Student Achievement and School Accountability Programs (SASA) Monitoring Plan for Formula

NC DPI Title III Monitoring Plan Page 1 of 31 January, 2017

Monitoring Plan 2016-17 Title III, Part A: English Language Acquisition, Language Enhancement, and Academic Achievement

The North Carolina Department of Public Instruction (NCDPI), together with the US Department of Education and the Office of Civil Rights (OCR), is charged with the responsibility of enforcing Title VI of the Civil Rights Act of 1964, which prohibits discrimination based on race, color, or national origin. In Lau v. Nichols, the U.S. Supreme Court affirmed the U.S. Department of Education's May 25, 1970 Memorandum that directed LEAs to take steps to help English Language Learners overcome language barriers and to ensure that they can participate meaningfully in the educational programs.

The Elementary and Secondary Education Act (ESEA) Title III, Part A requires the State Educational Agency (SEA) to monitor the implementation of Title III program requirements and the expenditure of federal funds by all subgrantees. Monitoring Title III at the local level ensures compliance with regulations and assures the quality of the program and the instructional delivery being utilized with English Language Learners.

Title III, Part A provides supplemental financial assistance to States and eligible LEAs to develop and enhance their capacity to provide high-quality instructional programs designed to prepare limited English proficient children and immigrant children and youth to enter all-English instructional settings. Title III assists States in helping Local Educational Agencies (LEAs) increase their capacity to establish, implement, and sustain language instructional educational programs for limited English proficient students - “ The purposes of this part , Part A, are to help ensure that children who are limited English proficient, including immigrant children and youth, attain English proficiency, develop high levels of academic attainment in English, and meet the same challenging State academic content and student academic achievement standards as all children are expected to meet.” (Title III, §3102)

I. DEFINITION AND PURPOSE OF MONITORING

Monitoring is the regular and systematic examination of an LEA/Charter’s administration and implementation of a Federal education grant administered by NCDPI. Monitoring emphasizes accountability for using resources wisely in educating and preparing North Carolina’s students. As a result of monitoring, NCDPI is able to gather data about local needs and use that data to design technical assistance initiatives and statewide initiatives. Thus, monitoring serves not only as a means for helping LEAs/Charters achieve high- quality implementation of educational programs, it also helps NCDPI to be a better advisor and partner with LEAs/Charters in that effort.

Title III Tier III (Onsite) Monitoring Instrument and Report 2016-2017 NCDPI’s monitoring process will include technical assistance through Onsite Monitoring visits, Targeted Technical Assistance and Modified Desk Monitoring for identified LEAs/Charters. Monitoring outside of the scheduled cycle may be arranged as needed if an LEA/Charter has serious or chronic compliance issues or has unresolved issues identified during the monitoring process. The state wide monitoring plan will be reviewed and revised annually and/or as needed.

II. MONITORING INDICATORS

The content of NCDPI’s monitoring is based on States’ responsibilities to provide guidance and support to LEAs/Charters and schools based on the requirements of the ESEA. Monitoring LEA/Charter implementation of Title III means closely examining LEA/Charter policies, systems, and procedures to ensure school compliance with federal and state statutes and regulations.

NCDPI uses monitoring indicators to determine the degree and quality of implementation of Title III programs. Following the federal monitoring plan, indicators have been developed in each of the four monitoring areas (Standards, Assessment and Accountability; Instructional Support; and Fiduciary). The use of such criteria ensures a consistent application of these standards across monitoring teams and across LEAs/Charters. The published indicators provide guidance for all LEAs/Charters regarding the purpose and intended outcomes of monitoring by describing what is being monitored and providing the criteria for judging the quality of implementation (acceptable evidence).

Please note that the indicators are written broadly to cover all the requirements of each topic. Examples of documentation and evidence that LEAs/Charters can provide to show compliance with these requirements are listed for each indicator. These are examples and are not all required. Additional evidences can be submitted, as well.

III. THE MONITORING PROCESS

Monitoring LEAs’/Charters’ implementation of Title III provides an opportunity to examine how LEAs/Charters have instituted policies, systems, and procedures to ensure LEA/Charter and school compliance with the statutes and regulations. Monitoring serves many purposes:

. Formalizes the shared responsibility of North Carolina and the LEAs/Charters to improve student achievement and close the achievement gap in order to have all students reach proficiency. . Provides a vehicle to North Carolina’s legal responsibility to monitor the implementation of Title III. . Leverages support for broad scale implementation in all districts that receive these funds.

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. Ensures that school districts provide critical information to parents that enable them to be full partners in their children’s education. . Provides data that inform technical assistance that supports North Carolina’s and school districts’ efforts to improve teaching and learning. . Provides data to inform state policy and leadership activities.

