SEA

• What is the State’s process for advertising, reviewing, and awarding new grants?
• How does the Committee of Practitioners operate?

LEA

• Describe the application process. Was the RFP clear and easy to respond to? Did you receive any technical assistance? Did you receive feedback on your proposal?

Documentation

• Request for proposals (RFPs) or requests for applications (RFAs).
• Selection criteria and priorities if not included in RFP or RFA.
• Sample(s) of funded applications.
• State rules, written policy, or guidance about the Even Start subgrant competition.
• Membership of Committee of Practitioners.
• Peer review panel(s) composition.

Interview

• Staff evidence understanding of application and subgrant award requirements, including eligible entities, application content, matching, selection criteria and priorities, and award process for new and continuation awards.
• Staff explains how SEA uses a Committee of Practitioners during subgrant award process.

Documentation

• Comments received from review panel.

Interview

• Staff describes the application process.

SEA

• What do you do if you receive an application that does not include all of the required components?

Documentation

• Application form – that includes (1) information on qualified personnel; (2) description of program objectives and consistency with State indicators of program quality; (3) description of activities including the program elements; (4) description of population served; (5) description of collaborative efforts; (6) statement of methods that will be used to ensure project will serve families most in need, individuals with special needs, and a retention plan; (7) description of how the plan is integrated with other programs; (8) information on local evaluation and how data will be used for improvement.

Interview

• Staff describes the process for developing the application and the role of the Committee of Practitioners in developing the application

N/A

SEA

• How does the SEA determine if projects are making sufficient progress?
• How aregrantees informed about policies for discontinuing grants?

LEA

• What standards do you have to meet in order to achieve sufficient progress?

Documentation

• Review form or protocol used by SEA for making continuation awards
• Description of process used by SEA to make continuation awards
• Names of projects determined to be making insufficient progress and rationale for this justification
• Evidence of technical assistance provided to projects not making sufficient progress
• Hearing record for projects discontinued

Interview

• Staff discusses the process used to review the annual progress of subgrantees
• Staff describes how the State indicators of program quality are used to determine sufficient progress
• Staff discusses the process used to provide technical assistance and then, if necessary, discontinue projects not making sufficient progress

Documentation

• Most recent Annual report to SEA

Interview

• Staff discusses the process used to review their progress
• Staff demonstrates understanding of the standard used to determine sufficient progress

• How were the indicators developed? What changes have been made to the indicators since they were developed?
• Describe the current annual cycle of monitoring.
• How does the State follow up on the recommendations and corrective action steps it makes?

• What is your understanding of how the SEA monitors?
• How useful are the indicators, in any capacity, to your program?
• How has the State followed up with recommendations or corrective actions made to your project?

Documentation

• The performance indicators developed by the SEA
• Monitoring instrument or protocol, based on State indicators of program quality
• Established cycle of monitoring, at least annually
• State evaluation, if any, incorporating Indicators of Program Quality
• Evidence (i.e., meeting, agendas, communications with projects) about improvements needed based on performance on the Indicators of Program Quality

Interview

• Staff can discuss how the indicators were developed and what changes have been made in the indicators since they were first developed
• Staff describes monitoring process, including the monitoring schedule, use of the State indicators of program quality, on-site procedures, data review, and the reporting and corrective action processes

Documentation

• Copy of monitoring report or letter from SEA
• Evidence that corrective action or recommendation has been addressed

Interview

• Staff knows about the indicators of program quality and how they are used
• Staff discusses the monitoring visit and the corrective actions or recommendations contained in the report or letter

SEA

• How does the State support local evaluation efforts?
• How does the State review and respond to each project’s local evaluation?

LEA

• How do project staff and the local project evaluator work together throughout the year?
• How do staff members use evaluation information to inform instructional practices?

Documentation

• Sample local evaluation
• Training or guidance provided to projects on effective local evaluation.
• Written feedback to projects concerning local evaluation.

Interview

• Staff discusses how evaluations are tied to the State performance indicators
• Staff discusses how evaluation data is used for continuous improvement

Documentation

• Local evaluation report
• Evidence that data was used for continuous program improvement

Interview

• Staff discusses how evaluation data is used for continuous program improvement

SEA

• How are projects expected to report data to the State?
• What guidance and technical assistance has the State provided to ensure consistent, reliable data collection from projects?

LEA

• What are the data collection requirements of the State?
• What support does the State provide to help projects collect the data?

Documentation

• State rules, written policy, or guidance about assessment requirements for local projects

Interview

• Staff discusses how data is collected from local projects
• Staff discusses which assessments are required of local projects

Documentation

• Evidence of assessment results

Interview

• Staff discusses data collection requirements of the SEA
• Staff discusses how data is collected and reported to the SEA.

SEA

• How does the SEA ensure compliance with Even Start requirements?

