Monitoring and Compliance

Monitoring and Compliance

Monitoring and Compliance

Program monitoring involves the regular and systematic examination of program implementation and administration. Key aspects of Federal and State Subgrantee monitoring and compliance are described on these pages. 

Monitoring for Title I, Part D

Title I, Part D (Part D)-funded programs are monitored to ensure compliance with applicable State and Federal laws, including the Elementary and Secondary Education Act (ESEA), as amended in 2001. Monitoring reviews occur at three levels:

  • The U.S. Department of Education (ED) monitors State education agencies (SEAs) that receive funds (Federal monitoring);
  • SEAs monitor their State agency (SA) and local educational agency (LEA) subgrantees (subgrantee monitoring); and
  • SA and LEA subgrantees monitor the facilities and programs to which they allocate funds (facility monitoring). By monitoring Part D programs for compliance, administrators at all levels can ensure that students who are neglected, etc.

By monitoring Part D programs for compliance, administrators at all levels can ensure that students who are neglected, delinquent, or at-risk (N or D) receive a fair, equal, and significant opportunity to obtain a high-quality education. Monitoring also provides a mechanism for collecting information about State and local needs, so that administrators can target assistance and other resources more effectively.

Featured Resources

NDTAC logo: NDTAC resource A Guide to Meeting Compliance Requirements for the Title I, Part D, Program

November 2009

Designed to help Part D administrators prepare for a Federal monitoring review, this guide includes practical tips to meet compliance requirements for the program.

NDTAC logo: NDTAC resource   The Power of Monitoring: Building Strengths While Ensuring Compliance (Presentation)

May 2010

Gives an overview of each stage of Federal and subgrantee monitoring and discusses the role of technical assistance (TA) in the monitoring process in order to provide a better understanding of the expectations of the U.S. Department of Education, how to improve monitoring processes and capacity, and how to provide TA as part of the monitoring process.

Federal Monitoring

The Office of Safe and Healthy Students (OSHS) within the U.S. Department of Education (ED) monitors a State education agency's (SEA's) administration of the Title I, Part D (Part D), program, along with other Title I programs. During these reviews, OSHS examines the State's Part D program against a set of consistent, program-specific criteria, or "indicators," that focus on three areas: (1) standards, assessment, and accountability; (2) instructional support; and (3) fiduciary.

Featured Resources

ED logo: U.S. Department of Education resource Office of Safe and Health Students (OSHS) Monitoring Plan for Homeless and Neglected or Delinquent Education Programs (WORD)

October 2015

This document describes the purpose, rationale, and process used by OSHS in monitoring State Title I, Part D (Neglected and Delinquent) and McKinney-Vento (Homeless) programs.

ED logo: U.S. Department of Education resource Student Achievement and School Accountability Programs (SASA) Monitoring Plan for Formula Grant Programs: SY 2011-2012 (PDF)

Updated October 2011

Provides a complete lising of SASA Federal monitoring indicators and requirements. Indicators for Title I, Part D, begin on page 72.

ED logo: U.S. Department of Education resource  SASA Federal Monitoring Reports

Updated October 2011

Includes past monitoring results for each State.

NDTAC logo: NDTAC resource A Guide to Meeting Compliance Requirements for the Title I, Part D, Program

November 2009

Designed to help Part D administrators prepare for a Federal monitoring review, this guide includes practical tips to meet compliance requirements for the program.

Subgrantee Monitoring

Similar to the U.S. Department of Education (ED), State education agencies (SEAs) are required to monitor State agency (SA) and local education agency (LEA) subgrantees' implementation of Title I, Part D (Part D)-funded programs, per the Federal statute and regulations. SEAs must implement a monitoring process that involves conducting reviews on a set schedule and developing related monitoring protocols and tools. In turn, SAs and LEAs are responsible for monitoring the facilities and programs to which they allocate funds.

Featured Resources

NDTAC logo: NDTAC resource  Tip Sheet: Subgrantee Monitoring

December 2013

This tip sheet examines ways to embed a “youth- and staff-centered” framework in the subgrantee monitoring process and provides questions and approaches that State coordinators can integrate into their information-gathering processes during monitoring visits. (PDF | Words)

February 2010

Outlines the importance of ongoing communication between State Part D coordinators and their subgrantees and describes communication strategies that can improve subgrantee compliance over time.

NDTAC logo: NDTAC resource  Innovative Approaches to Offsite Monitoring and TA Provision (Presentation)

May 2010

Describes the basics of off-site monitoring and introduces some innovative tools and technologies (e.g., remote document sharing, blogs, Wikis) that can be used to improve compliance and program quality.