A. Description of the Monitoring Process

North Carolina’s monitoring plan involves a 3-tiered system:  Tier I: Onsite Monitoring;  Tier II: Targeted Technical Assistance.  Tier III: Modified Desk Monitoring.

This approach helps LEAs/Charters build capacity to improve student achievement and ensure program compliance. A risk-based analysis of program components and characteristics is used to identify subgrantees for Tier I and Tier II monitoring. All Title III subgrantees will participate in Tier III. Risk factors include:  size of subgrantee grant award,  percentage of EL students,  program performance based on meeting what was previously known as AMAOs 1 and 2,  student subgroup academic performance based on AMOs for EL students,  change in program or leadership, and  the length of time since previous onsite monitoring.

Tier I – Onsite Monitoring LEAs/Charters are selected for onsite monitoring based upon the annual risk-based assessment of subgrantees. During the site visit, the NCDPI Monitoring Team will review documentation, observe classrooms and interview LEA/Charter staff, principals, teachers, parents, and other stakeholders. This multi-level interview strategy will allow the monitors to gather information from a variety of perspectives and better evaluate the impact of the LEA’s/Charter’s administration on the implementation of Title III at the LEA/Charter and school levels. This strategy will also allow the monitoring team to conduct a thorough review of the indicators, and acquire a more complete picture of the degree of program implementation.

Title III Tier III (Onsite) Monitoring Instrument and Report 2016-2017 Tier II – Targeted Technical Assistance Targeted Technical Assistance is provided to subgrantees with specific identified risks. The risks may include:

 Provisions for supplementing, not supplanting services for English language learners,  Descriptions of LIEP services provided,  Appropriateness of expenditures for technology,  Failure to test all EL students enrolled during the English language proficiency testing window,  Failure to meet the 95% participation expectation on state reading and mathematics end-of-grade/end-of-course tests for EL students,  New leadership for Title III subgrantees,  Challenges with data integrity, and/or  Any other critical needs as revealed from Title III Application, Improvement Plan or State Technical Assistance.

Tier II monitoring will occur during the same time frame as Tier I.

Tier III – Modified Desk Monitoring

Title III funded job descriptions were not required as additional documents in the NCCCIP as part of Title III application process for 2016-2017. As an adjusted form of previous Title III Tier III/Desk Monitoring, the NCDPI will use the following process to offer technical assistance to LEAs/Charters in regards to Title III funded staff positions for 2016-2017:

1. Job descriptions for Title III funded staff will be submitted to NCDPI by Wednesday, January 25, 2017. 1. WORD format 2. Email to [email protected] 3. Subject line: Job Descriptions for X LEA/Charter 4. Include contact name, email and phone in the body of the email. 5. Indicate if positions are fully or partially funded by Title III. For partially funded, include percentage and job descriptions for other parts of job.

2. NCDPI will review the job descriptions and craft guidance based on trends found among the job descriptions.

3. NCDPI will release the technical assistance via a webinar on May 9th and by posting the information on the ESL Wiki.

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The turnaround time is short, but time involved in submission should be minimal since no changes are needed to the documents for submission.

B. Onsite Monitoring

1. Preparation for Onsite Monitoring

LEAs/Charters to be monitored will be contacted after the official release of AMAO data. LEA/Charter EL Coordinators will be contacted by DPI Title III Staff, followed by an official letter to LEA/Charter Superintendents. A conference call will be scheduled with the LEA/Charter Title III Coordinator prior to the visit to ensure LEA/Charter staff is familiar with the monitoring process including a review of the monitoring indicators, guidance regarding documentation required during the monitoring visit, and the two-day monitoring schedule. Documents to assist the LEA/Charter in preparing for the onsite visit can be downloaded at http://eldnces.ncdpi.wikispaces.net/EL+Coordinators under Title III Monitoring.

Prior to the monitoring visit, LEA/Charter staff will compile specific documentation providing evidence to address the monitoring indicators. Ideally this collection of documentation supporting compliance with Title III and state and local regulations should be an ongoing process.

2. Onsite Monitoring Process

The DPI Monitoring Team, typically consisting of a DPI Title III Consultant (or designee) and an LEA/Charter Representative, conducts the onsite monitoring by reviewing documentation, observing classrooms and interviewing LEA/Charter staff, principals, teachers, parents, and other stakeholders and collecting other evidence as indicated on the North Carolina Title III Monitoring Instrument and Report.

