1. MONITORING 2018-19 Erin Derr, Regional Coordinator
Lynn Calvello, Regional Coordinator
Janice Joyce, IU 19 Federal Program Consultant

2. Contact Information for Monitoring
Erin Derr
Lynn Calvello
Karen Trissler

3. Monitoring
All LEAs that fall under the “high risk” and “medium risk” category, based on DFP’s Subgrantee Risk Assessment, will be monitored this year
Cycle 3 LEAs of the four year cycle will be monitored
CSI schools will not be monitored until

4. Subgrantee Risk Assessment
Divided all LEAs and Charter Schools into 3 categories:
“high risk”
“medium risk”
“low risk”
Not a federal designation just a category based on the components of our Subgrantee Risk Assessment

5. Subgrantee Risk Assessment Factors
Factors included in DFP’s Subgrantee Risk Assessment:
Monitoring Findings
Fiscal
Programmatic
Excessive findings (5 or more)
Timely submission of required documents
PIMS
Comparability Report and/or Assurances
Consolidated Application/Funding Adjustments /Amendments

6. Subgrantee Risk Assessment Factors, cont.
Excessive Carryover
Amount of Federal Funds allocated
New Entity (Charter School/LEA)
Not meeting Maintenance of Effort (MOE)
New Federal Program Coordinator, Business Manager, Superintendent at LEA

7. Overview of Federal Programs Monitoring
Letters to Superintendents and CEOs in January
Name of assigned Lead Monitor
DFP contact information
LEA username and password for FedMonitor
Tips to help LEAs prepare for monitoring visit
Monitors may contact LEAs after January to set up a site visit date
Find a time that is mutually agreeable
Monitors review current program year ( for this year and for next year) information

8. LEA Responsibilities
Complete and submit online self- assessment through FedMonitor at least 2 weeks prior to site visit
Prepare documentation for monitor review
Must provide documentation for each evidence box checked when completing FedMonitor
Might potentially be found out of compliance

9. Log into the Review Instrument in FedMonitor
** Enter Username and Password
Presenter – Please go to the FedMonitor website
Logging into the Review Instrument in FedMonitor:
Enter your Username and Password to log in.

10. LEA Responsibilities
Contact parents of Title I students for parent interviews
Ask at least 3-5 parents to participate
If there are only 1-2 that is not ideal but okay
No more than 1 employed at the LEA
Coordinate the schedule with the monitor

11. After the site visit
Monitor completes instrument in FedMonitor, ensuring all boxes are correctly checked and comments are made where necessary
Monitor locks document when completed
LEAs may go back into instrument to review, but cannot make changes
If LEA disagrees with a finding, contact Regional Coordinator
Do not contact monitor
Monitors are instructed not to provide feedback

12. After the site visit Monitor reports are reviewed by DFP
If no citations LEA receives an In Compliance letter from DFP stating all programs are in compliance with federal laws and regulations
If LEA is out of compliance:
LEA receives letter with Corrective Action Plan and due date
When corrective actions have been completed, LEA receives an In Compliance letter

13. Keys to a successful site visit
Work with the Lead Monitor to prepare a visit schedule
Try to assign buildings within the same geographic area to monitors
Make sure all online documentation is complete
Consolidated Application and Funding Adjustment /Amendment
Funding Adjustment does not have to be completed at time of monitoring
Online Monitoring Instrument
Gather and organize all documentation

14. Tips from the Monitors
Have copies of your completed monitoring instrument available to all parties who will participate in monitoring visit
Review instrument with staff that will be participating
Have documentation & evidence of compliance aligned to the order of the monitoring instrument
Helps to have an “Agenda”
Don’t be “stressed out”….be “prepared”

15. LEA Level Appropriately State Certified Equity Plan
Transportation Plan
LEA Parent and Family Engagement
Schoolwide Programs
Nonpublic schools
General Fiscal Requirements/Uniform Guidance (UG)
Title IV
Ed Flex
REAP

16. Appropriately State Certified
Only looking for teachers and paraprofessionals working in a Title I program
In a Targeted Program – only teachers and paraprofessionals working in the Title I program
In a Schoolwide Program – all teachers and paraprofessionals
Appropriate documentation
Sampling of certificates from Title I staff

17. Equity Plan Foster Care
Required for ALL LEAs that have Title I buildings
No exemptions
Evidence
Equity Plan
Foster Care
LEAs must have implemented transportation procedures for Foster Care Youth
Developed with Children and Youth
Put together in a plan

