FY22 Results-Based Monitoring (Virtual) On-Site Uploads List Tennessee Department of Education | Sept. 2021

Table of Contents Instructions ...................................................................................................................... 3 Pre-Visit: Required Evidence to be Uploaded ................................................................ 3 School-Level Questions ................................................................................................... 4 LEA-Level Questions ........................................................................................................ 6 LEA-Level ESSA Questions ............................................................................................... 7 LEA-Level IDEA Questions ............................................................................................... 8 LEA-Level Non-Public and Charter Questions ............................................................... 9 LEA-Level Perkins V Questions ..................................................................................... 10 LEA-Level ESSER Questions ........................................................................................... 11 LEA-Level Fiscal Questions ............................................................................................ 12 LEA-Level Neglected and/or Delinquent Questions ................................................... 15 Other Resources ............................................................................................................ 16

Instructions Each LEA-level Page of the instrument is divided into Sections. Please read each Section's instructions (below) thoroughly Prior to uploading or responding to questions. After responding to all areas, use the Validations column of the Sections Page to confirm all items were completed. Take the time to confirm each uploaded document is accurate and complete. Once the LEA and School users have completed their entry, the LEA IDEA director, ESEA director, CTE director, Fiscal representative, and director of Schools (authorized representative) (in this order) must return to the Sections Page to change the Status to Submit the Pre-visit work to the department. Pre-work is due 10 business days Prior to the First day of the Scheduled on-site visit.

Pre-Visit: Required Evidence to be Uploaded • Most Pages within this instrument require LEAs to upload evidence. Next to each item, a minimum

upload count is listed, and at least the minimum number of documents must be uploaded. o If there is more than one item to upload, continue to add items in the most appropriate area of

the Page until the Proper evidence has been Provided. • Do not upload Personally Identifiable Information (PII)*.

o *Personally Identifiable Information (PII). The term "PII," as defined in OMB Memorandum M-07-1616, refers to information that can be used to distinguish or trace an individual's identity, either alone or when combined with other Personal or identifying information that is linked or linkable to a Specific individual. Redacting PII means removing any information that could Potentially identify a Specific individual before Submitting the data in ePlan. Before uploading redacted information, confirm that the Personally identifiable information cannot be discerned. Please minimize the use of black/dark Pens or markers to redact information as information is typically viewable through the marks.

For complete instructions, Please view the Monitoring Instrument in ePlan. To Find the monitoring instrument, click Monitoring > Monitoring Instruments. Then view FY22 > Results-Based Monitoring.

School-Level Questions School: ESSA Title I

• Student Handbook (including any information about School Safety)

• Annual Title I Meeting Invitations (flyers, Social media Snippet, newsletter or website announcement)

• Annual Title I Meeting Agenda

• Annual Title I Meeting Proof of Attendance

• School-Level Parent and Family Engagement Plan/Policy

• School-Level Parent and Family Engagement Plan/Policy Meeting Invitations

• School-Level Parent and Family Engagement Plan/Policy Meeting Agendas

• School-Level Parent and Family Engagement Plan/Policy Proof of Collaboration

• School-Parent Compact

• School-Parent Compact Meeting Invitations

• School-Parent Compact Meeting Agendas

• School-Parent Compact Proof of Collaboration

• Parent Right to Know Notifications

School: ESSA Title III, Part A—English Learners & Immigrants • Schedules of Each EL Student with Last 4 Digits of State ID (Student PII Redacted)

• ESL Teacher Schedules with WIDA Scores and Last 4 Digits of State ID (Student PII Redacted)

• ILPs (2 completed Student Samples with PII Redacted)

• Transition Student Monitoring Forms (5 Completed Student Samples with PII Redacted)

• Lesson Plans From General Education Teachers Demonstrating Use of WIDA ELD Standards (2)

School: ESSA Title IX, Part A—Education for Homeless Children and Youth • Pictures of Posters Displaying the Educational Rights of Children and Families Who are Homeless

• Training: Presentation, Proof of Attendance, and Materials Regarding Homelessness

School: Students with Disabilities (SWDs) • Special Education Teachers’ Schedules

• SWDs Schedules Showing Appropriate Services Types/Times/Tiers

• Training: Presentation, Proof of Attendance, and Materials for Accommodations/Modifications

