Chapter 3301-17 Reports for Statewide Education Management Information System

3301-17-01 Purpose.

The purpose of Chapter 3301-17 of the Administrative Code is to implement the requirements enumerated in division (L) of section 3301.0714 of the Revised Code, which establishes sanctions to be applied to school districts and other educational data reporting entities that report incomplete or inaccurate data; report data that do not conform to data requirements and descriptions published by the department; fail to report data in a timely manner; or otherwise do not make a good faith effort to report data as required by section 3301.0714 of the Revised Code. The burden of proof shall be on the school district and educational reporting entity to demonstrate that it made a good faith effort to report data as required by section 3301.0714 of the Revised Code.

R.C. 119.032 review dates: 01/07/2013 and 01/07/2018
Promulgated Under: 119.03
Statutory Authority: 3301.07 , 3301.0714(L)
Rule Amplifies: 3301.0714(L)
Prior Effective Dates: 4/19/08

3301-17-02 Applicability.

The rules in this chapter apply to city, local, exempted village, or joint vocational school districts, community schools, educational service centers, and any other educational entities required to submit data to the department of education pursuant to the requirements of section 3301.0714 of the Revised Code.

R.C. 119.032 review dates: 01/07/2013 and 01/07/2018
Promulgated Under: 119.03
Statutory Authority: 3301.07 , 3301.0714(L)
Rule Amplifies: 3301.0714(L)
Prior Effective Dates: 4/19/2008

3301-17-03 Definitions.

(A) "Reporting entity" shall refer to city, local, exempted village, or joint vocational school districts, community schools, educational service centers, and any other educational entities required to submit data to the department of education pursuant to the requirements of section 3301.0714 of the Revised Code. For the purpose of all notifications, reporting entity includes the sponsoring organization as defined by the Ohio educational directory system.

(B) "Data reporting issue" shall refer to incomplete or inaccurate data; reported data that does not conform to the data requirements and descriptions published by the department; data not reported or data not reported in a timely manner; and/or data not reported in good faith.

(C) "Department" shall mean department of education.

(D) "State funds" shall mean school foundation program funding or other sources of state funding provided by the department in the fiscal year in which a withholding is applied.

R.C. 119.032 review dates: 01/07/2013 and 01/07/2018
Promulgated Under: 119.03
Statutory Authority: 3301.07 , 3301.0714(L)
Rule Amplifies: 3301.0714(L)
Prior Effective Dates: 4/19/2008

3301-17-04 Notification.

If the department determines a reporting entity failed to report data consistent with the requirements of section 3301.0714 of the Revised Code, the department shall notify the reporting entity in writing; require the reporting entity to review its data submission; and at the department's discretion require the reporting entity to submit corrected data by a deadline established by the department. The written notification shall include the request for a corrective action plan to be submitted to the department if the department determines that such a plan is necessary to address the data reporting issue. The department shall notify a reporting entity in writing if the department initiates financial penalties described in division (L)(2) of section 3301.0714 of the Revised Code.

R.C. 119.032 review dates: 01/07/2013 and 01/07/2018
Promulgated Under: 119.03
Statutory Authority: 3301.07 , 3301.0714(L)
Rule Amplifies: 3301.0714(L)
Prior Effective Dates: 4/19/2008

3301-17-05 Corrective action plan.

If the department determines a reporting entity has a data reporting issue, the department may require the reporting entity to develop a corrective action plan in its notification, which shall include provisions for the reporting entity to provide mandatory staff training on data reporting procedures. If a reporting entity reaches the sanction outlined under division (L)(2)(b) of section 3301.0714 of the Revised code, the department shall require the development of a corrective action plan, if not yet required during the notification. The department may provide assistance to a reporting entity in the development of a corrective action plan; however, any corrective action plan required to be submitted to the department shall be subject to approval by the department.

A corrective action plan may include, but not be limited to, the following components: how and why the identified data reporting issues occurred; steps the reporting entity shall take, directly related to the identified data reporting issues, to either eliminate all identified data reporting issues or stop the data reporting issues from occurring again; how the district will support, financially or otherwise, the steps outlined to address the identified data reporting issues; and a 'sign-off' by the superintendent or chief administrator that he/she agrees to implement the steps outlined in the corrective action plan.

R.C. 119.032 review dates: 01/07/2013 and 01/07/2018
Promulgated Under: 119.03
Statutory Authority: 3301.07 , 3301.0714(L)
Rule Amplifies: 3301.0714(L)
Prior Effective Dates: 4/19/2008

3301-17-06 Financial and other penalties.

(A) If the department determines that a reporting entity has a data reporting issue, the department may initiate the progressive sanction process provided for in division (L)(2) of section 3301.0714 of the Revised Code (regarding financial and other penalties). The department may progress a reporting entity through the sanctions if the reporting entity continues to have data reporting issues or fails to submit a corrective action plan as requested by the department or fails to satisfy the requirement of a corrective action plan approved by the department. The department may set time limits for each stage of the progressive sanctions as it deems necessary for the severity of the data reporting issue of the reporting entity.

(B) Withholdings shall be a percentage of the total amount of state funds due to the reporting entity for the current fiscal year.

