' " 


UNITED STATES DEPARTMENT OF EDUCATION 


OFFICE OF EIEMENTARY AND SECONDARY EDUCATION 


November 28, 2016 

Nicol Russell 

Arizona Department ofEducation 

1535 W. Jefferson Street, Bin #15 

Phoenix, Arizona 85007-3209 

Dear Nicol Russell 

On August !st-3rd, 2016, a team from the U.S. Department ofEducation (ED) the Department 

conducted an onsite monitoring ofArizona's implementation ofits approved Preschool 

Development Grant (PDG)-Development. This monitoring aims to continue the collaborative 

relationship that began at the grant award and development ofthe scope ofwork. It provides the 

Department with a deeper understanding of each State's overall performance; the successes, 

challenges, and strategies for the implementation ofits Preschool State Plan; and the fiscal 

management ofthe grant funds. It also helps us tailor technical assistance to each State's 

specific needs. 

The site visit included presentations and discussions related to all projects in the approved scope 

ofwork, including grant management, implementation ofhigh-quality programs (both new 

programs and improved existing programs), early learning standards, comprehensive services, 

workforce development, and sustainability. During the visit, ED project officers visited the 

Arizona Department ofEducation and preschool classrooms located in each ofthe following 

communities: Paloma and Fowler School Districts. 

Enclosed is a summal-y report based upon this review. The report includes highlights ofArizona 

implementation ofPDG and a snapshot ofArizona's progress under each PDG key areas. This 

report will be posted on the PDG website. The report includes "next steps" to ensure that 

Arizona implements PDG consistent with its approved application, scope ofwork, and timelines 

identified in its project plans. 

We want to thank you and your staff for your cooperation and hospitality during the site visit, 

and for your efforts in providing high-quality preschool opportunities through the Preschool 

Development Grant. We have discussed and as. detailed further in this report, Arizona is 

receiving a corrective action report as a result ofthe visit. As such, a written response to the 

corrective action is expected by January 5.2017. We hope you will continue to communicate any 

needs or concerns to your ED project officer (s). 

We look forward to continuing our work with you and supporting Arizona's technical assistance 

needs to ensure successful implementation ofPDG. Thank you for your commitment to 

Arizona's youngest children. 
Libby Doggett, 

Deputy Assistant Secretary 

for Early Leaming 

Office ofElementary and Secondary Education 

U.S. Department ofEducation 

Enclosures 
• Page 3 

PDG Site Visit Report 

'' ···. '.· 

State Lead Agency Arizona Department ofEducation

State Participating Agency(s) Arizona Department ofEducation

Grant Period January 1, 2015 - December 31, 2019 

Current Year of Grant January 1, 2016- December 31, 2016 

PDG Monitoring Period May 2016 - September 30, 2016 

PDG Monitoring Activity (Desk or Onsite

Onsite) 

Monitoring Review Date(s) August 1, 2016-August 3, 2016

State Participants/Project Leads Terry Doolan 

Nicol Russell 

Juliana Panqueva 

Alma Quintana 

U.S. Department of Education Tammy Proctor 

Project Officer( s) Steven Hicks 

Overview ofPDG Monitoring 

The Department ofEducation (the Department) is committed to supporting States as they implement the 

expansion ofnew and improved high quality preschool for eligible children through their PDG grant. 

Consistent with this commitment, the Department has designed a monitoring process to assess a State's 

implementation ofthe program requirements and its approved Scope ofWork for PDG and the Statelevel systems and processes needed to support implementation. 

During the recent onsite monitoring, Arizona's implementation ofPDG was reviewed across several key 

areas: Capacity Building and Increasing Slots, Sub recipient Monitoring, Birth to Third Grade 

Continuum, and Budget and Sustainability and Fiscal Accountability. These represent the core priorities 

for implementation as outlined in the PDG Monitoring Tool. In each area, the Department identified key 

elements that are required under PDG and are likely to increase the access to and quality ofState 

Preschool programs and lead to increased high quality opportunities for young children and their 

families. 

Arizona was identified for a site visit based on the following factors: 
Page4 

• 	 Arizona is a PDG Development State and the Department is conducting onsite visits ofall PDG 

Development grantees; 

• Arizona has experienced challenges implementing new full-day high quality preschool programs. 

The report contains the following sections: 

• 	 Summary ofVisit. This section describes, in brief; the topics covered, the lead agency and sub 

recipients visited, as well as personnel participation in any meetings or activities. 

