UNI1ED STA1ES DEPARTMENT OF EDUCATION 


OFFICE OF ELEMENTARY AND SECONDARY EDUCATION 


January 9, 2017 

Bill Beardsley 

Deputy Commissioner 

Maine Department ofEducation 

23 State House Station 

Augusta, ME 04333 

Dear Mr. Beardsley, 

On August 11, 2016, staff from the U.S. Department ofEducation (ED) the Department 

conducted a Part B Desk Monitoring of Maine's implementation of its approved Preschool 

Development Grant (PDG)-Expansion Grant. 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 ofeach 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 desk monitoring included discussions related to all projects in the approved scope ofwork, 

including grants management, high quality new and improvement program, early learning 

standards, comprehensive services, workforce development, and sustainability. 

Enclosed is a summary report based upon this review. The report includes highlights ofMaine's 

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

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

implements PDG consistent with its approved application, scope of work, and timelines 

identified in its project plans. 

We want to thank you and your staff for your cooperation during the Part B Desk monitoring 

process, and for your tremendous efforts in providing high quality preschool opportunities 

through the Preschool Development Grant. It is not necessary to provide a written response to 

this report. We hope you will continue to communicate any needs or concerns to your ED 

project officer. 

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

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

youngest children. 
Sinc€r~ly, I ' 

Libby Doggett 

Deputy Assistant Secretary 

for Early Learning 

Office ofElementary and Secondary Education 

U.S. Depaitment ofEducation 

Enclosure 
Page 3 

PDG Desk Monitoring Report 

Monitoring 

State Lead Agency 

Information 

Maine Depa1tment ofEducation (MDE) 

State Participating Agency(s) Maine Department ofEducation(MDE) 

Grant Period January 1, 2015-December 31, 2019 

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

PDG Monitoring Period 

PDG Monitoring Activity (Desk or 

Onsite) 

May 2016- September 30, 2016 

Part B Desk Monitoring 

Monitoring Review Date(s) August 11, 2016 

State Participants/Project Leads Deb Lajoie, Preschool Expansion Grant Manage:­

Sue Reed, Early Childhood Consultant 

U.S. Department of Education 

Project Officer(s) 

Ruben J Vazquez, 

Overview ofPDG Monitoring 

The Department ofEducation and the Department ofHealth and Human Services (the Depa:-tments) are 

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 

Departments have designed a monitoring process to assess a State's implementation ofthe program 

requirements and its approved Scope ofWork for PDG and the State-level systems and processes 

needed to support implementation. 

During the recent Part B Desk Monitoring, State implementation ofPDG was reviewed across several 

key areas: Capacity Building and Increasing Slots, Subrecipient Monitoring, Birth to Third Grade 

Continuum, Budget and Sustainability and Fiscal Accountability, which 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 :heir 

families. 
Page4 

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

• 	 Maine is a PDG Expansion State and the Department is conducting Part B Desk Monitoring on 

all PDG grantees; 

• 	 Maine's Annual Performance Report described unique recruitment efforts that the Department 

wanted to learn more about. 

The report contains the following sections: 

• 	 Summary of Visit This section describes, in brief, the topics covered, the lead·agency and 

subrecipients 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 the 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 the 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 of its 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 ofDesk Monitoring 

The PDG Part B Desk Monitoring was held August 11, 201 6. The State provided the Department with 

an abundance ofpertinent grant materials prior to the conference call. Upon review ofthe 

documentation the Department was impressed that all elements ofthe definition ofHigh-Quality 

Preschool Programs were embedded into the contracts with each ofthe twelve High-Need Communities 

implementing PDG programs. 

Highlights ofthe State's PDG Implementation 

• 	 Maine's Rule Chapter 124: Basic Approval Standards: Public Preschool Programs has been 

formally adopted by the Department ofEducation which requires programs to meet high-quality 

preschool programming. This rule also establishes procedures for the monitoring ofschool 

districts that operate a public preschool program by which the Maine Department ofEducation 

will determine compliance with applicable standards. 

