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ESSER I/II Prior Approval Process Tech Guide

This guide is designed to help LEAs complete their ESSER I/II Construction and Other Capital Expenditures/Improvements Prior Approval Forms.

LEAs that wish to expend ESSER I/II funds on facilities initiatives may be permitted to:

  • make facility upgrades to comply with American Disabilities Act requirements
  • upgrade HVAC systems
  • remediate mold, lead, and other sources of poor indoor air quality
  • install mechanical ventilation and/or advanced filtration systems
  • replace windows to allow for improved intake of fresh air
  • replace plumbing to ensure safe drinking water—among other upgrades that improve the health and safety of school buildings.

All capital expenditures supported with federal funds must be pre-approved by PDE. Capital expenditures means expenditures to acquire capital assets (i.e., land, facilities, or equipment over $5,000 per unit) or expenditures to make additions, improvements, modifications, replacements, rearrangements, reinstallations, renovations, or alterations to capital assets that materially increase their value or useful life.

Construction means (A) the preparation of drawings and specifications for school facilities; (B) erecting, building, acquiring, altering, remodeling, repairing, or extending school facilities; (C) inspecting and supervising the construction of school facilities; and (D) debt service for such activities (ESEA section 7013(3), 20 U.S.C. § 7713(3)).

Directions: LEAs seeking prior approval for Construction/Renovation or Other Capital Expenditures must:

Complete the form for each contractor/project your LEA would like to support with ESSER I/II funds. If using multiple vendors for one project, i.e., classroom expansion, enter total cost per vendor to equal the total budgeted cost of the "classroom expansion" project. Completed forms must be uploaded to the appropriate application. Prior to uploading forms, they must be signed off by your LEA Superintendent/CEO. Please note: if your application is in Completed, Canceled or Closed status, you must email your approval form to your Regional Coordinator. If your application is In Process or Under Review, please follow the steps below to upload your prior approval forms.

ESSER I

Email the prior approval form(s) to your Regional Coordinator to upload to eGrants

ESSER II

If your application is in Completed, Canceled or Closed status, please email your approval form to your Regional Coordinator.

If your application is In Process or Under Review:

  • Access the main consolidated ESSER II application
  • Under Reporting/Guideline, click Uploads

Reporting/Guidelines Uploads

  • Upload saved form(s)

Upload Files

Request for Prior Approval: Other Capital Expenditures/Improvements funded under ESSER

  1. LEA Name
  2. AUN #
  3. LEA Contact Information

Contact Information

The above LEA is requesting prior approval for the following project to be funded in full or in part from federal grant funds as permitted in ESSER.

Facilities & Grounds Upgrade Examples:

  • Repairing and improving school facilities to reduce risk of virus transmission and exposure to environmental health hazards, and to support student health needs
  • Improving indoor air quality, including installation of mechanical ventilation and/or advanced filtration systems and/or upgrading HVAC systems
  • Undertaking the remediation of mold, lead, and other sources of poor indoor air quality
  • Replacing windows to allow for improved intake of fresh air
  • Upgrading facilities to comply with American Disabilities Act requirements
  • Repairing or replacing roofing in certain circumstances
  • Replacing plumbing to ensure safe drinking water
  • Undertaking priority school facility repairs and improvements that will accelerate a safe return to in-person learning
  • Creating outdoor classroom spaces and/or outdoor eating areas

Type of Project: Other Capital Expenditures/Improvements

  1. Describe the proposed project that is requested to be funded in full or in part from federal ESSER funds (3,000 character limit).
  2. Explain how the LEA has determined that the proposed project complies with the Cost Principles in 2 CFR Part 200, subpart E (e.g., the cost must be "necessary and reasonable" (2 CFR §§ 200.403-200.404)) (3,000 character limit);

Please note that the burden remains on grantees and subgrantees to maintain the appropriate documentation that supports the expenditure.

  1. Projected Costs by Funding Source (please note: obligation dates are included. Each project has an additional 90 days for liquidation):

Funding Sources

Assurances

Assurances - By reviewing and agreeing to the assurance statements below, the LEA is verifying that the approved projects

  1. This proposed project meets the overall purpose of the ESSER Act programs, which is "to prevent, prepare for, and respond to" COVID-19 as well as a specific allocable use of funds as outlined in the laws and/or guidance.
    Select: Yes/No
  2. LEAs will comply with Davis-Bacon Act:
    Applicable to all federal contracts and subcontracts over $2,000 for:
    • construction
    • alteration
    • repairs
    • painting/decorating
    Rule – must pay workers no less than the locally prevailing wage and fringe benefits for corresponding work in the area (Department of Labor)
    Select: Yes/No
  3. If an LEA uses funds for HVAC systems, the US Education Department's regulation at 34 CFR§75.616(c) requires the use of American Society of Heating, Refrigeration and Air Conditioning Engineers (ASHRAE) standards.
    Select: Yes/No/N/A
  4. The LEA agrees it will comply with all other applicable federal laws and regulations.
    Select: Yes/No

If your LEA has a construction project funded under ESSER I/II, you will complete the Prior Approval Form for Construction/Renovation.

