NCLB Monitoring Overview and Details2013-2017

5/15 Version

LEGAL MONITORING REQUIREMENT

EDGAR Part 80.40(a)—monitor subgrant activities to assure compliance with applicable Federal requirements and that performance goals are being achieved.

Maine has established a 5-year NCLB/ESEA 2013-2017 cycle for a Desk Review for all SAUs as well as On-site Reviews for some SAUs.

MONITORING PURPOSE

• Fully and effectively implement the requirements of the Elementary and Secondary Education Act of 1965, as amended by the No Child Left Behind (NCLB) Act of 2001

• Regularly monitor programmatic and fiscal elements

• Provide quality technical assistance based on identified needs

OBJECTIVES FOR THIS WEBINAR

• Ensure that SAUs understand their responsibilities

• Ensure that due dates are clear• Ensure that information required from the

SAU is clear• Ensure expectations for the on-site visit are

clear• Ensure that SAU staff are well prepared for

the visit

NCLB MONITORING WEBSITE RESOURCES

• http://www.maine.gov/doe/esea/fiscal/index.html

• List of FY___ Sites• Original Sample Notice Letter• Desk Monitoring Tool *• On-Site Monitoring Tool • Agenda Template • Review Checklist• Upload Documents – FTP Instructions *• Monitoring Powerpoints *

* Documents the SAU must use and review for initial Desk Monitoring.

MONITORING TIMELINE

• June current year – General email sent to SAUs for upcoming visits.

• August current year – Individual SAU notification of review sent.• October 30 current year – SAU Responses and Documents

submitted to the Maine Department of Education representing prior school year information.

• November-December current year –State NCLB teams review the SAU submissions. Phone calls may occur for questions or clarification.

• January new year – Follow-up letters sent to SAUs to inform the SAU of its review status.

• March-May new year – On-site visits performed regarding current school year information.

• June new year – On-site visit follow-up letters sent to SAUs.

NOTIFICATION OF REVIEW

PLEASE TAKE NOTE of important information included in the notification that was emailed to Supt. and NCLB Coordinator:

• NCLB Monitoring Tool was attached;• Due date for submission of responses and

documents is October 30;• Consequence if submission not completed and on

time;• Date of On-site Visit, if one is necessary.• If there is a district function or other critical event

occurring on the on-site visit date, please contact Jackie Godbout immediately by calling 624-6712.

DESK MONITORING TOOL

Two components:

• Responses to Key Questions

• Documents to be Submitted

The responses and documents should represent the previous school year based on the October 30 submission date.

Desk Monitoring Tool: Responses and File Setup

• The NCLB Coordinator should ensure that the appropriate program coordinator responds to their program questions i.e. McKinney-Vento Homeless Liaison or Professional Development Coordinator.

• Recommend creating a folder to store documents that are collected and that will be uploaded as evidence.

• The SAU may create one response file to the questions and include any response or dissemination description needed for a document. Name the file SAU_NAME_Response File.

• All supporting documents should be established as individual files according to further instructions.

Desk Monitoring Tool: Responses to Questions

For the response file, we are looking for a description of the processes used to accomplish the task in most instances.

Please note:• Use the Q1, Q2, Q3 numbering sequence in your response

file.• If providing support evidence, save as a separate file and

name it SAU_NAME_Q1, SAU_NAME_Q6b, etc.• Make sure when a pronoun is used, it clearly links back to

a person or object.• When a person’s name is used, include the person’s title

or position.• When a group is mentioned, include the makeup of the

group using titles or positions.

Desk Monitoring Tool: Responses to Questions

• When meetings are held, include the frequency of meetings. Do not reference “periodically” or “regularly.” Use specificity such as once every two months, at the first staff meeting of each month, etc.

• Include whether or not minutes of meetings are available.

• Results of meetings, discussions, or data review may be helpful to the response, but ensure that it is brief and pertinent to the overall process.

Desk Monitoring Tool: Documents To Be Submitted

• Documents should be saved as individual files and identified by SAU_NAME_D1, SAU_NAME_D2, SAU_NAME_D3, etc.

