No. 41779 (Amendment): Rule R277-484. Data Standards

(Amendment)

DAR File No.: 41779
Filed: 06/09/2017 12:26:57 PM

RULE ANALYSIS

Purpose of the rule or reason for the change:

Rule R277-484 is amended to update required data and deadlines provisions and provide technical and conforming changes in accordance with the Rulewriting Manual for Utah.

Summary of the rule or change:

The amendments to Rule R277-484 provide new and revised definitions, remove unnecessary language, restructure the rule, and provide technical and conforming changes in accordance with the Rulewriting Manual for Utah.

Statutory or constitutional authorization for this rule:

• Art X, Sec 3
• Section 53A-1-413
• Section 53A-1-401

Anticipated cost or savings to:

the state budget:

Changes to the rule are primarily restructuring and technical which will likely not result in a cost or savings to the state budget.

local governments:

Changes to the rule are primarily restructuring and technical which will likely not result in a cost or savings to local government.

small businesses:

Changes to the rule are primarily restructuring and technical which will likely not result in a cost or savings to small businesses.

persons other than small businesses, businesses, or local governmental entities:

Changes to the rule are primarily restructuring and technical which will likely not result in a cost or savings to persons other than small businesses, businesses, or local government entities.

Compliance costs for affected persons:

Changes to the rule are primarily restructuring and technical which will likely not result in any compliance costs for affected persons.

Comments by the department head on the fiscal impact the rule may have on businesses:

After conducting a thorough analysis, it was determined that the amendments to this rule will not result in a fiscal impact to businesses.

Sydnee Dickson, State Superintendent

The full text of this rule may be inspected, during regular business hours, at the Office of Administrative Rules, or at:

Education
Administration
250 E 500 S
SALT LAKE CITY, UT 84111-3272

Direct questions regarding this rule to:

• Angela Stallings at the above address, by phone at 801-538-7656, by FAX at 801-538-7768, or by Internet E-mail at [e-mail]

Interested persons may present their views on this rule by submitting written comments to the address above no later than 5:00 p.m. on:

07/31/2017

This rule may become effective on:

08/07/2017

Authorized by:

Angela Stallings, Deputy Superintendent, Policy and Communication

RULE TEXT

R277. Education, Administration.

R277-484. Data Standards.

R277-484-[2]1. Authority and Purpose.

[A.](1) This rule is authorized by:

(a) Utah Constitution Article X, Section 3 , which vests general control and supervision [of]over public education in the Board[,];[and by]

(b) Section 53A-1-401[(3)], which [permits]allows the Board to [adopt rules in accordance with its responsibilities]make rules to execute the Board's duties and responsibilities under the Utah Constitution and state law;[and specifically allows the Board to interrupt disbursements of state aid to any LEA which fails to comply with rules.]

(c) Subsection 53A-1-401(8)(a), which allows the Board to take corrective action against an education entity that fails to comply with Board rules; and

(d) Subsection 53A-1-413(8), which requires the Board to ensure LEA inclusion of data in an LEA's Student Information System.

[B.](2) The [Board, through its chief executive officer, the State ]Superintendent [of Public Instruction, ]is required to perform certain data collection related duties essential to the operation of statewide educational accountability and financial systems as mandated in state and federal law.

[C.](3) The purpose of this rule is to support the operation of required educational accountability and financial systems by ensuring timely submission of data by LEAs.

 

R277-484-[1]2. Definitions.

[A.](1) "Annual Financial Report" means an account of LEA revenue and expenditures by source and fund sufficient to meet the reporting requirements specified in Subsections 53A-1-301(3)(d) and (e).

[B.](2) "Annual Program Report" means an account of LEA revenue and expenditures by source and program sufficient to meet the reporting requirements specified in Subsections 53A-1-301(3)(d) and (e).

[C. "Board" means the Utah State Board of Education.]

[D.](3) "Comprehensive Administration of Credentials for Teachers in Utah Schools " or "[(]CACTUS[)]" [means the database maintained on all licensed Utah educators. The database includes information such as:

(1) personal directory information;

(2) educational background;

(3) endorsements;

(4) employment history;

(5) professional development information;

(6) completion of employee background checks; and

(7) a record of disciplinary action taken against the educator.]means the same as that term is defined in Subsection R277-512(1)(a).

