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Tier II (Desk, Phone, and Onsite) Reviews: Compliance and Implementation

Tier II reviews support LEAs with potential risks or non-compliance issues identified during tier I review to prevent or mitigate non-compliance. At the start of each school year, a limited number of LEAs will be selected for tier II review and follow-up, based on selection criteria below. CDE will notify LEAs selected for tier II monitoring, which consists of desk and onsite review. CDE will desk review all evidence and information submitted through tier I processes, and any additional evidence provided prior to the site visit. CDE will collaborate with LEAs to schedule and plan onsite visits to ensure efficient and effective processes.  For additional information about onsite planning, see Process section below. If either further evidence of compliance or corrective action are necessary, CDE will build the timeline and plans for LEA follow-up and follow-through with the LEA and provide technical support until compliance can be achieved.

Tier II reviews, which involve in-person monitoring, allow more direct assessment of the degree to which districts have met and implemented ESEA requirements than desk reviews. Onsite monitoring is important; no other process allows program consultants to assess the fidelity of implementation of approved plans and procedures directly. Onsite reviews, while an important information-gathering method, also are more labor- and time-intensive for both the LEA and CDE. However, through the use of the selection criteria, and tier I and desk reviews, CDE works to reduce this burden. Every effort is made to collect the necessary compliance evidence through desk review prior to the onsite visit.Please see the Monitoring Process page for more information. 

Selection Criteria for Tier II Review 

CDE has developed selection criteria to inform the level of participation and support LEAs will receive throughout the monitoring process.  These selection criteria are informed by information available to CDE and will not require LEAs to submit additional documentation. The selection criteria will be applied each summer to determine which LEAs will undergo tier II reviews during the subsequent school year. CDE will notify selected LEAs and collaborate with them to develop a schedule and plans. Selection criteria include:

  • Fiscal:
    • Date of last monitoring visit
    • Turnover in district personnel
    • Maintenance of Effort
    • Audits and Corrective Actions
    • Size of the Award
    • Reverting Funds/Excess Carryover
    • Suspended/Terminated Grants
    • Comparability
    • Late Fiscal Reporting
  • Accountability and program:
    • Number and percentage of LEA’s schools identified for support and improvement under ESSA
    • Non-compliance with equitable distribution of services to non-public schools
    • Inequitable distribution of teachers, based on CDE analyses
    • Non-compliance with supplement, not supplant provisions of Title I, Part A
    • Unauthorized delay in submittal of LEA’s Consolidated Application (excludes late submissions based on system delays/deadline extensions awarded by CDE) and other required documents
    • Non-compliance with universal indicators from the prior year desk review (first identification to occur in 2019-2020 based on spring 2019 desk review results)


Additionally, universal or desk monitoring results may warrant onsite visits to LEAs not identified using the selection criteria. LEAs identified as a result of desk reviews will be notified as soon as concerns have been identified, and CDE will collaborate with LEAs to schedule and plan onsite visits within six months of identification. For additional information regarding next steps, see Monitoring Follow-up section.