• 	 Highlights ofthe State's Implementation. This section identifies key accomplishments in the 

State's implementation ofPDG as identified during tbe site visit. 

• 	 Status ofImplementation ofPDG. This section indicates the State's implementation progress 

based on the monitoring and information collected. 

• 	 Elements Requiring Next Steps. This section identifies any elements for which the State is not 

on target for meeting its timelines outlined in the approved scope ofwork and includes next steps 

that the State must take to meet tbe grant outcomes, as identified during the monitoring. 

• 	 Recommendations to Strengthen Implementation. This section provides recommendations to 

support the State in continuing to meet the goals and timelines ofits PDG grant, as identified 

during the monitoring. 

• 	 Additional Comment. As appropriate, this section includes any additional information related to 

the State's implementation ofPDG not included elsewhere. 

Summary ofVisit 

The PDG monitoring visit for Arizona was conducted during the week ofAugust 1-3, 2016. During the 

first day ofthe visit, ED project officers discussed a variety ofPDG implementation topics with the 

Arizona Department ofEducation (ADE) including the State's fiscal accountability procedures, 

monitoring protocol (ECQUIP), outreach activities, birth to third grade continuum, recruitment of 

teachers with bachelor's degrees, the State's capacity to create new high-quality preschool slots, and 

other topics that inlpact the implementation ofthe grant. 

The second day ofthe visit, ED and ADE officials traveled to Paloma School District to visit one 

classroom serving 20 students in a rural community. During the visit, ED and ADE officials met with 

the principal ofthe elementary school and discussed the district's successes, challenges and goals for 

increasing and sustaining preschool in Paloma. In addition, ED and ADE traveled to the Fowler School 

District where several improved slots in Head Start classrooms were observed. During the visit, ED and 

ADE officials met with the Superintendent, one principal, and the preschool coordinator and conducted 

classroom visits. On the third day ofthe visit, ED and ADE officials met to discuss the overall visit. 

ADE staff addressed questions and provided clarifications regarding the State's Preschool Program. ED 

staffprovided a preliminary assessment ofthe visit to include next steps in the monitoring process, 

highlights ofthe State's work, inlplementation concerns and preliminary suggestions for improvement. 

Highlights ofthe State's PDG Implementation 

• 	 ADE has used its funds to support the integration ofpreschool data gathered through Teaching 

Strategies GOLD into the Arizona Department ofEducation's State Longitudinal Data System, 

AZ Dash This effort will enable the High Need Communities to identify achievement gaps, 

pinpoint initiatives that best promote positive outcomes, and complete a longitudinal analysis of 

data. ADE's ultimate goal is to develop a secure, interoperable data network; identify and obtain 

the necessary permissions to access, store, and disseminate data and related findings to 

stakeholders; and establish pathways for data sharing and exchange. In year I ofthe grant, the 

----~--·----~---· -
Page5 

first phase ofthis work was completed with the transfer of archived Teaching Strategies GOLD 

data for approximately 85,000 students into the AZ, Dash data system. 

• 	 Arizona used its early learning "Program Guidelines for High-quality Early Education: Birth 

through Kindergarten" (PGHQ) document to identify and outline the elements ofhigh-quality 

preschool programs. To ensure that each early learning provider in PDG High Needs 

Communities (HNC) was properly equipped with knowledge ofthe PGHQ, ADE made available 

in-person professional development on the PGHQ, and hosted and recorded a webinar on the 

introduction to the PGHQ document. The recorded webinar was then made available to all PDG 

participants. Additionally, all sub-grantees were required to participate in AD E's Early 

Childhood Quality Improvement Practices (ECQUIP) process to ensure community collaboration 

on the implementation ofhigh-quality preschool progrannning is taking place. ADE also used 

the process as a way for the sub-grantees to link with the local education agency in their high 

need communities. 

Status ofImplementation ofPDG 

In the onsite monitoring the Department used a monitoring and accountability rubric to help determine 

progress ofthe State's implementation. The rubric includes three implementation status levels: 

• 	 Level 1 - Developing: the State is in the process ofdeveloping this activity, or the activity is 

very new. The State may be facing challenges in implementation, roll-out, or communications 

with sub recipients and other stakeholders. 

• 	 Level 2 - Implementing: the State has developed and implemented the activity, although the 

activity might still benefit from adjustments, training, or communications with sub recipients and 

other stakeholders. 

• 	 Level 3 - Sustaining & Continuing Improvement: the activity is well-established in the State, and 

may be undergoing a process ofevaluation or program improvement. Sub recipients, 

stakeholders and users have been trained and/or communications strategies have been 

established. 