[E.](4) "Data Warehouse" means the database of demographic information, course taking, and test results maintained by the USOE on all students enrolled in Utah schools.

[F.](5) "EDEN" means the Education Data Exchange Network, the mechanism by which state education agencies are mandated to submit data to the U.S. Department of Education.

[G. "ESEA" means the federal Elementary and Secondary Education Act, also known as the No Child Left Behind Act.]

[H.](6) "LEA" [means local education agency, including local school boards/public school districts, charter schools, and]includes, for purposes of this rule, the Utah Schools for the Deaf and the Blind.

[I.](7) "MSP" means Minimum School Program, the set of state support ed K-12 public school funding programs.

[J. "MST" means Mountain Standard Time.]

[K.](8) "Schools interoperability framework " or "[(]SIF[)]" means an open global standard for seamless, real time data transfer and usage for Utah public schools.

(9) "Student achievement backpack" has the same meaning as that term is defined in Subsection 53A-1-413(1)(d).

[L.](10) "Student information system " or "[(]SIS[)]" means a student data collection system used for Utah public schools.

[M. "USOE" means Utah State Office of Education.]

[N.](11) "Utah eTranscript and Record Exchange " or "[(]UTREx[)]" means a system that allows individual detailed student records to be exchanged electronically between public education LEAs and the [USOE]Board, and allows electronic transcripts to be sent to any post-secondary institution, private or public, in-state or out-of-state, that participates in the e-transcript service.

(12) "Utah Student Record Store" has the same meaning as that term is defined in Subsection 53A-1-413(1)(e).

[O.](13) "Year" means both the school year and the fiscal year for [LEAs in]a Utah LEA, which runs from July 1 through June 30.

 

R277-484-3. Deadlines for Data Submission.

[For the purpose of submission of student level data, each Utah LEA shall participate in UTREx.]

(1) An LEA shall submit student level data to the Board through UTREx.

(2) An LEA[s] shall by 5:00 p.m. Mountain Standard Time on the date specified in Table 1 submit [data to the USOE as directed by the USOE through the following ]reports [by 5:00 p.m. MST on the date and ]in the format specified by the [USOE]Superintendent[:].

(3) If a deadline in Table 1 falls on a weekend or state holiday in a given year, an LEA shall submit the report on the next business day following the date specified in Table 1.

 

TABLE 1

Reporting Deadlines

   
   Report                                                  Deadline   
Adult Education - Final Report -    
     Prior Year                                             July 15   
Adult Education - Final Audit Report -    
     Prior Year                                        September 15   
Annual Assurance Letter - R277-108                     October 1   
Annual Financial Report - Prior Year                   October 1   
Annual Program Report - Prior Year                     October 1   
Bus Driver Credentials Report -    
     Current Year                                       December 15   
Bus Inventory Report                                     July 15   
CACTUS - Final Update - Current Year                     June 29   
CACTUS - Midyear Update - Current Year               November 15   
Charter School Projections                          September 15   
Classified Personnel Report - Prior Year                 July 15   
Community Development and    
     Renewal Agency Representative List                 February 28   
Driver Education Report - Prior Year                     July 15   
Emergency Preparedness Compliance Statement -    
     Prior Year                                              July 1   
Emergency Response Plan - Prior Year                      July 1   
Enrollment and Transfer Student    
     Documentation Audit - Current Year                  November 1   
ESEA Choice and Supplemental Services Report -    
     Prior Year                                             July 15   
Financial Audit Report - Prior Year                  November 30   
Fire Drill Compliance Statement - Prior Year              July 1   
Free and Reduced Price Lunch October 31    
     Enrollment Survey - Current Year                   November 15   
Home Schooled Students Report - Prior Year               July 15   
Immunization Status Report    
     (to Utah Department of Health) - Final                 June 15   
Immunization Status Report - Current Year             November 1   
LEA Budget - Next Fiscal Year                            July 15   
LEA Budget - Next Fiscal Year -    
     Planned Truth in Taxation Process                    August 15   
Membership Audit Report - Prior Year                September 15   
Negotiations Report - Current Year                    November 1   
Other Emergency (Earthquake and    
  School Violence) Drills    
     Compliance Statement - Prior Year                       July 1   
Pupil Transportation - Schedule A1    
     (Miles, Minutes, Students Report) -    
     Current Year Projected                              November 1   
Pupil Transportation Schedule B    
     (Miscellaneous Expenditure Report) -    
     Prior Year                                          November 1   
Pupil Transportation Statistics    
     Year End Report- Prior Year                            July 15   
Redevelopment Agency Taxing Entity    
     Committee Representative List                      February 28   
UTREx - Complete December 1 Update -    
     Current Year                                       December 10   
UTREx - Complete October 1 Update -    
     Current Year                                        October 10   
UTREx - Revised December 1 Update -    
     Current Year - Significant Errors    
     Identified by the Superintendent or LEA            December 15   
UTREx - Revised October 1 Update -    
  Current Year    
     Significant Errors Identified by    
     the Superintendent or LEA                           October 15   
UTREx - Final Comprehensive Update -    
     Prior Year                                              July 7