School: RTI2 • School-Level RTI2 Meeting Agendas, Proof of Attendance, Minutes (add LEA RTI2 Plan if applicable)

• Documentation Identifying Names and Roles of the RTI2 Team Participants

School: Perkins V Information, Organization, and Initiatives • CTE Advisory Council Meeting Invitations Evidence of an Attempt to Invite Stakeholders, Agendas,

Meeting Minutes or Notes, and Sign-In Sheets/Proof of Attendance

• Registration Procedure Including CTE Courses

• Examples of Parent and Student Notifications of CTE Course Offerings and Programs of Study (i.e.

POS Fair Notices, Email Notices, etc.)

• Evidence of CTE Teacher Feedback to Inform the Comprehensive Local Needs Assessment

School: Perkins V Size, Scope, and Quality Indicators (SSQI) • Links to School-Level Digital SSQI Portfolios

• Applicable SSQI PD Supplied to Teachers

• List of New POS (Less than 3 Years)

• Teacher Lists and Content Areas for the Monitoring Year

School: Perkins V Effective Educators • Work Schedules of Paraprofessionals with Appropriate Service and Transition Times (All Perkins V-

Funded Staff)

School: Perkins V Students with Disabilities (SWDs) • Paraprofessional’s Schedules Showing Support in CTE Classes

School: Perkins V Students Preparing for Non-Traditional Fields • School-Level Programs of Study (List or Link to School Webpage)

• Jobs4TN or Other Reliable Labor Market Data Justification for POS

School: Perkins V English Learners • None

School: Perkins V Homelessness and Foster Care • None

LEA-Level Questions LEA: Cross-Cutting Initiatives

• Stakeholder Involvement: LEA Plan Development (Proof of Participation & agendas for 1+ meeting)

• Stakeholder Involvement: School Improvement Plan Development (Proof of Participation & Agendas

for 1+ Meeting)

• Stakeholder Involvements for LEA-Level Parent and Family Engagement Policy Development

• Current LEA Organizational Chart(s)

• Current/Active BOE-Approved 5-Year Strategic Plan

• Evidence of Regular Meetings with Principals (such as gendas, Sign-in Sheets, meeting notes)

• Registration Forms for Each School Selected for Monitoring and/or LEA-Level Form

• Differentiated Pay Plan

• PD evaluation/Survey Samples (samples)

• Procedures for Recruiting and Retaining Educators (and related Practices, if applicable)

• Teacher Preparation Program Partnerships (Sample MOUs/agreements)

• Individual Improvement Plans for Teachers (template)

• Initiatives and Supports for New Teachers (communication, meeting notes, Processes/procedures)

• Proof of Communication and/or Consultation (such as Meeting Records or Registered Mail Receipts)

LEA-Level ESSA Questions LEA: ESSA Title I, Part A—Improving Basic Programs

• LEA-Level Parent and Family Engagement Policy

• Stakeholder Involvement: LEA Plan Development (Proof of Participation & agendas for 1+ meeting)

• Stakeholder Involvement: LEA-Level Parent and Family Engagement Policy Development

LEA: ESSA Title I, Part A—Students in Foster Care • LEA Policies and Procedures Addressing Students in Foster Care

LEA: ESSA Title I, Part C—Education of Migratory Children • None

LEA: ESSA Title II, Part A—Supporting Effective Instruction • None

LEA: ESSA Title III, Part A—English Language Acquisition • List of ESL Coaches (not teachers) Paid From Local, State, or Federal Funds and PAR Percentages

• ESL Teacher Schedules with WIDA Scores and Student IDs (PII Redacted)

LEA: ESSA Title III—Immigrant Students • Process for Identification, Verification of Data, Serving, and Coding Immigrant Students

LEA: ESSA Title IX, Part A—Education for Homeless Children and Youth • Policies or Procedures Addressing Homeless Children & Youth, including Transportation

• LEA Homeless Liaison Job Description

LEA: ESEA Title I, Part A—Targeted Assistance School Improvement Plan Components • Progress Data for Students Served through Targeted Assistance (with PII Redacted)

• Written Process and Criteria Used to Determine Eligibility for Targeted Assistance Support

