insurance
Fund Raising
Memberships with organizations whose primary purpose is to lobby (PAC’s)
Others, as evaluated case-by-case
Q: May colleges’ use Perkins III funds to purchase refreshments for local meetings?
A: Colleges must apply the following guidelines from the U.S. Office of management and Budget Circular A-87 when determining the appropriateness of all expenditures, including refreshments, using federal funds:
In other words: Would the expenditure or cost of the item(s) seem reasonable and prudent to the general public?
Given the above listed criteria, the ultimate decision to purchase refreshments rests with the appropriate authority at each college.
Q: May Perkins funds be used to support a program/service that was supported last year with non-federal funds?
A:
No, this would be supplanting.
Exception – When it would be impossible to continue the program/service without the federal funds, then it MAY not be supplanting.
Q: Can Perkins III funds be co-mingled with other funds to offer programs and/or services?
A: Perkins funds may not be co-mingled so that they lose their identity. Expenditures must be traceable to the source of funding. However, eligible programs and services can be co-funded to maximize the over-all available funds.
Q: How often does equipment, purchased with Federal vocational funds, need to be inventoried?
A: The Office of Management and Budget (OMB) Circular 110 compliance supplement requires colleges that purchase equipment with Federal funds, costing $5,000 or more, be inventoried every two years. OMB Circular 110 defines equipment as: “tangible nonexpendable personal property including exempt property charged directly to the award having a useful life of more than one year and an acquisition cost of $5,000 or more per unit. However, consistent with recipient policy, lower limits may be established.”
For additional information about this requirement contact:
David Day, Campus Assistance
Phone: 651-917-4709 E-Mail: david.day@csu.mnscu.edu
Fax: 651-649-5779
Q. What performance outcomes are being assessed under Perkins III?
A. The primary performance outcomes being assessed under Perkins III are student learner outcomes. Documented learner outcomes are mandated in the areas of student academic and skill attainment, completion, placement, and retention. In addition, participation in nontraditional employment and training, and participation within 16 career cluster areas is measured.
Q. What populations are measured under Perkins III?
A. The core indicators measure performance at both the college and statewide level. Data are also disaggregated by gender, ethnicity, and special population (limited English, academically disadvantaged, disabled, single parent, displaced homemaker, economically disadvantaged). Students fall under one or more enrollment groups. Participants are those students enrolled in one or more courses within a declared major in a Perkins designated vocational education program. Concentrators are those students with a declared major in a Perkins designated vocational technical education program and who have completed a minimum of 33% of the total number of credits required for program completion. Completers are those students awarded a certificate, diploma, associate in applied science, or associate in science degree.
Q. How does college performance impact local funding?
A. College performance on each core indicator contributes to the overall state performance level. Colleges are required to meet and/or exceed the state-negotiated levels of performance. College allocations are budgeted in two categories – the basic grant and targeted funds. When a college’s performance level meets or exceeds the state negotiated level, that college can allocate the total amount of funding available (basic grant + targeted funds) as it desires within their approved Perkins plan. However, if a college’s performance level does not meet the state negotiated level, that college must redesign their Perkins plan, and apply their targeted funds to activities specifically designed to improve performance in the low performance core indicator area(s). Colleges that continually fail to meet yearly negotiated levels of performance provide a negative impact to Minnesota ’s overall Federal Perkins performance record. Without measured improvement, these low performing colleges stand to lose future Perkins funding and may have the potential to impact the states Perkins allocation.
Note: For FY2006, colleges must have met or exceeded the state negotiated level of performance (24.00%) for core indicators 1P1, 1P2 and 2P1 as reported for FY2004 in order to have full discretion over the use of funds. If a college has not met these levels, it must apply the targeted budget amount to core indicator performance area(s) which fall below state-negotiated levels of performance.
Q. What is the “Using Data for Effective Decision-Making” project?
A. This project began in FY2000 as a pilot with six college participants. The project goal is to provide system-wide leadership and technical assistance to enhance Minnesota State Colleges and Universities Perkins Act grantees in their understanding of using data collection and analysis for decision-making, local program planning, and continuous process improvement. The project has expanded and now includes all colleges receiving Perkins funds. Colleges have focused on improving data integrity, application of data to continuous improvement and local plan development. Participants have built a network of peer support and expertise in various areas specific to Perkins activities and college improvement.
