Transcription
AlabamaState Department of EducationLEA COMPLIANCE REVIEWSelf-Assessment2012-2013School year: 2012-2013
TABLE OF CONTENTSSupporting Programs and Financial Management . 1-4Foundation Program . 1School Facilities . 1Certification . 1-2Basic Accounting Procedures . 2-4Professional Education Personnel Evaluation Program (PEPE) EDUCATEAlabama . 5-6LEA Plan . 5Training ALSDE or LEA . 5-6Evaluations . 6-7Professional Development . 6Federal Programs . 7-57General Cost Cutting Provisions . 7-10Title I, Part A-Improving Basic Programs Operated by LEAs . 11-15Title I, Part A-Schoolwide Programs . 15-17Title I, Part A-Targeted Assistance Programs . 18-19Title I, Part A-LEA Identified for Improvement . 20Title I, Part A-School Improvement (Section 1116) . 20-24Title I, Part A-School Improvement (SIG) . 24-30Title I, Part A-Parental Involvement . 31-33Title I, Part A-Qualifications for Teachers and Paraprofessionals . 33-35Title I, Part C-Migrant Education Program . 35-37Title I, Part D-Education of Neglected/Delinquent Children . 37-40Participation of Children Enrolled in Private Schools. 40-42Title II, Part A-Preparing, Training, and Recruiting High Quality Teachersand Principals . 42-44Title III, Part C-Language Instruction for Limited English Proficientand Immigrant Students. 44-49Title IV, Part B-21st Century Community Learning . 49-53Title VI, Rural and Low-Income School Program . 53-54Title VII, Part A-Indian Education . 54Title X, Part C-Homeless Education . 54-57
Instruction . 58-65Curriculum and Instruction. 58-60Professional Development Plans . 60State Textbook Law . 60-62Student Assessment . 62-64Library Media Program . 64-65Career Technical Education . 66-68Administrative Support/Instruction . 66Eligibility . 66-67Equipment (Inventory) . 67-68Prevention and Support . 69-76Instruction-Accountability Reports to the Public . 69Discipline and Behavior Policies. 69Dropout Prevention . 70-71Drug Free-Learning Environments . 71-72State Board of Education Mandatory Safety Regulations, Policies & Actions . 72-73Science Laboratory Safety . 73-74Comprehensive Counseling and Guidance Model for Alabama Public Schools, Bulletin 2003, No. 89 . 75-76Alternative Education Programs . 76Technology . 77-90Technology Plan . 77-79Technology Integration . 79-80Access to Technology . 80EETT Formula Grant . 80-82EETT Competitive Grant . 82-85ARRA Formula Grant . 85-87ARRA Competitive Grant. 87-90Transportation . 91-93State Transportation. 91-93
SYSTEM:I.ADMINISTRATION & FINANCEA. Foundation Program – SUPPORTING PROGRAMS/FINANCIAL MANAGEMENTSELF-ASSESSMENT AUDIT1.YNN/ATAAre instructional support units assigned asearned in the Foundation Program?Ala. Admin. Code r. 290-020-010-.012.Do teacher assistants work under thesupervision of certified teachers (without highschool diploma, limited to two yearsemployment)?Title I Sec. 1119(1)(B)(1)3.4.1.2.3.Have teachers, parents, and administrators hadinput into the budgeting of technology, libraryenhancement and professional developmentfunds?Does the board have a policy regarding theproviders for all budget inputs?a. Is the policy being followed?B. School Facilities – SUPPORTINGA Five-Year Capital Plan is on file andavailable for review.A current Facilities Assessment report isavailable for review.Are all schools approved as attendance centers?PROGRAMS/FINANCIAL MANAGEMENTAla. Admin. Code r. 290-2-2-.034.Do all schools meet state site requirements?Ala. Admin. Code r. 290-2-2-.04C. Certification – SUPPORTING PROGRAMS/FINANCIAL1. Does each person employed as asuperintendent, assistant superintendent,supervisor, principal, teacher, or attendanceofficer hold a valid certificate issued by theState Superintendent of Education? Authority:Section 16-23-1, Code of Alabama 1975MANAGEMENT1DOCUMENTS THAT MAY SUPPORT COMPLIANCE
