DAR File No. 43225

Education, Administration

Rule R277-108

Annual Assurance of Compliance by Local School Boards

Notice of Proposed Rule

(Amendment)

DAR File No.: 43225
Filed: 09/27/2018 04:23:27 PM

RULE ANALYSIS

Purpose of the rule or reason for the change:

Rule R277-108 is being updated to reflect the current assurance to be sought from local education agencies (LEAs) as required by federal law, state statute, and Board of Education (Board) rule.

Summary of the rule or change:

This rule is being updated to reflect the current assurances to be sought from LEAs as required by federal law, state statute, and Board rule, and has been changed to create deference to those sources of law generally rather than listing them out specifically. It also creates flexibility in the reporting method because of recent changes in moving more systems to an online or digital approach.

Statutory or constitutional authorization for this rule:

• Article X Section 3
• Subsection 53E-3-401(4)

This rule or change incorporates by reference the following material:

• Adds LEA Compliance and Assurance Checklist, published by Utah State Board of Education, 09/06/2018

Anticipated cost or savings to:

the state budget:

This rule change is not expected to have any fiscal impact on state government revenues or expenditures because it provides technical, conforming, and stylistic changes in accordance with the Rulewriting Manual for Utah and Board policies. This rule is being updated to reflect the current assurances to be sought from LEAs as required by federal law, state statute, and Board rule, and has been changed to create deference to those sources of law generally rather than listing them out specifically. It also creates flexibility in the reporting method because of recent changes in moving more systems to an online or digital approach.

local governments:

This rule change is not expected to have any material impact on local governments' revenues or expenditures because it provides technical, conforming, and stylistic changes in accordance with the Rulewriting Manual for Utah and Board policies. This rule is being updated to reflect the current assurances to be sought from LEAs as required by federal law, state statute, and Board rule, and has been changed to create deference to those sources of law generally rather than listing them out specifically. It also creates flexibility in the reporting method because of recent changes in moving more systems to an online or digital approach.

small businesses:

This rule change is not expected to have any fiscal impact on small businesses' revenues or expenditures because it provides technical, conforming, and stylistic changes in accordance with the Rulewriting Manual for Utah and Board policies. This rule is being updated to reflect the current assurances to be sought from LEAs as required by federal law, state statute, and Board rule and has been changed to create deference to those sources of law generally rather than listing them out specifically. It also creates flexibility in the reporting method because of recent changes in moving more systems to an online or digital approach.

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

This rule change is not expected to have any fiscal impact on persons other than small businesses, businesses, or local government entities because it provides technical, conforming, and stylistic changes in accordance with the Rulewriting Manual for Utah and Board policies. This rule is being updated to reflect the current assurances to be sought from LEAs as required by federal law, state statute, and Board rule and has been changed to create deference to those sources of law generally rather than listing them out specifically. It also creates flexibility in the reporting method because of recent changes in moving more systems to an online or digital approach.

Compliance costs for affected persons:

There are no compliance costs for affected persons.

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

There are 1,241 entities with a NAICS code 611110 (Elementary and Secondary Schools) operating in Utah according to a "Firm Find Data" search through Utah's Department of Workforce Services. Most of the entities in the list are schools including public schools, charter schools, and private schools. Of the 1,241 entities, there are 15 private businesses, all of which are small businesses (there are no non-small businesses with a NAICS code 611110). This rule change has no fiscal impact on local education agencies and will not have a fiscal impact on non-small or small businesses. The Assistant Superintendent of Financial Operations at the Utah State Board of Education, Natalie Grange, has reviewed and approved this fiscal analysis.