Indicators are rated on a scale of 1-3. The rating NA is only appropriate for item 2.3, when the LEA/Charter does not receive significant increase Immigrant Funds (PRC 111) and 2.4 for Charter Schools who do not serve Private Schools. i. A rating of “3” is optimum. Meets requirement. ii. A rating of “2” indicates that a requirement is met in a minimal manner and that improvement is needed. iii. A rating of “1” indicates that a requirement has not been met and that corrective action must be taken. Not in compliance. Title III Tier III (Onsite) Monitoring Instrument and Report 2016-2017 An exit conference is held at the conclusion of the onsite review for the purpose of reporting the preliminary results of the monitoring visit to the LEA/Charter. Typically, the DPI monitoring team meets with the LEA/Charter Title III Coordinator and the Superintendent or Superintendent’s designee to discuss potential findings and recommendations that the team will likely cite in the monitoring report. The team will summarize the visit’s activities, the potential findings and recommendations, and timeline for developing the monitoring report. The team also responds to questions posed by the LEA/Charter (both related to process and content). The team leader emphasizes that the information presented at the exit conference is preliminary, and explains that during the development of the monitoring report, the team will continue to review data and contact the LEA/Charter for additional information, as required.

3. Follow Up

The NCDPI Title III Monitoring Team will prepare a written report within 30 business days of the onsite monitoring visit. The final report will be sent to the LEA/Charter from the NCDPI Chief Academic Officer. The monitoring letter and report will be e-mailed to the LEA/Charter Superintendent. In conjunction with this mailing the letter and report will be emailed to the LEA/Charter EL Coordinator. The entire process may take up to 3 months.

Within 30 business days from receipt of the Monitoring Report, the LEA/Charter will submit a written response with proposed resolutions to any findings from the monitoring visit to the DPI ESL Consultant. The DPI ESL Consultant will respond to the proposed resolutions as to whether or not they are satisfactory. If the proposed resolutions are not satisfactory, the DPI ESL Consultant will provide technical assistance to the LEA/Charter so that acceptable resolutions are identified.

C. Targeted Technical Assistance

1. Preparation for Targeted Technical Assistance

LEAs/Charters to receive Targeted Technical Assistance will be contacted after the official release of AMAO data. The LEA/Charter EL Coordinators will be contacted by DPI Title III Staff, but no official letter will be sent to LEA/Charter Superintendents. A conference call will be scheduled with the LEA/Charter Title III Coordinator prior to the technical assistance visit or virtual meeting to review monitoring indicators, finalize the Focus Topic(s), and to determine dates for the technical assistance. The technical assistance may be supported by the Title III Monitoring Visit documents which can be downloaded at http://eldnces.ncdpi.wikispaces.net/EL+Coordinators under Title III Monitoring.

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Prior to the technical assistance meeting, LEA/Charter staff will compile specific documentation providing evidence to address the Focus Topic(s). Ideally this collection of documentation supporting compliance with Title III and state and local regulations should be an ongoing process.

2. Targeted Technical Assistance Process

How the DPI Consultant conducts the technical assistance will differ based on the Focus Topic(s). The NCDPI Consultant and EL Coordinator, as well as other vested stakeholders, will work together to address the Focus Topic(s). This may include reviewing documentation, observing classrooms and/or interviewing LEA/Charter staff, principals, teachers, parents, and other stakeholders and collecting other evidence as indicated on the North Carolina Title III Monitoring Instrument and Report or in State and Federal guidance. Next steps will be determined and documented by the conclusion of the visit.

3. Follow Up

The NCDPI Consultant and EL Coordinator, as well as other vested stakeholders, will continue to work together to address the Focus Topic(s). The DPI ESL Consultant will provide technical assistance to the LEA/Charter until acceptable resolutions are identified or determine that a full monitoring visit is needed in the next school year.

D. Modified Desk Monitoring

1. Preparation for Modified Desk Monitoring

Title III funded job descriptions were not required as additional documents in the NCCCIP as part of Title III application process for 2016-2017. They will be collected as part of the Modified Desk Monitoring for 2016-2017.

LEAs/Charters who are Title III subgrantees should prepare copies of Title III funded job descriptions and non Title III job descriptions that are part of a split funded position with partial Title III funds in WORD format to be submitted to NCDPI. Time involved in submission of job descriptions should be minimal since no changes are needed to the documents for submission.

2. Modified Desk Monitoring Process Title III Tier III (Onsite) Monitoring Instrument and Report 2016-2017 Job descriptions for Title III funded staff will be submitted to NCDPI by Wednesday, January 25, 2017. 1. WORD format 2. Email to [email protected] 3. Subject line: Job Descriptions for X LEA/Charter 4. Include contact name, email and phone in the body of the email. 5. Indicate if positions are fully or partially funded by Title III. For partially funded, include percentage and job descriptions for other parts of job.