Q. What is the Perkins III Program Quality Initiative (PQI)?
A. PQI started in January 2003. PQI builds on the Using Data for Effective Decision-Making project by expanding the focus from collecting high-quality data to using these data to improve program quality and student performance on Perkins III core performance indicators. PQI goals are: 1) Improve Perkins data integrity, 2) Use data for effective decision-making and planning when writing annual college Perkins applications, 3) Put data into the hands of those that use it, 4) Use data for driving improved program quality and performance, and 5) Build a state-wide peer technical assistance network.
Q. What is the Perkins III Data Warehouse?
A. Minnesota State Colleges and Universities student data are collected electronically using the Integrated Statewide Record System (ISRS). All Perkins III outcome data, derived from ISRS, may be accessed at the local college level and Office of the Chancellor level from a web based program called Brio. Brio contains all the data elements making up the Perkins III data warehouse. The goal of the Perkins III data warehouse and related training is to get college and system wide data into the hands of those that need it, and to provide technical assistance on how to use the data for program improvement, program evaluation, local plan development and revision, and budget decisions. The data warehouse features both standard reports and the capacity for building customized reports for self-selected data elements. The Perkins III data warehouse continues to expand based on local college input and needs. Information about the Brio system as applied to Perkins data is available at: Brio Training
Q: When would a college have to develop a ‘Local Improvement Plan’?
A: As stated in the Official Guide to the Perkins Act of 1998, the eligible agency (Office of the Chancellor, Minnesota State Colleges and Universities) is required to evaluate an eligible recipient’s (local college’s) performance using state adjusted levels of performance each year. If progress is not evident, the college will enter into an improvement plan, with regular evaluations by the Office of the Chancellor, to assist in overcoming deficiencies
Q: When being audited, what will auditors be looking for at the college level?
A: Currently, Kern, DeWinter, Viere, LTD (KDV) is responsible for the system-wide audit of the Minnesota State Colleges and Universities. This includes auditing internal federal programs, as determined by the Minnesota Office of the Legislative Auditor. KDV’s work is incorporated into the State of Minnesota ’s report on federally assisted programs, often referred to as the single audit report.
If the Vocational Education Basic State Grant Program – CFDA 84.048 (Perkins III) is determined to be internal, KDV will review controls at the Office of the Chancellor over the distribution and reporting of Perkins III funds. In addition, KDV may complete contract work as well as testing at the college level. Control work and testing may include determining whether:
Q. Who do I contact at the Office of the Chancellor for further information about Perkins III?
A. The Educational Grants Unit at the Minnesota State Colleges and Universities, Office of the Chancellor, is available to answer questions and provide technical assistance. Please feel free to contact staff. Many resources are available at the CTE web site at www.cte.mnscu.edu . Staff e-mail (except for Michele Dorschner) addresses: firstname.lastname@so.mnscu.edu.
Associate Vice Chancellor for Academic Affairs: Deena B. Allen (651-296-3874)
System Director, Perkins: Pradeep Kotamraju, (651-282-5569)
Program Director, College Liaison: Lloyd A. Petri (651-297-1484)
Program Director, Tech Prep: Mary Messimer (651-296-9590)
Program Director, Community Partnership/Nontraditional Employment and Training:
Eva Scates-Winston (651-297-3792)
Perkins Data Warehouse: Michele Dorschner (651-917-4717) E-Mail: Michele.dorschner@csu.mnscu.edu
Administrative Support: Florence Newton (651-296-3906) and Kathy Kirchoff (651-297-1116)
Minnesota State Colleges and Universities Institution Eligibility:
Minnesota State Colleges and Universities Program Eligibility:
Minnesota State Colleges and Universities eligible institutions that have met their performance targets for the preceding year may apply for Perkins III Program Development Grants. There are two types of program development grants: 1) New program development grants for a college that is developing a new program, and 2) Collaborative curriculum alignment grants for at least one college and one K-12 district that provide for aligned curriculum in new or existing programs that provide for a career pathway. The collaboration may involve additional college(s), K-12 district(s), universities, industry and/or other partners. Grants may be awarded for program development in certificate, diploma, associate in applied science, or associate in science degree programs, or a cluster of programs that provide for:
Funds may be requested for activities related to the development of a proposed new program or group of closely related programs. Examples of fundable expenses include:
NOTE: Funds may not be used for purchase of equipment.
For additional information contact: JoAnn Simser, joann.simser@so.mnscu.edu Phone: 651-297-2285
Fax: 651-296-3214