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Office of Federal ProgramsConsolidated Federal Grant Programs

COMPLIANCE MONITORING

FY2018

Oklahoma State Department of Education Revised August 2017

Office of Federal Programs 1

CONSOLIDATED MONITORING

TABLE OF CONTENTS

INTRODUCTION 3CONSOLIDATED MONITORING FEDERAL GRANTS PROGRAMS 4

A. Title I, Part A: Improving Basic Programs Operated by Local Educational Agencies 4B. Title I, Part C: Migrant Education 4C. Title I, Part D: Prevention and Intervention Programs for Children and Youth Who Are Neglected, Delinquent, or At-Risk (N/D)

4

D. Title II, Part A: Improving Teacher and Principal Quality 4E. Title III, Part A: English Language Acquisition, Language Enhancement and Academic Achievement 4F. Title V, Part B: REAP-Flex/Rural Low-Income Schools (RLIS) 4G. Title IX, Part A: Homeless Children and Youth 4

THE MONITORING PROCESS 5A. Description of the Monitoring Process 5B. Preparation for Monitoring 5C. Exit Conference 5D. Notification of Findings 5

INSTRUCTIONS 6CONTACT PAGE 7REQUIRED DOCUMENTATION CHECKLIST 8PART I: PROGRAMMATIC 11

Overarching 12Title I, Part A 18Title I, Part C 24Title I, Part D, Neglected & Delinquent 28Title II, Part A 32Title III, Part A 34Title V, Part B, REAP-Flex and RLIS 37Title IX, Part A 39

PART II: FISCAL 41Section A: Financial Administration 42Section B: Cross-Cutting Fiscal Requirements 48Section C: Program Fiscal (Multi-Program) 51

PART III: PERFORMANCE REVIEW 56Final Performance Review Report 58



INTRODUCTION

Monitoring the implementation of federal grant programs and the use of federal program funds is an essential function of the U. S. Department of Education (USDE). Federal grant programs awarded to state educational agencies (SEA) have the potential for positively impacting the education of our nation’s children. In support of the mission of improving the teaching and learning of children attending high-poverty schools, this document, designed for the 2017-2018 school year, describes the purpose, rationale, and process used by the Oklahoma State Department of Education (OSDE) for monitoring local educational agencies’ (LEA) implementation of federal programs in alignment with the guidelines provided by USDE.

Pursuant to Code of Federal Regulations (CFR) 200.331, monitoring and reporting program performance, grantees are responsible for managing the day-to-day operation of grant and subgrant supported activities to assure compliance with federal regulations. It is the grantee’s responsibility to ensure that federal funds are spent according to the prescribed federal program requirements.

In accordance with P.L. 114–95, Enacted December 10, 2015 of the Every Student Succeeds Act (ESSA), USDE requires that all LEA sub-recipients receiving federal funds participate in a monitoring process as an accountability component . Federal grant monitoring enables SEAs to work collaboratively with LEAs by providing them with high quality technical assistance for fiscal and programmatic planning and implementation of all services provided for students, teachers, and principals, on behalf of their federally funded programs.

Definition and Purpose of Monitoring-Monitoring is the regular and systematic examination of a state’s administration and implementation of a federal education grant, contract, or cooperative agreement administered by the USDE. Monitoring the use of federal funds, in accordance with CFR 200.300, assures compliance with applicable federal requirements and ensures that all children have an equitable opportunity to obtain a high-quality education.

Monitoring assesses the extent to which states provide leadership and guidance to LEAs and schools in the implementation of policies and procedures that comply with the statutes and regulations of all participating federal programs.

OSDE’s monitoring process was created in alignment with USDE’s Student Achievement and School Accountability Program (SASA) monitoring and is grounded in the SEA’s responsibilities to provide guidance and support to LEAs and schools as outlined in the ESSA.



CONSOLIDATED MONITORING FEDERAL GRANT PROGRAMS A. Title I, Part A-Improving Basic Programs Operated by Local Education Agencies-“To ensure that all children

have a fair, equal, and significant opportunity to obtain a high-quality education and reach, at a minimum, proficiency on challenging State academic achievement standards and State academic assessments.” (Title I, Part A, § 1001).

B. Title I, Part C- Education of Migratory Children –“(1) To assist States in supporting high-quality and comprehensive educational programs and services during the school year and, as applicable, during summer or intersession periods, that address the unique educational needs of migratory children. (2) To ensure that migratory children who move among the States are not penalized in any manner by disparities among the States in curriculum, graduation requirements, and challenging State academic standards. (3) To ensure that migratory children receive full and appropriate opportunities to meet the same challenging State academic standards that all children are expected to meet. (4) To help migratory children overcome educational disruption, cultural and language barriers, social isolation, various health-related problems, and other factors that inhibit the ability of such children to succeed in school. (5) To help migratory children benefit from State and local systemic reforms. (Title I, Part C, § 1301)

C. Title I, Part D-Prevention and Intervention Programs for Children and Youth Who Are Neglected, Delinquent or At-Risk-“To improve educational services for children and youth in local, tribal, and State institutions for neglected or delinquent children and youth so that such children and youth have the opportunity to meet the same challenging State academic standards that all children in the State are expected to meet (2) to provide such children and youth with the services needed to make a successful transition from institutionalization to further schooling or employment; and (3) to prevent at-risk youth from dropping out of school, and to provide dropouts, and children and youth returning from correctional facilities or institutions for neglected or delinquent children and youth, with a support system to ensure their continued education (Title I, Part D, § 1401).