18. LEA Parent and Family Engagement
Policy
Must be updated with ESSA changes
For evidence must have
LEA Parent and Family Engagement Policy,
Agendas and sign in sheets from parent meetings, AND
Evidence it was distributed
Parent and family input on how the funds are spent
Agendas and sign in sheets from meetings
Annual evaluation
Surveys and collated results
Agendas and sign in sheets

19. Schoolwide Programs
If LEA is consolidating funds – must have an approval letter from PDE
Very rarely occurs

20. Non-public Schools Performance Goal relating to Non-public services
In eGrants, Title I project, Performance Goal section
Affirmation of Consultation Form uploaded
In eGrants, Reporting, Uploads
Documentation that a physical inventory of equipment purchased with Title I funds is conducted annually at the end of the school year
Copy of third-party contracts that include a breakdown of instructional costs, amount of services to be delivered, and administrative costs for non- public schools
Must have all three, at a minimum in contract

21. General Fiscal Requirements/Uniform Guidance (UG)
5 UG policies/procedures
Cash Management procedure
Travel Reimbursement policy
Allowability of Costs procedure
Conflict of Interest policy
Procurement procedures
Procurement extension
Must still have procedures
Must include stricter guidelines
Must also have documentation that states taking the extension

22. General Fiscal Requirements/Uniform Guidance (UG)
Prior Written Approval for Various Expenditures
LEA must obtain prior written approval for the following expenditures:
Salaries of Administrative Staff (Clerical and Federal Program Coordinators)
Out of State Travel for workshops/conferences
Entertainment Costs
Equipment
Student Activity Costs
Memberships, subscriptions, and Professional Activities

23. General Fiscal Requirements/Uniform Guidance (UG)
Maintenance of Effort (MOE)
Letter from PDE stating requirement met
Transferability
Can transfer all of Title II and Title IV
Can transfer funds into Title I and Title III, but not out of those programs
Can transfer between Title II and Title IV
Transferability page in eGrants completed
Evidence Non-public Schools were consulted about transfers
Agendas and sign in sheets from Non-public meetings

24. Performance Goal Report
Performance Goal Reporting Verification – looking for completion of the report in eGrants and data that supports if they met or did not meet goal
Title I, II, and III where applicable
Title IV in
Documentation to show how they met, or did not meet their goals
Data

25. Supplement, not Supplant
Supplement/Supplant – only applies to Title I
Documentation of LEA methodology for allocating State and local funds to buildings
Beginning in the application process LEAs must be prepared to explain the methodology used to allocate State and local funds equitably to schools regardless of Title I status.

26. Title IIA Data to determine how funds should be spent
Stakeholder input
Parent, Community Member, and School staff input
Agendas and sign in sheets
Performance Goal Output Report
Submitted in eGrants
Data documentation

27. Title IVA – Student Support and Academic Enrichment Grant
Stakeholder input
Agendas and sign in sheets
Needs assessment if LEA received more than $30,000
Remaining evidence found in eGrants

28. School Level Principal and Parent interviews
Paraprofessional qualifications
Right to Know letters
Transition Plan
School Parent and Family Engagement policies
School-Parent Compacts
Parent meetings
Targeted Assistance/Schoolwide Requirements
Fiscal

29. Appropriately State Certified (ASC)
Four week letter – Non ASC for four weeks or more consecutive weeks
Must be sent in a timely manner after four weeks
Principal must sign if letter is required, must identify classroom/teacher (name not required)
Right to know letter – dated and distributed
If not mailed out, but use multiple methods to distribute
Good example of translated document
Even though not needed, must still show how

30. Transition Plan
Plan must include how transitioning students in and out of the Title I school
Must have a student and a parent piece
Example from Southeastern SD

31. School Parent and Family Engagement
Policy
For evidence must have
School Parent and Family Engagement Policy,
Agenda and sign in sheets from parent meetings, AND
Evidence it was distributed.
Must be updated with ESSA changes
For must be board approved

32. School Parent and Family Engagement
School – Parent Compact
For evidence must have
School-Parent Compact,
Agenda and sign in sheets from parent meetings, AND
Evidence it was distributed.
Title I meeting
Agenda and sign in sheets
Explain Title I requirements
Discuss use of funds

33. School Parent and Family Engagement
Provide parents and family members
Training materials
Information on State standards, curriculum and assessments
Coordinate with other preschool programs
Transition Plan
Skits can be used to meet the requirement to train staff with the assistance of parents on how to work with parents
Just need skits, agenda and sign in sheet from staff PD
Here is the link:

34. Schoolwide Programs
School Level Plan – Reward and Undesignated Schools
School Improvement Plan – Focus and Priority Schools
Must have agendas and sign in sheets
Must include one parent and one community member
At secondary level, must include one student