3. Follow Up

NCDPI will review the job descriptions and craft guidance based on trends found among the job descriptions, release the technical assistance via a webinar on May 9th and by posting the information on the ESL Wiki.

Title III Tier III (Onsite) Monitoring Instrument and Report 2016-2017 NC DPI Title III Monitoring Plan Page 9 of 31 January, 2017

North Carolina Title III Monitoring Instrument and Report Tier I - Onsite Monitoring Instrument and Report

LEA/Charter Name: RATING SCALE LEA/Charter #: Contact Person: 1 - Does Not Meet Requirements. Out of Compliance. e-mail: 2 - Meets Requirements But Improvements Needed Work Phone: 3 - Meets Requirements Cell Phone: NA* - Not Applicable Date(s) Conducted: *NA is only allowable on 2.3 for LEAs/Charters who do not receive Immigrant Funds and on Date of Report: 2.4 for Charter Schools who do not serve Private Schools

Members of monitoring team: (Names may be added, as appropriate.)

(Printed name) (Position) (Signature)

Note: The NC Department of Public Instruction is required to monitor all federal programs. The State shall advise subgrantees of requirements imposed on them by Federal laws/regulations and monitor the activities of subgrantees as necessary to ensure that Federal awards are used for authorized purposes. (Office of Management and Budget Circular A-133) References for Program Requirements: Title III Language Instruction for Limited English Proficient Students Public Law 107-110, Sections 3001 – 3304; EDGAR; OMB Circular A-87; ED Compliance Supplement; Office of Management and Budget Circular A- Title III Tier III (Onsite) Monitoring Instrument and Report 2016-2017 Monitoring Indicators for Title III Standards

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1.1: English Language Proficiency (ELD) Standards. [§3113] Guiding Questions Acceptable Evidence Compliance Indicator(s) Rating Questions: Possible Documentation: . Has the LEA/Charter implemented the State Rating:______established ELD Standards that are derived Workshop announcements For a rating of ‘2’, list the change(s) suggested to be from the four domains of speaking, listening, implemented. reading, and writing and cover grades K-12? Workshop agendas For a rating of ‘1’, list the action(s) required to be taken to meet compliance requirements. . Has the LEA/Charter participated in State Workshop evaluations training and/or technical assistance for implementation of State ELD Standards? Sign-in sheets from workshops . Has the LEA/Charter disseminated the ELD Standards to content and ESL teachers, and Teacher reflections provided training and technical assistance on implementation of the standards? Professional Development plan on ELD Standards

Evidence of continued application of training

Pacing guide/documentation tool noting use of ELD Standards (WIDA Standards)

Evidence of participation in State training and/or technical assistance for implementation of State ELD Standards

Staff describes how the State ELD Standards have been implemented at the district level, including professional development provided to teachers and other staff, and curriculum development activities

Other relevant documents/resources noting evidence of ELD Standards implementation

Monitoring Indicators for Title III Title III Tier III (Onsite) Monitoring Instrument and Report 2016-2017 Assessment and Accountability

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1.2: English Language Proficiency (ELP) Assessment. [§3113 and §3116(b)(3)(A,B,C)] Guiding Questions Acceptable Evidence Compliance Indicator(s) Rating Questions: Possible Documentation from previous and current . Does the LEA/Charter have a process school year: Rating:______for verifying number and percentage W-APT score data For a rating of ‘2’, list the change(s) suggested to be of Title III EL students tested on ELP implemented. assessment and method for reporting ACCESS testing schedules For a rating of ‘1’, list the action(s) required to be taken to meet results to the State? compliance requirements. Documentation of LEA/Charter process . Describe the process for providing technical assistance to schools in your for identification and placement jurisdiction on how to administer the ELP assessment. Documentation of number of students not tested under state ELP Assessment by grade . What is the LEA’s/Charter’s process including reasons for non-assessment for initial identification and placement of EL students? Other relevant documents/resources

Monitoring Indicators for Title III

Title III Tier III (Onsite) Monitoring Instrument and Report 2016-2017 Assessment and Accountability (Included for discussion purposes ONLY)

