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Compliance Monitoring

School districts, direct-funded charter schools, and county offices that receive funding for certain programs may be chosen for a review by the state. The purpose of the review is to ensure that they are spending the funding as required by law. At the end of each review, the state will complete a report of findings that informs the school, district, or county office how to correct the findings.

The California Department of Education (CDE) works to provide a simplified and streamlined monitoring through this process. Within the CDE, the Federal Program Monitoring (FPM) office coordinates the monitoring reviews, which take place either in person or online.

  • The information below was developed for educators and others who work with the monitoring process in California.

Compliance Monitoring Home | General Information | Reviews | Training | Program Instruments | CAIS | CMT
Correspondence | Contact Information | Additional Federal and State Monitoring


General Information

Federal and state laws require the California Department of Education (CDE) to monitor implementation of categorical programs operated by local educational agencies (LEAs). LEAs are responsible for creating and maintaining programs which meet requirements.

LEAs are monitored to ensure that they meet fiscal and program requirements of federal categorical programs and mandated areas of state responsibility and funding in Economic Impact Aid—Limited English Proficient and State Compensatory Education (EIA-LEP and EIA-SCE), Physical Education, and Educational Equity.

LEAs may be selected for an on-site or online monitoring every two years. The Cycle Schedule by School Year demonstrates the distribution of the cycles for a four year period.

Several factors, including compliance history, academic achievement, program size, and fiscal analysis are considered in identifying LEAs for reviews. Using these established selection criteria, approximately 60 LEAs are selected for on-site or online monitoring. Several LEAs are also randomly selected each year for monitoring.

FPM Regional Team Leaders (RTLs) coordinate teams of select program monitors to conduct on-site or online monitoring of the LEA using the Program Instruments.

FPM Frequently Asked Questions
This page provides answers to frequently asked questions regarding the FPM process.

LEA Monitoring Cycles (XLS; Posted 16-Feb-2016)
This document provides monitoring cycle information for all LEAs including direct funded charters.

LEA Monitoring Cycles by Region (XLS; Posted 16-Feb-2016)
This document provides monitoring cycle information by region for all LEAs including direct funded charters. Regional assignments by county can be found on the Regional Team Leader Assignment Web page.

Cycle Schedule by School Year
This page provides information about the schedule of cycles for a four year period.

Monitoring Selection Criteria
Description of the risk factors including academic achievement, fiscal, and random process for the selection of LEAs for a review.

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Reviews

LEAs Selected for Reviews

This is the list of LEAs by county-district-school code selected for an on-site or online review. Information regarding the scheduling of the review and program information is available under the Review Schedules sub-header.

2016–17 School Year

2016–17 LEAs Selected for Cycle A Online Reviews
2016–17 LEAs Selected for Cycle C On-site Reviews

2015–16 School Year

2015–16 LEAs Selected for Cycle B On-site Reviews
2015–16 LEAs Selected for Cycle D Online Reviews

 

LEA General Information Request

CDE requires each LEA that will receive a Federal Program Monitoring (FPM) visit to provide LEA General Information. Please complete by March 25, 2016, this LEA General Information Request, which allows the CDE to consider local factors associated with the LEA when scheduling the FPM review.

Review Schedules

The Review Schedules include detailed information regarding FPM reviews. These schedules are organized by region and list the LEA name, Regional Team Leader, review dates, sites selected for review, and the programs participating in each review. These schedules are updated at the end of each month.

2016–17 School Year

2016–17 Schedule for Cycle C On-site Reviews (PDF; Posted 16-May-2016)
2016–17 Schedule for Cycle A Online Reviews (PDF; Posted 16-May-2016)

2015–16 School Year

2015–16 Schedule for Cycle B On-site Reviews (PDF; Updated 18-Dec-2015)
2015–16 Schedule for Cycle D Online Reviews (PDF; Updated 18-Dec-2015)

Resolution of Findings

Within 45 calendar days after the date of the Notification of Findings (NOF), the LEA must resolve each finding by uploading resolution documents to the California Accountability and Improvement System (CAIS) or CDE Monitoring Tool (CMT) and selecting the certification box. The LEA may use the resolution process in CAIS to request a Resolution Agreement to extend the resolution period beyond the due date on the NOF. CDE Program Reviewers approve or deny Resolution Agreement requests.

The Resolution Agreement period should allow for reasonable time to resolve findings but cannot exceed 225 calendar days from the last day of the review.

Unresolved FPM Findings

Unresolved FPM Findings | XLS (Updated 11-Jul-2016)
This document lists by region and local educational agency the unresolved, non-compliant program instrument items (over 225 calendar days) beginning with the 2014–15 school year. The California Accountability and Improvement System (CAIS) External link opens in new window or tab. and CDE Monitoring Tool (CMT) contains the current status of these non-compliant items.

