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ESSA Monitoring Overview
Monitoring the use of funds and program implementation under the Elementary and Secondary Education Act (ESEA), reauthorized as the Every Student Succeeds Act (ESSA) in December 2015, is an essential function of the Office of ESEA Programs at CDE. A fundamental purpose of monitoring is to assess the extent to which LEAs lead and guide their schools in implementing policies and procedures to improve the public education of historically underserved students through effective implementation of the following programs:
- Title I, Part A, Improving the Academic Achievement of the Disadvantaged
- Title I, Part D, Prevention and Intervention Programs for Children and Youth Who are Neglected, Delinquent
- Title II, Part A, Supporting Effective Instruction
- Title III, Part A, English Language Acquisition, Language Enhancement, and Academic Achievement Act
- Title IV, Part A, Student Support and Academic Enrichment Grants
- Title V, Part B, Rural Education Initiative
Monitoring of ESEA programs is conducted in order to ensure:
- All children have a fair, equitable, and significant opportunity to obtain a high-quality education, with a focus on access and opportunity for historically underserved students;
- Compliance with ESEA requirements and open opportunities to increase ESEA program impacts on improving student outcomes; and
- Taxpayer dollars are administered and used in accordance with how Congress and the United States Department of Education (ED) intended.
Tier I Review
As specified in Colorado’s ESSA State Plan and approved by ED, all LEAs that accept ESEA funds will participate in Tier I monitoring once during a multi-year cycle established by CDE. Tier I Monitoring activities provide a basic level of oversight of all LEAs receiving Federal funds, to ensure compliance with standard procedures required of all LEAs operating ESEA programs. Tier I monitoring is conducted through a desk review of information, data, and evidence submitted to CDE via various CDE processes and systems (e.g., the Consolidated Application, Unified Improvement Plans, data collections), as well as any additional evidence or documentation that is submitted by the LEA.
LEAs identified for Tier I monitoring will be informed of the program requirements that will be included in the monitoring process upon notification. When there is sufficient evidence to determine LEA compliance on the included indicators, LEAs will receive notice of such compliance. However, if existing processes do not comply with ESSA requirements, CDE will follow up with the LEA to obtain additional evidence or documentation. If further evidence of compliance or corrective action is necessary, CDE will work with the LEA to build a timeline and plans for demonstrating compliance in future reviews.
In an effort to continue to build capacity to ensure implementation of effective programs under ESSA, results of universal reviews will inform guidance and training development and delivery in subsequent years. CDE will identify and disseminate any exemplary practices to enhance practices across the state.
Tier II Review
A limited number of LEAs will be selected for Tier II monitoring each year. Districts will be identified based on a set of selection criteria developed by CDE. These selection criteria are informed by information available to CDE and will not require LEAs to submit additional documentation. Selection criteria include:
- 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
- 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
Tier II reviews will primarily be completed through a desk review of information, data, and evidence submitted to CDE via various CDE processes and systems (e.g., the Consolidated Application, Unified Improvement Plans, data collections), as well as any additional evidence or documentation that is submitted by the LEA. CDE will work collaboratively with the LEA to determine which program requirements will be included in the monitoring process. In some cases, monitoring activities may also be completed through onsite visits. Onsite monitoring allows a more direct assessment of the degree to which districts have met and implemented ESEA requirements than desk reviews alone.
Tier III Review
LEAs that have more than three (3) schools and more than 10 percent of their schools identified for comprehensive (CS) or targeted (TS) support and improvement that have not participated in a Tier III review during the previous five years may be identified to participate in a tier III review.
Tier III reviews ensure ESSA program requirements are implemented with fidelity and in a manner that will improve outcomes for students. CDE will work collaboratively with the LEA to determine which program requirements will be included in the monitoring process. LEAs selected for tier III review will partner with CDE to ensure that identified schools have the necessary tools, resources, and support to address the reasons for ESSA identification and that the LEA has appropriate processes in place to support implementation of selected evidence-based interventions (EBIs), strategies, and programs, and to monitor and evaluate their impact to determine if desired outcomes are being achieved. CDE’s focus is to support LEAs and schools in ensuring that the reasons school(s) were identified for support and improvement are being addressed, particularly schools that continue to be re-identified for three or more consecutive years, and that school(s) are making progress toward exiting improvement status.
Tier III monitoring activities will consist of both desk and onsite monitoring. CDE will complete a desk review of all evidence and information submitted through universal processes, as well as any additional evidence provided prior to the site visit. CDE will work collaboratively with the selected LEAs to schedule and plan onsite visits to ensure an efficient and effective process. If either further evidence of compliance or corrective action are necessary, CDE will build the timeline and plans for follow-up and follow-through with the LEA and provide technical support until compliance can be achieved and schools progress towards exiting ESSA improvement status.
LEAs will use Syncplicity, a secure online platform, to provide evidence to demonstrate compliance. LEAs will upload evidence or provide a narrative response that demonstrates compliance into the online platform for all selected indicators. If needed, CDE will train the LEA on how to use Syncplicity in the initial planning meeting. To request support with Syncplicity, please contact Emily Owen at email@example.com.
To upload evidence:
Log in to my.syncplicity.com to find your district’s folder.
Inside of the district folder will be a subfolder for each indicator. Upload your evidence in the folder that corresponds to the indicator. Please note that LEAs can begin to upload evidence anytime; however, CDE team members will not begin reviewing evidence until October 1, 2021.
As needed, provide a narrative description of evidence or processes that will help reviewers evaluate submitted evidence. This can be done by including a Word document in your evidence folder.
Once all evidence has been uploaded, please fill out this form to notify the CDE monitoring team that your evidence is ready to review.
ESEA Monitoring Lead
303-866-6992 (o) | 720-827-5291 (c)
ESEA/ESSER Monitoring Coordinator
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