35. Targeted Assistance Selection criteria
Demonstrates how determine which students to be served
Must have multiple methods
List of programs, activities and courses that support a well-rounded education
Any resource that helps Title I children meet challenging State academic standards

36. Targeted Assistance Instructional strategies Professional Development
May include expanded learning time, before and after school, summer programs, and programs to address behavior problems
Professional Development
List of professional development activities and agendas and sign in sheets

37. FISCAL Time Documentation Building level budget
Required for all federally funded staff
Semi annual certifications
Split funded certification/time logs
Building level budget
Demonstrating how Title I funds are spent

38. If you are being monitored this year….
Set up site visit date
Submit Funding Adjustment/Amendment (if possible)
Prepare for spring Title I Parent Meeting (if applicable)
Work with business office to prepare statements of Title IA, IIA, III, and IVA allocations and expenditures
Prepare schedule for monitoring visit
Prepare documentation for monitor
Line up parents for interviews on day of visit

39. If you are being monitored this year….
Collect:
Equity Plan – required for all LEAs
Written Transportation Plans for students in Foster Care
Third party contracts – if serving Non-publics
Agendas and sign in sheets from Non-public consultation
Quarterly reports for all federal programs
Two latest single audit reports
UG policies and procedures: allowability of cost, conflict of interest, travel reimbursement, cash management, procurement

40. If you are being monitored this year…
Collect:
Parent and Family Engagement Policy
Agendas and sign in sheets
Annual parent survey and collated results
Waiver approval letters
Program approval letters
Must print out from eGrants – reporting tab
Equipment inventory (over $5,000) and Computing Devices and Special Purpose Equipment ($300 - $4,999)
Comparability Report and assurances
Maintenance of Effort Letter
CEP evidence, if applicable

41. If you are being monitored this year…
Collect at the School(s):
Right to know letters
Parents can request the qualifications of teachers and paras
Four week letter
Transition Plan(s)
Parent and Family Engagement Policies
Agenda and sign-in sheets
School/Parent Compact
Evidence of parent meetings
Agendas and sign in sheets

42. If you are being monitored this year…
Collect at the School(s):
Evidence used parents to train staff on how to work with parents
SPAC skits and agenda and sign in sheet from staff meeting OR
Agenda and sign in sheets from parent meetings/surveys AND agenda and sign in sheet from staff meeting
School Level/Improvement Plan, if Schoolwide
Semi-annual certifications/PARs
Building Level budgets

43. Rural Education Achievement Program (REAP)
If your LEA receives Rural and Low Income Schools (RLIS) funding:
Prepare statement of allocations and expenditures
Include copies of invoices and purchase orders

44. Desk Audit Documentation will be uploaded to Fedmonitor
Not all requirements need documents uploaded
Only upload documentation where there is a green

45. Top Ten Monitoring Findings of 2016-17

46. Top Ten Monitoring Findings of 2016-17
10. Parent Involvement - Title I schools have coordinated and integrated parent involvement programs and activities with other programs (Head Start, public preschools, parent resource centers, early childhood programs), to encourage and support parents in more fully participating in the education of their children, and parents have participated in the development of the Transition Plan. (39)

47. Top Ten Monitoring Findings of 2016-17
9. Parent Involvement - Title I schools conducted an annual evaluation of the effectiveness of school parental involvement activities. (40)
8. Performance Goal Reporting Verification - LEA has documentation/data to support the status of goals reported in the Performance Goal Report. (44)
7. Parent Involvement - Schools receiving Title I funds have a written school-parent compact and evidence that it has been updated annually and has been distributed to parents. (44)

48. Top Ten Monitoring Findings of 2016-17
6. Parent Involvement - Title I schools educate instructional staff, with parental assistance, in the value and utility of contributions of parents, how to reach out to and communicate with and work with parents as equal partners, implement and coordinate parent programs and build ties between parents and schools. (49)

49. Top Ten Monitoring Findings of 2016-17
5. Fiscal Requirements - The LEA and Title I school maintain semi-annual certifications for all employees funded 100% from a single cost objective. (52) 4. Schoolwide Programs – Updated Schoolwide Plan (65) 3. Fiscal Requirements - The LEA and Title I School maintain a building level budget demonstrating appropriate Title I expenditures. (77)

50. Top Ten Monitoring Findings of 2016-17
2. School Parent Involvement Policy - Schools receiving Title I funds have a written Parent Involvement Policy aligned with the District policy and evidence that it is updated annually and has been distributed to parents. (114) 1. Appropriately State Certified - Parents (in Title I schools only) are notified if their child is assigned to or being taught for four or more consecutive weeks by a teacher who is not appropriately state certified in a core academic subject. (114)

51. Questions??