YNN/ATADOCUMENTS THAT MAY SUPPORT COMPLIANCE2. Does each superintendent, assistantsuperintendent, supervisor, teacher, librarymedia specialist, counselor, or otherprofessional employee hold proper certificationfor the position/subject(s) to which theemployee is assigned?3. Is each teacher of a core academic subjecthighly qualified for his/her position?D. Basic Accounting Procedures – FINANCIAL MANAGEMENT1.Are instructional support units assigned asearned in the Foundation Program or has thedistrict exercised the appropriate waiverrequests?Ala. Admin. Code r. 290-020-010-.012.Have teachers, parents, and administrators hadinput into the budgeting of technology, libraryenhancement and professional developmentfunds?3. Does the board have a policy regarding theproviders for all budget inputs?b. Is the policy being followed?4. Are each of the bank statements beingreconciled to the general ledger monthly?5. If any adjustments are needed in bankreconciliation, are they being adequatelyexplained and documented?6. Are all bank reconciliations being reviewed bythe CSFO or other designated personnel?7. Review bank statements, computer reconciliation reports, trialbalance for a sample of months Ask to see any adjustments, and the explanations (documented) forany adjustments Review bank reconciliations and check for review signature. Ifsomeone other than custodian of funds/CSFO is preparing the bankreconciliation, then the CSFO may do review. If CSFO is preparingthe bank reconciliation, the Superintendent should be reviewing thereconciliations Review trial balance. Cash balances should tie back to individualbank statements and bank reconciliationsMcAleer software users should have a report that indicates whethermagnetic files from the local schools is being loadedIs magnetic media, reporting financialinformation from each school, being receivedfrom each of the schools monthly and beingincorporated into the system’s books on amonthly basis?2
YNN/ATA8. Are monthly financial statements and cashbalance/bank reconcilements being presented tothe Local School Board as an agenda item atthe monthly board meetings?9. Is the Fixed Asset Inventory being maintainedand being adjusted to actual?10. Are monthly financial reports being sent to ormade available to each of the programcoordinators for review and programcorrections, if any?11. Are payroll withholdings and reports beingfiled with the IRS, ALABAMADEPARTMENT OF REVENUE, RSA, DIRand PEEHIP office in a timely manner and arethey up-to-date?12. Are all journal entries being reviewed andapproved by the CSFO before entry into thecomputer? If the CSFO writes up and enters theDOCUMENTS THAT MAY SUPPORT COMPLIANCE Review Board Agenda, minutes of board meetings. Actual reportshould tie back to trial balance Review trial balance and fixed asset inventory report Check with program directors. They should have files of the budgetvariance report. Directors should sign a verification that they havereceived/are receiving monthly reports Review the 940 report, payroll reports, bank statements, STATEWITHHOLDING REPORTS, and 941 reports Ask custodian of funds/CSFO. Look at written journal entries. Ifcustodian of funds is preparing entries, the superintendent shouldapprove them before reports are given to boardjournal entries, has superintendent reviewed andapproved them before reports are given to the board? Review General ledger reports – 0341, 0358 and Open purchaseorder report13. Does the total of the Open Purchase Ordersequal the dollar amount reported under accountcode 0341-Encumbrances?14. Is the Request for Federal Funds (ES-2) beingprepared and submitted monthly to the StateDepartment of Education only if expendituresare incurred and application is approved?15. Is the most current, approved budget on filewhere it is easily accessible?16. Has an accounting policies and proceduresmanual been developed, kept up-to-date, andimplemented? This should include fiscal Review ES-2 file at the ALSDE and ask to see signed copies on fileat LEA Ask to view this document Ask to view manual and do a quick review of manual, if available Verify the policies mentioned are includedmanagement policies in accordance with Section 1613A-1. The policies should include a policy for thefollowing:1) Regular reconciliation of bank statements;2) Maintenance of fixed assets inventory;3) Deposit of incoming funds; and4) Review of monthly revenues and expenditures.3
