Utah Admin. Code 277-111-4

Current through Bulletin No. 2024-21, November 1, 2024

Section 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.

Utah Admin. Code R277-111-4

Amended by Utah State Bulletin Number 2015-7, effective 3/10/2015

Repealed by Utah State Bulletin Number 2017-17, effective 8/7/2017

Adopted by Utah State Bulletin Number 2024-06, effective 3/11/2024