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