Local Educational Agency Title I, Part A Cross-functional Monitoring

1. Local Educational AgencyTitle I, Part A Cross-functional Monitoring June 17-18, 2015 13th Annual Title I Conference

2. Presenters Evelyn Maddox & Anthony Threat Title I Education Program Specialists School Improvement & District Effectiveness Federal Programs Georgia Department of Education

3. SCHOOL IMPROVEMENT & DISTRICT EFFECTIVENESS

4. Agenda • The Purpose of Monitoring • Georgia Department of Education (Department) Monitoring Process • Local Educational Agency (LEA) Preparation for Monitoring

5. Agenda • Title Programs Monitoring • Review FY15 Monitoring Document • (document will be used in FY16 monitoring with little to no changes) • Review Descriptors and Required Documentation • Collect Information Contemporaneously

6. Agenda • Procedures for Submission of LEA Documentation Prior to On-Site Monitoring Visit • Questions and Answers

7. The Purpose of Monitoring

8. The Purpose of Monitoring • Monitoring of federal programs is conducted to ensure that all children have a fair, equal, and significant opportunity to obtain a high-quality education • Monitoring emphasizes accountability for using federal resources wisely

9. The Purpose of Monitoring • Monitoring serves as a vehicle for the Department to help LEAs achieve high quality implementation of educational programs utilizing the LEAs’ federal allocations

10. DepartmentLEA Cross-functional Monitoring Process

11. Eight Ways the Department Monitors • Review of program compliance requirements • Monitoring of budgets & expenditures • Single Audit (A-133) • On-site monitoring • Self-monitoring • Desktop monitoring • Inventory monitoring • Flexible Learning Programs (FLP) on-site observation and interviews

12. The On-site MonitoringSelection Process • LEAs monitored on a four-year cycle (approximately 1/4 each year) Note: SIG 1003(g) districts/schools may be monitored more frequently • LEAs selected randomly • High-Risk LEAs added to current cycle • Other LEAs as deemed necessary

13. The On-site MonitoringSelection Process • High-Risk LEAs added to current cycle • Risk assessment is completed to determine if an LEA falls into the high-risk category. • The Department Title Programs Division defines high-risk as: • LEAs showing evidence of serious or chronic compliance problems • LEAs with previous financial monitoring/audit findings

14. The On-site MonitoringSelection Process • LEAs with a high number of complaints from parents and other stakeholders about program implementation • Other elements that may cause an LEA to be determined as high-risk include: • LEAs receiving a Title I allocation in the top 25-percent of LEAs receiving the greater portion of Title I funding in any given fiscal year

15. The On-site MonitoringSelection Process • LEAs having new management personnel not familiar with program implementation and federal guidelines; for example a new superintendent, Title I director or finance officer • LEAs having directors/coordinators not attending Department technical assistance training sessions

16. The On-site MonitoringSelection Process Title I, Part A Only! • Results-based monitoring • Results-based monitoring will begin in January and continue through May • LEAs will have approximately a one hour interview with Title I, Part A staff at the beginning of the monitoring visit

17. The On-site Monitoring Selection Process • Team Leads will conduct the interview with the LEA Title I director/coordinator, superintendent and other appropriate Title I staff as deemed necessary by the LEA

18. The On-site Monitoring Selection Process Title I, Part A Only! • Results-based monitoring • A set of prescribed interview questions will be asked and responses will be recorded by the Department Title Programs monitors • Department Title Programs monitors will interview LEA regarding the process that the district utilized to design its Title I, Part A instructional program based on achievement data

19. The On-site MonitoringSelection Process Title I, Part A Only! • Results-based monitoring • Department Title Programs monitors will interview a preselected Title I school(s) in the LEA • Title I school interviews will be conducted with the principal, the Title I teacher, and other appropriate school staff • Interviews will take approximately one hour

20. The On-site Monitoring Selection Process Title I, Part A Only! • Results-based monitoring • Examples of interview questions: • How did the LEA use achievement data to design and implement the Title I instructional program? • How did the LEA determine its strengths/weaknesses of the Title I instructional program?

21. The On-site MonitoringSelection Process Title I, Part A Only! • Results-based monitoring • Examples of interview questions: • How did the LEA determine the strategies to be used for implementation? • How does the LEA’s instructional program meet the intent of Title I, Part A?