• 	 Maine requires all its subgrantees to hire teachers with Bachelor's degree for the PreK program. 

Teachers must be paid commensurate to the salary ofa PreK teacher in that local school system. 

Payroll records are checked during monitoring to ensure that this requirement is implemented. 

• 	 Maine requires all subgrantees awarded PDG funds to submit a detailed plan on how PDG funds 

would be used to carry out the activities and it' s designed to be a vehicle for continuous process 

improvement, communication and dialogue aimed at increasing operational effectiveness and a 

focus on project outcomes. The plan serves as a monitoring tool to provide the mechanism to 

ensure Maine and its subgrantees track the grant's activities and stay within timelines and goals 
Page 5 

• 	 All subgrantees collaborate with the Head Start programs in an effort to enrich relationships, 

communities and partnerships to further secure resources and collaborate for efficient and 

effective utilization ofall resources. Each subgrantee analyzes its program to understand the 

costs associated with high-quality preschool and works with their Head Start partner to braid 

funds. 

Status ofImplementation ofPDG 

In the Part B Desk Monitoring the Departments 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 of developing this activity, or the activity is 

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

with subrecipients and other stakeholders. 

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

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

other stakeholders. 

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

may be undergoing a process of evaluation or program improvement. Subrecipients, stakeholders 

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

Element Status 

Capacity Building and Increasing Slots - The State public awareness and recruitment 

activities are targeted towards eligible 4 years old 

children in high need communities and families 200 

percent below poverty. 

Level 2-Implementing 

The State's expansion efforts are targeted towards 

increasing the access to high quality preschool 

programs for 4 year olds. 

Level 3-Sustaining & Continuing 

Improvement 

The State has a plan to ensure that existing State 

Preschool slots met the twelve standards ofa High 

Quality Preschool Program under the PDG funding. 

Level 3-Sustaining & Continuing 

Improvement 

Subrecipient Monitoring 

The State Lead Agency has a process to monitor 

grant and sub-recipients activities to ensure 

implementation ofthe goals and performance 

measures outlined in the approved PDG State Plan. 

Level 3-Sustaining & Continuing 

Improvement 

The State is on schedule with its monitoring of 

subrecipients to ensure that all ofthe high quality 

standards for Preschool are met within PDG funded 

preschool classrooms. 

Level 3-Sustaining & Continuing 

Improvement 

The State is providing access comprehensive 

services to all children enrolled in the PDG funded 

preschool classrooms. 

Level 3-Sustaining & Continuing 

Birth to Third Grade Continuum 

The State has aligned the PDG funded program 

within the Birth to Third Grade Continuum ofearly 

.Level 3-Sustaining & Continuing 
Page 6 

learning standards and activities that help prepare 

children for kindergarten thru third j?;fade. 

The State is implementing a data collection system Level 2-Implementing 

for tracking student outcomes from prekindergarten 

to kindergarten entry through third grade. 

The State is implementing a transition protocol to Level 3-Sustaining & Continuing 

ensure that children transitioning from early care 

and education environments to kindergarten to third 

grade settings receive the supports necessary for a 

smooth transition. 

Budget and Sustainability 

The State has policies and procedures to track the Level 3-Sustaining & Continuing 

State and Subrecipient budget activities to ensure Improvement 

that funds are expanded according to State, Local 

and Federal procurement laws. 

The State has in place a system to track the "use of Level 3-Sustaining & Continuing 

funds" under the PDG grant. Improvement 

The State has a plan to ensure that High Quality Level 3-Sustaining & Continuing 

State Preschool Programs will remain ofhigh Improvement 

quality after federal funds are no longer available. - Fiscal Accountability . 

The State has policies and procedures in place to Level 3-Sustaining & Continuing 

ensure the grant funds are expended according to the Improvement 

federal laws outlined in the federal Super Circular 

and EDGAR. 

