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���“Where Compliance Meets Quality”�Regional FPM Training��Presented by��Man Phan, Ed.D �Education Programs Consultant�EXLD Program Monitoring Office���

Preparing for �Expanded Learning Programs Federal Program Monitoring

CALIFORNIA DEPARTMENT OF EDUCATION�Tony Thurmond, State Superintendent of Public Instruction

Tony Thurmond�State Superintendent �of Public Instruction

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What We Will Cover Today

  • Purpose of Federal Program Monitoring (FPM) Review
  • Process of FPM Review
  • Expanded Learning Programs (EXLP) FPM Instrument
  • CDE Monitoring Tool (CMT) System

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Purpose of Federal Program Monitoring Review

  • To ensure all state and federal legal requirements are being met
  • Local Educational Agency (LEA)/grantee shows the California Department of Education (CDE) that it meets minimum fiscal and programmatic requirements of the law

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Benefit of Federal Program Monitoring Review

  • Highlight program strengths
  • Showcase promising practices
  • Identify areas for continuous quality improvement

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FPM Review Process

60 Days prior to entrance date:

  • Grantee begins to upload evidence to CMT

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30 Days prior to entrance date:

  • Education Programs Consultant begins reviewing the uploaded documents

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FPM Review Process

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Onsite Reviews

Online Reviews

Day 1 – Entrance Meeting

Day 1 – Review documents/evidence

Day 2 – Site Visit

  • Observe Program
  • Verify documents/evidence
  • Interview district/site/program staff

Day 2 – Review documents/evidence

Day 3 – Exit Meeting

Day 3 – Exit Meeting (as needed)

* Add one additional day for each site being reviewed

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FPM Review Process

All 20 EXLP FPM items will have a conclusion of:

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  • Meets requirements
  • Does not meet requirements
  • Not reviewed

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Expanded Learning Programs

Funding Sources:

  • After School Education and Safety (ASES)
  • 21st Century Community Learning Centers (CCLC)
  • After School Safety and Enrichment for Teens (ASSETs)
  • Expanded Learning Opportunities Program (ELO-P)

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Expanded Learning Programs Instrument—Programs Reviewed

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The EXLP FPM instrument is available on the Compliance Monitoring webpage at https://www.cde.ca.gov/ta/cr/

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Expanded Learning Programs Instrument—Programs Reviewed

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FY 2025-26 FPM Review

Programmatic Documents/Evidence

Fiscal Documents/Evidence

Current Year

Prior Year

EXLP 9, 10, 11

EXLP 8 (since inception)

FY 2025-26

FY 2024-25

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EXLP 01: Collaboration with Schools and Community

Item Evidence Requests:

Stakeholder Collaboration (ASES, 21st CCLC, and ASSETs)

  • Partners’ meetings sign-in sheets and agendas
  • Surveys (community, parent, student, school staff, etc.)
  • Correspondence with stakeholders

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Coordination of Funding (21st CCLC/ASSETs)

  • School Plan for Student Achievement
  • Local Control and Accountability Plan
  • In-Kind contributions from the LEA and partners
  • Memorandum of Understanding (MOU)

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EXLP 01: Collaboration with Schools and Community

Item Evidence Requests:

Program Sustainability (21st CCLC/ASSETs)

  • Commitment letters
  • In-Kind contributions by the LEA and partners
  • MOUs

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EXLP 02: Ongoing Consultation with Private Schools

Item Evidence Requests:

(21st CCLC/ASSETs)

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Ongoing Consultation with Private Schools

  • Documentation that demonstrates outreach efforts to private schools (email/letter) in the fund sites’ attendance area
  • Agendas/meeting notes

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EXLP 03: Serves Eligible Pupils in Appropriate Grade Levels

Item Evidence Requests:

Students and Grades Served (ASES, 21st CCLC, ASSETs, and ELO-P)

  • Program flyers, brochures, and outreach materials showing grades served
  • Web page printout
  • Applications/Registration packets

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EXLP 03: Serves Eligible Pupils in Appropriate Grade Levels

Item Evidence Requests:

Offer and Access (ELO-P)

  • Program flyers, brochures, and outreach materials showing grades served
  • EXLP Web page
  • Applications/Registration packets
  • Signed student enrollment forms, (3-5 samples) with personally identifiable information redacted

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EXLP 04: Operates Program Required Hours and Days�

Item Evidence Requests:

(ASES, 21st CCLC, ASSETs, and ELO-P)