• Documents should be dated.• If a document was disseminated, provide a

description of the dissemination process in the SAU’s response file or as part of the document itself.

• Acceptable format of documents i.e. doc, pdf, docx; not Apple Pages format.

• If a document is not available in an electronic format, send 2 copies to Title I, MDOE, 23 State House Station, 111 Sewell Street, Augusta, ME 04333. Note: US Postal date stamp must be by October 30.

DESK MONITORING: UPLOAD PROCESS

• A File Transfer Protocol (FTP) site is established;

• Upload instructions were emailed to SAUs with their notification letter and are posted to NCLB monitoring website; http://www.maine.gov/doe/esea/fiscal/index.html

• A site link, SAU login, and a password are included in the instructions.

• Do not attempt to login more than twice in a 30-minute period. The system will lock up. Contact Jackie Godbout at 624-6712 if this occurs.

DESK MONITORING: UPLOAD PROCESS

If using a MAC to upload,…• Downloading the wizard is not necessary• Only one file at a time can be uploaded (rather than multiple files)• Contact Meghan Southworth at 624-6723 for assistance with MAC issues.

NCLB INTERNAL TEAM REVIEW

• NCLB Team Reviews are scheduled for November and December.

• A Review Checklist will be completed for each SAU. • There are three choices for each response or document

—Meets Intent, Needs Recommendation, or Finding.• A telephone call may occur for clarifying questions or

to notify the SAU that an on-site visit will be necessary.• Factors used to determine if an on-site visit is

necessary: late submission or failure to submit desk review documentation, severity of findings/recommendations, repeat findings from previous NCLB review, complexity of program elements, and/or total allocation amount.

FOLLOW-UP REVIEW LETTER

Follow-up Review Letters will be sent by January 30.If no on-site visit is necessary, the letter will include:• Recommendations, Findings, and Corrective

Action steps.

If an on-site visit is necessary, the letter will include the above elements plus the following elements:

• Date of on-site visit;• Reason for on-site visit;• Findings so that solutions could be discussed or

developed locally before the on-site visit; and• Plans for the on-site visit.

ON-SITE MONITORING TIMELINE

• 30 days before the on-site visit, the SAU must submit via email to the State NCLB Team Coordinator:– the on-site visit agenda and – a completed On-Site Monitoring Tool

• Day of visit, the On-Site Monitoring Tool document and all evidence representing the current school year should be complete and available for State NCLB Team review. [Is a single copy sufficient?]

PREPARE ON-SITE VISIT AGENDA

• Review the Visit Assignment Sheet and create an agenda using the on-line agenda template

• Start time should be 8:30 am unless earlier is needed

• Email agenda 30 days prior to the on-site visit

DAY OF ON-SITE VISIT

• Open with welcome and overview of agenda

• Review status of the Desk Monitoring indicators

• On-Site Monitoring Tool should be completed and evidence from the current school year readily available – either as paper copies or stored on a memory stick

• Staff should be prepared to discuss the indicators, questions, and evidence

DAY OF ON-SITE VISIT

• A current year-to-date expenditure detail run for each Title (IA, IIA, III and VI) should be available

• Lunch: Maine DOE staff can either purchase school lunch or order from a nearby eatery/sandwich shop. Having a menu on hand is helpful.

• Oral Report Out by MDOE staff at end of day• Follow-up Letter and Report, to include both

desk and on-site monitoring, by June 30.

OCTOBER 30 DUE DATE

• If Desk Monitoring documentation is not received by October 30, the SAU automatically receives an on-site visit and will receive a notification of its responsibilities.− The SAU will be required to follow all

previously outlined Desk Monitoring Tool requirements 30 days prior to the on-site visit, and

− In addition to the Desk Monitoring requirements, the SAU will be required to provide all of the additional On-site Visit information.

PROCESS STARTS AGAIN

• Initial notification to SAUs will go out in June for the next cycle year.

• QUESTIONS? Contact Jackie Godbout 624-6712

RESOURCES

STATE MONITORING INFORMATION:• http://www.maine.gov/doe/esea/fiscal/index.html FEDERAL GUIDANCE DOCUMENTS: • http://

www.maine.gov/education/nclb/guidance/home.html