DAR File No. 44128

Education, Administration

Rule R277-108

Annual Assurance of Compliance by Local School Boards

Notice of Proposed Rule

(Amendment)

DAR File No.: 44128
Filed: 10/10/2019 04:55:51 PM

RULE ANALYSIS

Purpose of the rule or reason for the change:

Rule R277-108 is being amended to incorporate by reference the updated version of the assurances document that was distributed in July to local education agencies (LEAs).

Summary of the rule or change:

In Section R277-108-3, incorporation of the Annual Assurances of Compliance has updated the checklist date to reflect the 2019-2020 school year. The assurance document, which lists the required state and federal compliance information for identified programs and funds, is meant 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. This document is something LEAs already submit annually.

Statutory or constitutional authorization for this rule:

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

This rule or change incorporates by reference the following material:

• Updates Local Education Agency (LEA) Compliance and Assurance Checklist, published by Utah State Board of Education, 10/03/2019

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. This rule is being amended to incorporate by reference the updated version of the assurances document that was distributed in July to LEAs. Thus, this rule change will not have a fiscal impact.

local governments:

This rule change is not expected to have any fiscal impact on local governments' revenues or expenditures. This rule is being amended to incorporate by reference the updated version of the assurances document that was distributed in July to LEAs. The assurance document, which lists the required state and federal compliance information for identified programs and funds, is meant 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. This document is something LEAs already submit annually. Thus, this rule change will not have a fiscal impact.

small businesses:

This rule change is not expected to have any material fiscal impact on small businesses' revenues or expenditures because this rule is about annual assurance of compliance by local school boards and thus does not apply to small businesses.

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' revenues or expenditures. The rule is being amended to incorporate by reference the updated version of the assurances document that was distributed in July to LEAs. Thus, this rule change will not have a fiscal impact.

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 no non-small businesses in the industry in question, Elementary and Secondary Schools (NAICS 611110). Because there are no non-small businesses, they do not account for any service delivery for Elementary and Secondary Schools. Therefore, non-small businesses are not expected to receive increased or decreased revenues per year. This rule change is not expected to have any fiscal impact on non-small businesses' revenues or expenditures because there are no applicable non-small businesses and it does not require any expenditures of or generate revenue for non-small businesses. This rule change has no fiscal impact on local education agencies and will not have a fiscal impact on small businesses either. The Program Analyst at the Utah State Board of Education, Jill Curry, 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

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:

12/02/2019

This rule may become effective on:

12/09/2019

Authorized by:

Angela Stallings, Deputy Superintendent of Policy

Appendix 1: Regulatory Impact Summary Table*

Fiscal Costs	FY 2020	FY 2021	FY 2022
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 no non-small businesses in the industry in question, Elementary and Secondary Schools (NAICS 611110). Because there are no non-small businesses, they do not account for any service delivery for Elementary and Secondary Schools. Therefore, non-small businesses are not expected to receive increased or decreased revenues per year. This proposed rule change is not expected to have any fiscal impacts on non-small businesses' revenues or expenditures because there are no applicable non-small businesses and it does not require any expenditures of, or generate revenue for, non-small businesses.

 

The Program Analyst at the Utah State Board of Education, Jill Curry, has reviewed and approved this fiscal analysis.

 

 

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.

(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]2019-2020 School Year [(09/06/2018)](09/06/2019), 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.

 

R277-108-4. 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 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 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.

 

R277-108-5. Process, Procedures, and Penalties.

(1) An LEA shall submit the required annual 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) 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 an anticipated submission date.

(4) 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.

 

R277-108-6. Reporting Deadlines.

Responses for the assurance document from an LEA are due to the Superintendent no later than July 1 of each year.

 

R277-108-7. Record Retention.

(1) 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 29, 2018]2019

Notice of Continuation: September 13, 2017

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