Monitoring For Results
Procedures for ESEA
Consolidated Monitoring
Effective July 1, 2011 – June 30, 2014
Overview of Presentation
 Requirements 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 expenditures
State investigates and resolves all complaints received by the
State relating to the administration of such programs
 EDGAR (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 achievement
 Determine 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
Goals
The 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
Procedures
Review of Data for Districts and Schools
On-site Monitoring
•
•
LEA
School
Monitoring Report
Monitoring Response
Appeals Process
Items reviewed in the data analysis
include the following areas:
 Academic performance
 District AYP status
 Percentage of schools in the district meeting AYP
 State/district comparison of WESTEST2 data
 WESTELL results
 Trend Assessment Data (Title I schools)
 Individual school data for Title I schools
 Other performance indicators
 Attendance rate
 Graduation rate
On Site Monitoring
 Remains on a three year cycle, unless more frequent
monitoring is determined necessary by WVDE
 Consolidated team from WVDE for the following programs
 Title I, Part A
 Title I Part D
 Title II Part A
 Title II Part D
 Title III
 RLIS
 Homeless and McKinney Vento
On Site Monitoring
 Preparation – 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 Monitoring
 Preparation – 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
On Site Monitoring
 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
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 Monitoring
Activities During the On Site Review
 Conduct an entrance conference
 Discussion 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 Monitoring
Activities During the On Site Review
 Interview federally funded staff members from the district and
school levels
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District Title I, II and III Directors
Treasurer
Academic coaches
Technology integration specialists
Parents/community members
 Conduct school visits and interviews of school staff as applicable for
federal programs
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Principals
Classroom teachers
School-based coaches/TISs
Parents/community members
 Conduct an exit conference to provide an opportunity for
clarifications
Written Monitoring Report
 Issued within 30 working days of the exit conference
 Sent electronically to superintendent and Title I director –




return receipt requested
Identifies commendations, recommendations and findings
Identifies required corrective action and timeline for
implementation for any findings
Identifies recommended technical assistance/professional
development suggested by the SEA
Creates an expectation for including recommendations
within the LEA/school strategic plans
Monitoring Report Response
 Required for all federal programs having recommendations or
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findings within the report
Provide an explanation of the implementation of
recommendations/corrective actions
Submit documentation as required by the report
Submit 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 Process
 Submit a written appeal within 30 working days of receipt of
the monitoring report
 May request reconsideration of specific finding if the district
concludes the finding is inaccurate
 Submit written documentation to support the questioned
finding
 Review of documentation and a final decision will be issued
within 30 business days of receipt of the written appeal
The 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