The State public awareness and recruitment Implementing 

activities are targeted towards eligible 4 years old 

children in high need communities and families 200 

percent below poverty. 

The State's expansion efforts are targeted towards Implementing 

increasing the access to high-quality preschool 

pro!!rams for 4 year olds. 

The State has a plan to ensure that existing State Developing 

Preschool slots met the twelve standards of a High 

Quality Preschool Program under the PDG funding. 

Stjbxeci#l~liMonito~it .. .•· . : ... >;;>•./ ·. ·..·..~~;~~;,~;;,:.;.: t;.;i<:r,;.•,, ;;;. '''"~·.>I•"';; i,;. •··•·· ·> :.<\ ; · · •· .·, ' · • ·' ···· · 

The State Lead Agency has a process to monitor Implementing 

grant and sub-recipients activities to ensure 

implementation ofthe goals and performance 

measures outlined in the approved PDG State Plan. 

The State is on schedule with its monitoring ofsub Developing 

recipients to ensure that all ofthe high quality 
Page6 

standards for Preschool are met within PDG funded 


reschool classrooms. 


The State is providing access comprehensive 
 Implementing 

services to all children enrolled in the PDG funded 

preschool classrooms. 

The State has aligned the PDG funded program 


within the Birth to Third Grade Continuum of early 


learning standards and activities that help prepare 


children for kinder arten thru third ade. 


The State is implementing a data collection system 
 Implementing 

for tracking student outcomes from prekindergarten 

to kindergarten entry through third grade. 

The State is implementing a transition protocol to Implementing 


ensure that children transitioning from early care 


and education environments to kinder en to third 


grade settings receive the supports nee . ssary for a 


smooth transition. 


!iifu"l" ~&!~~,I - ' . , , ' :"""-""~-""'!:!~~"""""''' l!J§.£9!1.!!~·!W'A fllC""'liOJ

The State has policies and procedures 


.·~· 

· 1 place to 

track the 

State and Sub recipient budget activiti~s to ensure 


that funds are expanded according to Sf ate, Local 


and Federal rocurement laws. · 


The State has in place a system to trac . the "use of 
 Implementing 

funds" under the PDG ant. " 

The State has a plan to ensure that Higl!. Quality Developing 


State Preschool Programs will remain dfhigh 


uality after federal funds are no longei available. 


~-"~"ii e • , a~f 

The State has policies and procedures 

ensure the grant funds are expended ac~ording to the 

federal laws outlined in the federal Sup!ir Circular 

and EDGAR. ~ 

The State has a system in place to enswle that its Sub Implementing 

recipients are meeting the federal laws «•fthe Super 

Circular comply with the "supplement fitot supplant" . 	 ~ re urrements. 	 ·' 

f; 

Recommendations to Strengthen Imp/e411entation: ' • 	 ADE has not ensured that it can *affits PDG classrooms with at least one teacher with a 

bachelor's degree. The State shoitld explore its options for collaborating with institutions of 

higher learning across the State tq~ build partnerships to identify potential graduates in education 

and establish a teacher recruitmeiit and incentive plan. This will allow ADE to develop a registry 

ofBA teachers to support the Stafe Preschool Program. 

r 

• 	 ADE should explore their option~ for identifying additional high needs communities that have 

the capability to expand preschoql opportunities to students and who can meet the State's and the 

PDG grant requirements for a hif,h-quality preschool program in their communities. This will 

! 
Page7 

create options for Arizona to increase access to high-quality preschool programs and serve more 

children. 

Elements Requiring Next Steps: 

Through its onsite monitoring, annual performance reporting and continuous monthly calls over the past 

months, the Department has noted its concern about ADE's implementation ofits PDG grant. The areas 

ofconcern are: State capacity to increase the number ofhigh-quality preschool slots; and the capacity to 

ensure that PDG classrooms are staffed by at least one teacher with a bachelor's degree .. As a result of 

its program review and ongoing monthly calls, the Department is imposing a Corrective Action Plan 

(CAP) targeted on the following areas: 

1. 	 ADE must ensure that every PDG-funded preschool classroom has at least one teacher with a 

bachelor's degree. Specifically, ADE has been unable to staff all ofthe preschool classrooms 

with at least one teacher with a bachelor's degree. We note that the State is challenged with a 

significant teacher shortage and as a result, the State has changed some teacher certification 

rules. In 2016, the passage ofSB 1208 changed the requirement for teaching interns to allow 

individuals with Teaching Intern certificates - and who had not yet obtained bachelor's degrees ­

to teach in the State's public schools, subject to agreements between the educator preparation 

program provider, the provider's partner organization, and the local education agency. Despite 

these challenges, Arizona understands the importance ofhaving teachers with high staff 

qualifications in its preschool classrooms. The Department looks forward to the progress that 

Arizona will make staffing PDG classrooms with teachers with bachelor's degrees. 