YNN/ATA17. Is the latest approved General PurposeFinancial Statement on file where it is easilyaccessible?18. Is fund source accounting being practiced on adaily basis?DOCUMENTS THAT MAY SUPPORT COMPLIANCE Ask to view this document Trace all revenue from LEA Transaction Report to the TrialBalance. All allocations/receipts through previous end of monthshould be posted. Deposits and bank reconciliations should also beup-to-date19. Is the system’s teacher salary schedule incompliance with the State Minimum SalarySchedule in giving consideration to thefollowing:a. Highest degree earned from a regionallyaccredited institution including Bachelor’s,Master’s, Sixth Year, Doctorate’s, and nodegree?b. Public education experience?20. Did the LEA report expenditures as required?21. Did the LEA sign the appropriate certificationfor infrastructure projects? Check a sample of personnel folders for years’ experience andverify that teachers are being paid on appropriate cell of salarymatrix Check salary schedule submitted to ALSDE with budget Discussion with Central Office Staff4
II.EDUCATEAlabama/LEADAlabamaA. LEA Plan – Professional EvaluationSELF ASSESSMENT AUDIT1.2.3.YNN/ATADoes the LEA have a professional evaluationplan for the:a. Public education experience?b. Central office staff?c. School administrators?d. Special Education II Teachers?e. Media Specialistsf. Guidance CounselorsDoes the LEA use EDUCATEAlabama and/orLEADAlabama as the adopted plan ofperformance evaluation for the professionalslisted above?Does the LEA use a locally developed planapproved by and on file with the ALSDE? 2.3. LEA document for review, letter of approval from the ALSDE Completion of online training for EDUCATEAlabama and/orLEADAlabama, no certificate required Completion of online training for EDUCATEAlabama and/orLEADAlabama, no certificate required Completion of online training for EDUCATEAlabama and/orLEADAlabama, no certificate requiredIs the superintendent PEPE trained to evaluatecentral office staff?Is the superintendent trained to evaluateprincipals, central office staff?Are all other evaluators trained to conductpertinent personnel evaluations?C. Evaluations – PEPE1.2.3.Board policy with adoptionBoard policy with adoptionBoard policy with adoptionBoard policy with adoption LEA document for review and board policy with adoptionB. Training ALSDE or LEA1.DOCUMENTS THAT MAY SUPPORT COMPLIANCE Online assessmen processes are current according to the time ofyear for each teacher and leader in the LEA Date on Evaluation Completion Form (from PEPE for 2010-2011)Are all EDUCATEAlabama and LEADAlabamaonline assessment processes current?What is the date of the superintendent’s lastevaluation on file?Are current ESRs/LEA equivalent on file for allcentral office personnel? (from PEPE for 20102011)What is the date of the ESRs/LEAequivalent on file for central office staff?(from PEPE fpr 2010-2011)Are current ESRs/LEA equivalent on file for allprincipals? (from PEPE for 2010-2011) Central office ESR documents (from PEPE for 2010-2011) Date on ESR documents (from PEPE for 2010-2011) Principal(s) ESR document (from PEPE for 2010-2011)5
Y4.NN/ATAWhat is the date of the ESRs/LEAequivalent on file for principals? (fromPEPE for 2010-2011)Are current ESRs/LEA equivalent on file for allassistant principals? (from PEPE for 2010-2011)What is the date of the ESRs/LEAequivalent on file for asst. principals? (fromPEPE 2010-2011) Assistant Principal’s ESR documents (from PEPE 2010-2011) Dates on Assistant Principal ESR (from PEPE 2010-2011)D. Professional Development – TS THAT MAY SUPPORT COMPLIANCE Date on Principal’s ESR (from PEPE for 2010-2011)Is there electronic evidence inEDUCATEAlabama and LEADAlabama thatindividual evaluations result in specificprofessional development plans?Are individual PLPs or PDPs completedcorrectly on current