D. Title II, Part A- Supporting Effective Instruction -“To increase student achievement consistent with the challenging State academic standards; improve the quality and effectiveness of teachers, principals, and other school leaders; increase the number of teachers, principals, and other school leaders who are effective in improving student academic achievement in schools; and provide low-income and minority students greater access to effective teachers, principals, and other school leaders.” (Title II, Part A, § 2001)

E. Title III, Part A-English Language Acquisition, Language Enhancement, and Academic Achievement-“(1) To help ensure that English learners, including immigrant children and youth, attain English proficiency and develop high levels of academic achievement in English; (2) to assist all English learners, including immigrant children and youth, to achieve at high levels in academic subjects so that all English learners can meet the same challenging State academic standards that all children are expected to meet; (3) to assist teachers (including preschool teachers), principals and other school leaders, State educational agencies, local educational agencies, and schools in establishing, implementing, and sustaining effective language instruction educational programs designed to assist in teaching English learners, including immigrant children and youth; (4) to assist teachers (including preschool teachers), principals and other school leaders, State educational agencies, an local educational agencies to develop and enhance their capacity to provide effective instructional programs designed to prepare English learners, including immigrant children and youth, to enter all-English instructional settings; and (5) to promote parental, family, and community participation in language instruction educational programs for the parents, families, and communities of English learners. (Title III, Part A, § 3102).

F. Title V, Part B -REAP-Flex/RLIS-“To address the unique needs of rural school districts that frequently-(1) lack the personnel and resources needed to compete effectively for Federal competitive grants; and (2) receive formula grant allocations in amounts too small to be effective in meeting their intended purposes.” (Title V, Part B, § 5202)

G. Title IX, Part A- Homeless Children and Youths-“To ensure that each child of a homeless individual and each homeless youth have equal access to the same free, appropriate public education, including a public preschool education, as provided to other children and youth.” (Title IX, Part A, §9101)



THE MONITORING PROCESS

The monitoring process is designed to assess the degree to which program requirements are being fulfilled so the SEA can make recommendations when appropriate. In addition, it provides an opportunity for the SEA to provide technical assistance and guidance to LEAs in order to strengthen their program administration and improve the quality of programs and projects being implemented.

A. Description of the Monitoring Process

As a recipient of federal grant program funds from the USDE, OSDE is required to conduct compliance reviews to ensure that subgrants of federal program funds to LEAs are used in accordance with the purposes of the authorizing statute.

Federal programs are monitored on a three year cycle via on-site or desk monitoring. LEAs will be notified annually whether they will be monitored by the state for that school year and what type of monitoring will occur.

B. Preparation for Monitoring

On-site Monitoring- LEAs will receive an e-mail containing the monitoring tool and the due date for submitting required monitoring documents to OSDE via flash drive. A conference call between the SEA and LEA will be conducted to confirm date and time of the site visit. OSDE staff will review monitoring documentation prior to the site visit, except in cases where the site visit occurs before the Monitoring Tool submission due date. One or more OSDE staff members will be assigned to conduct the site monitoring, depending on the LEA allocation and types of programs administered therein.

LEA staff, parents, and other stakeholders as appropriate, may be interviewed during the visit. This interview strategy will allow information to be gathered from a variety of sources to better evaluate the LEA’s implementation of federal programs.

Desk Monitoring- LEAs will receive e-mail containing the monitoring tool and the due date for submitting required monitoring documents to OSDE via flash drive. During the desk monitoring, OSDE staff will review documentation and notify the LEA of the monitoring results. LEAs will have an opportunity to receive guidance regarding the monitoring process via a webinar provided by OSDE.

C. Exit Conference

The exit conference is held at the conclusion of the on-site monitoring visit for the purpose of reporting the preliminary results of the monitoring visit to the LEA. The OSDE monitoring team will meet with LEA superintendent/federal programs director to discuss potential findings and recommendations that may likely be cited in the monitoring tool. The OSDE team will also respond to questions posed by the LEA.

D. Notification of Findings

At the conclusion of the site or desk monitoring, the results letter will be sent to LEAs. The letter will indicate whether the LEA is in full compliance for all programs or whether the LEA has areas for which it is not in compliance. If an LEA is found to be non-compliant, the Regional Accreditation Officer will be notified and the LEA will be classified as High-Risk and will warrant closer monitoring.



INSTRUCTIONS

1. The LEA must complete ALL fields of the Cover Page and must check the box indicating that all information provided is true and accurate. Failure to complete this page in its entirety will result in the monitoring tool being returned to the LEA.

2. The LEA must provide complete, descriptive narrative statements for ALL applicable sections of the monitoring tool for the current fiscal year. Failure to do so will result in the monitoring tool being returned to the LEA. Only SDE staff can edit and make comments in the purple shaded cells. If the monitoring tool is returned to the LEA for errors or missing information, the description and determination given in the purple cells will indicate what the LEA needs to address before returning the tool to the SDE (Ex. “Not Received” or “Did Not Meet Requirements”). SDE staff may also highlight in yellow the sections of the tool that the LEA needs to address.

3. The LEA must provide ALL documents listed on the Required Documentation Checklist for the applicable programs for the current fiscal year. Individual folders will need to be created on the flash drive, named for each applicable section (Overarching, Title I A, Title I C, etc.), and the supporting documentation will need to be placed in the appropriate folder. Failure to do so will result in the monitoring tool being returned to the LEA. Examples of most of these documents can be found in the Federal Programs Resource Toolkit, available on the OSDE website.

4. The LEA will complete the monitoring tool and return it along with supporting evidence, in electronic format, via flash drive. The monitoring tool must be returned in the MS Word format identical to how it was originally sent to the LEA. The LEA must label the flash drive with the District Name and County/District Number.