• LEA-Level Monitoring Plan

LEA: ESEA Title V, Part B—Rural Education Initiative • None

LEA-Level IDEA Questions LEA: IDEA, Part B

• LEA Policies and Procedures: Use of Isolation and Restraint, Training Requirements, and Incident

Report Procedures (T.C.A. § 49-10-1304; TSBE Rule 520-01-09.23(4))

• LEA Policies, Procedures, and Programs: Implementing the Provision of Free Appropriate Public

Education (TSBE Rule 0520-01-09-.09(1)(g)(1))

• LEA Policies and Procedures: Child Find (TSBE Rule 0520-01-09-.09(1)(g)(2))

• LEA Procedures: Evaluation/Reevaluation and Determination of Eligibility (TSBE Rule 0520-01-09-.09(1)(g)(3))

• LEA Procedures: IEP/IFSP (TSBE Rule 0520-01-09-.09(1)(g)(4))

• LEA Procedures: Confidentiality (TSBE Rule 0520-01-09-.09(1)(g)(5))

• Goals for Performance of Children with Disabilities through School Improvement Planning (TSBE Rule

0520-01-09-.09(1)(g)(7)) • LEA Procedures: Inclusion of Children with Disabilities in State/District-Wide Assessment with

Appropriate Accommodations/Modifications and Reporting of Assessment Data (TSBE Rule 0520-01-09-

.09(1)(g)(8)) • Private School Services Procedures TSBE Rule 0520-01-09-.09(1)(g)(6)

• Interagency Agreements to Ensure FAPE for All Children TSBE Rule 0520-01-09-.09(1)(g)(9)

• Proof of Gifted Endorsement or Gifted Employment Standard for Teachers

• Proof of Consultation Model Used for Non-Trained Gifted Teachers

LEA: IDEA, Part B—Preschool • Suspension/Expulsion Policies and/or Procedures for 3, 4, and 5-Year Old Students

LEA: Students with Disabilities Detained in Jails • Agreements, Contracts, MOUs, or Procedures with Local Law Enforcement for County/City Jails

• LEA Process/Procedure for Incarcerated Youth with IEPs or Suspected of Having a Disability

• List of Personnel Providing IEP Services to Incarcerated Youth (with Schedules as applicable)

LEA-Level Non-Public and Charter Questions LEA: ESSA Equitable Services to Non-Public Schools

• Intent to Participate Forms

• Other Related Correspondence with Non-Public Schools

• Contracts or MOUs for Providing Services

LEA: IDEA Equitable Services to Non-Public Schools • Compliance with Child Find Requirements Evidence

• Contracts or MOUs for Providing Services

• Proportionate Share Calculation Documentation

• Schedule of Services

• Service Plans Samples (do not include Student names or Personally Identifiable Information)

LEA: Charter School Oversight • Charter Agreement(s) with LEA

• Schedule of PD Activities for Charter Schools Provided by the LEA and Proof of Invitation to PD

• Performance Framework for evaluating charter Schools (template)

• Procedures for Ensuring Compliance with IDEA in Charter Schools (including Sample of corrective

actions taken in instances of noncompliance)

• Procedures for Enrolling, Identifying, and Serving ELs in Charter Schools (including Sample of

corrective actions taken in instances of noncompliance)

• Policies or Procedures for Serving SWDs Attending Charter Schools (including Providing

Supplementary and related Services on Site at the charter School, in the Same manner and to the

Same extent that the LEA Serves SWDs in its other Schools)

• Procedures for Ensuring Charter Schools Comply with Procurement and Conflict of Interest

Requirements included in T.C.A. § 49-13-111 (including a Sample of corrective actions taken in

instances of noncompliance)

• Student Management System Reports of Student Enrollment & Teacher Assignments (samples)

LEA-Level Perkins V Questions LEA: Perkins V Size, Scope, and Quality Indicators (SSQI)

• List of New POS (Less than 3 Years)

• Teacher Lists and Content Areas for the Monitoring Year

LEA: Perkins V Effective Educators • CTE Director License, Certification, and Endorsement

• LEA-Wide Professional Development Plan with CTE Sustained Professional Development

• Evidence of Additional CTE Professional Development Opportunities Oustide of the District Offered

PD (i.e. CTE Summer Institute, Industry Certification Training, etc.)

