FINANCIAL AND PROGRAMMATIC MONITORING ESEA/Act 807 ACSIP

1. FINANCIAL AND PROGRAMMATIC MONITORINGESEA/Act 807 ACSIP Training Agenda 2014-2015 * * * * * * * * * * * * * * * * * * * * * * * * * * * * 9:30-10:00 Introduction 10:00-10:15 Purpose/Outcomes 10:15-10:45 Protocol/On-site Visit 10:45-11:00 BREAK 11:00-12:00 Review of Monitoring Guide 12:00-12:30 Question/Answer Session Please silence all electronics. Thank You

2. FINANCIAL AND PROGRAMMATIC MONITORING ESEA Act 807ACSIP

3. FEDERAL & STATE MONITORING UNIT Annette Barnes, Assistant Commissioner Willie Morris, Director Wes Whitley, Coordinator Kathy Davis, Program Advisor Aleta Fletcher, Internal Auditor Johanna Henderson, Program Advisor Barbara Means, Program Advisor Charles Nowak, Program Advisor

4. Act 807 State of Arkansas 86th General Assembly Regular Session, 2007 2.0 Purpose: • 2.01 - To expand monitoring and implementation of school improvement plans (i.e., ACSIP) by the Department of Education • 2.02 - To monitor the use of “Instructional Facilitators” • 2.03 - To ensure statutory compliance • 2.04 - To provide technical assistance

5. PURPOSE OF MONITORING The Department will periodically monitor each LEA (district) and selected schools to determine if the district is in compliance regarding the implementation of ACSIP. A team of monitors shall conduct an on-site conference to: • Determine whether the evaluation conducted by the public school/LEA was conducted properly; • Assess the areas in which the school or LEA needs to revise its plan;

6. PURPOSE OF MONITORING • Review the school/LEA’s performance during the preceding two years, including the documented academic performance of its students; • Review the use of public school funding under the Public School Funding Act of 2003, Ark. Code 6-20-2301 et. Seq. (i.e., Categorical Funding).

7. MONITORING CYCLE 6 year cycle 44 Districts Scheduled 2014-2015 School Year (October–May)

8. PRIOR TO ON-SITE VISIT • The LEA will receive the following: • E-mail/phone call announcing the scheduled visit • Registered Letter of Notification including a list of schools that will be monitored and applicable sections • Monitoring Guide (checklist) and Protocol • Confirmation of dates and schedule of events

9. PRIOR TO ON-SITE VISIT • The LEA (Superintendent or designee) will ensure that all documentation is organized, readily available, aligned to the monitoring guide and consistent by section and subsection. • If you have any questions or concerns, contact the Division of Public School Accountability, Federal and State Monitoring Unit.

10. DAY OF ON-SITE VISIT • Start Time: 9:00 a.m. • The visit is conducted at the central office or designated location, where all documentation will be examined and interviews will be conducted. • Monitors will interview LEA staff and review evidence to verify Federal/State compliance.

11. DAY OF ON-SITE VISIT • Staff to attend meeting: • FederalProgram Coordinator • Principal or designee of selected schools (listed in the Notification Letter) • Parent Involvement Coordinator • Homeless Liaison • ALE-ELL Coordinator • Neglected Program Coordinator • Other Relevant Staff • School-site monitoring conducted if necessary

12. EXIT CONFERENCE • A meeting with LEA designees will be held to summarize the following items: • Monitoring activities • Findings of non-compliance • Recommendations • Timelines for developing the monitoring report

13. REPORTING PROTOCOL • Written Preliminary Monitoring Report • 20 Business Days from the date of the Exit Conference • LEA Response • 30 Business Days from receipt of SEA Preliminary Report • Final Report from ADE • 60 Business Days from the date of the Exit Conference

14. PROGRAMS MONITORED State Programs Federal Programs Title I Title IIA Title III Title VI (State/Federal) Title X • Alternative Learning Environments (ALE) • National School Lunch Act (NSLA) • English Language Learners (ELL) • Professional Development (PD)

