2. IMPROVEMENT PLAN POLICY
ADHE is required to formulate policy and guidance with regards to
improvement plans and sanctions.
General description is contained in Arkansas Perkins State Plan
approved by OVAE.
Overview was provided at Perkins Fall Workshop.
Draft guidance is ready for distribution to institutions for feedback
prior to finalizing policy.
Webinar is foundation for discussion with presidents or other
appropriate campus representative since improvement plan status
may revise traditional approaches to use of Perkins funds.
Will have finalized policy by late February, 2010 so that improvements
plans can be prepared by March 31, 2010.
3. SECTION 123: IMPROVEMENT PLANS
ADHE must evaluate the CTE activities of each local recipient that
receives Perkins funds.
Local recipient must implement an improvement plan for any core
indicator that fell below 90% of the core indicator performance
targets.
Improvement plan must give special consideration to performance
gaps of special populations.
If ADHE determines that the local recipient is not properly
implementing its annual plans, or is not making substantial progress
in meeting its performance targets, ADHE shall provide technical
assistance to the local recipient to implement an improvement plan.
4. SECTION 123: SANCTIONS
ADHE may withhold from the local recipient a portion or all of the
local recipient's annual allocation if the local recipient:
fails to implement an improvement plan.
fails to make any improvement within the first program year of
implementation of its improvement plan.
fails to meet at least 90% of the performance target for the same
core indicator 3 consecutive years.
ADHE shall use withheld funds to provide through alternative
arrangements services and activities to students within the area
served by such recipient to meet the purposes of Perkins IV.
ADHE will provide notice and opportunity for a hearing before
sanctions are imposed.
5. STEPS IN IMPROVEMENT PLAN and
SANCTIONS PROCESS
Perkins Handbook Reference (to be revised)
IP Year 1 2009-10:
State will monitor development of Improvement Plan and approve Annual Plan based upon needs
identified in Improvement Plan. State and local will review current Annual Plan to determine if
amendments need to be made in 2009-10 funded activities.
IP Year 2 2010-11:
State staff will continue to monitor and provide technical assistance and may also prescribe uses
of funds.
IP Year 3 2011-12:
State staff will continue to provide technical assistance and monitor the recipient for
improvements. Staff may become more prescriptive with use of funds.
IP Year 4 2012-13:
State staff will continue to provide technical assistance and monitor the recipient for
improvements. Staff may recommend that a portion or all of the recipient’s funds be redirected to
an alternate provider.
Recommendations for sanctions will be made by state staff to the ADHE director who will inform
the presidents of the affected institution.
Recommendation for sanctions will be submitted by ADHE to the State Board of Career
Education who has final approval authority.
6. SECTION 123: WAIVERS
In determining whether to impose sanctions, ADHE may waive
imposing sanctions:
due to exceptional or uncontrollable circumstances, such as
a natural disaster or a precipitous and unforeseen decline in the
financial resources of the eligible recipient
based on the impact on the local recipient's reported
performance of the small size of the CTE program operated by
the local recipient.
7. PERFORMANCE MEASURES
OVAE uses a 10-Year Growth Model to negotiate core indicator
performance targets.
The same model is used by ADHE to negotiate local core indicator
performance targets.
Model assumes that at the end of 10 years, core indicators 1P1-4P1
would achieve 100% and 5P1 and 5P2 would achieve 25%.
Annual increases are determined based upon the difference in
beginning baselines and the 100%/25% ten-year targets.
8. 10-YEAR GROWTH MODEL
Transition Year 1 Year 2 Year 3 Year 4 Year 10
Gap
Actual Actual Negotiated Negotiated Predicted Predicted (Target
less Annual
Indictor Baseline PYE08 PYE09 PYE10 PYE11 PYE12 2018 Base) Increase
STATE
1P1 49.96 78.82 77.62 58.78 64.67 69.67 100.00 50.04 5.00
2P1 68.16 59.11 66.44 74.00 78.00 81.18 100.00 31.84 3.18
3P1 25.33 63.07 41.67 50.00 58.40 100.00 84.00 8.40
4P1 64.12 62.46 59.75 68.00 73.00 76.59 100.00 35.88 3.59
5P1 23.73 19.96 21.95 23.93 24.03 24.16 25.00 1.27 0.13
5P2 14.43 16.90 19.63 14.63 14.73 15.79 25.00 10.57 1.06
9. SECTION 113: ACCOUNTABILITY
Purpose:
To assess the effectiveness of state/local efforts to achieve progress in
CTE.
