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					      ON-SITE MONITORING OF
SUPPLEMENTAL EDUCATIONAL SERVICE
            PROVIDERS

        Guidelines and Instrument




     Alabama State Department of Education
                 October 2010
                                                      GUIDELINES FOR ON-SITE MONITORING
                                                OF SUPPLEMENTAL EDUCATIONAL SERVICE PROVIDERS

OVERVIEW
The Alabama State Department of Education (SDE) is required under the No Child Left Behind Act of 2001 (NCLB)
Section 1116(e)(4)(d), to develop, implement, and publicly report on standards and techniques for monitoring the quality and
effectiveness of the services of approved providers of supplemental educational services (SES).

MONITORING PROCESS
Announced and unannounced on-site monitoring visits will be conducted by the representatives of the SDE. Announced visits will be
conducted in at least one service site per SES provider during the school year. Monitoring visits will include visits to randomly selected
sites when the provider has multiple tutoring sites. Notification of announced monitoring visits will be sent via electronic mail to the
SES Coordinator at the local education agency (LEA) and to the main contact listed on the state provider list at least five business days
prior to the monitoring visit. A meeting will be held with school district personnel as a part of the monitoring visit and the school
system representative will be encouraged to attend the interviews and observations of the providers.

The on-site monitoring visits will address requirements of SES providers as stipulated in NCLB and will verify compliance with
narratives and assurances in the SES provider’s application. The monitoring visit will focus on the following:

1. Review of pertinent documents.
2. On-site observations.
3. Interviews.

If documentation is not available on-site, the SES site director or other authorized provider representative will be required to submit
documentation as outlined in the Compliance Action Plan. In the case of a serious violation, the SDE staff has the authority to stop SES
services until the violation is corrected.

Beginning in the fall of 2009, a scoring format will be assigned to components of the monitoring instrument. A score of 80 out of
100 is a satisfactory score; 60-80% requires immediate corrective action; and below 60% is unacceptable. If an unacceptable score
is not rectified to the satisfaction of the SDE, the provider will be suspended from providing services in Alabama and will have to
submit a re-application during the next application window.


On-Site Monitoring of Supplemental Educational Service Providers      2                                  Sherry Coleman
Rev. October 2010                                                                                        scoleman@alsde.edu
Alabama State Department of Education                                                                    Telephone: 334-242-8216
MONITORING PREPARATIONS
To prepare for the upcoming monitoring visits, SES providers should:

1. Download and review a copy of the document that will be used in the monitoring process. To access the documents, go to
   www.alsde.edu, click on eGAP, then Document Library, scroll down to On-Site Monitoring Instrument of Supplemental Educational
   Service Providers 2010-2011.

2. Compile required evidence that corresponds with each of the elements in the monitoring instrument. (www.alsde.edu, click on
   eGAP, then Document Library, scroll down to On-Site Monitoring Instrument of Supplemental Educational Service Providers 2010-
   2011.) For ready access it is strongly recommended that SES providers prepare a notebook, file box, or expandable file with a
   folder for each of the elements in the monitoring instrument that requires documentation. Documentation should be readily
   available for review.

3. Assign a provider representative to accompany the SDE evaluator during the monitoring session. This person should be able to
   devote complete attention to the evaluation process without distractions, should have direct knowledge of services at the
   monitoring site, and be prepared to answer appropriate questions during the interview.

4. Supply a copy of the provider’s most recently approved SES application for the monitor’s use during the monitoring visit.

5. Make a space available for interview and examination of the evidence file.

6. Arrange for the SDE monitor to observe a tutoring session as part of the monitoring meeting.

7. Arrange with one tutor to remain after the tutoring session for an interview.

REPORT/RESULTS
Preliminary findings from the monitoring visit will be presented to the provider representative at the conclusion of the visit. A formal
report will be sent via e-mail to the LEA SES Coordinator and to the main contact listed on the state provider list within 30 business
days after the visit.

This formal report will include a score, recommendations, findings, strengths, and any necessary corrective action plan that will be
required. The monitor may recommend an immediate action in some instances of noncompliance. An example is the absence of
evidence of criminal background checks through the Alabama Department of Education for one or more provider staff members who
have unsupervised access to students. The monitoring instrument will be used as the template for the formal report.