15. FINANCIAL AND PROGRAMMATIC MONITORING GUIDE Legal Requirement(s) (Rules, Laws and Statutes)

16. FINANCIAL AND PROGRAMMATIC MONITORING GUIDE Compliance Indicator(s) (The answers to these questions will determine the level of compliance)

17. FINANCIAL AND PROGRAMMATIC MONITORING GUIDE Monitoring Guide Key Implemented (I) – Compliance with all indicators Implementation in Progress (IP) – Scholastic Audit Partially Implemented (PI) – Recommendations Not Implemented (NI) – Findings Not Applicable (NA)

18. FINANCIAL AND PROGRAMMATIC MONITORING GUIDE Potential Evidence (Documentation of the Compliance Indicators)

19. FINANCIAL AND PROGRAMMATIC MONITORING GUIDE The Financial and Programmatic Monitoring GuideSection Titles and Numbers

20. FINANCIAL AND PROGRAMMATIC MONITORING GUIDE District and/or School (Where the record keeping should originate)

21. COMMON FINDINGS • Supplement vs. Supplant • Cannot use federal funds to meet a state requirement • Cannot use federal funds to pay for something that the LEA provides in non-Title I Schools • Cannot use federal funds to pay for something the district provided in the previous year in non-Title I Schools • Personal or institutional benefit resulting in harm to the federal interest • Class Size Reduction (CSR) • High school implementation extremely problematic with any funding source

22. COMMON FINDINGS • Homeless • Failure to provide a list of qualifying students • Failure to adequately disseminate information to the community • Incomplete Planning Meeting Evidence • Must be entitlement specific • All stakeholders must be representedon sign-in sheets with titles • Agenda content and date must reflect proactive planning

23. COMMON FINDINGS • Schoolwide • Failure to provide schoolwide approval letter from ADE • Insufficient schoolwide specific planning evidence • Insufficient evidence to substantiate all required components have been met • Excessive district fund reservations • Reasonable and necessary to administer the program • Money must follow the child (school level)

24. COMMON FINDINGS • Parent Involvement • Inadequate documentation of parent participation • Post-fact sharing rather than proactive planning • Sign-in sheets lack attendee position • Lack of plans/policies • Plans/policies not updated • Peer Review • Lack of evidence • Lacks an “internal control” component for compliance and expenditures

25. COMMON FINDINGS • Incomplete equitable services documentation • LEA MUST make multiple and timely contact attempts • Contact attempts made by phone are not verifiable • Services MUST be equitable in every way • Services for private school students MUST begin at the same time services begin for public school students • Unallowable expenditures • Inadequate justification/explanation in the action • Isolated expenditure unrelated to an intervention, program, practice or strategy • FTE’s not proportional to actual duties or need to the program

26. THE "FISCAL TRIANGLE”

27. COMMON ERRORS • Not attending training sessions • Procrastinating prior to the on-site visit • Not preparing adequately • Not using the monitoring guide to organize files • Not calling with questions

28. CLOSING • The six-year monitoring list was modified to make sure that no district would have a Standards Monitoring and a Federal/State Monitoring within the same school year. • The items listed below were revised and released in a Commissioner’s Memo and are posted on the ADE website: • Six-Year Monitoring Schedule • 2014-2015 Monitoring Schedule • 2014-2015 Monitoring Protocol • 2014-2015 Monitoring Guide • 2014-2015 Training PowerPoint • 2014-2015 Training Schedule • 2014-2015 Training Agenda

29. CONTACT INFORMATION • Willie Morris, Director (501) 682-4472 Willie.Morris@arkansas.gov • Wes Whitley, Coordinator (501) 682-4389 Wes.Whitley@arkansas.gov • Kathy Davis (501) 682-4275 Kathy.Davis@arkansas.gov • Aleta Fletcher (501) 682-5475 Aleta.Fletcher@arkansas.gov • Johanna Henderson (501) 682-1188 Johanna.Henderson@arkansas.gov • Barbara Means (501) 682-2259 Barbara.Means@arkansas.gov • Charles Nowak (501) 682-5295 Charles.Nowak@arkansas.gov

30. RESOURCE INFORMATION Please see the Arkansas Department of Education website for additional information. Use the following links: ADE Divisions Public School Accountability Federal/State Monitoring