For information related to the non-compliant items, please contact the assigned Regional Team Leader or appropriate participating program.

Training

Information related to FPM training.

2015–16 Local Educational Agency Training

CDE Monitoring Tool (CMT) Agency Hands On Training External link opens in new window or tab.
Recorded presentation of Hands On training for CMT from an agency perspective uploaded on November 12th, 2015.
Transcripts of CDE Monitoring Tool (CMT) Agency Hands On Training
CDE Monitoring Tool (CMT) Agency Hands On Training (PDF; Posted 16-Feb-2016)
PDF version of recorded presentation of Hands on Training for CMT from an agency perspective.

2014–15 Local Educational Agency Training

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Program Instruments

The FPM Instrument for each categorical program contains federal and state legal requirements organized into statutory core items and supporting items arranged under seven general CDE dimensions. FPM team members use Program Instruments to determine whether an LEA is meeting requirements of each item.

Program Instruments are developed and reviewed by the CDE on an annual basis and may change from year to year to respond to changes in federal or state law, regulations, or court cases.

Current Year Program Instruments

2016–17 Program Instruments
This page provides links to the 2016–17 Program Instruments for the programs participating in FPM reviews.

2015–16 Program Instruments
This page provides links to the 2015–16 Program Instruments for the programs participating in FPM reviews.

Prior Year Program Instruments

Prior year program instruments are available by request to the FPM Office at fpmoffice@cde.ca.gov.

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CDE Monitoring Tool (CMT)

The CDE Monitoring Tool (CMT) a new Web-based tool, developed by the California Department of Education (CDE) which allows the monitoring of local educational agencies (LEAs) to ensure that they meet fiscal and program requirements of federal categorical programs and State funding they receive.

For additional information regarding the California Department of Education’s use of CMT, please visit the CMT Web page.

California Accountability and Improvement System (CAIS)

As of June 30, 2016 was decommissioned. Users will no longer have access to information or documentation stored in the system after this date.

The California Accountability and Improvement System (CAIS) was a Web-based system which allowed the monitoring of local educational agencies (LEAs) to ensure that they met fiscal and program requirements of federal categorical programs and State funding they received.

CAIS was utilized from 2008 through June 2016 to support the monitoring implementation activities for the California Department of Education including LEA Plans, Single Plan for Student Achievement, School Improvement Grants, Title III plans, Special Education Division, and Federal Program Monitoring.

For additional information regarding the California Department of Education’s use of CAIS, please visit the CAIS Web page.

Correspondence

2016–17 Notification of LEAs Selected for Cycle A Online Monitoring (Posted 18-Mar-2016)
March 18, 2016: Letter to Select County and District Superintendents regarding the Cycle A LEA selection for online review in 2016-17 school year of certain state and federal categorical programs operating within the LEA.

2016–17 Notification of LEAs Selected for Cycle C On-site Monitoring (Posted 18-Mar-2016)
March 18, 2016: Letter to Select County and District Superintendents regarding the Cycle C LEA selection for on-site review in 2016-17 school year of certain state and federal categorical programs operating within the LEA.

Legislative Reports

Report to the Governor, Legislature, and Legislature Analyst's Office: Identification and Status of State Monitoring of County Court Schools and State Division of Juvenile Justice Schools (PDF; Updated 22-Aug-14)
December 2013: Supplemental Report of the 2008 Budget Act Item 6110-001-0001

Report to the Governor, Legislature, and Legislature Analyst's Office: Identification and Status of State Monitoring of County Court Schools and State Division of Juvenile Justice Schools (PDF; Recertified 27-Oct-2014)
December 2012: Supplemental Report of the 2008 Budget Act Item 6110-001-0001

Additional Federal and State Monitoring

The Additional Federal and State Monitoring page provides information related to the monitoring of LEAs and non-LEAs for programs outside the scope of the FPM process.

Contact Information

Regional Team Leader Assignments
Contact information for Regional Team Leaders and regional assignments.

FPM Participating Programs
Contact information for CDE programs participating in monitoring reviews.

County Office of Education Monitoring Leads
Contact, meeting, and training information for County Office of Education Monitoring Leads (COE Leads).

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Questions:   Federal Program Monitoring Office | fpmoffice@cde.ca.gov | 916-319-0935
Last Reviewed: Wednesday, July 13, 2016
Recently Posted in Compliance Monitoring
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    This letter informs local educational agencies(LEAs) selected for the 2016-17 School Improvement Grant (SIG) monitoring review.
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  • AE Program Instrument (PDF) (added 13-Jul-2016)
    Federal Program Monitoring Office review instrument for Adult Education and Family Literacy Act (AE) applicable for 2016-17 Cycle A and C reviews.