On-Site Monitoring of Supplemental Educational Service Providers   3                                    Sherry Coleman
Rev. October 2010                                                                                       scoleman@alsde.edu
Alabama State Department of Education                                                                   Telephone: 334-242-8216
                                ON-SITE MONITORING INSTRUMENT FOR SUPPLEMENTAL EDUCATIONAL SERVICE PROVIDERS

     Provider Name
     _________________________________________LEA____________________________________School______________________________

     SDE Reviewer_______________________________________________ Provider Representative_______________________________________

     Tutor Interviewed________________________________ Service Location_______________________________ Date of Review ______________

Are services provided in accordance with the state-approved application?
Provider Requirement              Yes    No        NA      Application                             Monitoring
Is the provider approved for the
LEA in which it is serving?
Number of hours

Time of service

Number of days services are
provided
Place of tutoring

Subjects

Grade levels

Ratio – Tutor to Student

Incentives

Cost per hour

Mode of instructional delivery



     On-Site Monitoring of Supplemental Educational Service Providers   4                             Sherry Coleman
     Rev. October 2010                                                                                scoleman@alsde.edu
     Alabama State Department of Education                                                            Telephone: 334-242-8216
             Provider Requirement                           YES        NO    NA                Minimum Evidence                         Comments/Explanation
1.   Is there evidence that the provider offers                                   All of the following:                                   Comments           Score
     supplemental educational services that                                        Copies of written policies and procedures
     are secular, neutral, and nonideological?                                        that prohibit non-secular or ideological                                 2
     NCLB, Section 1116(e)(5)(D)                                                      materials.
                                                                                   Current lesson plans.
                                                                                   Observation of tutoring session and setting.
2.   Is there evidence that the agreement                                          Copy of signed contract between LEA and
     between the LEA and the SES provider is                                          SES provider.                                                            5
     consistent with the elements of the law?
     NCLB, Section 1116(e)(3)(A)
3.   Is there evidence that the provider’s                                        One of the following:
     instruction is aligned with the content                                       Lesson plans with references to state
     standards in the Alabama course of                                               content standards.                                                       5
     study?                                                                        Documents showing alignment of provider’s
     NCLB, Section 1116(e)(5)(B)                                                      instruction to state’s content standards.
4.   Is there evidence that the provider’s                                        Both of the following:
     assessment instrument and process are                                         Sample of provider’s assessment
     consistent with the provisions in the                                            instruments.                                                             5
     provider's state-approved application?                                        Description of provider’s assessment
                                                                                      program.
5.   Is there evidence that the provider’s                                        All of the following:
     instructional program design is consistent                                    Description of provider’s program design.                                  5
     with provisions in the provider’s                                             Interview with tutor.
     application?
6.   Is there evidence that the provider’s                                                                                                Comments           Score
     mode of instructional delivery is
     consistent with the provider’s
     application?
     a. Group size                                                                 Observation                                                                2
     b.     Tutor-to-student ratio                                                 Observation                                                                2
     c.     Instructional delivery (individual,                                    Observation
            small group, computer assisted,                                                                                                                    2
            distance learning)




          On-Site Monitoring of Supplemental Educational Service Providers                 5                                       Sherry Coleman
          Rev. October 2010                                                                                                        scoleman@alsde.edu
          Alabama State Department of Education                                                                                    Telephone: 334-242-8216
7.   Is there evidence that the provider’s
     instruction addresses the requirements
     set forth in each student’s ILP?
     NCLB, Section 1116(e)(3)(A)                                                                                                      Comments           Score
     a. Specific achievement goals?                                           Student learning plan.                                                     3
     b.  Description of how student progress                                  Student learning plan.                                                     3
         will be measured?
    c. Timetable for improving                                                Student learning plan.                                                     3
         achievement?
8. *Is there evidence that the provider’s                                    All of the following:
    instruction accommodates individual                                       Documentation that provider’s instruction is
    learning plans for students with                                             aligned with IEP.
    disabilities under IDEA and that students                                 Documentation that services are provided
    covered under Section 504 are consistent                                     with necessary accommodations to students
    with the students’ individualized                                            with disabilities and student covered under
    education plan (IEP) and individualized                                      Section 504 and the Americans with                                       5
    services under Section 504, respectively?                                    Disabilities Act.
    NCLB, Section 116(e)(3)(A), Public Law
    200.47(a)(5)
    *Note: LEAs must have parent consent to
    release the information described above.
9. Is there evidence that the individual                                     All of the following:
    learning plans for students with limited                                  Documentation that provider’s instruction
    English proficiency include necessary and                                    includes necessary language assistance.                                  2
    appropriate language assistance?                                          Observation
10. Is there evidence that the provider                                      All of the following:
    regularly informs the students’ parents of                                Copies of dated student progress reports to
    the students’ progress in understandable                                     parents.
    language and format?                                                      Documentation of frequency of                                              5
    NCLB, Section 1116(e)(3)(B)                                                  communication.
                                                                              Copies of translated documentation.
11. Is there evidence that the provider                                      All of the following:
    regularly informs the students’ teachers                                  Copies of dated student progress reports to
    of the students’ progress?                                                   teachers.
    NCLB, Section 1116(e)(3)(B)                                               Documentation of frequency of                                              5
                                                                                 communication.