22. The On-site MonitoringSelection Process Title I, Part A Only! • Results-based monitoring • Examples of interview questions: • What scientifically-based research and/or best practices for instruction and parental involvement were used to help the LEA decide how the Title I, Part A instructional program would be developed?

23. The On-site MonitoringSelection Process Title I, Part A Only! • Results-based monitoring • Examples of interview questions: • What was the LEA’s support to Title I Priority and Focus Schools? • What professional learning did the LEA provide to teachers/instructors that were related to instruction?

24. The On-site MonitoringSelection Process Title I, Part A Only! • Results-based monitoring • Examples of interview questions: • How did the LEA evaluate the instructional program and the professional development that was provided to its teachers/instructors?

25. LEA Preparation for Federal Programs Cross-Functional Monitoring

26. LEA Preparation Prior to On-Site Monitoring Visit • LEAs are required to provide supporting documentation that is not already available to the Department’s Cross-Functional Monitoring Team • The Department’s federal programs will provide a list of LEA documentation that will be provided by the LEA prior to the on-site monitoring visit

27. LEA Preparation Prior to On-Site Monitoring Visit • LEAs will upload the requested documentation to a Web based application and will place the documentation by: • District • Federal Program • LEAs will be notified by each federal program if uploaded files need to be listed as a specific file name

28. LEA Preparation Prior to On-Site Monitoring Visit • Current year documentation not sent for prior review by the Department for each required descriptor should be placed in a folder for team review • Items too large to be placed in folders should be readily available and with required items clearly identified

29. LEA Preparation Prior to On-Site Monitoring Visit • Items too large to be placed in folders should be made available to the Department’s Cross-Functional Monitoring Team via Internet and/or Web site links

30. LEA Preparation Prior to On-Site Monitoring Visit • LEAs must provide: • a room large enough to accommodate the entire monitoring team. If need be, more than one room can be used • Internet access for the monitoring team to be able to review district and schools’ Web site information • LEA staff need to be available during the monitoring visit. It is important that other meetings requiring LEA staff are not scheduled during the monitoring visit

31. LEA Preparation Prior to On-Site Monitoring Visit • LEA staff to be available during monitoring include: • Title I, Part A—Improving the Academic Achievement of the Disadvantaged; • Title I, Part C—Education of Migratory Children; • Title I, Part D—Prevention and Intervention Programs for Children and Youth Who Are Neglected, Delinquent, or At-Risk; • Title II, Part A—Improving Teacher Quality; • Title III, Part A— Language Instruction for LEP and Immigrant;

32. LEA Preparation Prior to On-Site Monitoring Visit • LEA staff to be available during monitoring include: • Title VI, Part B—Rural Education Achievement Program; • Title X—Education for Homeless Children and Youth; • School Improvement Grants under Section 1003(a) and 1003(g) of the Elementary and Secondary Education Act of 1965 (ESEA)

33. LEA Preparation Prior to On-Site Monitoring Visit • Specific LEA staff that also may need to be available are: • Federal program director/coordinator • LEA program staff assigned specific duties in any given federal program • Financial persons responsible for federal grant budgets

34. Cross-Functional Monitoring Document ols

35. FY15 Monitoring Document The FY15 monitoring document will be reviewed in this presentation since the FY15 monitoring document will be used in FY16 monitoring with little to no changes. • Items column • Requirements column • Documentation on file at the LEA and/or to be uploaded to verify compliance column • Documentation on file at the SEA (Department) to verify LEA compliance column

36. Review of Descriptors and Required Documentation

37. Documentation for Monitoring of Federal Programs • Emails • Memos • Dated meeting agendas • Dated sign-in sheets • Checklists with comments • Record of physical inventory of equipment and real property

38. Documentation for Monitoring of Federal Programs • Title I, Part A has moved to a fiscal monitoring for the compliance monitoring piece • An interview piece has been added to the Title I, Part A portion of the monitoring • Therefore, LEAs will see a slightly different monitoring document prior to FY15

39. Overarching Requirement FY 16 Monitoring Indicators and Documentation

40. Indicator 1.1 – Monitoring of Schools and Programs Requirement Documentation Established cycle of monitoring for all federal programs the LEA receives an allocation Written description of the LEA monitoring process On-site procedures Timeline and schedules Due date of completed plan(s) Frequency of monitoring Data Review • The LEA conducts monitoring of its subgrantees sufficient to ensure compliance with Title I program compliance.[§9304; §80.40 of EDGAR] • Title I, Part A; School Improvement 1003(a) &1003(g) SIG • Title I, Part C • Title I, Part D • Title II, Part A • Title III, Part A; • Title VI, Part B • Title X, Part C – McKinney-Vento Act