• PD Evaluation/Survey Samples for LEA-Offered CTE PD

LEA: Perkins V Students with Disabilities (SWDs) • Evidence Showing CTE Educators Received Training Informing Them of the Requirements of Serving

Students with Disabilities (Training Materials and Proof of Attendance)

• Trainings for CTE Staff Serving SWDs

• Sample of Career Guidance and Counseling for CTE Students with Disabilities.

LEA: Perkins V Students in Special Populations (Non-SWD Subgroups) • Procedure or Process for Identification of Students in CTE with Parents Who are on Active Duty in

the Military

• Evidence of LEA Collaboration with Schools Regarding CTE Engagement with Families of ELs in a

Language and Manner They Understand

• Evidence of Training CTE Teachers on EL Differentiation Strategies and Assessment

Accommodations (presentation and Proof of Attendance) (may include LEA-Led Training for All

Teachers)

LEA: Perkins V Equitable Services to Non-Public Schools • Contracts or MOUs Between Non-Public Schools and the LEA to Provide CTE Services

LEA: Perkins V Charter Schools

• Charter Agreement(s) with LEA CTE Program

• Schedule of CTE PD Activities for Charter Schools Provided by the LEA and Proof of Invitation to PD

LEA-Level ESSER Questions LEA: ESSER 1.0

• ESSER 1.0 Learning Loss Plans

• ESSER 1.0 Additional Supporting Documents

LEA: ESSER 2.0 • ESSER 2.0 Learning Loss Plans

• ESSER 2.0 Additional Supporting Documents

LEA: ESSER 3.0 • ESSER 3.0 Learning Loss Plans

• ESSER 3.0 Additional Supporting Documents

LEA-Level Fiscal Questions LEA: Budgets and Revisions

• Approved Board Policy for Budgets/Revisions

• Procedures for Budgets and Budget Changes or Revisions

LEA: Travel • Approved Board Policy for Travel

• Travel Procedures

• Reimbursement Procedures

LEA: Equipment • Approved Board Policy for Equipment Management

• Equipment Management Procedures

• Equipment Log/Database

• Proof of Inventory Within Last Two Years (with Dates)

• Inventory Procedures

• Maintenance Procedure

• Maintenance Records

• Equipment Disposal/Sale Policy (Include Policy for Equipment Greater than $5,000)

• Disposition List

• Most recent School level inventory for Identified Schools

• Additional Proof of Inventory (if requested)

• If Applicable, Reports of Stolen items (Police Report Copy)

LEA: Procurement and Contracts • Written Code of Standards (Conflict of Interest Policy)

• Approved Board Procurement and Contracts Policy

• Procurement and Contracts Procedure

• Fully Executed Noncompetitive Contract (Sole Source)

• Noncompetitive (Sole Source) Rationale, Independent Quotes or Research

• Contract Amendments to Noncompetitive (Sole Source) Example (if applicable)

• Fully Executed Contract (Competitive)

• Bids or Quotes From Multiple Vendors (Competitive)

• Evidence of Review and Evaluation of Bids (Competitive)

• Contract Amendments to Competitive example (if applicable)

LEA: Cash Management • Approved Board Policy for Cash Management

• Cash Management Procedure

LEA: Compensation/Leave • Approved Board Policy for Compensation/Leave

• Compensation/Leave Procedure(s)

LEA: Personnel • Approved Board Policy for Payroll and Time and Effort

• Time and Effort Documentation as Specified in the LEA’s Policies (e.g., Semi-Annual Certifications

Signed by Employee/Immediate Supervisor After-the-Fact for Personnel Funded by Grant(s)

Monitored or PARs/Monthly Activity)

• Two Periods of Time and Effort Documentation for Personnel Funded by Grant(s) Monitored

• Corrective Journal Entries, if applicable

• Position Description for Personnel Funded by Grant(s) Monitored

• Payroll Reports for Personnel Funded by Grant(s) Monitored)

• List of Federally Funded Employees Terminated or Separated Within the Last 12 Months

LEA: General Fiscal Requirements • Most Recent Single Audit Report

• FY22 General Ledger Cash Balance (141)