Documentation

• Compliance monitoring plan and procedures
• Recordkeeping procedures and guidance
• Reporting requirements and guidance

Interview

• Staff is knowledgeable about how the SEA administers or supervises the administration of Even Start
• Staff discusses how the SEA ensures compliance with program requirements.
• Staff evidences understanding of statutory local program requirements (including uses of funds, participant eligibility, and required program elements), monitoring requirements, State monitoring procedures, and State indicators of program quality

Documentation

• Records of subgrant funds, how the project uses those funds, match, and total project cost.

Interview

• Staff discusses and is knowledgeable about the State monitoring plan and requirements.
• Staff discusses and is knowledgeable about recordkeeping requirements.

SEA

• Describe the State’s plan for providing technical assistance to local projects.
• How do you determine the training needs of each of your projects?

LEA

• How are you informed about technical assistance and training opportunities?

Documentation

• Record of subgrant, contract, or cooperative agreement, if used
• Record of allocation of funds for technical assistance
• Description and summary of technical assistance

Interview

• Staff evidences knowledge of the specific training needs of local Even Start programs.

Documentation

• Certificates of attendance/completion

Interview

• Project staff describes technical assistance provided by the State, including whether the training was beneficial and whether the training met their needs.

LEA

• How do you determine a family’s eligibility for your program?

Documentation

• List of families in program with documentation of how each meets the eligibility criteria specified in Sec. 1236 of the statute.

Interview

• Project staff can describe the Federal eligibility requirements and how the project ensures that all participating families meet those requirements.
• Project staff can describe how their project determines whether participating families are low-income and in need of literacy services.

Element #1 Recruitment of Most in Need

LEA

• What do you understand the term “families most-in-need” to mean? (Staff at all levels should be able to answer this)
• How does your project recruit families most in need?

N/A

Documentation

• Criteria for determining which eligible families are most-in-need
• Documentation of how participating families meet the most-in-need criteria

Interview

• Project staff discusses how their project recruits those families most-in-need.

Element #2 Screening and Preparation of Parents

• Once a family is identified as eligible to receive Even Start services, what are your screening procedures to determine the literacy achievement level of each family member?

N/A

• Participant intake forms
• Pre-test data

Interview

• Project staff describes how they determine the literacy needs of new families.
• Project staff describes how participating families are prepared to become full participants in the program.

Element #3 Accommodation and Support Services

LEA

• How does your project provide flexible services to meet the needs of participants?
• How does your project work with other community organizations to offer support services?

N/A

Documentation

• Record of program activities showing flexible times.
• Evidence of support services offered to families.

Interview

• Project staff describes how they provide support services, flexible scheduling, and transportation if needed, to ensure that participants can attend regularly.

SEA

• How do you ensure that projects are holding families accountable for participating in all four areas?

LEA

• How does the State enforce the requirement that families participate in all four areas?
• How does your project enforce this requirement?

Documentation

• RFP asks applicants to describe how the project will deliver services in all four core instructional areas
• Monitoring process includes review of participation data

Interview

• Staff can describe how the SEA ensures that local projects are holding participants accountable for participating in all four areas.

Documentation

• Record of participation rates in each core instructional area
• A member of each family is participating in activities in each of the four core instructional areas
• Policy for removing families with incomplete participation

Interview

• Project staff can describe their strategy to ensure participation in all four areas.
• Project staff can describe the consequences for participants who do not participate in all areas.

LEA

• Describe the research-based foundation or concept of the instructional programs you use.

See page 21 of the Even Start guidance for further description of SBRR-based instructional programs.

Documentation

• Evidence of State training and technical assistance to projects about scientifically based reading research techniques and resources (ie, training agendas, guidance, communications), for adults and children (including preschool age children).

Documentation

• Evidence of the scientific research that supports instructional programs
• Evidence that project uses the applicable statutory definition of scientifically based reading research (Section 1208, ESEA)

Interview

• Interview with local staff reflects selection and understanding of instructional strategies, for children and adults, based on scientific research

SEA

• How do you determine how the allocation for technical assistance will be spent?

Documentation

• Record of allocations for State administration and technical assistance that are within statutory maximums
• Record of subgrant amounts
• Technical assistance contracts, subgrants, or cooperative agreements
• Complete, current, written allocation procedures
• Record of any reallocation and carryover activity

Interview

• Staff demonstrate understanding of allocation requirements, State administration, technical assistance, and subgrant award amounts

SEA

• How do you ensure that local projects are meeting matching requirements?
• How do you ensure that local projects are not using funds for unallowable costs, such as indirect costs or construction?

Documentation

• Guidance provided to projects
• Record of subgrant amounts (see 3.1), funded year of each subgrant, and total annual matching contributions for each subgrant
• Record of any SEA waivers of matching cost requirement
• Evidence preventing conflict of interest issues (i.e. contract award policies, evidence of how contractors were selected)
• Reports submitted by local projects on expenditures and matching funds.

Interview

• Staff evidence understanding of matching requirement and minimum subgrant size
• Staff evidence understanding of unallowable project costs, such as indirect costs and construction
• Staff evidence understanding of Federal and State conflict of interest policies

SEA

• How do you ensure compliance with Maintenance of Effort (MOE)?