5. This flash drive should be mailed to Oklahoma State Department of Education, Office of Federal Programs, 2500 North Lincoln Boulevard, Suite 311 Oklahoma City, Oklahoma 73105 by October 31, 2017.



CONTACT PAGE

LEA Must Complete ALL Fields

LEA Name: Enter LEA Name Here. County code: Enter County Code Here. District code: Enter District Code Here.

LEA Superintendent Name: Enter Name Here. Phone: Enter Phone Number Here. E-mail: Enter E-mail Address Here.

LEA Federal Programs Officer Name: Enter Name Here. Phone: Enter Phone Number Here. E-mail: Enter E-mail Address Here.

LEA School Board President Name: Enter Name Here. Phone: Enter Phone Number Here. E-mail: Enter E-mail Address Here.

☐ By checking the box, the Superintendent certifies that, to the best of his/her knowledge, the information provided in this monitoring tool is true and accurate.

SDE USE ONLY

Applicable funding sources to be monitored (Check all that apply)

☐ Title I A ☐ Title III A

☐ Title I C ☐ Title V B REAP-FLEX

☐ Title I D ☐ Title V B RLIS

☐ Title II A ☐ Title IX A

Oklahoma State Department of Education Revised August 2017Office of Federal Programs 7

REQUIRED DOCUMENTATION CHECKLISTLEA Must Provide ALL Requested Documents for Applicable Programs for the current fiscal year

OVERARCHING SDE USE ONLY Comparability Procedures (if applicable) ESSA, Sec. 1118(c)(1)(A); Federal Programs Complaint Policy 34CFR Part 299, Subpart F Time Distribution Records for FY18 Federally Funded Employees (a sample from each monitored federal program, as applicable) Sample of Paraprofessional Certification Credentials (for each monitored federal program, as applicable) ESSA, Section 1111(2)

(J) List of All Paraprofessionals Funded by Monitored Federal Programs and their Methods of Certification (if applicable) ESSA,

Section 1111(2)(J) Professional Development (PD) Plan O.S. 70-6-192 Conflict of Interest Policy OMB 200.112 Financial Management Procedures OMB 200.302 Fiscal Internal Control Policy OMB 200.303 Procurement Policy (must include Vendor Selection process) OMB 200.318 and OMB 200.320 Compensation Policy OMB 200.430 Travel Policy (travel/dependent care costs reimbursement, etc.) OMB 200.432 and OMB 200.474 Current Fiscal Year Inventory List (for items over $5000, purchased with funds from monitored federal programs, as applicable)

OMB 200.439 ESSA Tribal Consultation Agreement or Waiver (if applicable) ESSA, Sec. 8538(a) Evidence of posting the hotline contact information of the Office of Inspector General of the Department of Education - ESSA,

Section 9203(1) If applicable, submit documents disclosing LEA’s conflict of interest (OMB, § 200.112 Conflict of Interest), fraud, bribery, or

gratuity violations (OMB§ 200.113 Mandatory disclosures)

TITLE I, PART A SDE USE ONLY

Title I Annual Parent/Family Meeting Documents (sign-in sheets, agenda, etc.) ESSA,Sec.1116(c)(1)

School Parent and Family Engagement Policy (a sample from at least one school) ESSA, Sec. 1116(b)-(e)

Documentation of Parent/Family Engagement Educational Activities (flyers, newsletters, agendas, etc.) ESSA,Sec.1116(a)(2)(F) School-Parent Compact ESSA,Sec.1116(d) Title I Site Plan (a sample of a Schoolwide or Targeted Assistance Plan from at least one school) ESSA,Sec.1114(b) Title I Targeted Assistance Programs Student Eligibility Criteria (if applicable) ESSA,Sec.1115(c)

Evidence of A-F Report Card Dissemination (website screen-shot, letter, e-mail, newsletter, etc.) ESSA,Sec.1111(h)(2)


Parents Right-to-Know Letter ESS, Sec. 1112(e)(1)(A)-(B)(ii) Parent Notification Letter Regarding Teacher Certification Status (if applicable) ESSA, Sec.1112(e)(1)(B)(ii) Foster Children’s Transportation Written Procedures ESSA, Sec.1112(c)(5)(B)

Equitable Teacher Distribution form ESSA, Sec.1111(g)(1)(B) Evidence of written notification to parents, unaccompanied homeless youth, or caregiver regarding school placement decisions

when they are different from what was requested. (i.e. sample notification letter) ESSA, Sec.9102/McKinney-Vento Homeless Assistance Act, Sec 722(g)(3)(B)(iii)

Previous Fiscal Year OCAS Expenditure Data for Federal Expenditures by School Site 70 O.S. 5-135.2

TITLE I, PART C☐Not applicable

SDE USE ONLY

LEA Identification and Recruitment (ID&R) Plan ESSA, Sec.1304(c)(7) and 1309(2)

Comprehensive Needs Assessment (CNA) document to identify needs ESSA, Sec. 1304(b) and 1306(a)

LEA Service Delivery Plan (SDP) to address identified needs ESSA, Sec.1304(b) and 1306(a)

Parent Advisory Council (PAC) bylaws or guidelines ESSA, Sec.1304(c)(3) and 1306(a)(1)(B)(ii)

Priority-For-Services (PFS) forms for identified migrant students (sample) ESSA, Sec.1304(d)

LEA Quality Control Document 34CFR 200.89(b)

Recruiter Contact Logs (sample) 34CFR 200.89(d ); ESSA, Sec.1903(a)(1)

Evidence of Migrant Education Training for all Staff (agendas, sign-in sheets, etc.) ESSA, Sec.1903(a)(1)

TITLE I, PART D, NEGLECTED & DELINQUENT☐ Not applicable

SDE USE ONLY

Assessments Currently Used for Pre-Post-Testing (scanned image showing type of assessment or other documentation) -ESSA, Subpart 3, Sec.1431(a)

Evidence of Parent/Family Engagement Educational Activities (flyers, newsletters, agendas, etc.) ESSA, Sec.1414(c)(14) &1425(8)

Previous fiscal year N&D program evaluation report used to improve the effectiveness of the program ESSA, Sec.1431(a)

Evidence of N&D Training for all Staff (agendas, sign-in sheets, etc.) ESSA, Sec. 1414(c)(10) & 1425(?)