41. Indicator 1.1 – Monitoring of Schools and Programs Requirement Documentation Written internal control procedures Procedures for follow up/verification of required corrective actions Written corrective action process Copies of corrective actions required by LEA Results of technical assistance provided by the LEA to schools • When was the last time you were audited by the State or external auditors • What findings, if any, did you have from the last Department monitoring visit, State auditors and/or Office of Inspector General (OIG) • Were there any corrective actions required and, if so, did the district meet those requirements

42. Indicator 2.1 – CLIP Requirement Documentation Written procedures describing how the LEA oversees and monitors school improvement 1003(a) & 1003(g)programs CLIP plans/ etc. plans Written procedures on how the LEA reviews and implements the plans Written procedures on how the LEA makes needed amendments to any federally required plan(s) • The LEA ensures that it complies with the provision for submitting an annual application to the SEA and revising the LEA’s plans as necessary to reflect substantial changes in the direction of the LEAs program [§1112] • What is the LEA’s process for review and approval of any federally required plan/application

43. Indicator 2.1 – CLIP Requirement Documentation Copies of dated meeting agendas, sign-in sheets (role identified), etc. to show evidence of periodic review, evaluation, and revision of CLIP. Dated sign-in sheets that include stakeholders representing teachers, administrators, other appropriate school personnel, parents and children in schools receiving Title I services • 2.1 (continued) • Title I, Part A; School Improvement 1003(a & 1003(g) SIG • Title I, Part C • Title I, Part D • Title II, Part A • Title III, Part A • Title VI, Part B • Title X, Part C – McKinney-Vento Act if applicable

44. Indicator 2.1 – CLIP Requirement Documentation Written procedures describing how the LEA provides technical assistance to schools in developing, revising, implementing and coordinating schoolwide and school improvement 1003(a) plans Written procedures on how the Needs Assessment data was used to develop and implement federally required plans • What process does the LEA use to ensure plans/applications have met all federal requirements • What process does the LEA utilize to make amendments to and federally required plan/application

45. Title I, Part A FY 16 Monitoring Indicators 6 & 7 Requirements and Documentation

46. Indicator 6.1 –Maintenance of Effort Requirement Documentation Will be calculated by the Department Exceptions: New Special State Charter schools Documentation required only for districts that do not meet the required MOE • Maintenance of Effort (MOE) The LEA ensures that it complies with • The procedures for ensuring MOE as outlined in §§1120A and 9021 of the ESEA

47. Indicator 6.2 –Comparability Requirement Documentation Will be calculated by the Department Exceptions: New Special State Charter schools Documentation required only for districts that do not meet the required MOE • Comparability. The LEA ensures that it complies with • The procedures for meeting the comparability requirements as outlined in §1120A of the ESEA

48. Indicator 6.3 –Supplant Not Supplant Requirement Documentation Federal funds are used to supplement or increase non-federal sources used for education of participating children Copy of approved school budgets Copy of purchase orders indicating expenditures of federal funds at the LEA and school level Copy of detailed expenditure reports • Supplement Not Supplant. The LEA ensures that it complies with – • The procedures for ensuring that federal funds are supplementing and not supplanting non-federal sources used for the education of participating children

49. Indicator 6.3 – Supplant Not Supplant Requirement Documentation Roster showing LEA allocation of personnel Copy of written purchasing procedures Copies of LEA financial internal control policies and procedures Copies of LEA accounting reports to include: Chart of accounts Budget reports • 6.3 (continued) Supplement Not Supplant. The LEA ensures that it complies with – • The procedures for ensuring that federal funds are supplementing and not supplanting non-federal sources used for the education of participating children

50. Indicator 6.3 –Supplant Not Supplant Requirement Documentation Detailed expenditure reports Detailed General Ledger for Title I and RT3 accounts Payroll distribution report Copy of 1512 report Copy of payroll verifying that the number of employed staff is equal to the number approved in the Consolidated Application • 6.3 (continued) Supplement Not Supplant. The LEA ensures that it complies with – • The procedures for ensuring that federal funds are supplementing and not supplanting non-federal sources used for the education of participating children