The State has a system in place to ensure that its Level 3-Sustaining & Continuing 

Subrecipients are meeting the federal laws ofthe Improvement 

Super Circular comply with the "supplement not 

supplant" requirements. 

Eleme11ts Requiri11g Next Steps: 

• 	 None 

Recomme11datio11s to Stre11gthe11 lmpleme11tatio11: 

• 	 MDE should continue to provide technical assistance to its subgrantees regarding rec:uitment of 

eligible families into the PreK programs in the hardest to reach communities, students with 

disabilities, and English Language Learners. 
UNI1ED STA1ES DEPARTMENT OF EDUCATION 


OFFICE OF ELEMENTARY AND SECONDARY EDUCATION 


January 10, 2017 

Secretary Rebecca Holcombe 

Vermont Agency ofEducation 

219 North Main Street, Suite 402 

Barre, Vermont 05641 

Dear Rebecca Holcombe: 

On September 26-28, 2016, a team from the U.S. Department ofEducation (ED) (the 

Department) conducted an onsite monitoring ofthe Vermont Agency ofEducation's (AOE) 

implementation ofits approved Preschool Development Grant (PDG). This monitoring aims to 

continue the collaborative relationship that began at the grant award and development o:the 

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 plans for its 

PDG Development grant; 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 grants management, high-quality preschool programs, early learning 

standards, comprehensive services, workforce development, and sustainability. During the visit, 

ED project officers visited the Vermont Agency ofEducation and several Preschool classrooms 

located in five high-need communities: Capstone Head Start, St. Johnsbury School District, 

Northeast Kingdom Head Start, Chittenden Central Supervisory Union and Burlington School 

District. 

Enclosed is a summary report based upon this review. The report includes highlights of 

Vermont's implementation ofPDG and a snapshot ofVermont's progress under each PDG key 

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

that Vermont implements PDG consistent with its approved application, scope ofwork, 111d 

timelines identified in its project plans. 

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

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

Development Grant. As we have discussed and as detailed further in this report, Vermont is 

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

corrective action is expected by January 30, 2017. We hope you will continue to communicate 

any needs or concerns to your ED project of:ficer(s). 
We look forward to continuing our work with you and supporting Vermont's technical assistance 

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

Vermont's youngest children. 

S:=;JJJ 

Libby DoJett Y 

Deputy Assistant Secretary 

Office ofEarly Learning 

Office ofElementary and Secondary Education 

U.S. Department ofEducation 

Enclosure 
UNITED STATES DEPAR1MENTOF EDUCATION 


OFFICE OF ELEMENTARY AND SECONDARY EDUCATION 


PDG Site Visit Report 

Monitoring Information 

State Lead Agency Vermont Agency ofEducation 

State Participating Agency(s) Vermont Agency 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 Onsite 

or Onsite) 

Monitoring Review Date(s) September 26, 2016-September 28, 2016 

State Participants/Project Leads Karin Edwards, Kate Rodgers, Ben Allen 

U.S. Department of Education Ruben J Vazquez and Steven Hicks 

Project Officer(s) 

Overview ofPDG Monitoring 

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

implement the expansion of high-quality preschool programs 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 c·fWork 

for PDG and the State-level systems and processes needed to support implementation. 

During the recent onsite monitoring, Vermont's implementation ofPDG was reviewed a:;ross 

several key areas which represent the core priorities for implementation as outlined in the PDG 

Monitoring Tool: Capacity Building and Increasing Slots, Subrecipient Monitoring, Birth to 

Third Grade Continuum, Budget and Sustainability, and Fiscal Accountability. In each <E"ea, 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. 

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

• 	 Vermont has had challenges fully implementing new high-quality preschool programs; 

and 

• 	 Vermont's number and percentage ofchildren to be served in year 1 is significantly less 

than the target numbers identified in the State application. 

