Procedures for ESEA Consolidated Monitoring

Effective July 1, 2011 – June 30, 2014

Monitoring For Results

Overview of PresentationRequirements for subrecipient monitoring

Defining WV ESEA monitoring

Procedures for monitoring

Monitoring Schedules

Review of monitoring documents

Requirements for Subrecipient Monitoring

ESEA

SEA files an assurance statement indicating that the recipient will monitor the subrecipients and enforce federal regulations

General Education Provisions Act Section 440(a)Periodic visits by State personnel of programs Periodic audits of expendituresState investigates and resolves all complaints received by the State relating to the administration of such programsEDGAR (Education Department General Administrative Regulations)

SEA monitors subgrantees to ensure compliance with applicable federal requirements and that performance goals are being achieved

Requirements for Subrecipient Monitoring

•OMB (Office of Management and Budget) Circular 110 SEA establishes and maintains internal control designed to reasonably ensure compliance with Federal laws, regulations, and program compliance requirements

•OMB Circular 133 Auditors and grantees conduct an audit to support a low assessed level of control risk for major

Defining WV's ESEA Consolidated Monitoring

Process

Definition of ESEA Consolidated Monitoring

Process of collecting information from grantees Review academic achievementDetermine compliance with federal regulations

Promote collaborative planning and budgeting across ESEA programs

Provide technical assistance for program improvement

Enforcement of legal obligations for implementing programs

GoalsThe West Virginia Department of Education (WVDE) monitoring process includes the following goals:

Provide an academic focus for program improvement

Promote student achievement Provide technical assistance to schools and districts

in utilizing federal funding to impact instructional practice and increase student performance

Assure compliance with federal regulations and WVBE policy

Review of Data for Districts and Schools

On-site Monitoring•LEA•School

Monitoring ReportMonitoring Response

Appeals Process

Procedures

Items reviewed in the data analysis include the following areas:Academic performance

District AYP statusPercentage of schools in the district meeting

AYPState/district comparison of WESTEST2 dataWESTELL resultsTrend Assessment Data (Title I schools)Individual school data for Title I schools

Other performance indicatorsAttendance rateGraduation rate

On Site MonitoringRemains on a three year cycle, unless more

frequent monitoring is determined necessary by WVDE

Consolidated team from WVDE for the following programsTitle I, Part A Title I Part DTitle II Part A Title II Part DTitle IIIRLIS Homeless and McKinney Vento

On Site MonitoringPreparation – WVDE Responsibilities

Annual calendar for monitoring is developed and distributed to LEAs by June 30

WVDE Title I team leader collaborates with LEA designee to establish a schedule one month prior to onsite visit for reviewing the programs and visiting the schools

WVDE Title I team leader communicates schedule to WVDE federal programs staff

WVDE federal programs staff verifies schedule with respective district federal program directors

On Site MonitoringPreparation – LEA Responsibilities (Title I

director)Grantee notifies WVDE by July 15 of conflict in

scheduling

Communicate monitoring schedule to superintendent, district federal program directors and treasurer

Notify Title I schools of monitoring schedule

Review the school monitoring documents with principals and Title I teachers

Notify federally funded staff members (e.g., coaches, technology integration specials) and stakeholders from the strategic plan committee or PAC of availability for interviews

Ensure documentation is readily available and organized at the district and school levels (all federal program directors) – including the uploading of appropriate electronic documentation

LEA treasurer submits requested documentation in a timely manner to allow for SEA review prior to the on site visit

On Site Monitoring

2011-2014 Online ESEA Monitoring System

Organization on local computer

•On a local computer or network, organize all documentation into folders for each compliance item. When there is more than one document in a folder, having them all together will make it easier to combine the documents. •Organizing documents in such a way at the beginning of the upload process will save time and effort.

Login Screen•Enter your WVEIS ID•Access will be limited based on whether a school, county, or state administrator

Main Menu

Main Menu Options

The screen shot shows the Main Menu. The users will first select their location.

Location

The user selects either their school or their LEA and this will determine the set of compliance standards they will be able to access.

Compliance Standard Input Screen

Compliance Standards

LEA Access Page

School Access Page

Use browse to direct to folders on the local computer

Ability to Comment/Communicate

•Is this something we want?

•Should an email generate if a comment is made?

Questions/Comments?

On Site MonitoringActivities During the On Site Review

Conduct an entrance conferenceDiscussion of district initiatives and

integration of federal programs to support achievement, attendance and graduation rates

Discussion of progress towards universality for pre-k students

Review of documentation to ensure compliance with federal requirements (on site and pre-visit review of electronic documentation)

Interview process

On Site MonitoringActivities During the On Site Review

Interview federally funded staff members from the district and school levelsDistrict Title I, II and III DirectorsTreasurer Academic coaches Technology integration specialistsParents/community members

Conduct school visits and interviews of school staff as applicable for federal programsPrincipalsClassroom teachersSchool-based coaches/TISsParents/community members

Conduct an exit conference to provide an opportunity for clarifications

Written Monitoring ReportIssued within 30 working days of the exit conferenceSent electronically to superintendent and Title I

director – return receipt requestedIdentifies commendations, recommendations and

findingsIdentifies required corrective action and timeline for

implementation for any findingsIdentifies recommended technical

assistance/professional development suggested by the SEA

Creates an expectation for including recommendations within the LEA/school strategic plans

Monitoring Report ResponseRequired for all federal programs having

recommendations or findings within the reportProvide an explanation of the implementation of

recommendations/corrective actionsSubmit documentation as required by the reportSubmit electronically to respective federal program

director at the SEA on or before 30 working days following receipt of the monitoring report

Confirmation of receipt of monitoring response will be provided by WVDE

Withholding of federal funding may occur for failure to provide a written response within the required time frame

Appeals ProcessSubmit a written appeal within 30 working days

of receipt of the monitoring reportMay request reconsideration of specific finding

if the district concludes the finding is inaccurate Submit written documentation to support the

questioned findingReview of documentation and a final decision

will be issued within 30 business days of receipt of the written appealThe decision of the respective SEA State Title Program Director is considered final.

Final Thoughts… “What gets measured, gets done.

If you don’t measure results, you can’t tell success from failure. If you can’t recognize failure, you can’t correct it. If you can’t see success, you can’t reward it. If you can’t see success, you can’t learn from it.”

From “Reinventing Government” by David Osborne & Ted Gaebler