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Hours and Days

  • EXLP Flyers/Brochures (showing Start and End Time)
  • EXLP Enrollment/Registration Forms
  • EXLP Web page
  • Sites’ Regular Day Bell Schedules
  • Sites’ EXLP program schedule
  • District Academic Calendar
  • ELO-P, Scheduled 30 non-school day dates
  • ELO-P, 30 non-school day program schedule

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EXLP 05: Early Release and Late Arrival Policies�

Item Evidence Requests:

(ASES and 21st CCLC)

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Early Release and Late Arrival Policies

Early Release Policy

  • Late Arrival Policy (if receiving a before school grant)
  • One week of student sign-out sheets for each component (personally identifiable information redacted)

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EXLP 06: Daily Nutritious Snack and/or Meal, or Breakfast

Item Evidence Requests:

(ASES, 21st CCLC, ASSETs, ELO-P)

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Menu

  • One week of menus (current or previous fiscal year)

Nutrition Facts Labels

  • Nutrition facts labels from items from one week of menus

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EXLP 07: Submits Data and Maintains Records

Item Evidence Requests:

ELO-P Plan Approval (ELOP)

  • Board items/minutes showing the approval of the ELOP plan

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ELO-P Web Posting (ELOP)

  • Uploaded as an internet address or screen capture

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EXLP 07: Submits Data and Maintains Records

Item Evidence Requests:

Conflict of Interest Policy (21st CCLC)

  • District’s board policy, board minutes, service provider’s approved policies

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Independent Annual Audit (ASES, 21st CCLC, ASSETs)

  • Most recent Annual Fiscal Audit Report

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Program Plan Retention (ASES, 21st CCLC)

  • Program Plan that is more than five years old

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EXLP 07: Submits Data and Maintains Records

Item Evidence Requests:

Program Plan Review (ASES, 21st CCLC, ASSETs, and ELO-P)

  • Program Plan no more than three years old, including program goals, program content, and outcome measures (21st CCLC/ASSETs – Application Narrative)

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Records Retention Policy (ASES, 21st CCLC)

  • Policies and Procedures for collection and retention of fiscal, attendance, and operational data

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EXLP 07: Submits Data and Maintains Records

Item Evidence Requests:

Fees (ASES, 21st CCLC, ASSETs, ELO-P)

  • Accountability for collection, tracking, and use of fees
  • Template in CMT

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EXLP 08: Inventory

Item Evidence Requests:

(ASES, 21st CCLC, ASSETs, ELOP)

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Equipment Inventory Records Running record of all equipment purchased for $500 or more from the inception of the program

  • CMT template
  • Last physical inventory record
  • Written safeguards/protocols to prevent loss, damage, theft of property

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EXLP 08: Inventory

Item Evidence Requests:

(ASES, 21st CCLC, ASSETs, ELOP)

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If no purchases we made, “No purchases of equipment $500 or more”

  • CMT Comment
  • Memo or a letter on district letterhead

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EXLP 09: Funding Direct Services to Pupils

Item Evidence Requests:

General Ledgers

  • Records that demonstrate that 85% of the grant amount is spent on the direct services to the students and no more than 15% on the administrative costs, including indirect costs (Template Available)
  • Detailed and Summary GLs by funding source and by site (ASES, 21st CCLC, ASSETs)
  • Detailed and Summary GL, district-wide (ELO-P)
  • Supporting documents (i.e. invoices, POs) to verify services/expenditures selected by reviewer
  • Expenditures are reasonable and necessary and written in the ELO-P Plan (ELO-P)

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EXLP 09: Funding Direct Services to Pupils

Item Evidence Requests:

(ASES, 21st CCLC, ASSETs, ELO-P)

Subcontractor Agreements

  • Copy of the MOU/contract between the grantee and its service provider, if the program services are contracted out.

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Time and Effort Records

  • Personnel Activity Report (PAR), monthly for multi-funded employees
  • Semiannual Certification (every 6 months) for single-funded employees
  • Duty Statement
  • Work schedules

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EXLP 09: Funding Direct Services to Pupils�

The EXLD uses the following process to verify compliance for 85-15% (ASES, 21st CCLC, ASSETs)

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  • EXLP 09 template (CMT toolbox) with 2024-25 data for 2025-26 FPMs. Grantees self-identify the expenditures as direct costs and administrative costs.
  • Upload 2024-25 General Ledgers to CMT. This would be used to verify the accuracy of the data submitted
  • Reviewer will select the invoices / expenditures for supporting documents and verify the costs, for services and dollar amount allowed in the MOU. (ASES. 21st CCLC, ASSETs, ELO-P)

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EXLP 09: Funding Direct Services to Pupils

  • Resource Template EXLP 09

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EXLP 09: Funding Direct Services to Pupils

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Subrecipient vs Contractor

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Subgrantee

Subgrantee means the government or other legal entity to which a subgrant is awarded and that is accountable to the grantee for the use of funds provided.