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 801-538-7550, by FAX at 801-538-7768, or by Internet E-mail at angie.stallings@schools.utah.gov
• Jeffrey Van Hulten at the above address, by phone at 801-538-7521, by FAX at , or by Internet E-mail at jeffrey.vanhulten@schools.utah.gov

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:

11/14/2018

This rule may become effective on:

11/21/2018

Authorized by:

Angela Stallings, Deputy Superintendent of Policy

Appendix 1: Regulatory Impact Summary Table*

Fiscal Costs	FY 2019	FY 2020	FY 2021
State Government	$0	$0	$0
Local Government	$0	$0	$0
Small Businesses	$0	$0	$0
Non-Small Businesses	$0	$0	$0
Other Person	$0	$0	$0
Total Fiscal Costs:	$0	$0	$0
Fiscal Benefits
State Government	$0	$0	$0
Local Government	$0	$0	$0
Small Businesses	$0	$0	$0
Non-Small Businesses	$0	$0	$0
Other Persons	$0	$0	$0
Total Fiscal Benefits:	$0	$0	$0
Net Fiscal Benefits:	$0	$0	$0

 

*This table only includes fiscal impacts that could be measured. If there are inestimable fiscal impacts, they will not be included in this table. Inestimable impacts for State Government, Local Government, Small Businesses and Other Persons are described in the narrative. Inestimable impacts for Non - Small Businesses are described in Appendix 2.

 

Appendix 2: Regulatory Impact to Non - Small Businesses

There are 1,241 entities with a NAICS code 611110 (Elementary and Secondary Schools) operating in Utah according to a "Firm Find Data" search through Utah's Department of Workforce Services. Most of the entities in the list are schools including public schools, charter schools, and private schools. Of the 1,241 entities, there are 15 private businesses, all of which are small businesses (there are no non-small businesses with a NAICS code 611110). These rule changes have no fiscal impact on local education agencies and will not have a fiscal impact on non-small or small businesses.

 

The Assistant Superintendent of Financial Operations at the Utah State Board of Education, Natalie Grange, has reviewed and approved this fiscal

 

 

R277. Education, Administration.

R277-108. Annual Assurance of Compliance by Local School Boards.

R277-108-1. Authority and Purpose.

(1) This rule is authorized by:

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

(b) Subsection 53E-3-401(4), which allows the Board to make rules to execute the Board's duties and responsibilities under the Utah Constitution and state law and allows the Board to interrupt disbursements of state aid to any district which fails to comply with rules adopted in accordance with the law.

(2) The purpose of this rule is to provide local school boards with a list of laws requiring local school board action and a means of assuring that local boards are in compliance.

 

R277-108-2. Definitions.

["Annual assurance letter" means a letter required annually from each local school board by the Board to be received no later than October 1 of each year that provides the required compliance information and documentation, if directed, for identified programs and funds.](1) "Assurance document" means the Annual Assurances of Compliance list outlined in Subsection R277-108-3.

 

R277-108-3. Incorporation of Annual Assurances of Compliance.

(1) This rule incorporates by reference the Local Education Agency (LEA) Compliance and Assurance Checklist for 2018-2019 School Year (09/06/2018), which lists the required state and federal compliance information for identified programs and funds, including:

(a) Board Rule;

(b) State statute;

(c) Federal Code of Regulations; and

(d) Federal Law.

(2) A copy of the current Annual Assurances of Compliance List is located at:

(a) https://www.schools.utah.gov/financialoperations/formsapplications?mid=2382&tid=2; and

(b) the Utah State Board of Education - 250 East 500 South, Salt Lake City, Utah 84111.

 

R277-108-[3]4. [Superintendent Responsibilities.]Assurance Document Creation and Availability.

(1) The Superintendent shall provide a list of laws and a list of State Board of Education Administrative Rules which require action or compliance by June 1[30] of each year to school district superintendents, the superintendent for the Utah School for the Deaf and the Blind and charter school directors.

(2) The list described in Subsection (1) shall be approved by the Board and shall identify laws and rules along with required compliance dates and reporting forms, if different or necessary than or in addition to the annual assurance [letter]document.

(3) The Superintendent shall consolidate all required reporting and compliance forms and provide for electronic reporting, to the extent possible and ensure the assurance document is available publicly.

 

R277-108-[4]5 . [LEA Responsibilities.]Process, Procedures, and Penalties.

(1) An LEA shall submit the required annual [assurance letter]responses to the assurance document and other compliance forms on or before dates identified by the Board.