 

[A. February 28 - Community Development and Renewal Agency and/or Redevelopment Agency Taxing Entity Committee Representative List.

B. June 15

(1) Immunization Status Report (to Utah Department of Health) - final;

(2) Safe School Incidents Report - for current year.

C. June 29 - CACTUS - final update for current year.

D. July 1

(1) Fire Drill Compliance Statement - for prior year;

(2) Other Emergency (Earthquake and School Violence) Drills Compliance Statement - for prior year;

(3) Emergency Preparedness Compliance Statement - for prior year;

(4) Emergency Response Plan - for prior year.

E. July 7 - UTREx - final comprehensive update for prior year.

F. July 15

(1) Adult Education - final report for prior year;

(2) Classified Personnel Report - for prior year;

(3) Driver Education Report - for prior year;

(4) ESEA Choice and Supplemental Services Report - for prior year;

(5) Fee Waivers Report - for prior year;

(6) Home Schooled Students Report - for prior year;

(7) Teacher Benefits Report - for prior year;

(8) Pupil Transportation Statistics - for prior year:

(a) Bus Inventory Report;

(b) Year End Pupil Transportation Statistics Reports;

(9) Copy of local school board-adopted budget - for next fiscal year, unless the local school board provides documentation of planned truth-in-taxation process.

G. August 15 - copy of the local school board-adopted budget - for next fiscal year, if the local school board provides documentation of planned truth-in-taxation process.

H. September 15

(1) Membership Audit Report - for prior year;

(2) Adult Education - Financial Audit for prior year.

I. October 1

(1) Annual Financial Report (AFR) - for prior year;

(2) Annual Program Report (APR) - for prior year;

(3) Annual assurance letter required for compliance information and documentation for identified programs and funds, pursuant to R277-108.

J. Seven business days after October 1 - UTREx - complete update required as of October 1 for current year.

K. October 15 - UTREx - revised update as of October 1 for current year, if significant errors are identified by the USOE or the LEA.

L. November 1

(1) Enrollment and Transfer Student Documentation Audit Report - for current year;

(2) Immunization Status Report - for current year;

(3) Pupil Transportation Statistics for state funding:

(a) Schedule A1 (Miles, Minutes, Students Report) - projected for current year;

(b) Schedule B (Miscellaneous Expenditure Report) - for prior year;

(4) Negotiations report - for current year.

M. November 15

(1) CACTUS - update for current year; and

(2) Free and Reduced Price Lunch Enrollment Survey - as of October 31 for current year.

N. November 30 - Financial Audit Report - for prior year.

O. Seven business days after December 1 - UTREx - complete update required as of December 1 for current year.

P. December 15 - Bus Driver Credentials Report - for current year.

M. December 15 - UTREx - revised update as of December 1 for current year if significant errors are identified by the USOE or the LEA.]

 

R277-484-4. Adjustments to Deadlines.

[A. Deadlines in R277-484 that fall on a weekend or state holiday in a given year shall be moved to the first workday after the date specified for that year.]

