Roles AEL Program Specialists Technical Assistance TEAMS support Programmatic Guidance AEL Contract Managers Day to day management Role is to support grantees in understanding contract compliance Regulatory Integrity Division (RID) Role is to monitor AEL Programs (program and fiscal compliance) Monitor point in time On-site visits to AEL Programs including subrecipients Transition Period AEL Contract Specialist will assist and support RID during transition.
Purpose of Monitoring Assess risk and ensure compliance Assist programs in management of their contract as well as their subcontracts Advise the Agency on Grantee compliance with all state and federal operating requirements and program performance
Standard Operating Procedure Standard Operating Procedures are important during a monitoring. This is what the monitor will use to ensure policies comply with AEL regulations and that Grantees are adhering to their own policies and procedures. All SOPs must include procedures for: Recruitment Intake and Screening Assessment and Placement Orientation Data Management and Documentation AEL Instruction
Programmatic Items to be Reviewed Staff Qualifications Collaboration with Community Partners Instructional Facilities Recruitment Intake and Screening Assessment and Placement Orientation Data Management and Documentation Instructional Delivery AEL Instruction Distance Learning Financial Literacy Transitions Class Career Pathways Family Literacy Professional Development Performance Outcomes and Outputs
Staff Qualifications Employee Files will be reviewed on-site to ensure: Information in file aligns with TEAMS All staff meet degree/certification requirements PD exemptions have documentation
Collaboration with Community Partners All subcontracts are in place and being monitored in line with the sub-monitoring plan (3.4.3, 3.4.5) Quarterly Sub-Monitoring Reports are being completed (3.4.6) Collaborating Agencies in TEAMS match any MOUs or Agreements Review referral forms/procedures for TANF MOU between Workforce Board and Grantee including referral language
Instructional Facilities Facilities will be inspected to determine if they are: ADA Compliant Near public transportation Have free easy access parking Conducive to learning, have adult appropriate furniture Have security or restricted access provided at night or on weekends
Recruitment Consistent recruitment messaging Multi-lingual recruitment material Collaborative recruitment strategy Plan for waitlisted students Recruit and serve at a minimum the number of students required to meet enrollment target
Intake and Screening Intake is structured and based on the needs of Eligible Population to be served Referral Process for ineligible students Student files will be pulled to verify: A signed release of information form is included (must address FERPA) All TANF and other eligibility documents are copied and on file 16 & 17 year old students have appropriate documentation Areas that require further assessment and review are identified All students have a student enrollment form completed Baseline and Progress assessments are in file
Assessment and Placement TEAMS will be used to verify: Assessments in student files align with TEAMS Hours required prior to assessment were completed Exception percent not exceeded Review of Distance Learning Ratio of Proxy Hours to Direct Teacher of record in TEAMS Process to collect Proxy Hours Progress follow-ups
Orientation The orientation process will be reviewed to determine if: Orientation includes program and collaborating organization services, attendance policy, class participation, etc. (per 184.108.40.206 of RFP) All students have access to program information All students are set up with an ITE Plan to include long-term and short-term goal setting. Instruction in student success skills was provided. Range in length of orientation is 3-12 hours
Data Management & Documentation TEAMS reports that may be used: Participants tested with less than minimum hours of instruction Staff roster and staff Development (to confirm staff development requirements are met and that certifications and degrees/transcripts mentioned in TEAMS are on file in HR) Participant roster (for proxy to direct hour proportion) Class Sign-in Sheets and Attendance Reports will be reviewed to ensure alignment in TEAMS. TEAMS data must be entered, validated and signed-off on quarterly. Monitor will review what training processes are in place to verify accuracy of data entry Verify all instructors have access and use testing data for instructional and post-test services Verify that sites listed in TEAMS match sites listed on 4.6 Program Design
AEL Instruction The following will be reviewed to verify compliance: All programs provide: ABE/ASE Instruction Adult Secondary Education and Certificate of High School Equivalency Testing Services ESL Instruction Low-Literacy Instruction EL/Civics Instruction Career and College Planning Lesson Plans comply with Content Standards The Instructional Delivery meets requirements of section 3.1.9 of RFP
AEL Instruction Scope & Intensity Review class schedule in TEAMS Verify services were offered throughout the year Program intensity sufficient for students to make progress Access to services at different times and places Identify any variations in 4.6 Program Design
AEL Instruction Curriculum A sample of staff and students will be interviewed to determine that statewide initiatives are implemented to include: Goal Setting Content Standards ICA Implementation Student Persistence Issues Value of Professional Development
Distance Learning Monitors will verify: Distance Learning instruction meets AEL Distance Learning Policy Requirements There is a developed and maintained Distance Learning Plan in place All Distance Learning administrators have access to training before offering Distance Learning Services Distance Learning plan includes all strategies listed in section 220.127.116.11 in the RFP Financial Literacy Monitors will verify: Financial Literacy is coordinated with other entities in the Workforce Area.
Transitions Classes Monitors will verify: Transitions Classes are implemented and offer Students Career and College Planning Academic Preparation Transition Services with intent of student enrollment postsecondary education or training in the upcoming Program Year.
Career Pathways Monitors will verify a Career Pathways program has been implemented (or the status): Target Populations match those in section 18.104.22.168 of the RFP At least one of the following Career Pathways Programs was implemented: IET Workplace Literacy or Work-Based Projects in collaboration with employers Services for internationally trained ESL students. Family Literacy Monitors will verify: Family Literacy Program is in place and includes: Incorporation of parent literacy training Instruction to help parents partner with their children and school personnel
Professional Development Files will be pulled to ensure: Pre/In-Service Hour requirements are met Required number of PD Hours are met Trainings in TEAMS matches Documentation Review Sign-in Sheets for Trainings Review Agendas/Handouts from PD Events Review Distance Learning 101 Documentation Review Staff Meeting Documentation Detailed Project Plan for Professional Development is in place (3.4.1) PD Plan for Continuous Improvement (3.4.12) is in place
Professional Development Monitors will also be looking to see that: Tier 1 Training has been provided by The Grantee Tier 2 Training has been coordinated and planned There has been collaboration with the Professional Development Center Quarterly entry of PD hours for each staff member into TEAMS Program Directors have attended a least two grants administration meetings coordinated by The Agency
Performance Outcomes and Outputs Monitors will review contract deliverables and documentation in TEAMS: Detailed Project Plan (3.4.1) Student Enrollment (3.4.8) Expenditures Quarterly Narratives (3.4.11) Performance Measures (3.4.15) Monitors will determine: Grantees are progressing in line with Federal & State Performance Targets
Common Programmatic Findings Missing staff credentials Translations for foreign credentials Missing signatures on PD Training Sign-In Sheets Dually employed teachers PD documentation missing Collaborating Agencies not up-to-date in TEAMS MOUs out-of-date Unallowable Costs
Things to Consider Record Retention Records are required to be kept for 3 years Monitors will need access to all records for the last Program Year Filing System is conducive to monitoring Ensure local policy and procedure is not more stringent than AEFLA regulations require. TEAMS data and file documentation match