Utah Admin. Code R277-111-4 - Board Oversight Framework
(1) The
framework shall consist of four categories that represent an increasing degree
of Board oversight for each subsequent category.
(2) Before categorizing a program or set of
requirements for the Board's consideration, the Superintendent shall analyze
the program or set of requirements based on the following factors:
(a) the quantity and content of the legal
requirements, including explicit monitoring requirements in state or federal
law;
(b) the risk inherent in:
(i) the requirements; and
(ii) the individual oversight entities
subject to the requirements, with regard to the effectiveness of each oversight
entity's internal control system;
(c) all general and dedicated resources
available to carry out the requirements, including:
(i) the restricted or unrestricted nature of
applicable funding; and
(ii)
options for using dedicated staff; and
(d) any other factors the Superintendent
considers relevant to the analysis.
(3) Based on the analysis described in
Subsection (2), the Superintendent shall categorize a program or set of
requirements in the framework as follows:
(a)
a program or set of requirements belongs in category one if the Superintendent
determines that:
(i) the Superintendent will
not dedicate specific staff to the program or set of requirements;
and
(ii) either:
(A) local control is critical to the purpose
of the requirements; or
(B) the
Superintendent will not use resources for implementing the requirements and
will typically refer complaints and allegations back to the oversight entity
for resolution;
(b) a program or set of requirements belongs
in category two if the Superintendent determines that:
(i) the Superintendent will not specifically
dedicate staff to the program or set of requirements; and
(ii) the Superintendent will provide
assistance as needed to an oversight entity implementing the
requirements;
(c) a
program or set of requirements belongs in category three if the Superintendent
determines:
(i) that the Superintendent will
dedicate staff to the program or set of requirements; and
(ii) at least one of the following:
(A) that less frequent than annual desk
monitoring is sufficient to fulfill the requirements; or
(B) that resources are limited to either
completely fulfill monitoring requirements or to appropriately mitigate
identified risks; and
(d) a program or set of requirements belongs
in category four if the Superintendent determines that:
(i) the Superintendent will dedicate staff to
the program or set of requirements;
(ii) annual or more frequent monitoring is
necessary to ensure accountability of the oversight entity;
(iii) monitoring may include on-site visits;
and
(iv) resources are sufficient
to fulfill the requirements.
(4) When the Board makes, amends, or
continues a rule regarding a program or set of requirements, the rule:
(a) shall state the Board's oversight
objectives and related duties, based on the Superintendent's analysis and
recommended framework categorization of the program or set of requirements;
and
(b) may include, as necessary
for the intended category of oversight:
(i)
designing an internal control system to achieve the Board's oversight
objectives and creating an implementation plan;
(ii) creating a mechanism to check the
effectiveness of the oversight process; and
(iii) setting a standard for satisfactory
outcomes for the program or set of requirements.
(5) For a program or set of requirements that
needs monitoring, the details of the monitoring system shall be described:
(a) in the rule relating to the program or
set of requirements; or
(b) in
contract, if the program or set of requirements is established in
contract.
Notes
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