No. 37739 (Amendment): Rule R277-484. Data Standards

(Amendment)

DAR File No.: 37739
Filed: 06/14/2013 10:21:03 AM

RULE ANALYSIS

Purpose of the rule or reason for the change:

This rule is amended to change the dates for data submission to allow for the correction of technical errors and check data quality before moving forward with a final data set for budgeting and fund allocation. The amendments also establish timelines and requirements for local education agencies (LEAs) changing their student information systems. The amendments provide technical and terminology changes, as well as removing obsolete language.

Summary of the rule or change:

The amendments include: new and revised definitions; date and requirement changes; changes and adjustments to deadlines; and official data source and required LEA compatibility language.

State statutory or constitutional authorization for this rule:

• Subsection 53A-1-401(3)

Anticipated cost or savings to:

the state budget:

There is no anticipated cost or savings to the state budget. The changes provide for greater flexibility to improve data quality.

local governments:

There is no anticipated cost or savings to local government. LEAs will enter data consistent with the rule changes and have flexibility to improve data accuracy.

small businesses:

There is no anticipated cost or savings to small businesses. This rule and the amendments apply to public education and do not affect businesses.

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

There is no anticipated cost or savings to persons other than small businesses, businesses, or local government entities. The changes do not apply to individuals.

Compliance costs for affected persons:

There are no compliance costs for affected persons. Although the Utah State Office of Education can interrupt Minimum School Program fund transfers to LEAs that fail to submit reports by deadlines, upon compliance with the requirements, funding is resumed and the fund transfer continued.

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

I have reviewed this rule and I see no fiscal impact on businesses.

Martell Menlove, State Superintendent

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

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

Direct questions regarding this rule to:

• Carol Lear at the above address, by phone at 801-538-7835, 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:

07/31/2013

This rule may become effective on:

08/07/2013

Authorized by:

Carol Lear, Director, School Law and Legislation

RULE TEXT

R277. Education, Administration.

R277-484. Data Standards.

R277-484-1. Definitions.

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

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

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

D. "Comprehensive Administration of Credentials for Teachers in Utah Schools (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.

[E. "Data Clearinghouse File" means the electronic file of student level data submitted by LEAs to the USOE in the layout specified by the USOE. This definition is effective until July 1, 2011.

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

[G]F. "EDEN" means the Education Data Exchange Network, the mechanism by which state education agencies are mandated [as of the 2008-09 school year] to submit data to the U.S. Department of Education.

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

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

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

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

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

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

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

[M]N. "Utah eTranscript and Record Exchange (UTREx)" means a system that allows individual detailed student records to be exchanged electronically between public education LEAs and the USOE, 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.[ This definition becomes effective on July 1, 2011, the date when UTREx becomes available to all Utah LEAs.]

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

[O. "YICSIS" means the Youth In Custody Student Information System.

]

R277-484-2. Authority and Purpose.

A. This rule is authorized by Utah Constitution Article X, Section 3 which vests general control and supervision of public education in the Board, and by Section 53A-1-401(3) which permits the Board to adopt rules in accordance with its responsibilities and specifically allows the Board to interrupt disbursements of state aid to any LEA which fails to comply with rules.

B. 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. 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.

 

R277-484-3. Deadlines for Data Submission.

For the purpose of submission of student level data, each Utah LEA shall participate in UTREx[ as of July 1, 2011]. LEAs shall 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:

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

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.

[D]E. July 7 - [

(1) Data Clearinghouse File - final comprehensive update for prior year - Data, Assessment, and Accountability - effective until July 1, 2011;

(2)] UTREx - final comprehensive update for prior year[- Data, Assessment, and Accountability - effective on July 1, 2011].

[E]F. July 15

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

(2) Classified Personnel Report - for prior year[ - Business Services];

(3) Driver Education Report - for prior year[ - Educator Quality];

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

(5) Fee Waivers Report - for prior year;

[(6) Fire Drill Compliance Statement - for prior year;

] ([7]6) Home Schooled Students Report - for prior year;

([8]7) Teacher Benefits Report - for prior year;

([9]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.

[F]H. September 15

(1) Membership Audit Report - for prior year;

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

[G]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.

[H]J. Seven business days after October 1[5] - [

(1) Data Clearinghouse File - update as of October 1 for current year - effective until July 1, 2011;

(2)] UTREx - complete update required as of October 1 for current year[ - effective on July 1, 2011;].

