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Compliance Monitoring

Schools, districts, 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. Reviews may take place in person and/or through an online process.

At the end of each review, the state will complete a report of findings informs the school, district, or county office how to correct the findings.

The California Department of Education works to provide a simplified and streamlined monitoring through this process.


Compliance Monitoring Home | General Information | Reviews | 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.

The Federal Program Monitoring (FPM) Office coordinates reviews through a combination of data and document review and on-site visits. LEAs are assigned to one of four cycles: A, B, C, or D. Each year, CDE analyzes extensive data for all LEAs which receive categorical funds in two of the four cycles. 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 this established selection criteria, approximately 60 LEAs and sites 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.

2014–15 Cycle C Online FPM review LEA Survey

Cycle C LEAs are invited to participate in a Web-based survey related to the FPM process and CAIS. LEA feedback is essential to our on-going efforts to serve the LEA before, during, and after the monitoring process.

The survey has 14 questions and should take no longer than 20 minutes to complete. The survey will be open from May 19 to June 30, 2015.

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

LEA Monitoring Cycles (XLS; Posted 08-Jan-2014)
This document provides monitoring cycle information for all LEAs including direct funded charters.

LEA Monitoring Cycles by Region (XLS; Posted 05-Feb-2014)
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.

2015-16 School Year

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

2014-15 School Year

2014-15 LEAs Selected for Cycle A On-Site Reviews
2014-15 LEAs Selected for Cycle C 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 20, 2015, 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.

2015-16 School Year

2015-16 Schedule for Cycle B On-site Reviews (PDF; Updated 7-Jul-15)
2015-16 Schedule for Cycle D Online Reviews (PDF; Updated 7-Jul-15)

2014-15 School Year

2014-15 Schedule for Cycle A On-site Reviews (PDF; Updated 24-Feb-15)
2014-15 Schedule for Cycle C Online Reviews (PDF; Updated 20-Feb-15)

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) 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 17-Jul-15)
This document lists by region and local educational agency the unresolved, non-compliant program instrument items (over 225 calendar days) beginning with the 2010–11 school year. The California Accountability and Improvement System (CAIS) External link opens in new window or tab. 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

The CDE will conduct training in August 2015 for staff of LEAs selected for a 2015-16 Cycle B (Onsite) or a Cycle D (Online) FPM review. The following programs will participate in this training:

Locations and Dates

Southern California
August 4–5
Pomona Unified School District
Village at Indian Hill Conference Center.
1416 East Holt Avenue
Pomona, CA 91767

Northern California
August 12–13
various locations in proximity to CDE
1500 Capitol Avenue, Auditorium
Sacramento, CA 95814


There is no cost to attend this training, but advance registration is required.

Registration

The registration period has concluded. Please contact FPM office at fpmoffice@cde.ca.gov to request late registration.

Information related to FPM training.

2014–15 Local Educational Agency Training

2014–15 CAIS Overview for Monitoring Reviews Webinar External link opens in new window or tab.
Presentation materials from the CAIS Overview training on July 23, 2014.
Transcript of the 2014–15 CAIS Overview for Monitoring Reviews Webinar

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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

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

2014-15 Program Instruments
This page provides links to the 2014-15 Program Instruments for the fourteen 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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California Monitoring Tool (CMT)

The California 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.

California Accountability and Improvement System (CAIS)

The California Accountability and Improvement System (CAIS) External link opens in new window or tab. is a Web-based system 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.

CAIS was designed to enhance and streamline the Federal Program Monitoring (FPM) process by providing tools for storage and retrieval of LEA documents as well as electronic communication specific to compliance monitoring. Through an exclusive use and exchange of information between the CDE and LEAs, CAIS provides an opportunity for effective monitoring and targeted technical assistance.

Access to CAIS is limited to appropriate use managed by the CAIS support team. LEAs may request access, training, and assistance in using CAIS by e-mailing the FPM Office at fpmoffice@cde.ca.gov.

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

Correspondence

2015-16 Notification of LEAs Selected for Cycle B On-site Monitoring (Posted 04-Mar-2015)
March 4, 2015: Letter to Select County and District Superintendents regarding the Cycle B LEA selection for on-site review in 2015-16 school year of certain state and federal categorical programs operating within the LEA.

2015-16 Notification of LEAs Selected for Cycle D Online Monitoring (Posted 04-Mar-2015)
March 4, 2015: Letter to Select County and District Superintendents regarding the Cycle D LEA selection for online review in 2015-16 school year of certain state and federal categorical programs operating within the LEA.

2014-15 Notification of LEAs Selected for Cycle A On-site Monitoring (Posted 06-Mar-2014)
March 6, 2014: Letter to Select County and District Superintendents regarding the Cycle A LEA selection for on-site review in 2014-15 school year of certain state and federal categorical programs operating within the LEA.

2014-15 Notification of LEAs Selected for Cycle C Online Monitoring (Posted 06-Mar-2014)
March 6, 2014: Letter to Select County and District Superintendents regarding the Cycle C LEA selection for online review in 2014-15 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