          On-Site Monitoring of Supplemental Educational Service Providers            6                                        Sherry Coleman
          Rev. October 2010                                                                                                    scoleman@alsde.edu
          Alabama State Department of Education                                                                                Telephone: 334-242-8216
12. Is there evidence that the provider does                                Both of the following:
    not disclose to the public the identity of                               Copies of policies and/or procedures for
    any student eligible for or receiving                                      protection of student privacy.
    supplemental educational services                                        Written permission from student’s parent(s)                                   5
    without the written permission of the                                      for release of student information to the
    student’s parent(s)?                                                       public regarding participation in
    NCLB, Section 116(e)(3)(E)                                                 supplemental educational services.
13. Is there evidence that the provider has                                                                                             Comments           Score
    met all applicable federal, state, and local
    health, safety, and civil rights laws?
    NCLB, Section 1116(e)(5)(C)
    a. Criminal background checks                                            Copies of notification from LEAs regarding
         conducted through the SDE.                                             status of criminal background checks                                        5
                                                                                performed through the SDE.
    b.     Communication of school safety or                                One of the following:
           extra-curricular activity venue plans                             Copy of school safety plan.                                                   1
           to staff and students.                                            Copy of extra-curricular activity venue plan.
                                                                             When tutoring takes place at off-campus
                                                                                site, copy of safety plan and fire inspection.
    c.     Communication of safety procedures                               All of the following:
           in buildings where school safety                                  Procedures to follow related to:
           procedures are not applicable.                                       1. Response to fire.
                                                                                2. Response weather emergencies.
                                                                                3. Medical emergencies.
                                                                                4. Building intruder(s).                                                    1
                                                                                5. Person(s) authorized for student release.
                                                                                6. Readily available emergency contact
                                                                                   information.
                                                                             Posted evacuation instructions addressing:
                                                                               1. Response to fire.
                                                                               2. Response to weather emergencies.

    d.     Non-discriminatory practices relative                            Both of the following:
           to student service and hiring of                                  Copies of non-discriminatory policies related                                 1
           personnel.                                                          to personnel.
                                                                             Copies of non-discriminatory policies related
                                                                               to student service.




         On-Site Monitoring of Supplemental Educational Service Providers             7                                          Sherry Coleman
         Rev. October 2010                                                                                                       scoleman@alsde.edu
         Alabama State Department of Education                                                                                   Telephone: 334-242-8216
14. Is there evidence that the instructor is                             Both of the following:
    appropriately knowledgeable about the                                 Observation of tutoring session.
    provider’s program?                                                   Interview with tutors.
                                                                                                                                                          5
15. Is there evidence that the instructor’s                              All of the following:
    educational qualifications are consistent                             Interview with tutors.
    with the provider’s summary of services?                              Tutors’ resumes’ OR copies of teacher
                                                                             certification or documentation of                                            5
                                                                             certification from the LEA. (NOTE:
                                                                             Documentation must be consistent with the
                                                                             provider’s summary of service.)
16. Is there evidence that the provider’s time                           Both of the following:
    of service is consistent with the provider’s                          Copies of records showing amount of time
    application?                                                             students were tutored in math and/or
                                                                             reading. (Sign-in sheets with hours of                                       8
                                                                             tutoring in each subject, i.e. 3:00-4:00
                                                                             Reading.)
                                                                          Interview with tutor.

17. Is there evidence that the provider                                  All of the following:
    maintains methods or programs for                                     Enrollment records of participating students.
    tracking and documenting enrollment,                                  Attendance records of participating students
    attendance, and supplemental services                                 Sign-in sheets.                                                               10
    provided to eligible students enrolled in
    the SES program?
18. Is there evidence that the provider                                  All of the following:
    adheres to the LEA policies and                                       LEA policy or guidelines
    procedures related to student use of                                  Provider’s policy or guidelines
                                                                                                                                                          5
    computer/Internet?                                                    Agreement on policy between the LEA and
                                                                             provider



                                                                                                                           TOTAL SCORE               ___________

      Can the provider show that the Certificate of Liability Insurance is current and up-to-date?                 _____Yes    _____No

      (If the provider’s insurance has lapsed, the provider is automatically suspended from providing services in Alabama until current proof of
      insurance can be presented to the Alabama Department of Education.


      On-Site Monitoring of Supplemental Educational Service Providers            8                                        Sherry Coleman
      Rev. October 2010                                                                                                    scoleman@alsde.edu
      Alabama State Department of Education                                                                                Telephone: 334-242-8216

				
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