[(3) YICSIS - update 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.

[I]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.

[J]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.

[K]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.

[L]P. December 15 - [

(1) Data Clearinghouse File - update as of December 1 for current year - effective until July 1, 2011;

(2)] Bus Driver Credentials Report - for current year[ - Business Services].

M. December 15 - UTREx - revised update as of December 1 for current year if significant errors are identified by the USOE or the LEA[- effective on July 1, 2011].

 

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[ date of the] first workday after the date specified [in Section 3 ]for that year.

B. An LEA may seek an extension of a deadline to ensure continuation of funding and provide more accurate [input]information to allocation formulas by submitting a written request to the USOE. The request shall be received by the USOE[ State ]Director of School Finance[ and Statistics ]at least 24 hours before the specified deadline in Section 3 and include:

(1) The reason(s) [why]for the extension [is needed]request;

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

(3) The date by which the LEA shall submit the report.

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

(1) Take into consideration the pattern of LEA compliance with reporting deadlines and the urgency of the [use which depends on]need for the data to be submitted[, consult with other USOE staff who have knowledge relevant to the situation of the LEA]; and either

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

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

D. If, after receiving an extension, the LEA fails to submit the report by the [agreed]designated date, the MSP fund transfer process shall be stopped and the procedure described in Section 8 shall apply.

E. Extensions shall apply only to the report(s) and date(s) specified in the request.

F. Exceptions - Deadlines for the following reports may not be extended:

(1) [June 29] CACTUS Update[;]:

(a) June 29;

(b) November 15.

[ (2) July 7 Final Data Clearinghouse File - final comprehensive update for prior year- Data, Assessment, and Accountability - effective until July 1, 2011;

] ([3]2) UTREx Update:

(a) July 7 UTREx - final comprehensive update for prior year[ - Data, Assessment, and Accountability - effective on July 1, 2011];

(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;

[ (4) November 15 CACTUS - update for current year.

] (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.

 

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

A. The USOE shall load operational data collections into the Data Warehouse as of the submission deadlines specified.

B. The Data Warehouse shall be the sole official source of data for annual:

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

(2) determination of adequate yearly progress as required under the [ESEA]Utah Comprehensive Accountability System (UCAS); and

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

C. [Prior to an LEA acquiring a student information system, replacing an existing student information system, or modifying data elements in an existing student information system, an LEA shall have USOE approval to ensure that the LEA's new or modified student information system maintains compatibility with UTREx.]LEAs shall use a USOE-approved SIS to ensure compatibility with USOE data collection systems. The USOE maintains a list of approved student information systems.

(1) Prior to the USOE 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;

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

(c) LEA shall submit documentation to the USOE that a 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 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 for review.

(2) The USOE shall review documentation and grant or deny requests 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. Approved replacement systems shall run in parallel for a period of at least three months to a state-approved system and be able to generate duplicate reports to previously generated information.

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

E. All public high school transcripts requested by public education post-secondary schools shall be electronically submitted to those public education post-secondary schools if the post-secondary schools are capable of receiving transcripts through the electronic transcript service designated by the USOE. This process is mandatory for all public high schools [after September 1, 2013]as of October 1, 2013.

 

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

The USOE School Finance[ and Statistics] Section shall publish [after each general legislative session] by June 30 annually on its website a[n explicit] description of how data shall be used to allocate funds to LEAs in each MSP program in the following fiscal year.

 

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

A. For the purpose of allocating MSP funds and projecting enrollment, 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 a[n] USOE audit report review team [comprising at least three members of the Finance and Statistics and Charter School sections ]agrees that an adjustment is warranted by the evidence of an audit:

(1) the audit report review team shall make its determination within [five]60 working days of the authorized audit report deadline;

(2) values can only be adjusted downward when audit reports are received after the authorized deadlines.

 

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

A. If an LEA fails to submit a report by its deadline as specified in Section 3, consistent with procedures outlined in R277-114, the USOE shall stop the MSP fund transfer process on the day after the deadline, unless the LEA has obtained an extension of the deadline in accordance with the procedure described in Section 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) 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) [inform the ]appropriately inform the Board [Committee ]at its next regularly scheduled[ Committee ]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: [February 21, ]2013

Notice of Continuation: December 31, 2012

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

 

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