• FY21 General Ledger Cash Balance (141)

• Prior 142 General Ledger Carryover Balances

• FY22 General Ledger Cash Balance (142)

• FY21 General Ledger Cash Balance (142)

• Current 399 General Ledger

• Current 499 General Ledger

• Current 599 General Ledger

• Expenditure Reports/Records – General Ledger/Account Detail

• Implementation Documentation (Tracking Expenditure Through Entire Process – PO Through

Reimbursement Request)

• LEA Operating Budget

LEA: ESSA Use of Funds • Supplement Not Supplant Evidence

• Maintenance of Effort Reporting

• Evidence That the LEA Demonstrated that the Level of State and Local Funding Remains Constant

From Year to Year (Maintenance of Effort reporting requirement). ESEA §8521

• Title I, Part A Administrators Job Descriptions (Including Paid via Con Admin)

• All Working Papers Including Bids, Requisitions, Packing Slips, Invoices and GLs for 3 Reimbursement

Requests for All ESEA Grants

LEA: IDEA Use of Funds • Proof of Maintenance of Effort (SEER Report)

• Statement of Expenditures

• Agreement with Non-Public Schools to Evaluate Non-Public/Homeschool Students

• Third-Party Service Contracts

• Contact Logs/List of Eligible Students (PII Redacted)

• Payroll Register for Homebound Teachers (Not Providing Services to Students with Disabilities)

• All Working Papers Including Bids, Requisitions, Packing Slips, Invoices and GLs for 3 Reimbursement

Requests for All IDEA Grants

LEA: Perkins V Use of Funds • Perkins V Administrators Job Description(s)

• Perkins V-Specific Policies or Procedures for Travel, Food, and Conference Costs

• Waiver, if applicable.

• Example of Perkins V PAR

• All Documentation Supporting the Most Recently Approved Reimbursement Request for this Grant - Receipts, Purchase Orders, Inventory List, Requisition, Check or Credit Card Statement, etc.

• Inventory List for Equipment and Sensitive Items with a Useful Life of More than One Year

LEA: ESSER (1.0, 2.0, & 3.0) Use of Funds • ESSER Administrators Job Descriptions (if applicable)

• Construction Evidence (bids, contracts, etc.) (if applicable)

• Evidence of Compliance with the Davis-Bacon Act (if applicable)

• ESSER 1.0 Receipts and Documentation Matching Most Recent Reimbursement Request

(Reimbursed by the Time of Submission of This Instrument)

• ESSER 2.0 Receipts and Documentation Matching Most Recent Reimbursement Request

(Reimbursed by the Time of Submission of This Instrument)

• ESSER 3.0 Receipts and Documentation Matching Most Recent Reimbursement Request (Reimbursed by the Time of Submission of This Instrument)

LEA-Level Neglected and/or Delinquent Questions LEA: Students Served by Neglected and/or Delinquent Programs

• Facility Monitoring Document the LEA Uses to Monitor the Facility

Other Resources

Resources: ePlan TDOE Resources: FPO/CFO Regional Consultants LEA Assignments

FPO Assigned Divisional Coordinator Map

OCFO Assigned Consultant Map

ePlan TDOE Resources: Monitoring Folder

FY22 Results-Based Monitoring Risk Analysis Guide

Points of Contact: FPO.Monitoring@tn.gov Stan Cook, Middle TN Monitoring Specialist Stanley.Cook@tn.gov (615) 772-3253

Laura Dunn, IDEA Compliance Coordinator Laura.Dunn@tn.gov (615) 961-1331

Michael Gateley, Perkins Compliance Coordinator Michael.Gateley@tn.gov (931) 349-7097

Alaina Suttle, Compliance Coordinator Alaina.Suttle@tn.gov (615) 664-8126

Geneva Taylor, Senior Director of Compliance Geneva.Taylor@tn.gov (615) 580-2039

Rob Taylor, Lead/East TN Monitoring Specialist Robert.Taylor@tn.gov (615) 829-9465

LaTrese Watson, West TN Monitoring Specialist LaTrese.Watson@tn.gov (615) 486-8022

Dustin Winstead, Fiscal Compliance Coordinator Dustin.Winstead@tn.gov (865) 253-5821