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Tier I (Desk and Phone) Reviews: Compliance and Program Impact

Tier I activities include standard procedures required of all LEAs operating ESEA programs and additional evidence submitted through the online data management system. Oversight activities include data collections, review of the ESEA Consolidated Application for funds, tracking of ESEA funds drawdowns, fiscal requirements checks, and HR documentation and reports. Technical assistance opportunities include the program evaluation webinar series, ESEA Regional and Virtual Network Meetings, Consolidated Application trainings, an annual conference for all ESEA practitioners, and responses to specific LEA inquiries.

Tier I program review and support activities provide a basic level of oversight of all LEAs receiving Federal funds, to ensure compliance with basic program requirements and build understanding of ESEA program requirements. Providing this universal oversight through standard procedures and existing technical assistance opportunities ensures that all LEAs receive necessary oversight and support, while reducing unnecessary burden of comprehensive program and fiscal audits that took place in the past.

As specified in Colorado’s ESSA State Plan and approved by ED, all LEAs will participate in tier I monitoring, which relies upon existing CDE processes and systems (e.g., Consolidated Application, Unified Improvement Plans, data collections) to determine compliance on prioritized indicators. Some prioritized indicators will require submission of additional evidence/information via an online system as part of the desk review. Please see the Monitoring Process page for more information. When there is sufficient evidence to determine LEA compliance on tier I 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 information/evidence and clarification or request a follow-up monitoring visit the subsequent year, depending on the results of the desk review. 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 is achieved.   In an effort to continue to build capacity to ensure implementation of effective programs under ESSA, results of tier I reviews will inform guidance and training development and delivery in subsequent years. CDE will identify and disseminate any exemplary practices noted during the tier I review process. For additional information regarding next steps, see Monitoring Follow-up section. 

Selection Criteria for Tier I Review 

All LEAs that accept ESEA funds will be part of the tier I review of information, data, and evidence submitted to CDE via various CDE processes and systems (e.g., the Consolidated Application, Unified Improvement Plan, data collections) and desk monitoring.

Tier I Review Indicators 

Meaningful Stakeholder Engagement and Partnership

Meaningful Stakeholder Resources 

Fiscal Requirements 

Fiscal Resources