[B.](1) An LEA may seek an extension of a deadline to ensure continuation of funding and provide more accurate information to allocation formulas by submitting a written request to the [USOE]Superintendent no later than[. The request shall be received by the USOE Director of School Finance at least] 24 hours before the specified deadline in [Section 3]Table 1.

(2) An extension request [and]shall include:

([1]a) The reason[(]s[)] for the extension request;

([2]b) The signatures of the LEA business administrator and [LEA ]superintendent[/] or director; and

([3]c) The date by which the LEA [shall]proposes to submit the report.

[C. In processing the request for the extension, the USOE Director of School Finance shall:]

[(1) Take](3) If an LEA requests an extension under Subsection (1), the Superintendent may do any of the following after taking into consideration the pattern of LEA compliance with reporting deadlines and the urgency of the need for the data to be submitted[; and either]:

([2]a) Approve the request and allow the MSP fund transfer process to continue; or

([3]b) [Recommend denial of the request and forward it to the USOE Associate Superintendent for Business and Operations for a final decision on whether or not to]Deny the request and stop the MSP fund transfer process[.]; or

(c) Recommend corrective action to the Board in accordance with Rule R277-114.

[D.](4) If, after receiving an extension, [the]an LEA fails to submit the report by the designated date, the MSP fund transfer process shall be stopped and the procedure s described in Section [8]R277-484-7 shall apply.

[E.](5) An [E]extension[s] shall apply only to the [report(s) and date(s)]specific reports and dates for which an extension was requested[specified in the request].

[F.](6) [Exceptions - Deadlines]The Superintendent may not extend deadlines for the following reports[may not be extended]:

[(1) CACTUS Update:

(a) June 29;

(b) November 15.

(2) UTREx Update:

(a) July 7 UTREx - final comprehensive update for prior year;

(b) Seven business days after October 1 UTREx - complete update required as of October 1;

(c) October 15 UTREx - revised update as of October 1;

(d) Seven business days after December 1 UTREx - complete update required as of December 1;

(e) December 15 UTREx - revised update as of December 15.]

(a) AFR;

(b) APR;

(c) Mid-year or Final CACTUS updates;

(d) a Financial Audit Report; or

(e) any UTREx updates.

 

R277-484-5. Official Data Source and Required LEA Compatibility.

[A.](1) The [USOE]Superintendent shall load operational data collections into the Data Warehouse as of the submission deadlines specified.

[B.](2) The Data Warehouse shall be the sole official source of data for annual:

([1]a) school performance reports required under Section 53A-3-602.5;

([2]b) determination of [adequate yearly progress as required under the Utah Comprehensive Accountability System (UCAS)]state and federal accountability reports; and

([3]c) submission of data files to the U.S. Department of Education via EDEN.

[C.](3)(a) An LEA[s] shall use a n [USOE-approved ]SIS approved by the Superintendent to ensure compatibility with [USOE]Board data collection systems.

(b) The [USOE]Superintendent shall maintain[s] a list of approved student information systems.

([1]4) Prior to the [USOE]Superintendent granting approval for an LEA to initiate or replace a student information system that was not previously approved, the LEA shall[comply with the following]:

(a) [LEA shall ]send written request for approval to [USOE's Director of Information Technology]the Superintendent no later than November 15 of the year prior to the year the LEA proposes to use the SIS for production software;

(b) [LEA shall ]submit documentation to the [USOE]Superintendent that the new or modified student information system is [School Interoperability Framework (]SIF[)] certified;

(c) [LEA shall ]submit documentation to the [USOE]Superintendent that a n SIF agent can meet the UTREx specifications profile for Vertical Reporting Framework (VRF)[,] and eTranscripts;

(d) [LEA shall ]ensure that a new student information system can generate valid data collection by submitting an actual file to the [USOE]Superintendent for review;

(e) [LEA shall ]ensure that the new student information system can generate the Statewide Student Identifier (SSID) request file by submitting an actual file to the [USOE]Superintendent for review.

([2]5) (a) The [USOE]Superintendent shall review documentation and grant or deny an LEA[requests] submission under Subsection (4) within 30 calendar days.