TITLE II, PART A☐ Not applicable

SDE USE ONLY


List of Teachers Receiving Incentives and Type of Incentives (if applicable) ESSA, Sec. 2103(B)(ii) List of All Public and Private School Teachers Receiving Tuition Reimbursement with Teacher Name, Course, and Amount

(applicable only if tuition reimbursement is paid with Title II A funds) ESSA, Sec. 2103(b)(3)(B) Educational Assistance Plan (applicable only if tuition reimbursement is paid with any federal funds) ESSA, Sec. 2103(b)(3)(B)

TITLE III PART A☐ Not applicable

SDE USE ONLY

List of students taking the Placement Test (WIDA Screener/MODEL), indicating the date when students enrolled in school and the date when the test was administered - ESSA, Sec. 1112(e)(3)(A)

Sample of the Parents-Right-To-Know notification letter sent to the parents of an English Learner, accompanied by the individual English Learner Educational Plan (ELAP) for that EL student –ESSA, Sec.1112(e)(3)(A)(i)-(viii)

Sample lesson plan indicating incorporation of WIDA English Language Development (ELD) Standards and Oklahoma Academic Standards (OAS) that will improve English Language proficiency and academic achievement of ELs -ESSA,Sec.3115(d)(5)

Evidence of notice and information provided to parents in an understandable and uniform format, to the extent practicable, provided in a language that the parents can understand (sample notices in other languages, if available)- ESSA, Sec.1112(e)(4)

List of all personnel administering the ELP testing (showing WIDA certification) –WIDA certification requirement List of all monitored EL students in FY18 who reached English proficiency and ceased to be identified as ELs (include the date

of passing the ELP assessment and the year of EL monitoring) – ESSA, Sec. 1111(3)(B) Sample of documentation (such as flyers, newsletter announcements, agendas, sign-in sheets, etc. for FY18) of Parent, Family

and Community Engagement Educational Activities for EL Students - ESSA, Sec. 3115(c)(3)(A)

Sample of documentation (such as flyers, newsletter announcements, agendas, sign-in sheets, etc. for FY18) that indicates the use of funds to enhance instructional opportunities for immigrant children and youth (if applicable) - ESSA, Sec. 3115(e)(1)(A)-(G)

Sample of documentation (such as agendas, sign-in sheets, etc.) of EL related PD for all staff to increase English Language Proficiency and academic achievement of EL students - ESSA, Sec. 3115(c)(2)

TITLE IX, PART A☐ Not applicable

SDE USE ONLY

Evidence of Homeless Identification Assistance (posters, flyers, enrollment form, etc.) ESSA, Sec.9102/McKinney \-Vento Homeless Assistance Act, Sec.722(g)(6)(A)(vi)

Evidence of Homeless Identification Training for Staff (agendas, sign-in sheets, etc.) ESSA, Sec.9102/McKinney \-Vento Homeless Assistance Act, Sec.722(g)(6)(A)(ix)


PART I: CONSOLIDATED MONITORING-PROGRAMATIC-

OVERARCHING; TITLE I, PART A; TITLE I, PART C; TITLE I, PART D; TITLE II, PART A; TITLE III, PART A;

TITLE V, PART B; TITLE IX, PART A


OVERARCHING


OVERARCHING REQUIREMENTS (OR)NOTE: This section will apply to all federal fund sources.

MONITORING INDICATORS DISTRICT NARRATIVE STATEMENTSDE USE ONLY

SDE REVIEWER: corina eneComments Determination

OR 1

Describe how the LEA Title I committee:

a) selects a diverse group of members

b) determines the frequency of the Title I meetings

c) determines how federal funds are to be spent

Chooseanite

m.OR 2

Describe how the supplemental activities to be implemented align with the comprehensive needs assessment.

Chooseanite

m.OR 3

Describe how performance data for all students is used to determine content area(s) in need of improvement.



MONITORING INDICATORS DISTRICT NARRATIVE STATEMENT SDE USE ONLYComments Determination

OR 4

Describe the other data resources the LEA has utilized to determine the areas in need of improvement (graduation rates, attendance, discipline, parent involvement, etc.)

Chooseanite

m.OR 5

If applicable, describe how federal funds are used to facilitate data collection, provide data training, and/or support programs/services developed as a result of student academic achievement data review.

Chooseanite

m.OR 6

Describe how the need for federally funded personnel is determined.

Choose an item.




OR 7

Describe how the LEA ensures the professional development (PD) selected for the current fiscal year is high-quality, personalized PD that is evidence-based, and/or increases knowledge in academic areas.

Chooseanite

m.OR 8

Describe how the LEA ensures all applicable technology, networks, passwords and student data is safe, secure and password protected.

Chooseanite

m.OR9

Describe the consultation process and meetings between the LEA and Indian tribes or tribal organization officials that occurred prior to the LEA’s submission of a required application for any of the covered programs.