forms, scored correctly andon file for the:a. Superintendent? (from PEPE for 2010-2011)b. Central office staff? (LEADAlabama 20112012); from PEPE 2010-2011)c. Principals? (from PEPE for 2010-2011);LEADAlabama (2011-2012)d. Assistant principals? (fromPEPE for 20102011); LEADAlabama (2011-2012)Are individual PLPS for teachers completed inEDUCATEAlabama with ProfessionalDevelopment approved?Is there evidence that collective PLP data driveeach individual school’s professionaldevelopment focus?Is there evidence that collective PLP data drivethe school system’s professional developmentactivities? Individual PDP’s on file electronically in eitherEDUCATEAlabama or LEADAlabma for every teacher and leader PDP form developed, signed and on file (from PEPE 2010-2011) Electronic PLP in LEADAlabama (2011-2012); (from PEPE for2010-2011) Electronic PLP in LEADAlabama (2011-2012); (from PEPE for2010-2011) Electronic PLP in LEADAlabama (2011-2012); (from PEPE for2010-2011) Individual teacher PLP entered into EDUCATEAlabama approved,and has professional development to support it School Professional Development Plan activities reflect teacherneeds as determined by teacher evaluations, teacher record/schoolprofile program and are in EDUCATEAlabama School system’s Professional Development Plan reflects schoolneeds as determined by individual PDPs, individual school profileanalysis, system analysis supported by EDUCATEAlabama andLEADAlabama dataNOTE: All EDUCATEAlabama and LEADAlabama evaluation data for teachers and leaders may be reviewed electronically for each LEA6
III.FEDERAL PROGRAMSA. General Cross Cutting ProvisionsSELF-ASSESSMENT AUDIT1.YNN/ATADoes the LEA have on file the followingapproved plans and revisions that are to beretained at the LEA level:a) Title I LEA Plan? Discussion of the LEA Plan with Central Office Staff and SchoolTeams Discussion of LEA Parental Involvement Plan with PrincipalsTeachers, Parents Discussion of individual teacher HQ plans with Central Office Staffand School Teams Discussion of LEA Plan for implementing Parents Right-to-Knowprovision Discussion of eCIPs for TA and SW schools not currently identifiedfor school improvement EL Plan and Immigrant Plan (if applicable) using required template Discussion of EL Plan with EL Coordinator and/or other Centraloffice Staff Discussion of plan with Private School Officials and Central OfficeStaff All applicable plans updated and loaded in eGAP All applicable worksheets loaded in e-GAPSection 1112b) LEA Parent Involvement Policy/Plan?Section 1112 & 1118c) LEA Plan to ensure that all teachers areHQ?Sections 1119 & 2122d) LEA Plan for implementing the ParentsRight-to-Know provision?Section 1111(h)(6)e) Electronic Continuous Improvement Planfor each school in improvement oridentified for ALSDE support?Section 1114, Section 1115, Section 1116f) English Learner (EL) Plan?Section 3116 and OCRg) Immigrant Addendum, if applicable?Section 31142.DOCUMENTS THAT MAY SUPPORT COMPLIANCEh) A Public School Choice Plan, ifapplicable?i) An Equitable Services Implementationplan for services to eligible students inprivate schools, if applicable?j) Corrective Action Plan, if applicable?k) Restructuring Plan, if applicable?Does the LEA have all required programevaluations:a) Title I?b) Title II?c) Title III? Discussion regarding all program evaluations processes and resultswith Central Office staff and/or Programs Coordinators for eachprogram in system. Program evaluations loaded in e-GAP as part of the applicationprocessSection 31217
YNN/ATAd) Core ESL Program?e) Title VI?f) Migrant?g) Neglected and Delinquent?h) Parent Involvement?i) 21st CCLC?j) Electronic Continuous Improvement Plan?k) Private Schools3. Does the LEA ensure that all Federal fundsreceived under this part are only to supplementthe funds that would, in the absence of suchFederal funds, be made available from nonFederal sources, and not to supplant suchfunds:a) Title I?b) Title II?c) Title III?d) Immigrant, if applicable?e) Title VI?f) Private Schools?g) Migrant?h) Neglected and Delinquent?i) Parent Involvement?j) 21st CCLC?k) Electronic Continuous Improvement Plan?4. Does the LEA and/or school have andimplement the following for all federalprograms where applicable:a) Home Language Surveys?b) Employment Survey Documentation?c) Enrollment Procedures?d) Time and Effort Documentation?e) 100% Certification Documentation?DOCUMENTS THAT MAY SUPPORT COMPLIANCE Summary of all evidence Review of year-to-date expenditure reports by fund source or costcenter8