Documentation

• Maintenance of effort report comparing fiscal effort per student for eligible entity LEA-partners in preceding year to second preceding year
• Evidence of reduction in subgrant award for any LEA that failed to maintain effort, or copy of waiver from SEA

Interview

• Staff evidences understanding of funds to be included and excluded when determining maintenance of effort
• Staff understands an LEA’s Even Start subgrant must be reduced by the percentage short of 90%
• Staff understands maintenance of effort can be determined by using fiscal effort per student or aggregate expenditures

SEA

• How do you ensure that local projects consult with the appropriate private school officials about providing Even Start services to eligible students? Note: Eligible students are school-age children enrolled in private schools who receive Title I services.)

Documentation

• SEA policies and procedures for providing services to Even Start eligible elementary and secondary school children attending private schools.
• Guidance to Even Start grantees on provision of services to eligible private school children.
• SEA complaint procedures for private schools.

Interview

• Staff evidences understanding of budgeting, allocation of funds for eligible private school children.
• Staff demonstrates correct understanding of consultation regarding equitable services.

Documentation

• Evidence of subgrantee consultation with private schools and copies of subgrantee budgets that document appropriate set asides.
• Agendas or minutes of meetings held with private school officials.

Interview

• Staff demonstrates correct understanding of consultation regarding equitable services.
• Staff interviews representatives of the private school community in the area to be served by the local Even Start project.
• Staff demonstrates understanding that participation of private school students generally is considered to be equitable if the LEA:
  • spends an equal amount of funds to serve similar public and private school students, their teachers, and other educational personnel, taking into account the number and education needs of those students, teachers, and other educational personnel;
  • provides services and benefits that are equitable in comparison to the services and benefits provided to public school students, their teachers, and other educational personnel;
  • addresses and assesses the specific needs and educational progress of public and private school students, their teachers, and educational personnel on a comparable basis; (4) provides, in the aggregate, approximately the same amount of services to students, their teachers, and educational personnel with similar needs;
  • provides both groups of students, their teachers, and other educational personnel equal opportunities to participate in program activities;
  • provides private school students, their teachers, and other personnel with an opportunity to participate that provides reasonable promise of participating private school students meeting challenging academic standards; and
  • provides different benefits and services to private school students, their teachers, and other educational personnel from those provided to public school students, their teachers, and other educational personnel if their needs are different. (See 34 CFR 299.7)

SEA

• Please describe the complaint resolution and hearing procedures you have in place.
• Describe a complaint you have received and how the situation was resolved.

Documentation

• Written State complaint policy and procedures for disapproval of subgrant applications, non-continuation of subgrants, audit findings ordering the repayment of funds, termination of assistance, and resolving other complaints
• State hearing procedures
• Procedures for tracking complaint process
• Evidence that complaints are addressed, investigated and resolved in a timely manner and by appropriate hearings as required

Interview

• Staff evidences an awareness of Even Start hearing requirements
• Staff demonstrates understanding of complaint policies and procedures
• Staff discusses guidance provided to Even Start applicants and subgrantees regarding complaint policies and procedures

• Inform staff, administration, and partners that a visit is to occur.
• Print the most recent monitoring instrument for all staff members.
• Meet with staff, including staff provided by partners, to review the monitoring indicators. Identify any gaps in knowledge and address them before the visit.
• Provide staff development so that all staff members understand and can discuss all components of the program.
• Assign tasks such as verification that all student files are up-to-date, verification that sign-in sheets and lesson plans are accurate and available for every component, verification there is proof of assessments for all students, assembly of documentation for expenditures (federal and cost share.)
• Provide staff development so that all instructional staff can explain the scientific basis for the instructional activities they use in the classroom. Instructional staff should also have the ability to discuss the scope and sequence for the chosen curricula.
• Review program reports from TESPIRS and TEAMS. Review the latest independent evaluation. Assess your progress in addressing program outcomes based on the most recent reports.
• Invite your evaluator to participate in the visit. You may also wish to invite your evaluator to participate in preparations for the visit.

• Continue staff development
• Work with the business office to obtain hard copies of ledgers and payroll details. Although most of this information is available for online viewing, a monitor needs hard copies.
• Work with your collaborators to verify that you have proof of cost share.
• Obtain hard copies of proof that staff members meet the staff qualifications requirements.
• Work with staff to decide how to best display the required documentation. That might be in binders, organized by Indicator number. Other possibilities are use of expandable folders or boxes. Documentation should be assembled in one place in an organized fashion.

• Assemble documentation in the manner identified above.
• Continue staff development.

• Conduct a practice visit, including review of documentation and staff interviews.
• Identify areas that need additional documentation or staff development and address them.
• Draft the schedule for the day of the visit. Provide it to your administration, partners and evaluator.

• Finalize the schedule and provide it to your administration, partners and evaluator.
• Clearly demonstrate your confidence to your staff. They need to know that they are well prepared and that you are confident in their abilities.
• Relax! A visit is your chance to show off the work that you do.