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Compliance Monitoring and Technical Assistance

Federal requirements mandate that State Educational Agencies (SEAs) provide technical assistance to Local Educational Agencies (LEAs) and juvenile justice facilities, as well as oversee and monitor the implementation of Elementary and Secondary Education Act (ESEA) as reauthorized by the Every Student Succeeds Act (ESSA). These responsibilities are some of the primary work of the Office of ESSA-Funded Programs at the New York State Education Department (NYSED or "the Department").

Each year, the Office of ESSA-Funded Programs uses a risk-based approach to select LEAs from across New York State for monitoring reviews to determine compliance with requirements outlined in ESEA and New York State Commissioner’s Regulations. Based on that understanding, staff monitor for compliance and provide technical assistance related to the programmatic and fiscal requirements under the following programs:

  • Title I, Part A
  • Title I, Part C
  • Title I, Part D
  • Title I School Improvement
  • Title II, Part A
  • Title IV, Part A
  • Title V, Part B
  • McKinney-Vento Homeless Education Programs

The Office of ESSA-Funded Programs conducts four types of monitoring of the programs outlined above:

 

Types of Monitoring

 

Coordinated Monitoring

Targeted Monitoring

Desk

Review

Self-Assessment

Neglected and Delinquent Facility

# Conducted Per Year

6

50

100

175

30

How Conducted

On-Site Visit (virtual for 2021-22) with Document Review and Staff Interviews

Remote via Document Review

Remote via Online Survey

On-Site Visit (virtual for 2021-22) with Document Review and Staff Interviews

# of NYSED Reviewers

3-4

1

1

 

1-2

 

While the underlying mandate of monitoring is compliance-focused, the Department recognizes that compliance is the minimum requirement. To expand the focus from compliance to continuous improvement and maximum impact of each monitored program, staff work to engage with LEA and facility representatives throughout the monitoring process to provide targeted technical assistance that address an LEA’s specific programmatic and fiscal implementation needs.

 

COORDINATED MONITORING REVIEW

​The Coordinated Monitoring Review is conducted by the NYSED Office of ESSA-Funded Programs. The review is designed to ensure that the District is following the programmatic and fiscal plans submitted in the Consolidated Application and maintaining compliance with the ESSA assurances embedded within the application.

The 2021-2022 Coordinated Monitoring Review survey will be administered via the NYSED Business Portal. The review process, resource for indicators and evidence, and timeline can all be found below:

Coordinated Monitoring Review Timeline

February 8, 2022

District is notified via e-mail letter that it has been selected for Coordinated Monitoring Review

Coordinated Monitoring Review survey is available to District in Business Portal

February 10, 2022

10:00 am - 11:00 am

NYSED provides technical assistance webinar on Coordinated Monitoring Review process (Meeting ID 819 0940 8212 Password NMk65B)

 

February 8-22, 2022

NYSED will contact District regarding virtual review meeting dates

March 4, 2022

9:30 am - 10:30 am

NYSED will hold an office hours session for questions about completing the Coordinated Monitoring Review (Meeting ID 863 1491 2149 Password r3rKG8)

 

March 15, 2022

District submits completed Coordinated Monitoring Review survey to NYSED in the Business Portal

March 29-August 30, 2022

 

At least 3 days prior to virtual review meetings, District receives preliminary ratings

NYSED conducts virtual review meetings over 2-3 days

After final virtual review meeting, District has 5 days to upload additional materials to address preliminary ratings

After 5 day period, District will receive final ratings from NYSED within 30 days

District will then have 30 days to complete Corrective Actions

TARGETED MONITORING REVIEW

The Targeted Monitoring Review is conducted by the NYSED Office of ESSA-Funded Programs. The review is designed to ensure that the District is following the programmatic and fiscal plans submitted in the Consolidated Application and maintaining compliance with the ESSA assurances embedded within the application.

The 2021-2022 Targeted Monitoring Review survey will be administered via the NYSED Business Portal. The review process, resource for indicators and evidence, and timeline can all be found below:

 

Targeted Monitoring Review Timeline

February 8, 2022

District is notified via e-mail letter that it has been selected for Targeted Monitoring Review

Targeted Monitoring Review survey is available to District in Business Portal

February 11, 2022

10:00 am - 11:00am

NYSED provides technical assistance webinar on Targeted Monitoring Review process - Updated link

 

February 8-22, 2022

NYSED will contact District regarding virtual review meeting dates

March 4, 2022

11:00 am - 12:00 pm

NYSED will hold an office hours session for questions about completing the Targeted Monitoring Review (Meeting ID 873 0189 6777 Password 1dwBWd)

 

March 15, 2022

District submits completed Targeted Monitoring Review survey to NYSED in the Business Portal

March 29-August 30, 2022

 

At least 3 days prior to virtual review meeting, District receives preliminary ratings

NYSED conducts 3-4 hours of virtual meetings

After final virtual review meeting, District has 5 days to upload additional materials to address preliminary ratings

After 5 day period, District will receive final ratings from NYSED within 30 days

District will then have 30 days to complete Corrective Actions

 

DESK MONITORING REVIEW

The Desk Monitoring Review is conducted by the NYSED Office of ESSA-Funded Programs. The review is designed to ensure that the District is following the programmatic and fiscal plans submitted in the Consolidated Application and maintaining compliance with the ESSA assurances embedded within the application.

The 2021-2022 Desk Monitoring Review survey will be administered via the NYSED Business Portal. The review process, resource for indicators and evidence, and timeline can all be found below:

Desk Review Monitoring Timeline

March 1, 2022

LEA is notified via e-mail letter that it has been selected for Desk Review Monitoring

 

Desk Review Monitoring survey is available to LEA in the Business Portal

 

March 3, 2022

10:00 am-11:00 am

NYSED provides technical assistance webinar on Desk Review Monitoring (Meeting ID 894 4549 1341 Passcode MuJV2J)

 

April 4, 2022

LEA submits completed Desk Review Monitoring survey to NYSED in the Portal

 

May 4 -
August 31, 2022

 

LEA will receive final ratings from NYSED within 30 days

 

LEA will then have 30 days to complete Corrective Actions