YNN/ATADOCUMENTS THAT MAY SUPPORT COMPLIANCE Discussion of inventory and inventory processes with CentralOffice staff and school teams.f) Federal guidelines related to equipmentpurchases and inventory?5. Is there evidence that the LEA and/or schoolexpenditures are in compliance with theapplication approved by the ALSDE:a) Title I?b) Title II?c) Title III?d) Immigrant, if applicable?e) Title VI?f) Private Schools?g) Migrant?h) Neglected and Delinquent?i) Parent Involvement?j) 21st CCLC?k) Electronic Continuous Improvement Plan?6. Is there evidence that the LEA systematicallycoordinates the use of the separate sources offederal funds with state and local funds?a) Title I?b) Title II?c) Title III?d) Immigrant, if applicable?e) Title VI?f) Private Schools?g) Migrant?h) Neglected and Delinquent?i) Parent Involvement?j) 21st CCLC?k) Electronic Continuous Improvement Plan?9
Y7.NN/ATADOCUMENTS THAT MAY SUPPORT COMPLIANCE Discussion of support and oversight provided by Central Officestaff to schools with local school teams.Is there evidence that the LEA provides systemlevel support for each of its schools that receiveand/or benefits from federal funds, includingthose that are identified under Section 1116?Section 1112 & 11168. Discussion of support and oversight provided by Central Officestaff to schools with local school teams.Does the school take into account theexperience of model programs foreducationally disadvantaged and the finding ofrelevant scientifically based research inselecting programs, services, and materials thatare purchased with the following funds?Section 1112(c)(1)(F) & Section 1112(c)(1)(O)a)b)c)d)Title I?Title II?Title III?Immigrant, if applicable?Section 3115 (c)(d)9.e) Title VI?f) Private Schools?g) Migrant?h) Neglected and Delinquent?i) Parent Involvement?j) 21st CCLC?k) Electronic Continuous Improvement Plan?Is there evidence schools ensure all studentsparticipate in the state’s student assessments asdescribed in the state’s assessment andaccountability plan? Discussion about student participation in state assessments withCentral Office staff and school teams.Section(a)(2)(b)(1)(A10. Is there evidence that the LEA systematicallyinforms its eligible schools and parents about“schoolwide authority” and that the LEAprovided technical assistance and support toschoolwide programs?Section 1112(c)1)(A) and (B)10
B. Title I, Part A – Improving Basic Programs Operated by LEAsYNN/ATADOCUMENTS THAT MAY SUPPORT COMPLIANCE Discussion regarding set asides with Central Office staff, schoolteams, parents, and private schools.11. Is there evidence of consultation with teachers,principals, administrators, other appropriateschool personnel, parents and private schoolofficial for determination of LEA “set asides”?Section 1112(d)(3) and Section 1120(b)(2)12. Does the LEA include the followingcomponents in its LEA Title I Plan:a) a description of high-quality studentacademic assessments, if any, that are inaddition to the academic assessmentsdescribed in the State plan under Section1111(b)(3) used by the LEA and schools? Review LEA Title I PlanSection 1112(b)(1)(A)(i-iv)b) a description of any other indicators thatwill be used in addition to the academicindicators described i
C. Certification - SUPPORTING PROGRAMS/FINANCIAL MANAGEMENT 1. Does each person employed as a superintendent, assistant superintendent, supervisor, principal, teacher, or attendance officer hold a valid certificate issued by the State Superintendent of Education? Authority: Section 16-23-1, Code of Alabama 1975