Choose an item.



PRIVATE SCHOOLS ☐ Not Applicable


OR 10

Describe the consultation process and meetings between the LEA and private school officials that occur:

a) prior to the LEA making any decisions regarding the involvement in participating Title programs of eligible private school students, teachers, and families.

b) throughout the implementation and assessment of the participating Title programs and services for private school students.

Bvkhvkh b

Chooseanite

m.OR 11

Describe how the LEA:

a) uses multiple, educationally related, objective criteria to identify private school children eligible to participate in Title programs.

b) provides services to Private School students, including those in “skipped” attendance areas.


Choose an item.



PRIVATE SCHOOLS ☐ Not ApplicableMONITORING INDICATORS DISTRICT NARRATIVE STATEMENT SDE USE ONLY

Comments Determination

OR 12

Describe how the LEA ensures that Private Schools are offered the same monitoring and inventory controls as the LEA’s public school sites.

Chooseanite

m.OR 13

Describe how the LEA provides equitable professional development opportunities for private school teachers.

Chooseanite

m.OR 14

Describe how the LEA’s parent involvement plan includes strategies for the inclusion of parents of private school children.


Choose an item.

TITLE I, PART A


TITLE I, PART A


TIA 1

If applicable, describe why the LEA chose to consolidate funds in a Title I Schoolwide program, and what benefits are expected from the consolidation of funds.

Chooseanite

m.TIA 2

If applicable, describe how the LEA and site(s) send notifications and information to the parents of English Learner (EL) students in a language that is understandable to the parents.

Chooseanite

m.TIA 3

Describe how the LEA identifies homeless children and youth.


Choose an item.


TITLE I, PART A

MONITORING INDICATORS DISTRICT NARRATIVE STATEMENT

SDE USE ONLYComments Determinatio

n

TIA 4

Describe the steps the LEA takes to remove barriers for homeless students so they can meet the same challenging academic achievement standards to which all students are held.

Chooseanite

m.TIA 5

Describe:a) the responsibilities of the LEA’s homeless liaison.b) the outreach activities the homeless liaison participates in that demonstrates involvement with community organizations that meet the needs of homeless children, youth, and families. (i.e. shelters, churches, etc.)

Chooseanite

m.TIA 6

Describe the professional development offered by the LEA to its staff that addresses the unique problems and needs of children and youth experiencing homelessness.


Choose an item.


TITLE I, PART A



TIA 7

Describe the LEA’s dispute resolution policy regarding the enrollment of homeless children and youth.

Chooseanite

m.TIA 8

Describe how the LEA evaluates the effectiveness of the activities and services it provides to homeless children and youth.

Chooseanite

m.TIA 9

Describe the educational services the LEA provides to assist homeless children and youth in achieving the same challenging state content and student performance standards as all other students.


Choose an item.


TITLE I, PART A



TIA 10

Describe the LEA’s efforts to conduct outreach to parents of homeless children and youth in order to inform them of their children’s rights.

Chooseanite

m.TIA 11

If applicable, describe how the LEA meets the transportation needs of its homeless children and youth, including pre-school age homeless students.

Chooseanite

m.TIA 12

Describe how the LEA disseminates information on homeless students’ rights and how to contact the homeless liaison.


Choose an item.


TITLE I, PART A



TIA 13

If applicable, describe how the LEA ensures homeless preschool age children are afforded access to LEA administered HeadStarts (including Early HeadStarts and early intervention services under Part C of the IDEA)

Chooseanite

m.TIA14

Describe how the LEA indicates homelessness status on school records, ensuring student confidentiality is maintained.

Chooseanite

m.TIA15

Describe the activities the LEA administers to ensure unaccompanied homeless youth have access to postsecondary opportunities.

Chooseanite

m.TIA16

If applicable, describe how the LEA meets the transportation needs of its foster care children.


Choose an item.


TITLE I, PART C


TITLE I, PART C☐ Not Applicable


TIC 1

If applicable, explain any known reasons for an increase or decrease in the number of qualifying migrant students within the LEA.

Chooseanite

m.TIC 2

Describe how the LEA ensures it stays up to date with program eligibility and guidelines.

Chooseanite

m.TIC 3

Describe the LEA’s quality control measures (internal controls for recruiting) and how often these measures are evaluated.


Choose an item.TITLE I, PART C☐ Not Applicable


TIC 4

Describe the LEA’s recruiter’s responsibilities.

Chooseanite

m.TIC 5

Describe how the LEA integrates technology into educational and related programs for migratory children.

Chooseanite

m.TIC 6

Describe how the LEA evaluates the migrant program (examples: evaluation document, improvement plan, PAC recommendations, parent surveys, data review, achievement gap examination, etc.).


Choose an item.TITLE I, PART C☐ Not Applicable


TIC 7

Describe the collaboration process between LEAs, other states, and/or other countries regarding the transfer of student academic data.

Chooseanite

m.TIC8

If applicable, describe LEA’s summer or intersession programs that address the unique educational needs of migratory children.

Chooseanite

m.TIC9

Describe the LEA’s process to enter student data information into the state migrant database system (MIS2000), such as immunization records, health information, credit accrual, IDEA services, state assessments, etc.


Choose an item.

TITLE I, PART DNEGLECTED & DELINQUENT



☐ Not Applicable


TIN&D 1

Describe the process for providing instruction that is aligned with state standards and accountability to Neglected or Delinquent (N or D )children and youth.

Choose an

item.TIN&D 2

Describe the services provided to assist in the transition of N or D children and youth back to the school or workforce environment.

Choose an

item.TIN&D 3

Describe the dropout prevention program that targets at-risk N or D children and youth.