Optimize return on investment of federal funds
Federal/State/Local negotiated targets based on 10-year growth
model
Locals must accept state levels or negotiate a different target
Locals must provide data required to calculate performance targets
Data must be disaggregated for each core indicator
Data must allow state/locals to identify and quantify any disparities
or gaps in performance between sub-groups of students and all
students (race/gender/special populations/CTE program area)
10. 5-STEP IMPROVEMENT PROCESS
STEP 1
Document STEP 2
Performance Results Identify
Root Causes
STEP 3
STEP 5
Choose
Implement
Best Solutions
Solutions
STEP 4
Pilot Test and
Evaluate
Best Solutions
11. 5-STEP IMPROVEMENT PROCESS
STEP 1
Document
Performance Results
Data collection by locals
Performance documentation must also include subgroups
Race/Gender/Special Populations/CIP Program Area
Valid, reliable, complete
Failure to report required data is also cause for improvement plan
Compare performance levels between institutions (state and
national), across diverse student populations, and across different
program areas
Document over time using statistics, charts and graphs
Understand the problem completely before you seek solutions.
12.
13. 5-STEP IMPROVEMENT PROCESS
Analyze performance data. STEP 2
Determine the most important and direct Identify
causes of performance gaps. Root Causes
May require use of supplemental data
from a variety of college, community,
national sources.
Root causes should be limited to those
which can logically be addressed by
improvement strategies and specific
solutions.
Use multiple methods to identify and
evaluate potential causes.
Select a few critical root causes as the
focus of improvement efforts.
Don’t settle for conventional wisdom and symptoms. Never stop asking why.
14. 5-STEP IMPROVEMENT PROCESS
Identify and evaluate potential solutions to performance
problems.
Include both improvement strategies and program models.
Review and evaluate the underlying logic of these solutions
and the empirical evidence of their demonstrated
effectiveness.
STEP 3
Choose
Best Solutions
Don’t be too quick to adopt best practices before getting the facts straight.
15. 5-STEP IMPROVEMENT PROCESS
If needed and if appropriate, conduct pilot testing and
evaluation of solutions on a smaller scale before choosing to
implement major program strategies.
Use practical but rigorous methods and tools for evaluating
solutions.
STEP 4
Pilot Test and
Evaluate
Best Solutions
Make sure the strategy works somewhere before you attempt it everywhere.
16. 5-STEP IMPROVEMENT PROCESS
Implement chosen strategies.
Implementation should include a
method of evaluation.
Prepare to include implementation
strategies in Local Annual Plan.
STEP 5
Implement
Solutions
Don’t say the problem is solved until strategies have been fully implemented
and results achieved.
17. TIMELINE
January 22, 2010 PYE09 performance results provided to institutions
March 31, 2010 Improvement plans due to ADHE
April 30, 2010 ADHE approves improvement plans
June 1, 2010 PYE11 Annual Plan due to ADHE
July 1, 2010 Activities in support of improvement plan implemented as part of
PYE11 Annual Plan
November 2010 Performance results for PYE10 provided to institutions;
determines whether institutions are released or must remain in
improvement plan status
December 31, 2010 Mid-year improvement plan status report due to ADHE
August 15, 2011 Improvement Plan Report and Annual Plan Program Report due to
ADHE
18. Portal Format
IMPROVEMENT PLAN FOR CORE INDICATOR: __drop down box____
Program Year to Begin Implementation: ____drop down box________
Describe Staff Involvement (Describe who was involved in developing the
Core Indicator Improvement Plan.)
Institutional Approval (Improvement Plan requires signature of institutional
president/chancellor. An Improvement Plan Assurances page contained in the
portal must be printed, signed and forwarded to ADHE before the improvement
plan is approved.)
19. Portal Format
STEP 1
Document
Performance Results
Document Performance Results (Describe the performance (current and
historical) of CTE students in the core indicator area. The description
should be thorough, including an analysis by race, gender, special
populations, and CIP program area. Describe source of data used if other
than that supplied by ADHE.)
Overall
By Race
By Gender
By Special Populations
By CIP Program Areas
20. Portal Format
STEP 2
Identify
Root Causes
Identify Root Causes (Use the analysis of performance results to
determine the most important and most direct causes of the performance
gaps, with particular emphasis on special populations. Describe these root
causes so that solutions can be developed.)
Overall
By Race
By Gender
By Special Populations
By CIP Program Areas
21. Portal Format
STEP 4 STEP 3
Pilot Test and Choose
Evaluate Best Solutions
Best Solutions
Select Best Solutions (Identify and evaluate potential solutions to
performance problems with particular emphasis on improving performance
of sub-groups. Determine strategies that can improve performance. If
appropriate, identify those that will utilize a pilot project prior to full
implementation.)
22. Portal Format
STEP 5
Implement
Solutions
Implement Solutions (Describe activities that will be included in the next
Annual Plan cycle and how those activities will be evaluated. Describe non-
Perkins resources that may be used to supplement Perkins funding.)
23. Portal Format
Current Year Amendments:
Review current annual plan to see if funds need to be reallocated to
improvement plan areas. Describe possible amendments.
Report Mid-Year Progress:
Evaluate progress and provide update to ADHE by December 31 each year.
Report Annual Progress
Evaluate progress after one year to determine if it is necessary to continue the
Improvement Plan. If so, amend each section of the Core Indicator Improvement
Plan and submit to ADHE for approval by August 15 each year.
