The Power of Monitoring: Building Strengths While Ensuring Compliance

Greta Colombi and Simon Gonsoulin, NDTAC

Monitoring perspective

Juvenile justice reform—shift from a correctional/punitive model to a rehabilitative model

Monitoring approach—shift from a “gotcha” model to a supportive model

Subgrantee monitoring is an area where coordinators consistently struggle in administering their programs

2

Trends

Ensuring compliance

Monitoring purpose and requirements

Monitoring process

Building strengths

Role of technical assistance (TA) in monitoring

3

Agenda

Better understand monitoring expectations

Consider how you can improve your monitoring processes and capacity to monitor

Consider how you can provide TA while monitoring subgrantees

4

Outcomes

Ensure programs are meeting program requirements

Federal monitoring Student Achievement and School Accountability (SASA) programs office monitors State education agencies (SEAs)

Subgrantee monitoring SEAs monitor State agencies (SAs) and local education agencies (LEAs)

Facility/program monitoring SAs and LEAs monitor facilities and programs

Gather data to target TA efforts

Strengthen reviewer–reviewee partnerships5

Purpose of Monitoring

Federal Monitoring SEAs reviewed on average every 2 to 3 years, based on

indicators included in SASA Monitoring Plan for Formula Grant Programs (Indicator 1.1)

Subgrantee Monitoring SAs and LEAs receive onsite review on average every 3 years;

basic expectations included in Indicator 1.1 of SASA plan

Facility/Program Monitoring SEA specifies how often facilities and programs are reviewed

and their expectations for those reviews

6

Monitoring Process

1. Pre-Review SASA office notifies State Title I director SASA Title I, Part D, program manager contacts State Part D

coordinator SASA Title I, Part D, program manager coordinates with the

State Part D coordinator to discuss what data/information is

needed and logistics State Part D coordinator coordinates with other SEA staff and

subgrantees to prepare information and logistics

7

Federal Monitoring Process

2. Review SASA reviewer reviews documents SASA reviewer interviews SEA, SAs, and sample of LEAs if

the SEA administers Subpart 2

3. Post-Review SASA finalizes report SEAs submit a corrective action plan, including a timeline if

they receive findings

8

Federal Monitoring Process (cont.)

1. Monitoring Process Development/Update

Develop/update schedule for onsite and offsite monitoring of both Subpart 1 and Subpart 2 subgrantees

Develop/update Subpart 1 and Subpart 2 protocols and tools for onsite and offsite monitoring

Develop corrective action plan template, including a timeline

9

Subgrantee Monitoring Process

2. Pre-Review

Notify subgrantees at start of fiscal year

Coordinate review with subgrantees

Communicate expectations Provide protocols and tools Describe what data/information is needed Coordinate logistics with subgrantees Tell subgrantees to work with facilities/programs to

prepare information and logistics

10

Subgrantee Monitoring Process (cont.)

3. Review

Conduct offsite review

Review documents (e.g., desktop review)

Administer self-assessment

Conduct onsite review

Review documents

Interview SAs, LEAs (if SEA administers Subpart 2), and facilities

Do onsite reviews at facilities (e.g., classroom observations)

11

Subgrantee Monitoring Process (cont.)

4. Post-Review

Finalize report based on review

Require subgrantees to submit a corrective action plan that includes a timeline if they received findings

Approve corrective action plan

Monitor subgrantee completion of corrective actions according to each plan

Keep monitoring report and all corrective action plan information and communications on file

12

Subgrantee Monitoring Process (cont.)

Coordinators report positive monitoring experiences

Federal monitoring

Was informative

Subgrantee monitoring

Get out and see what is happening on the ground

Better understand challenges

13

Monitoring Experiences

Reasons TA and monitoring go together

Can gather additional data besides requirements to inform TA

Because funds are limited, monitoring is an opportunity to meet in person to provide TA proactively and reactively

14

Role of TA in Monitoring

Although monitoring must be separate from the provision of TA to be objective, there are moments when it is possible

Pre-review: Proactively resolve issues while preparing for the review

During the review: Discuss how to resolve identified issues during review (e.g., recommendations) and exit conference (e.g., requirements)

Post-review: Discuss how to resolve identified issues in monitoring report and followup meeting(s) if necessary

15

Role of TA in Monitoring (cont.)

You need to know what to look for and what to do about what you see

As a result, you need an understanding of:

Title I, Part D

The population of youth who are neglected, delinquent, and atrisk (N or D)

The N and D systems

Your SEA

Education

Most coordinators know many of those areas, but not all 16

What Coordinators Need To Monitor & Provide TA

Understanding of Title I, Part D Title I, Part D, State Coordinator’s Orientation Handbook Title I, Part D, Regulations, Statute, Nonregulatory Guidance SASA Plan for Monitoring Formula Grant Programs NDTAC Guide to Meeting Compliance Requirements for the

Title I, Part D, Program

Understanding of the population of youth who are N or D 2009 NDTAC conference materials 2010 NDTAC conference keynote Office of Juvenile Justice and Delinquency Prevention (OJJDP)

publications

17

Resources for Coordinators

Understanding of the N and D systems OJJDP publications National Center for Juvenile Justice State profiles NDTAC publications (specific administrative challenges)

Understanding of your SEA State consolidated application/State Plan State-specific legislation Colleagues

Understanding of education National Content Centers National Center on Response to Intervention (RTI) National Center on Student Progress Monitoring 18

Resources for Coordinators (cont.)

It is critical to put a monitoring and TA process in place

In addition to monitoring specific requirements, protocols can include the monitoring of other issues that may be of interest or timely

Coordinators also can take innovative approaches in monitoring and providing TA

With knowledge and processes in place, coordinators can build on strengths to make program improvements and improve student outcomes

19

Conclusion

Related to Monitoring Process Innovative Approaches to Offsite Monitoring and

TA Provision Federal Monitoring Update

Related to Monitoring/TA Content Establishing a Social and Behavioral Context for Academic

Learning Focusing on Significant Issues for Reentry and Family

Engagement Meeting the Educational Needs of Diverse Learners

20

Next Concurrent Sessions