2. 	 ADE must ensure that it meets or exceeds its currently approved targets for serving eligible 

children in high-quality preschool programs in years 2, 3 and 4 ofthe grant. Because there was 

not a teacher with a bachelor's degree in all PDG classrooms in year 1, the State did not meet its 

targets for year 1 oftheir grant. The Department looks forward to ADE moving forward with 

strategies to ensure an increase in the number of children served in preschool programs that 

meet all ofthe elements ofhigh quality, including that they are staffed by at least one teacher 

with a bachelor's degree. 

Additional Comments: 

ADE must submit a comprehensive plan to address the issues identified in the Corrective Action Plan 

(CAP) within 30 days ofreceiving the Corrective Action Plan and monitoring report. 
Corrective Action Plan (CAP) Template 

This Corrective Action Plan (CAP) template is a tool to help staff address the grant requirements in the PDG grant while working together to create 

meaningful, practical, and supportive CAPs. It uses the steps and tracking below. 

Step I. Areas Identified for Improvement (examples) 

• 	 BA Degree Teachers 

• 	 Full Day Preschool Program 

• 	 Comparable Teacher Salary 

Step II. Goals and Professional Responsibilities 

• 	 Goals and responsibilities to be developed for each area of deficiency 

• 	 Team has 30 days to submit CAP 

Step Ill. CAP Progress Summary 

• 	 Request a quarterly report in writing on the progress of the CAP with sub reports on targeted tasks 

monthly in advance of each monthly call with Program Officer 

Interim Review ofCAP Progress 

• 	 6 month review by Project Officer from date ofsigned CAP 

Summative Review ofCAP Progress 

• 	 12 month review by Project Officer from date ofsigned CAP 
Corrective Action Plan (CAP) Template 

State Name: State Agency on Grant: Date 

Arizona Arizona Department of Education 11-2-2016 

Project Officer Name : Date of Monitoring Vis!t'. Plan Begin/End Dates 

Tammy Proctor/Mary Moran ~ugust 151 -3'", 2016 

I. Areas Identified for Improvement 

2 eacher Qualifications 

plan describing how the State will meet or exceed its 

!currently approved targets for serving eligible children in 

high-quality preschool programs that meet all of the 

!elements of high quality, including that they are staffed by at 

least one teacher with a bachelor's degree, in years 2·4 of 

he grant 

Evidence that in year 2, PDG classrooms were staffed 

by at least one teacher with a bachelor's degree (e.g., 

Ian assurance from each subgrantee regarding each of 

heir PDG classrooms; evidence of communication with 

!each subgrantee regarding teachers with bachelor's 

'degrees). As needed, State will provide comparable 

!evidence for years 3 and 4. 

II. Goals and Professional Responsibilities 

1 
2 

3 

·• 

4 

5 

My signature below indicates that the leadership team and I have received a copy ofthis Corrective Action Plan and that I understand and contributed to 

its contents. 

Date: ______ 

Lead Agency Signature: ---------------­

Date:-----­ Leadership Team Member Signature:----------­

Date:-----­ Leadership Team Member Signature: ----------­

Date:-----­ Leadership Team Member Signature: ----------­
Ill. CAP Progress Summary 

Interim Review ofCAP Progress 

1 

2 

3 

My signature below indicates that the leadership team and I have reviewed the information recorded in the Interim Review of CAP Progress and that I 

understand its contents: 

Date:-----­ Lead Agency Signature: ---------------­

Date:-----­ Leadership Team Member Signature: -----------­

Date: ______ 


Leadership Team Member Signature: -----------­

Date:-----­ Leadership Team Member Signature: -----------­

,. 

Summative Review ofCAP Progress 

1 

2 

3 

My signature below indicates that the leadership team and I have reviewed the information recorded in the Summative Review ofCAP Progress and that I 

understand its contents: 

Lead Agency Signature: Date: 

Leadership Team Member Signature: Date: 

Leadership Team Member Signature: Date: 

Leadership Team Member Signature: Date:---­

,.