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1.3: Annual Measurable Achievement Objectives (AMAOs). [§3122(a)(1)(2)(3) and §1111(b)(2)(B)] Guiding Questions Acceptable Evidence Compliance Indicator(s) Rating Questions: Possible Documentation: . How does the LEA/Charter ensure Rating:______students receive testing State content assessments data For a rating of ‘2’, list the change(s) suggested to be accommodations during the implemented. administration per testing Documentation of testing accommodations For a rating of ‘1’, list the action(s) required to be taken to documentation? (ELP for Students meet compliance requirements. with disabilities & EOG/EOC for Agendas from teacher meetings where AMAOs Students with disabilities and for EL students) and related issues are discussed  What criteria are being used to select instructional & assessment Agendas from principal meetings where AMAOs accommodations for individual and related issues are discussed students?  Are those accommodations documented Staff demonstrates an understanding of AMAOs in the student’s EL documentation?  Are accommodations that will be provided to students on state Minutes from meetings assessments being used routinely during classroom instruction? . Did the LEA/Charter meet all three Sign-in sheets from meetings AMAOs? Participation targets met? Analysis of AMAO data . Did the LEA/Charter follow its improvement plan related to two- Plan for improvement year /or four-year accountability provisions, if applicable? Other relevant documents/resources . LEA notification letters to parents regarding LEA/Charter has not met AMAOs, if applicable. . Does LEA staff demonstrate knowledge of subgrantee’s AMAO status, and any applicable sanctions for not meeting AMAOs for two or four consecutive years?

Monitoring Indicators for Title III Assessment and Accountability Title III Tier III (Onsite) Monitoring Instrument and Report 2016-2017 1.4: Data Collection and Reporting. [§3121 and §3123; EDGAR 34 CFR 76.731] Guiding Questions Acceptable Evidence Compliance Indicator(s) Rating Questions: Possible Documentation: . Has the LEA/Charter established and Rating:______implemented data collection methods Evidence that subgrantee has procedures in For a rating of ‘2’, list the change(s) suggested to be implemented. in order to provide complete and place to collect data on individual EL students from For a rating of ‘1’, list the action(s) required to be taken to meet accurate data to meet all Title III schools and report these data to the SEA compliance requirements. reporting requirements? Evidence that subgrantee tracks and reports data . How does the LEA/Charter ensure for MFELs that it tracks and reports academic content performance of students for Evidence that LEA/Charter reports EL testing two years after they exit a Title III language instruction educational accommodations in the state approved reporting program (MFELs)? tool

. What are challenges to maintaining Staff gives an overview of the process for accurate data? collecting and reporting ELP assessment data to the SEA, including how staff has addressed any discrepancies in these data, such as any student records that cannot be matched or any partial scores due to child absences

Data quality protocol

Other relevant documents/resources

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Instructional Support

2.1: This indicator does not apply to LEAs. 2.2: LEA Local Plans: Process, Collaboration, Assurances and Certification [§3116(a) and §3115(c); EDGAR 34 CFR 76.770] Guiding Questions Acceptable Evidence Compliance Indicator(s) Rating Questions: Possible Documentation: . Describe process used for subgrantee Rating:______submission and SEA review of LIEP Services Chart For a rating of ‘2’, list the change(s) suggested to be subgrantee local plan(s), and any plan implemented. amendments. Meeting notices of collaboration For a rating of ‘1’, list the action(s) required to be taken to meet compliance requirements. . Does the LEA’s/Charter’s submitted List of attendees plan contain the information, assurances and certification required in section 3116? Surveys from educators or parents

. Was the Title III Plan developed in Documentation of educator or parent consultation with teachers, committees (e.g., EL Task Force) researchers, school administrators, parents, and other education-related Documentation of collaborative planning community groups as appropriate?

. Is the language instructional program LEA’s/Charter’s approved plan containing differentiated to target the needs of the information required in section 3116 students such as long term ELs (LTELs), ELs with severely Feedback from the SEA regarding interrupted formal education (SIFE), and refugees? LEA’s/Charter’s local plan Copy of signed assurances and certification . Does the LEA/Charter use funds for required activities described in Section from subgrantees as outlined in sections 3115(c)? 3116(d) and 3116(c) .  Does the LIEP clearly demonstrate Certification process to ensure teacher appropriate criteria for determining the fluency in English (Rubric/checklist to assess type of instructional services provided oral fluency and written skills) to ELLs? Research Based Multi-tiered Professional

Title III Tier III (Onsite) Monitoring Instrument and Report 2016-2017 2.1: This indicator does not apply to LEAs. 2.2: LEA Local Plans: Process, Collaboration, Assurances and Certification [§3116(a) and §3115(c); EDGAR 34 CFR 76.770] Guiding Questions Acceptable Evidence Compliance Indicator(s) Rating  Does the LEA/Charter offer a high Development plan(s) targeting EL students quality LIEP based on scientifically- (ESL Department) based research? Research Based Multi-tiered Professional  Is the explanation of how technology Development plan(s) targeting EL students purchases contribute to the overall (District-wide) objective of providing a LIEP and how it is used to provide supplemental Detailed description of instructional services for EL students? programs in Local EL Plan or ESL handbook including specific activities targeting various EL subgroups: long term ELs (LTELs), ELs with severely interrupted formal education (SIFE), and refugees