 

Subrecipient

A subaward is for the purpose of carrying out a portion of the Federal award and creates a Federal financial assistance relationship with a subrecipient. The subrecipient implements a program for a public purpose specified in authorizing statute, as opposed to providing goods or services for the benefit of the pass-through entity; has responsibility for programmatic decision-making; and is responsible for adherence to applicable Federal program requirements specified in the Federal award. (2 CFR200.331).

 

Contractor

A contract is for the purpose of obtaining goods and services for the recipient's or subrecipient's use and creates a procurement relationship with a contractor, who provides goods or services that are ancillary to the implementation of a Federal program; and is not subject to compliance requirements of a Federal program as a result of the agreement. However, similar requirements may apply for other reasons (2 CFR200.331).

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Sub-recipients

  • Grantees are reminded that in the event the LEA contracts to service providers for direct services, the sub-recipient is responsible for adherence to applicable Federal program requirements specified in the Federal award (Title 2, Code of Federal Regulations [2 CFR] 200.331)

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Contractors

  • In the event a grantee has contracted with service providers for ancillary services, the contractor is not subject to compliance requirements of a Federal program as a result of the agreement and the ultimate responsibility for the expenditures of the grant funds remains with the grant recipient (2 CFR 200.331).

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LEA/Grantee Oversight Responsibilities

  • LEAs/grantees are the fiscal agent for the expanded learning program funds awarded by grant awards or by apportionment
  • Must ensure
    • All program requirements are met
    • All fiscal requirements are met

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LEA/Grantee Oversight Responsibilities

  • LEAs/ Grantees may operate expanded learning programs internally or utilize the services of a third-party service provider.
  • State law and federal regulations require LEAs/ Grantees to maintain oversight to perform in accordance with the law.

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EXLP 10: Local Contribution of Cash or In-Kind

Item Evidence Requests:

(ASES)

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Local Contribution of Cash or In-Kind (Match) by site

  • Principal’s time
  • Rent free space used for the program services
  • Additional LCAP resources
  • Snack/Supper/Breakfast
  • Expanded Learning Opportunities Program (ELO-P)
  • CMT Template available

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EXLP 11: Supplement not Supplant

Item Evidence Requests:

(ASES, 21st CCLC, ASSETs)

  • Duty Statements Employee’s duty statement describing responsibilities/duties
  • Equipment Inventory (EXLP 08)
  • Detailed General Ledger or Fiscal Records (EXLP 09)

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EXLP 12: Evaluation Requirements�

Item Evidence Requests:

(21st CCLC and ASSETs)

  • Program Evaluation
    • Meetings/Agendas with stakeholders
    • Continuous Quality Improvement Plan
    • Needs assessments, performance measures, program vision/mission
    • Survey/Data Analysis

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EXLP 12: Evaluation Requirements�

Item Evidence Requests:

(21st CCLC and ASSETs)

  • Public Notice
    • Webpage posting as screen capture or internet address
    • Notice of public availability (i.e., on the web page)

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EXLP 13: Data-Driven Quality Improvement Process

Item Evidence Requests:

(ASES, 21st CCLC, ASSETs)

  • Continuous Quality Improvement
    • Continuous Quality Process, CQI Template in CMT
    • Program Quality Standards (see **)
    • Stakeholder survey/data analysis
    • Stakeholder meetings/agendas/sign in/out sheets

**Quality Standards for Expanded Learning Programs. Available on the California AfterSchool Network web site at:http://www.afterschoolnetwork.org/post/quality-standards-expanded-learning-california

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EXLP 14: Provides Staff Training

Item Evidence Requests:

(ASES, 21st CCLC)

  • Staff Training
    • Training Schedules
    • Agendas
    • Sign-in Sheets of the staff at training

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EXLP 15: Student-to-Staff Ratio

Item Evidence Requests:

(ASES, 21st CCLC, ELOP)