Request for Prior Approval: NEW Construction/Renovation Projects funded under ESSER 

  1. LEA Name
  2. AUN #
  3. LEA Contact Information

Contact Information

The above LEA is requesting prior approval for the following project to be funded in full or in part from federal grant funds as permitted in ESSER I/II.

  1. Describe the proposed project that is requested to be funded in full or in part from federal ESSER funds (3,000 character limit).
  2. Explain how the LEA has determined that the proposed project complies with the Cost Principles in 2 CFR Part 200, subpart E (e.g., the cost must be "necessary and reasonable" (2 CFR §§ 200.403-200.404)) (3,000 character limit);
  3. Explain how this proposed project meets the overall purpose of the ESSER Act programs, which is "to prevent, prepare for, and respond to" COVID-19 as well as a specific allocable use of funds as outlined in the laws and/or guidance; (3,000 character limit).
  4. Explain how the proposed project is consistent with the proper and efficient administration of those programs (3,000 character limit). 

Please note that the burden remains on grantees and subgrantees to maintain the appropriate documentation that supports the expenditure.

  1. Projected Costs by Funding Source (please note: obligation dates are included. Each project has an additional 90 days for liquidation):

Funding Sources

Assurances 

As noted below, an LEA using ESSER funds for remodeling, renovation, and new construction must comply with additional federal requirements

By reviewing and agreeing to the assurance statements below, the LEA is verifying that approved construction projects will comply with all applicable Uniform Guidance requirements, Davis-Bacon prevailing wage requirements, and all of the US Education Department's applicable regulations regarding construction at 34 CFR §§ 76.600 and 75.600-75.618.

  1. The LEA assures that all construction contracts using laborers and mechanics financed by Federal education funds, an LEA that uses ESSER funds for minor remodeling, renovation, repair, or construction contracts over $2,000 will meet all Davis-Bacon prevailing wage requirements and include language in the contracts that all contractors or subcontractors must pay wages that are not less than those established for the locality of the project (prevailing wage rates).(See 20 U.S.C. 1232b Labor Standards.)
    Select: Yes/No
  2. The LEA assures that it has complied or will comply with the requirements for Domestic Preference in construction materials and supplies where applicable (2 CFR § 200.322);
    Select: Yes/No
  3. The LEA assures that it has completed an environmental impact assessment before initiating the construction and fully considered any potential environmental ramifications before proceeding with the project (34 CFR § 75.601);
    Select: Yes/No
  4. The LEA has considered the probable effects of proposed construction on any district, site, building, or structure that is included or eligible for inclusion in the National Register of Historic Places (34 CFR § 75.602)
    Select: Yes/No
  5. The LEA assures that it possesses title or other interest in the site, including right of access, that is sufficient to ensure that the grantee will have use and possession of the facility for 50 years or the useful life of the facility, whichever is longer (34 CFR § 75.603);
    Select: Yes/No
  6. The LEA assures that the proposed project will begin in a reasonable time period and will have the final plans approved before the construction is advertised or placed on the market for bidding (34 CFR § 75.605);
    Select: Yes/No
  7. The LEA assures the proposed project will be completed in a reasonable time period and consistent with the approved plans and specifications (34 CFR § 75.606);
    Select: Yes/No
  8. The LEA assures that the proposed construction is functional, economical, and not elaborate in design or extravagant in the use of materials as compared to other facilities in the State or other applicable geographic area (34 CFR § 75.607);
    Select: Yes/No
  9. The LEA assures that plans and designs for the facilities comply with applicable Federal, State and local health and safety standards, as well as Federal requirements regarding access by persons with disabilities. (34 CFR §§75.609 and 75.610);
    Select: Yes/No
  10. The LEA assures it possesses sufficient operational funds to operate and maintain the facility once the construction is complete and will the grantee operate and maintain the facility in accordance with all applicable Federal, State, and local requirements (34 CFR §§ 75.614 and 75.615).
    Select: Yes/No
  11. The LEA agrees it will comply with all other applicable federal laws and regulations.
    Select: Yes/No

***Sign Off Required:
Each form needs to have a completed sign off by the Superintendent or CEO of the LEA.

Authorized Sign-Off

The following signoff is required prior to uploading/submitting your approval form. By signing off, I understand that I have reviewed this document on behalf of my organization, intending to be legally bound thereby and attest that I am authorized to do so. Enter the name, title, date of the person signing this document.

Print Name:

Date:

Signature:

Once forms are uploaded, narratives and budgets are complete, submit your application for review.