Choose an item.



Not Applicable


TIN&D 4

Describe the process for: a) administering the funded N or D program(s) andb) monitoring the funded N or D program(s) to ensure program requirements are met.

Choose an

item.TIN&D 5

Describe the efforts to collaborate to implement “pay for success” initiatives.

Choose an

item.TIN&D 6

Describe the engagement with the Tribal Nations to meet the needs of N or D Native American students.

Choose an item.



☐ Not Applicable


TIN&D 7

Describe the procedures utilized to meet the needs of N or D students that have a disability, in order to meet an existing Individualized Educational Program (IEP) requirements.

Choose an

item.TIN&D 8

Describe the procedures utilized to meet the needs of N or D students that are English Learners.

Choose an item.


TITLE II, PART A


TITLE II, PART A☐ Not Applicable


TIIA 1

If applicable, describe how Class-Size Reduction (CSR) needs are determined.

Chooseanite

m.TIIA 2

Describe PD activities the LEA selects that meet the purpose of Title II, Part A:

a) increase student achievement consistent with the challenging State academic standards;

b) improve the quality and effectiveness of teachers, principals, and other school leaders;

c) increase the number of teachers, principals, and other school leaders who are effective in improving student academic achievement in schools; and

d) provide low-income and minority students greater access to effective teachers, principals, and other school leaders.


Chooseanite

m.TIIA3

Describe how the PD activities that meet the purpose of Title II, Part A address the learning needs of all students, including children with disabilities, English learners, and gifted and talented students.


Choose an item.

TITLE III, PART A


TITLE III, PART A☐ Not Applicable


TIIIA 1

Describe the basic services that the LEA provides to all EL students to meet Lau requirements and how the LEA determines the use of Title III, Part A funds to supplement these basic services.

Choose anitem.TIIA 2

Describe how the LEA:

a) has participated in State training and/or technical assistance for implementation of the State ELP standards.

b) has disseminated the ELP standards to all teachers of EL students.

Choose anitem.TIIIA 3

For EL students receiving testing accommodations, please describe how the appropriate accommodations are determined.


TITLE III, PART A☐ Not Applicable


TIIIA 4

Describe how the Immigrant grant program is distinct from the EL grant program (applicable only if the LEA receives funding from both programs.)

Choose an item.


TITLE V, PART BREAP-FLEX AND RLIS


TITLE V, PART BREAP-FLEX

☐ Not Applicable


TVB 1

Describe why the LEA selected the Title program(s) supported by the combined allocations of the contributing programs.

TITLE V, PART BRLIS

☐ Not Applicable


TVB 2

Describe why the LEA selected the Title program(s) that the RLIS allocation supported.


TITLE IX, PART A


TITLE IX, PART A☐ Not Applicable


TIXA 1

Describe how the LEA utilizes technical assistance offered by OSDE to ensure appropriate implementation of Title IX, Part A.

Select an Option.

Choose an item.


PART II: CONSOLIDATED MONITORING-FISCAL COMPLIANCE-

OVERARCHING; TITLE I, PART A; TITLE I, PART C; TITLE I, PART D; TITLE II, PART A; TITLE III, PART A;

TITLE V, PART B; TITLE IX, PART A


Accounting Systems and Fiscal Controls: LEAs must expend and account for Federal funds in accordance with Federal and State laws and procedures for expending and accounting for these funds. LEA’s accounting systems must satisfy Federal and State requirements regarding the ability to track the use of funds and permit the disclosure of financial results. LEAs must have written procedures for determining cost allowability and must have effective control over all funds. Uniform Guidance 2 C.F.R. 200.302; EDGAR 34 C.F.R. 76.702

MONITORING INDICATORS DISTRICT/SITE NARRATIVE STATEMENT

SDE USE ONLY


FA1

Describe LEA’s standardized, documented procedures for accounting for Federal funds.

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m.FA2

Describe how the LEA ensures that procedures for accounting for Federal funds are the same as those used for State funds.

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m.FA3

Describe LEA’s written procedures for determining theallowability of costs.

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Choose an item.Section A: Financial Administration

Section A: Financial Administration


Cash Management and Payment Systems: LEAs must have written procedures for payment systems. LEAs are generally required to minimize thetime elapsing between transfer of funds from U.S. or State Treasury and disbursement.Uniform Guidance 2 C.F.R. 200.302(b)(6); 2 C.F.R. 200.305(b)

MONITORING INDICATORS DISTRICT NARRATIVE STATEMENT

SDE USE ONLYComments Determination

FA4

Describe LEA’s written policies and procedures outlining the processes used for payments involving program funds (and which satisfy all applicable cash management requirements.)

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Section A: Financial AdministrationPeriod of Availability and Carryover: LEAs may only charge a grant program for allowable costs incurred during the period of availability and any


pre-award costs that have been authorized by the USDE. Unless USDE authorizes an extension, the LEA must liquidate all obligation incurred under the award not later than 90 calendar days after the end date of the performance period. If the LEA fails to obligate all funds by the end of the award year, it can “carryover” the remaining funds for a period of one additional fiscal year. Any funds not obligated by the end of the carryover periodmust be returned by the LEA to the SEA as an unobligated balance. Uniform Guidance 2 C.F.R. 200.309; 2 C.F.R. 200.343(b); EDGAR 34 C.F.R. 76.707; 34 C.F.R. 76.709(a);34 C.F.R. 76.710

MONITORING INDICATORS DISTRICT NARRATIVE STATEMENT SDE USE ONLY


FA5

Describe LEA’s processes or procedures used to ensure that the LEA only charges grant awards for expenditures that were incurred during the period of availability.