  • Student to Staff Ratio (ASES, 21st CCLC)
    • No more than 20-to-1 for 1st-6th grades
    • Daily student rosters/attendance sheets (student names redacted)/staff assignment sheets for the most current previous month
  • TK/K Staff Ratio (ELOP)
    • No more than 10-to-1 for TK/K 
    • Daily student rosters/attendance sheets (student names redacted)/staff assignment sheets for the most current previous month

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EXLP 16: Staff Minimum Qualifications

Item Evidence Requests:

(ASES, 21st CCLC, ELOP)

  • Staff Minimum Qualification
    • District Policy related to the minimum Instructional Aide qualifications
    • List of staff
  • Staff Qualifications Documentation
    • Personnel records for staff working directly with students (e.g., transcripts, degrees, test results, etc.). 
    • Redact confidential information (SSN, birthday, address) 

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EXLP 16: Staff Minimum Qualifications

Item Evidence Requests:

(ASES, 21st CCLC, ELO-P)

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    • Health and Fingerprint Clearance

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      • District policy on health screening
      • District policy on fingerprint clearance
      • Evidence that all staff members meet health screening and fingerprint clearance requirements (spreadsheet on district letterhead)

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EXLP 17: Safe Access to Facilities

Item Evidence Requests:

(ASES, 21st CCLC, ASSETs, ELOP)

  • Program Transportation Policy
    • Transportation schedule (ELO-P)
    • Policy for students served in an off-site location
  • School Safety Plan
    • District/School Safety Plan
    • Safety Drills during Expanded Learning Hours

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EXLP 18: Information in Parents' Languages

Item Evidence Requests:

(ASES, 21st CCLC, ASSETs, ELOP)

  • Parent Notification-Based on school language census dad, DataQuest language census data(site/district), EXLP information sent to parents in the appropriate language, any sub-population that is greater than/equal to 15% 
    • Translated parent notifications/communications (flyers, emails, brochures)

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EXLP 19: 21st CCLC Equitable Access and ASES Frontier Transportation

Item Evidence Requests:

General Ledger (21st CCLC Equitable Access, ASES Frontier Transportation)

  • Detailed General Ledger for Equitable Access, site specific

Program Application and Plan (21st CCLC Equitable Access)

  • Original Grant Application Narrative
  • Documentation or Narrative on how services are provided and how funds are being spent

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EXLP 20: Physical Activity, Academic, and Enrichment Elements

Item Evidence Requests:

(ASES, 21st CCLC, ASSETs, ELOP)

  • Lesson plans
  • Academic Achievement Activities
  • Curriculum materials
  • Flyers/program brochures
  • Web pages uploaded as an internet address

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California Monitoring Tool (CMT) Uploading/Comment Guidance

Expanded Learning Programs only. Please read BEFORE uploading your documents.

  • Please do not provide any evidence that goes beyond what is required to demonstrate that you are meeting the specific requirement
  • Submit evidence for each site being reviewed

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California Monitoring Tool (CMT) Uploading/Comment Guidance

  • Do not submit the content of trainings and workshops (i.e., Microsoft PowerPoint slides)
  • Agenda for the workshop that lists presenters and a sign-in sheet to show who attended from your site is sufficient
  • Upload all the pieces of evidence as one document

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California Monitoring Tool (CMT) Uploading/Comment Guidance

  • Student personally identifiable information (birthday, ID numbers, etc.) must be redacted from all evidence uploaded
  • Redact staff information (birthday, SSN, etc.)
  • Communicate with the CDE EXLP Reviewer regarding types of documents to be uploaded for a smooth and efficient FPM.

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California Monitoring Tool (CMT) Uploading/Comment Guidance

  • Item specific questions/comments need to be posted at the Item Level (ex. EXLP 08: Inventory) in CMT

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  • General questions/comments can be posted at the Instrument Level (ex. EXLP) in CMT

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Resources

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Questions — Thank You

Regional Assignments

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Regions 1,2,3 – Thu Doan

916- 319-0924 tdoan@cde.ca.gov

Regions 4,5,6 – Vacant

Regions 7,8 – Teng Xiong

916-319-0363 txiong@cde.ca.gov

Regions 9,10 – Man Phan

916-323-8204 mphan@cde.ca.gov

Region 11 – Vacant

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Iqbal Badwalz, Administrator Program Monitoring Office

916-319-0732 ibadwalz@cde.ca.gov

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Regional Map

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