ESL teacher schedules - elem., middle, high

Sample lesson plans – elem., middle, high

Local curriculum guides that include EL modifications

Other relevant documents/resources

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Monitoring Indicators for Title III Instructional Support

2.3: Activities by Agencies Experiencing Substantial Increases in Immigrant Children and Youth. This item is completed only by LEAs/Charters receiving PRC 111 funds for significant increase of immigrant students. [§§3114—3115 (e)(1)] Guiding Questions Acceptable Evidence Compliance Indicator(s) Rating Questions: Possible Documentation: . How does the LEA/Charter ensure that the Rating:______funds received for immigrant children and Evidence that activities conducted by For a rating of ‘2’, list the change(s) suggested to be implemented. youth are used to pay for activities outlined LEA/Charter are those outlined under section For a rating of ‘1’, list the action(s) required to be taken to under section 3115(e), which may include– 3115(e) A. Family literacy, parent outreach, meet compliance requirements. training activities for parents ESL staff demonstrates an understanding B. Support for personnel to provide that the immigrant grant program is distinct services to immigrant children and from the Title III formula grant program youth C. Tutorials, mentoring, academic or Records of the immigrant students being career counseling served by this grant D. Identification and acquisition of curricular materials, educational Copy of subgrantee plan approved by the software, technologies State E. Basic instruction services directly attributed to the presence of immigrant Other relevant documents/resources children and youth F. Other instruction services such as civics, intro to the educational system G. Activities offering comprehensive community services

. LEA/Charter staff describes the guidance and oversight received from the SEA regarding this grant as well as the types of activities offered and students served.

. How are immigrant students who are not EL served?

Title III Tier III (Onsite) Monitoring Instrument and Report 2016-2017 Monitoring Indicators for Title III Instructional Support

2.4: Private School Participation. [§9501] The LEA has consulted with nonpublic schools to identify their EL students and provides equitable participation of eligible students within the LEA’s school attendance area. [http://www2.ed.gov/policy/elsec/leg/esea02/pg111.html ] Guiding Questions Acceptable Evidence Compliance Indicator(s) Rating Questions: Possible Documentation: . How does LEA/Charter ensure that Rating:______private schools are sufficiently Documentation of sufficient notification of For a rating of ‘2’, list the change(s) suggested to be notified of choice to participate in opportunity to participate in Title III Services implemented. Title III services? For a rating of ‘1’, list the action(s) required to be taken to meet Documentation indicating that all private compliance requirements. . Is there a follow up procedure in schools within the LEA/Charter intended to/did not place to inform private schools that intend to participate in Title III do not attend the meeting? If Serving Private Schools: The number of eligible students participating in . How does the LEA/Charter ensure that EL students in participating each private school private schools are identified? If Serving Private Schools: Evidence of “timely and meaningful” . How does the LEA/Charter ensure consultation with appropriate private school that it complies with ESEA officials during all stages of service requirements regarding participation of EL students, their teachers, or Written policies and procedures for provision other educational personnel in of equitable services private schools in areas served by the subgrantee? General consultation timeline (before, during, after) . How does the LEA/Charter monitor services to private school students Subgrantee assessment of services provided and evaluate effectiveness of and how the results of the assessment are used to services? improve services

Documentation of needs assessment and

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Documentation of funding allocations

Monitoring Indicators for Title III Instructional Support

Title III Tier III (Onsite) Monitoring Instrument and Report 2016-2017 2.5: Parental Notification and Outreach. [§3302)] Guiding Questions Acceptable Evidence Compliance Indicator(s) / Rating Questions: Possible Documentation: . How does the LEA/Charter notify parents Rating:______of each child identified as EL within 30 Sample parent notification containing all For a rating of ‘2’, list the change(s) suggested to be Days (or 2 weeks for students enrolled after components required under section 3302(a) (1- implemented. the beginning of the school year) of the 8) For a rating of ‘1’, list the action(s) required to be taken to following: reason for identification, level of meet compliance requirements. English proficiency, method(s) of Parent notification forms in other instruction, how the program will meet the languages, as available needs of their child, how the program will help their child learn English and meet If applicable, samples of parental standards for graduation, specific exit requirements, rate of transition out of LIEP notifications regarding subgrantee failure to services, rate of graduation, parental rights meet Title III AMAOs (Discussion) to waive types of services in section 3302(a)? Evidence of implementation of an effective means of outreach to parents of EL children . How does the LEA/Charter comply with the (sample notices) parental notification provisions for failure to meet Title III AMAOs in section 3302(b)? Meeting notices