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m.FA6

Describe LEA’s procedures to obligate the carryover funds.

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Section A: Financial AdministrationAudit Requirements: LEAs are responsible for both resolving the audit findings and for conducting audit follow-up activities and corrective actions for their own audits. LEAs who meet the audit threshold are also required to ensure the audits are reported to OSDE according to established timelines. Uniform Guidance 2 C.F.R. 200.303(d)(2); 2 C.F.R. 200.500-512; 2 C.F.R. 200.521(c)



FA7

Describe LEA’s processes to perform a Single Audit or Program Specific Audit, if the LEA expends $750,000 in Federal funds.

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m.FA8

Describe:a) LEA’s processes used to resolve audit findings.b) who is responsible for follow-up and corrective action for LEA external audit findings.

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Section A: Financial AdministrationInternal Controls: The LEA must establish and maintain a system of effective internal controls over Federal awards that provides reasonable assurance that the LEA is managing Federal awards in compliance with Federal statutes, regulations, and conditions of Federal awards. Uniform Guidance 2 C.F.R. 200.61-62; 2 C.F.R. 200.302(b)(4); 2 C.F.R. 200.303;



FA9

Describe the processes implemented by the LEA that establish and maintain effective internal controls over Federal awards, that provide reasonable assurances that the entity is managing the award in compliance with federal statutes, regulations and terms of the award.

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m.FA 10

Describe the processes the LEA uses to ensure that issues identified during subrecipient monitoring are addressed and resolved.

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Section A: Financial AdministrationRecords and Information Management: LEAs must keep records that fully show the amount of federal funds, how the LEA used the funds, the total costs of Federally supported projects, the share of costs provided from other sources, records to show compliance with program requirements, and any other records needed to facilitate an effective audit. The LEA must also take reasonable measures to safeguard and protect Personally Identifiable Information (PII). Uniform Guidance 2 C.F.R. 200.303(e);2 C.F.R. 200.333;2 C.F.R. 200.336(a); EDGAR 34 C.F.R. 76.730-731



FA11

Describe how the LEA:a) protects and safeguards PII;b) covers PII from all sources – LEA personnel, student data, teacher data, etc.

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m.FA 12

Describe LEA’s processes to maintain and store all required records for the required time periods.

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Section B: Cross-Cutting Fiscal Requirements Equipment Management : LEAs must use, manage and dispose of equipment and supplies purchased using Federal funds in accordance with all relevant State laws and procedures. LEAs must also ensure that equipment and supplies are used only for authorized purposes of the project during the period of performance (or until no longer needed). Uniform Guidance 2 C.F.R. 200.313-314 ;



CFR1

Describe how the LEA monitors the use of equipment purchased with Federal funds to ensure that all relevant State policies and procedures are followed and that equipment is used only for authorized purposes.

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item.CFR2

Describe the policies the LEA has in place to ensurea) control over vulnerable assets (high-value and/or mobile items, including technology) purchased with Federal funds;b) policies for disposition of equipment purchased using program funds;c) policies for managing access and use of equipment.

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Section B: Cross-Cutting Fiscal Requirements Personnel: LEAs must ensure that charges to Federal awards for salaries must be based on records that accurately reflect the work performed. These records must be supported by a system of internal controls which provide reasonable assurances that the charges are accurate, allowable, and properly allocated. Uniform Guidance 2 C.F.R. 200.430



CFR3

Describe the procedures the LEA uses to ensure that personnel charges reflect a true distribution of the work performed by employees (particularly where employees work on different types of cost activities – Federal, State, etc.)

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Section B: Cross-Cutting Fiscal Requirements Procurement: LEAs must ensure that all relevant LEA procurement procedures are followed when procuring goods and services using Federal funds LEAs must also maintain oversight to ensure that contractors perform in accordance with the terms, conditions, and specification of their contracts.Uniform Guidance 2 C.F.R. 200.318;2 C.F.R. 200.322 ; 2 C.F.R. 200.326



CFR4

Describe LEA’s procedures to ensure that procurement transactions are conducted in accordance with established LEA procurement procedures.

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item.CFR5

Describe the types of documentation the LEA maintains to establish that all procurement requirements have been met for each transaction.

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Section C: Program Fiscal (Multi-Program)Reservations and Consolidation: The LEA must ensure that the program funds reserved for administrative purposes do not exceed statutory limits for each program. LEAs are permitted to consolidate the administrative set-asides from several ESSA programs (Title I A, Title II A, Title III A-EL, Title IV A, Title V B) in order to administer them collectively. Uniform Guidance 2 C.F.R. 200.300(b); ESSA§3115(b), §8203(d)(1)



PF1

Describe LEA’s procedures to ensure theallowability of the costs charged to the administrative set-asides.

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item.PF2

Describe how the LEA distinguishes between consolidated administrative cost activities and indirect costs.

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Section C: Program Fiscal (Multi-Program) Allocations: LEAs must ensure that site allocations are made in accordance with applicable statutory requirements. ESSA,§ 1124(a)(2)(A)



PF3

If applicable, describe the criteria the LEA uses when determining the eligibility and appropriate funding levels for:a) Title I, Part A sites;b) Sites participating in the Consolidation of Funds.

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item.PF4

Describe how the LEA makes certain that the correct allocations are expended at the site level, based on the appropriated funding.