(2) An LEA's assurance document shall contain a signed attestation by the appropriate authority attesting to the accuracy and validity of all responses and assurances provided by an LEA.

( 3[2]) In the event that an LEA is unable to provide required assurances, compliance information or forms by required dates, an LEA shall provide to the Superintendent a written explanation of the LEA's inability and provide [a compliance date]an anticipated submission date.

( 4[3]) An LEA's request for additional time to provide the assurance shall be reviewed by the Superintendent and accepted or rejected in a timely manner.

(5) The Superintendent shall request a written explanation from an LEA and identified schools that fail to meet the reporting and compliance deadlines and that have not provided an explanation and request for a delayed submission date.

(6) Following an opportunity to provide explanations and request a delayed submission date, an LEA and identified schools shall be notified of penalties assessed by the Board against the LEA in accordance with rule R277-114, state law, or federal law.

 

[R277-108-5. Assurances.

An LEA shall provide, consistent with state law, written assurance of the following:

(1) the National motto is displayed in schools consistent with Subsection 53G-10-302(6);

(2) the Pledge of Allegiance is recited in public schools consistent with Subsection 53G-10-304(3);

(3) a policy has been developed, in consultation with school personnel, parents, and school community, to provide for effective implementation of student education plans and plans for college and career readiness consistent with Subsection 53E-2-304(2)(b);

(4) compliance with Section 53G-11-205, that the LEA does not endorse or provide preferential treatment for any education employee association;

(5) a policy has been developed for the Quality Teaching Block Grant Program consistent with Section 53F-2-517;

(6) a policy has been developed on education association leave consistent with Section 53G-11-206;

(7) each public school within the LEA has established a community council consistent with Section 53G-7-1202, and the community council members have been advised of their responsibilities consistent with Sections 53G-7-1202 and 53G-7-1204;

(8) the LEA has provided the Superintendent with required Utah Performance Assessment System for Students (U-PASS) test results in order for the Superintendent to fulfill the requirements of Section 53E-4-311;

(9) the LEA does not make payroll deductions from the wages of its employees for political purposes consistent with Subsection 34-32-1.1(2);

(10) the LEA has implemented a training program for school administrators consistent with Subsection 53G-4-402(1)(f);

(11) for a school district, the local school board has an educator evaluation program developed by a joint committee including classroom teachers, parents and administrators consistent with Section 53G-11-506;

(12) the local school board or charter school governing board has presented and implemented an electronic device policy consistent with the timelines and provisions of R277-495;

(13) the LEA has posted the LEA's collective bargaining agreement on the LEA's website within ten days of the ratification or modification of any collective bargaining agreement consistent with Section 53G-11-207;

(14) by May 15 of each year, the LEA has posted certain public financial information on the LEA's website consistent with Sections 63A-3-401 through 63A-3-404; and

(15) the LEA has trained educators employed by the LEA on the Utah Educator Professional Standards described in Rules R277-515 and R277-516 as required in Section R277-515-7.]

 

R277-108-6. Reporting Deadlines.

[Letters]Responses for the assurance document from an LEA[s assuring compliance with the laws described in Section R277-108-5] are due to the Superintendent no later than [October]July 1 of each year.

 

[R277-108-7. Penalties for Noncompliance.

(1) The Superintendent shall request written explanation from an LEA and identified schools that fail to meet reporting and compliance deadlines.

(2) Following an opportunity to provide explanations and request delays, LEAs and identified schools shall be notified of penalties assessed by the Board against the LEAs in accordance with R277-114.]

 

R277-108-[8]7. Record Retention.

(1) [Letters of assurance]Responses to the assurance document, as required by the Board, shall be kept on file by the Superintendent for five years, together with letters of explanation and documentation of penalties, as directed by the Board.

 

KEY: local school boards, compliance

Date of Enactment or Last Substantive Amendment: [November 7, 2017]2018

Notice of Continuation: September 13, 2017

Authorizing, and Implemented or Interpreted Law: Art X Sec 3; 53E-3-401(4)