The report contains the following sections: 

• 	 Summary ofVisit This section describes, in brief, the topics covered, the lead agency 

and subrecipients 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 the 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 the 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 inforoation 

related to the State's implementation ofPDG not included elsewhere. 

Summary ofVisit 

The PDG onsite monitoring visit for Vermont was conducted September 26-28, 2016. During the 

first day ofthe visit, ED project officers discussed a variety oftopics with the Vermont Agency 

ofEducation {AOE) and Vermont Agency ofHuman Services (AOHS) staffpertaining tJ PDG 

implementation. Discussions included the targets and actual number ofstudents served; 

recruitment of educators with high staffqualifications; challenges with space and buildings; 

comparable salaries; non-Federal matching funds; processes for tracking funds and reimbursing 

subgrantees; outreach activities such as student recruitment; and the State's capacity to create 

new and improved high-quality preschool slots. On the same day, ED, AOE and AOHS officials 

visited Capstone Community Action. Capstone Head Start, a Head Start center administered by 

Capstone Community Action, provides early care and education services to low-income ~hildren 

and engages families in their children's development and well-being serving the counties of 

Lamoille, Orange and Washington. Capstone Head Start offers an inclusive 6 Yi - hour- 1ay 

preschool program for 13 children. Capstone Head Start provides children and families a broad 

range ofservices that lead to positive child outcomes including: parent education and tra:ning, 
family health and nutrition resources, access to physical and mental health services, disability 

services, and resources on assisting with child behavior and more. 

The second day ofthe visit, ED, AOE and AOHS officials visited two PDG sites: St. Johnsbury 

School District and Northeast Kingdom Head Start. The Johnsbury School District offers a fullday preschool program for 43 students. The Johnsbury School District provides all sites 

guidance on working with children and families, instructional equipment and materials, 

professional development, playground equipment, and furniture. The Northeastern Kingdom 

Head Start offers a full- day preschool program for 20 children. In addition to providing highquality preschool programs and family programs, the Northeastern Kingdom Head Start provides 

eligible PDG children with a comprehensive health program that includes immunizatior:s, 

medical, dental, mental health, and nutritional services; services for children with special needs; 

and parental involvement training that includes parenting education. 

The final day ofthe visit, ED, AOE and AOHS officials visited Chittenden Central Supervisory 

Union and Burlington School District. The Chittenden Central Supervisory Union and 

Burlington School District offer full-day programs, serving 14 children and 15 children 

respectively. Both subgrantees offer a broad range ofservices which include: parental 

involvement, home visits, instructional materials, professional development. 

During the afternoon, ED staffmet with AOE officials to discuss preliminary observaticns from 

the visit including: State monitoring ofsubgrantees, professional development for subgrantees 

and future strategies for identifying more for dual language learners. Additionally, ED and State 

staffdiscussed the State's challenges serving the targeted number ofchildren resulted in 

discussions about potential solutions, such as additional outreach options and recruitment efforts. 

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 subrecipients 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 

subrecipients 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. 

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

have been established. 
Element Status

Capacity Building and Increasing Slots 

The State public awareness and recruitment Level 2-lmplementing 

activities are targeted towards eligible 4 year old 

children in high need communities and families 200 

percent below poverty. 

The State's expansion efforts are targeted towards Level I -Developing 

increasing the access to high quality preschool 

programs for 4 year olds. ' 

The State has a plan to ensure that existing State Level I -Developing 

Preschool slots met the twelve standards of a High 

Quality Preschool Program under the PDG funding. 

Subrecipient Monitoring 

Level I -Developing 

grant and sub-recipients activities to ensure 

implementation ofthe goals and performance 

The State Lead Agency has a process to monitor 

measures outlined in the approved PDG State Plan. 

The State is on schedule with its monitoring of 

subrecipients to ensure that all ofthe high quality 

standards for Preschool are met within PDG funded 

preschool classrooms. 

Level I-Developing 

The State is providing access to comprehensive 

services to all children enrolled in the PDG funded 

preschool classrooms. 