[(3) LEA requests and approval shall be completed by January 15 of the school year prior to the year the LEA proposes to use the software for production data.]

(b) An [A]approved replacement system[s] shall run in parallel [for a period of at least three months ]to a state-approved system for a period of at least three months and be able to generate duplicate reports to previously generated information.

[D.](6) [No later than October 1, 2013, all public education LEAs shall begin submitting]An LEA shall submit daily updates to the [USOE]Board Clearinghouse using all School Interoperability Framework (SIF) objects defined in the UTREx Clearinghouse specification.[Noncompliance with this requirement may result in interruption of MSP funds consistent with R277-484-8.]

[E.](7) An LEA shall electronically submit [A]all public high school transcripts requested by a public education post-secondary school[s shall be electronically submitted to those public education post-secondary schools] if the post-secondary school[s are] is capable of receiving transcripts through the electronic transcript service designated by the [USOE. This process is mandatory for all public high schools as of October 1, 2013]Superintendent.

(8) No later than June 30, 2017, an LEA shall ensure that data collected in the Utah Student Record Store for a Student Achievement Backpack is integrated into the LEA's SIS and is made available to a student's parent or guardian and an authorized LEA user in an easily accessible viewing format.

(9) Failure to comply with any of the requirements of this Section R277-484-5 may result in a recommendation for corrective action in accordance with Rule R277-114.

 

[ R277-484-6. Use of Data for Allocation of Funds.

The USOE School Finance Section shall publish by June 30 annually on its website a description of how data shall be used to allocate funds to LEAs in each MSP program in the following fiscal year.]

 

R277-484-[ 7 ]6. Adjustments to Summary Statistics Based on Compliance Audits.

[A.](1) For the purpose of allocating MSP funds and projecting enrollment, the Superintendent may modify LEA level aggregate membership and fall enrollment counts [may be modified by the USOE ]on the basis of the values in the Membership and Enrollment audit reports, respectively, when an [USOE ]audit report review team agrees that an adjustment is warranted by the evidence of an audit[:].

([1]2) [the]An audit report review team shall make [its]a determination under Subsection (1) within 60 working days of the authorized audit report deadline[;].

([2]3) The Superintendent may only adjust values [can only be adjusted ]downward [when]if an audit report[s are] is received after [the]an authorized deadline[s].

 

R277-484-[ 8 ]7. Financial Consequences of Failure to Submit Reports on Time.

[A.](1) If an LEA fails to submit a report by its deadline as specified in [Section 3]Table 1, consistent with procedures outlined in R277-114, [the USOE shall stop the MSP fund transfer process on the day after the deadline,]the Superintendent may recommend corrective action, including stopping the LEA's MSP funds transfer process, unless the LEA has obtained an extension of the deadline in accordance with the procedure described in Section R277-484-4[, to the following extent:

(1) 10% of the total monthly MSP transfer amount in the first month, 25% in the second month, and 50% in the third and subsequent months for any report other than June 15 Immunization Status report].

(2) The Superintendent may recommend [L]loss of up to 1.0 WPU from Kindergarten or Grades 1-12 programs, depending on the grade level and aggregate membership of the student, in the current year Mid Year Update for each student whose prior year immunization status was not accounted for in accordance with Utah Code 53A-11-301 as of June 15.

[B. If the USOE has stopped the MSP fund transfer process for an LEA, the USOE shall:

(1) upon receipt of a late report from that LEA, restart the transfer process within the month (if the report is submitted by 10:00 a.m. on or before the tenth working day of the month) or in the following month (if the report is submitted after 10:00 a.m. on or after the tenth working day of the month); and

(2) appropriately inform the Board at its next regularly scheduled meeting.

(3) inform the chair of the governing board if LEA staff are not responsive in correcting ongoing problems with data.]

 

KEY: data standards, reports, deadlines

Date of Enactment or Last Substantive Amendment: [ August 7, 2013 ] 2017

Notice of Continuation: December 31, 2012

Authorizing, and Implemented or Interpreted Law: Art X Sec 3; 53A-1-401[(3)]; 53A-1-401(8)(a); 53A-1-413(8); 53A-1-301(3)(d) and (e)

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