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Section C: Program Fiscal (Multi-Program)


Use of Funds : LEAs can only use program funds for allowable costs, as defined in the Uniform Administrative Requirements, Cost Principles, and Audit Requirements (2 C.F.R. §200), which include, among other things, the requirement that costs be reasonable and necessary for the accomplishment of program objectives. Uniform Guidance 2 C.F.R. 200.403-408 ; 2 C.F.R. 200.420-475; EDGAR 34 C.F.R. 76.530



PF5

Describe the LEA’s steps to: a) ensure that program funds are only used for activities, goods, or services that are allowable under the programs from which they originated;b) eliminate expenditures that are unnecessary, unreasonable or otherwise unallowable uses of program funds .

Hgvhgv b

Meets Requirements

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item.PF6

Describe the LEA’s steps to minimize redundancy in the use of funds, either within or across programs.

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Maintenance of Effort and Comparability:Each LEA shall have either the combined fiscal effort per student or the aggregate expenditures of the LEA and the State with respect to the provision of free public education by the agency for the preceding fiscal year was not less than 90 percent of the combined fiscal effort or aggregate expenditures for the second preceding fiscal year. ESSA §8521;Each LEA shall use State and local funds in schools served under this part to provide services that, taken as a whole, are at least comparable to services in schools that are not receiving funds under this part. ESSA §1118(c)(1)(A);



PF7

Describe the procedures the LEA has in placeto meet compliance with MOE requirements.

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item.PF8

Describe the LEA’sprocesses to meet compliance with comparability requirements.

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item.PF9

Describe the steps the LEA takes if the LEA is identified as failing to provide comparable services.



Supplement not Supplant: The LEA must ensure that Federal program funds are used to supplement, not supplant State and local funds. ESSA §1114(a)(3)(B) ; ESSA §2301; ESSA §3115(g); ESSA §4110; ESSA §5232



PF10

Describe the processes the LEA has in placeto evaluate LEA’s compliance with supplanting requirements.

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item.PF11

Describe the LEA’s processes to correct budgets and expenditure reports due to supplanting violations.

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PART III: PERFORMANCE REVIEW -OSDE DETERMINATION-


OSDE’s Determination to LEA’s Grant Programmatic Administration and Fiscal Management EvaluationThe information provided in this section is intended to help an LEA assess whether sufficient capacities, infrastructure, and resources are allocated to the management of applicable federal grants, in a manner that enables the LEA to achieve its strategic goals. Each area rating is a reflection of how the LEA is addressing fiscal and cross program requirements. OSDE’s analysis for each area is primarily based on evidence submitted by the LEA in the form of answers to the programmatic and fiscal questions, documents submitted by the LEA prior to the review, and the responses provided to questions during the on-site review.

Ratings are based on a four-point scale, for which ‘commendation’ represents high quality implementation where the grantee is exceeding expectations; ‘green’ indicates that work is of an acceptable quality and the grantee is meeting expectations; ‘yellow’ indicates there are quality implementation concerns and some improvements could be made to ensure the grantee continues to meet expectations; and ‘red’ indicates there are significant compliance or quality concerns that require urgent attention by the LEA and will be revisited until the LEA has remedied the issue.

Met Requirements with CommendationThis section highlights the areas where the LEA has exceeded requirements and is commended on the grant programmatic administration and fiscal management. In addition, this section provides an opportunity for the OSDE to highlight those areas where the LEA has implemented an innovative or highly successful system or approach. In these areas, the OSDE is not recommending or requiring the LEA to take any further action.

Met RequirementsThis section identifies those areas where the OSDE has determined that the LEA has met basic requirements of grant programmatic administration and fiscal management and is implementing those requirements in a satisfactory manner. The description of satisfactory implementation by relevant area and requirement is an indication of an acceptable implementation quality level. In these areas, the OSDE is not recommending or requiring the LEA to take any further action.

Met Requirements with RecommendationsThis section identifies those areas where the OSDE has quality implementation concerns related to the LEA’s grant programmatic administration and fiscal management. In these instances, the OSDE is determining that the LEA is currently complying with requirements, but that improvements could be made to improve the efficiency or effectiveness of operations. Identified issues are grouped according to relevant area and requirement. For each issue listed, the OSDE will provide a recommendation for improvement, but is not requiring the LEA to take any further action.

Action RequiredThis section identifies those areas where the OSDE has significant compliance or quality concerns related to the LEA’s grant programmatic administration and fiscal management. For those issues, the OSDE will outline the current practice, the nature of noncompliance, and the required action. Documentation of required action must be provided to the OSDE within thirty (30) business days of the receipt of the Final Performance Review Report accompanied by the Non-Compliance letter.


Implementation Assessment Key:High Quality/Met Requirements with Commendation CommendationSatisfactory Quality/Met RequirementsQuality Concerns/Met Requirements with RecommendationsSignificant Compliance or Quality Concerns/Action Required

FINAL PERFORMANCE REVIEW REPORT – LEA’s nameSDE USE ONLY

Assessment (color coded)

OSDE Reviewer’s Comments

PRO

GR

AM

AT

IC

1. Overarching2. Title I, Part A3. Title I, Part C4. Title I, Part D5. Title II, Part A6. Title III, Part A7. Title V, Part B8. Title IX, Part A

F

ISC

AL

1. Accounting Systems and Fiscal Controls2. Cash Management and Payment Systems3. Period of Availability and Carryover4. Audit Requirements5. Internal Controls6. Records and Information Management7. Equipment Management8. Personnel9. Procurement10. Reservations and Consolidation11. Allocations12. Use of Funds13. Maintenance of Effort (MOE) and Comparability14. Supplement Not Supplant

Reviewer’s electronic signature: Enter reviewer’s name Date: Click here to enter a date.

Supervisor’s electronic signature: Enter Supervisor’s name here. Date: Click here to enter a date.