Level 2-Implementing 

Birth to Third Grade Continuum ' 

The State has aligned the PDG funded program Level 2-Implementing 

within the Birth to Third Grade Continuum ofearly 

learning standards and activities that help prepare 

children for kindergarten thru third grade. 

The State is implementing a data collection system Level 2-Implemertting 

for tracking student outcomes from prekindergarten 

to kindergarten entry through third grade. 

The State is implementing a transition protocol to Level 2-Implementing 

ensure that children transitioning from early care 

and education environments to kindergarten to third 

grade settings receive the supports necessary for a 

smooth transition. 

Budget and Sustainability -

The State has policies and procedures to track the Level I -Developing 

State and Subrecipient budget activities to ensure 

that funds are expanded according to State, Local 

and Federal procurement laws. 

The State has in place a system to track the ''use of Level I -Developing 

funds" under the PDG grant. 

The State has a plan to ensure that High Quality Level I-Developing 

State Preschool Programs will remain ofhigh 

quality after federal funds are no longer available. 
Fiscal Accountability r 

The State has policies and procedures in place to 

ensure the grant funds are expended according to the 

federal laws outlined in the federal Super Circular 

and EDGAR. 

Level I -Developing 

The State has a system in place to ensure that its 

Subrecipients are meeting the federal laws ofthe 

Super Circular and comply with the "supplement not 

supplant" requirements. 

Level I -Developing 

Highlights ofthe State's PDG Implementation 

• 	 AOE is fully implementing Universal Pre-Kindergarten (Pre-K) State Program for all 3, 4 

and 5 year old children who are not enrolled in Kindergarten in Vermont. The new law, 

Act 166, requires school districts to provide access to at least 10 hours ofinstruction for 

35 weeks to any preschool-aged child. 

• 	 AOE requires that all educators in preschool programs be licensed. To be eligible for an 

educator's license, a professional must have a Bachelor's Degree or a Master's Degree in 

a field related to early childhood education. 

• 	 Vermont Early Learning Standards (birth through grade 3) were approved by the State 

Board ofEducation in August 2015 and the State provided regional trainings and support 

for all PDG subgrantees. 

Recommendatio11s to Stre11gthe11 Implementation 

• 	 The AOE has not demonstrated that it is providing enough technical assistance for its 

subgrantees. The State should develop a timeline and plan to provide technical assistance 

to PDG subgrantees on a regular basis. The State should consider providing additional 

training to its sul?grantees; for example, monthly calls, webinars, technical assistance 

meetings and/or annual PDG conferences. 

Eleme11ts Requiri11g Next Steps: 

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

year, the Department has noted its concern about AOE's implementation ofits PDG grant. The 

areas ofconcern are: State capacity and ability to increase the number ofhigh-quality preschool 

slots; sub-recipient monitoring; and fiscal accountability. As a result ofits program review and 

ongoing monthly calls, the Department is imposing a Corrective Action Plan (CAP) targeted on 

the following areas: 

1. 	 Pre-K facilities and staff across the State have been working to implement Act 166, 

which has impacted the number offacilities and staff that can participate in the PDG 

subgrants. The Department has approved Vermont's revised plan and targets for serving 
eligible children in PDG-funded classrooms. As many ofVermont's low income 

children participate in the State's universal PreK, the Department encourages AOE to 

continue working with Head Start programs to provide high-quality preschool program 

improved slots to eligible children, as it committed to in its approved application. By 

January 30, 2017, Vermont must submit a plan to meet or exceed the revised targets for 

numbers ofchildren served in High-Quality Preschool Programs in Years 3 and 4. If 