. How does the LEA/Charter ensure that the Meeting agendas notifications are in an understandable and uniform format and, to the extent Minutes from meetings practicable, in a language that the parent can understand? Sign-in sheets from meetings . How does the LEA/Charter ensure that it implements an effective means of outreach Questionnaires / Surveys to parents of EL children regarding their education as specified in section 3302(e)? Other relevant documents/resources

Monitoring Indicators for Title III

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Fiduciary

3.1: State Allocations and Carryover. This includes PRC 111 if the LEA/Charter receives funding for significant increase of immigrant students. [§3111(b); 20 USC 6821(b)(3); §3114(a)-(d); 3115] Guiding Questions Acceptable Evidence/ Compliance Indicators Compliance Indicator(s) / Rating

. Does the LEA/Charter have Possible Documentation: Rating:______documentation of the count of EL For a rating of ‘2’, list the change(s) suggested to be students? Budget including breakdown of funds implemented. For a rating of ‘1’, list the action(s) required to be taken to meet . For consortia: Is there a designated Grant award notification compliance requirements. fiscal agent? Notification of LEA’s/Charter’s Title III Immigrant subgrant, if applicable

Explanation of headcount procedure

Document of the count of EL students submitted to SEA

Other relevant documents/resources

Monitoring Indicators for Title III

Title III Tier III (Onsite) Monitoring Instrument and Report 2016-2017 Fiduciary

3.2: LEA Allocations and Carryover. This includes PRC 111 if the LEA/Charter receives funding for significant increase of immigrant students. [§3115] Guiding Questions Acceptable Evidence/ Compliance Indicators Compliance Indicator(s) / Rating

. Is there evidence that the LEA/Charter Possible Documentation: Rating:______has reserved no more than 2% of its For a rating of ‘2’, list the change(s) suggested to be allocation for administrative personnel? Budgets vs. expenditure printout implemented. (Purpose Code 6200)? For a rating of ‘1’, list the action(s) required to be taken to meet Documentation of BAAS submissions of compliance requirements. . Are there ‘overspent’ lines in the planning allocations and amendment with budget vs. expenditures printout? Note: carryover monitor expenditures because amendment needed if overspent is more Other relevant documents/resources than 10% at end of year to avoid audit finding.

. Is there evidence that the LEA/Charter has included both direct (administrative personnel) and indirect costs in the 2% reservation?

. Is there evidence that the LEA/Charter is implementing required activities?

. Is there evidence that the LEA/Charter is implementing activities that are authorized per approved Title III plan?

Monitoring Indicators for Title III

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Fiduciary 3.3: Maintenance of Effort: LEA Title III expenditures meet federal fiscal requirements, including time and effort, equipment records, detailed invoices, and documented internal controls of the LEA/Charter. This includes PRC 111 if the LEA/Charter receives funding for significant increase of immigrant students. [§1120A and §9021, EDGAR OMB Circular A-87] Guiding Questions Acceptable Evidence/ Compliance Indicators Compliance Indicator(s) Rating . How do LEA/Charter Title III Possible Documentation: expenditures meet federal fiscal requirement Rating:______(Supplement, Not Supplant)? Time and Effort forms - Personnel Activity For a rating of ‘2’, list the change(s) suggested to be implemented. Reports (PARs) . How does equipment benefit the Title III For a rating of ‘1’, list the action(s) required to be taken to meet compliance requirements. program? How it is used to provide services for Semi-annual certification forms EL students?

. Are equipment disposition procedures Job descriptions being followed correctly: request, response form? Payroll printout for PRC 104 (PRC111 if applicable) which shows 100% of pay for . Is the equipment inventoried at least once employees paid from these funds every two years? (Tagging & Tracking) Records of equipment inventory (for any . Does LEA/Charter have time and effort documentation for all salary codes/positions, equipment with a useful life greater than a year, except for substitutes? i.e., consumables); Tagging; and Tracking

. Do invoices clearly explain the “who, Records of equipment disposition what, when and where” funds of how funds were expended? Copies of Invoices for contracted services (object code 311)

List of payments of contracted services (object code 311) for PRC 104 (PRC 111 if applicable). Select a sample to review

A copy of the LEA’s/Charter’s policies/procedures for purchasing/procurement, fixed assets, and other internal control policies.