AOE is not able to make create new and/or improved slots to provide preschool programs 

under this grant, the State must find other methods ofoutreach/recruitment and/or secure 

new subrecipients to help meet its program goals. Vermont must also spend at least 95% 

ofits PDG funds on High-Quality Preschool Programs for Eligible Children 

2. 	 AOE has not implemented a process to monitor PDG subgrantees for compliance with all 

programmatic and fiscal requirements. By January 30, 2017, AOE must submit to ED a 

revised plan, for monitoring its PDG subgrantees, including procedures, protocols, and a 

schedule, as well as evidence that the State is implementing this plan beginning in Spring 

2017. The AOE must also submit to ED evidence that the State has established 

corrective action procedures to ensure that PDG subgrantees effectively address and 

resolve compliance issues and that it provides PDG subgrantees an explanation ofany 

concerns, recommendations and/or commendations, and clear expectations and timelines 

for resolving such concerns. For example, the State could propose to establish a 

procedure by which it provides subgrantees with formal reports following every 

monitoring visit containing such information. 

3. 	 On September 23, 2016, the Vermont Agency ofEducation submitted an amendment 

request to decrease the number ofchildren served in PDG classrooms, as well as to 

update its budget to more accurately reflect the cost of a high-quality preschool program 

slot. The AOE must submit to ED a revised, detailed scope ofwork and budget 

reflecting all changes associated with this amendment. 

Additional Comments 

As part ofthe grant requirement, AOE submitted a Scope ofWork (SOW) that was reviewed and 

approved by the Department. The SOW should be updated monthly, a week prior to the monthly 

call, to consistently record timelines as they shift. Vermont has not updated the SOW regularly. 

The project officer will continue to monitor the progress through monthly phone calls. 
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) 

• State's new and improved slots targets 

• Fiscal Requirements 

• Subgrantee Monitoring 

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 of CAP Progress 

• 6 month review by Project Officer from date of signed CAP 

Summative Review of CAP Progress 

• 12 month review by Project Officer from date of signed CAP 
Corrective Action Plan (CAP} Template 

State Name: State Agency on Grant: 

!Vermont IVermont Agency ofEducation 

Project Officer Name : Date of Monitoring Visit: Plan Begi 

Ruben J Vazquez September 26-28, 2016 -

No. 

1 

!Areas Identified for Improvement 

[Building capacity and slots 

1 

isources of Information/Evidence rres po 

I (if applic 

!Revised Plan and Documentation showing capacity reached (and recruitment 

efforts) with eligible preschool children being served in a high quality 

e~hoo l program 

~ Sub-recipient monitoring !Revised Plan Evidence of feedback report to subgrantees including 

k:locumcntation of findings, reconunendations and commendations etc 

l3 Fiscal accountability Spend at least 95% ofits PDG funds on High-Quality Preschool Programs for 

Eligible Children 

4 
II. Goals and Professional Responsibilities 

~a Demonstrable Goals Staff Member Responsibilities Supervisor Res,,Onsibilides Completion Estimated 

No. _ - --­ -.. .. . .. --·--­ -·­ ~ .. - ···----­ --~ 

. ___ Pa!~ ___ Hours 

1 

. 2 

3 

~rea Demonstrable Goals Staff Member Responsibilities upervisor Responsibilities Completion Estimated 

No. Date Hours -

- .-,~-·- .. .... .. --· 

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. 

Lead Agency Signature: Date: ------­

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

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

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

Interim Review ofCAP Progress 

Area 

No. 

Demonstrated Progress .. 

- ·­•••""' 

Sources of Evidence ... 

. . -

CAP Revisions (if applicable) 

. -. -·-- -· .• ~· ... ... 

Review Dat e 

'"' 

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: 

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

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

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

Leadership Team Member Signature: ------------­ Date: _______ 
Summative Review ofCAP Progress 

~rea 

No. 

-

1 

Demonstrable Goals 

. -· ·-­ -· ,__ ~ 

-

' 

.. 

- --­

Expectations 

Met (Y)or 

Not Met (N) 

Sources of Evide.nce ­

~ ··--­ ~- - - -

Review Date 

-

. 

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: _ _ _