Title III Tier III (Onsite) Monitoring Instrument and Report 2016-2017 3.3: Maintenance of Effort: LEA Title III expenditures meet federal fiscal requirements, including time and effort, equipment records, detailed invoices, and documented internal controls of the LEA/Charter. This includes PRC 111 if the LEA/Charter receives funding for significant increase of immigrant students. [§1120A and §9021, EDGAR OMB Circular A-87] Guiding Questions Acceptable Evidence/ Compliance Indicators Compliance Indicator(s) Rating Other relevant documents/resources

Title III Tier III (Onsite) Monitoring Instrument and Report 2016-2017 NC DPI Title III Monitoring Plan Page 27 of 31 January, 2017

Monitoring Indicators for Title III Fiduciary

Title III Tier III (Onsite) Monitoring Instrument and Report 2016-2017 3.4: Supplement Not Supplant – General - The LEA only uses funds under Title III, Part A to supplement the level of Federal, State and local public funds that, in the absence of the Title III funds, would have been provided for programs for limited English proficient children and immigrant children and youth, including PRC 111 if the LEA/Charter receives funding for significant increase of immigrant students. [§3115(g)] Guiding Questions Acceptable Evidence Compliance Indicator(s) / Rating . What is the basic instructional program/service Possible Documentation: provided to all students (e.g., to meet Lau Rating:______requirements)? How are Title III funds providing Budgets and records of expenditures (e.g., For a rating of ‘2’, list the change(s) suggested to activities/services that are supplemental? Local, PRC 54, Title III) (LEA did not use Title III be implemented. funds to provide services that were provided with non-Title For a rating of ‘1’, list the action(s) required to be . What funds is the LEA/Charter using to provide III funds in the prior year Record verifies that funds have taken to meet compliance requirements. not supplanted other Federal, State, and local funds.) the basic language instruction educational program for EL students? Inventory records

. How has the LEA/Charter demonstrated that Evidence that the LEA has not reduced services provided with Title III funds are in addition to services that students would otherwise State or local funds expended to implement receive from State, local or other Federal funds? language instruction programs serving EL students based on the amount of Title III funds . What services is the LEA/Charter required by the LEA/Charter receives other Federal, State, local laws or regulations to provide? Contracts for appropriate Title III services

. How has the LEA/Charter demonstrated that it is List of all ESL staff with funding sources not using Title III funds to provide services that it for current and previous school years. (LEA is required to make available under State or local did not use Title III funds to provide services laws or other Federal laws? that were provided with non-Title III funds in the prior year.) . How has the LEA/Charter demonstrated that it is not using Title III funds to provide services that it Detailed job descriptions provided in the prior year with State, local or other Federal funds? LEA/Charter and school staff demonstrate an understanding of supplement not supplant requirement

Other relevant documents/resources

Title III Tier III (Onsite) Monitoring Instrument and Report 2016-2017 NC DPI Title III Monitoring Plan Page 29 of 31 January, 2017

Monitoring Indicators for Title III Fiduciary

Title III Tier III (Onsite) Monitoring Instrument and Report 2016-2017 3.4A: Supplement Not Supplant – Assessment. [§1111(b)(7) and §3113(b)(2)] Guiding Questions Acceptable Evidence Compliance Indicator(s) / Rating Use of Funds to Administer ELP Assessments Possible Documentation . What funds has the LEA/Charter used to Rating:______identify EL students who may need Letters/memos For a rating of ‘2’, list the change(s) suggested to language services, including the be implemented. development of ELP screening or Documentation of BAAS submission For a rating of ‘1’, list the action(s) required to be placement assessments? taken to meet compliance requirements.

Documentation of Assessment Funding . What funds does the LEA/Charter use to pay for the costs of administration, (including positions and job descriptions of scoring or reporting of ELP assessment, staff involved in testing) and materials or equipment related to the administration of annual ELP Documentation of ELP testing plan assessments? Documentation verifying that no Title III . How are personnel administering the ELP funds are expended for the purpose of state assessment documented? testing

. What funding source is used for Other relevant documents/resources personnel?

. What funds does an LEA/Charter use to develop and administer assessments to identify EL students and place them in basic language programs?

Title III Tier III (Onsite) Monitoring Instrument and Report 2016-2017 NC DPI Title III Monitoring Plan Page 31 of 31 January, 2017

Summary for Exit Conference This may include or be in addition to monitoring findings as indicated by a rating of 1 or 2.

Title III Program Strengths

Title III Program Opportunities for Improvement

Title III Tier III (Onsite) Monitoring Instrument and Report 2016-2017