(C) If, after being subject to a withholding of up to ten per cent, a reporting entity continues to fail to meet the requirements enumerated in paragraph (A) of this rule, the department may withhold an additional amount of up to twenty per cent and, if after being subject to a withholding of up to twenty per cent, a reporting entity continues to fail to meet the requirements enumerated in paragraph (A) of this rule, the department may apply sanctions provided for in division (L)(2)(d) of section 3301.0714 of the Revised Code, which includes one or more of the following:

(1) Audit of the reporting entity's data reporting practices by the department or an outside entity;

(2) Site-visit and evaluation of the reporting entity by the department;

(3) Additional withholding of up to thirty per cent of state funds;

(4) Continued monitoring of the reporting entity's data reporting practices;

(5) Supervision by the department of the reporting entity's data management system and reporting practices;

(6) Investigation to determine whether to suspend or revoke the license of any of the reporting entity's employees in accordance with division (N) of section 3301.0714 of the Revised Code;

(7) Indication on a reporting entity's report card, if applicable, that the reporting entity has been sanctioned for failing to meet data reporting requirements;

(8) Revised report card if the submission of incomplete or inaccurate data by the reporting entity likely resulted in a higher performance rating than it deserved under section 3302.03 of the Revised Code; and

(9) Any other reasonable action the department determines is necessary to correct the reporting entity's data reporting issue.

(D) The factors the department shall consider when applying a financial penalty may include, but not be limited to, the following:

(1) Type of data reporting issue;

(2) Magnitude of the data reporting issue;

(3) Whether a good faith effort was made by the reporting entity as determined by the department. The burden of proof shall be on the reporting entity to demonstrate that it made a good faith to report data as required under section 3301.0714 of the Revised Code;

(4) Withholdings applied in similar situations with other reporting entities;

(5) Data reporting history of the reporting entity; and/or

(6) Reporting entity's response to previous withholdings and other actions taken by the department regarding the reporting entity's data reporting practices;

(E) If any action taken under division (L)(2) of section 3301.0714 of the Revised Code resolves a reporting entity's outstanding data reporting issues to the department's satisfaction, the department shall not take any further action described by that division, except that the department may subject a reporting entity to sanctions if the department determines that a data reporting issue has reoccurred or the reporting entity has otherwise violated the reporting requirements of section 3301.0714 of the Revised Code. The department may release a portion of withheld funding applied against a reporting entity if the department approves a corrective action plan submitted by the reporting entity pursuant to the requirements of this rule and section 3301.0714 of the Revised Code.

(F) If the department withheld funds from a reporting entity, the department may release those funds to the reporting entity; however, if the department withholds funding up to twenty per cent, the department shall not release funds previously held up to ten per cent nor shall the department release funds previously withheld up to twenty percent if the department ultimately withholds funding under division (L)(2)(d) of section 3301.0714 of the Revised Code.

(G) Any time a reporting entity becomes subject to a higher degree of sanctioning as provided for in division (L)(2) of section 3301.0714 of the Revised Code, the department shall notify the reporting entity in writing of such an escalation.

(H) Any reporting entity that has funds withheld under the provisions of section 3301.0714 of the Revised Code may appeal the withholding in accordance with Chapter 119. of the Revised Code. In such cases, once the appeal request is filed with the department, the department shall promptly schedule the hearing and engage a referee. The report and recommendation of the referee shall be subject to a vote by the state board of education, who may accept, reject, or modify the recommendation of the referee. The recommendation by the hearing officer referee may reduce the withholding by any amount deemed appropriate; but the recommendation shall neither nullify the department's determination that one or more data reporting issues occurred nor release the reporting entity from future progressive sanctions.

(I) In determining whether a revised report card may be required for a reporting entity under division (L)(2)(d)(viii) of section 3301.0714 of the Revised Code, the department shall identify the impact of issuing a revised report card and include a statement to that effect with the notification.

Prior to issuing a revised report card for a reporting entity under division (L)(2)(d)(viii) of section 3301.0714 of the Revised Code, the department may hold a hearing to provide the reporting entity an opportunity to demonstrate that it made a good faith effort to report data as required by section 3301.0714 of the Revised Code. The hearing shall be conducted by a referee appointed by the department. Based on the information provided in the hearing, the referee shall recommend whether the department should issue a revised report card for the district. If the referee affirms the department's contention that the district did not make a good faith effort to report data as required by section 3301.0714 of the Revised Code, the reporting entity shall bear the full cost of conducting the hearing and of issuing any revised report card.

R.C. 119.032 review dates: 01/07/2013 and 01/07/2018
Promulgated Under: 119.03
Statutory Authority: 3301.07 , 3301.0714(L)
Rule Amplifies: 3301.0714(L)
Prior Effective Dates: 4/19/2008

3301-17-07 Reporting.

Any time the department takes an action against a reporting entity under division (L)(2) of section 3301.0714 of the Revised Code, the department shall make a report of the circumstances that prompted the action and maintain a copy in its files. Notwithstanding notification provided for in paragraph (G) of rule 3301-17-06 of the Administrative Code, the department shall send a copy of the report to the superintendent or chief administrator of the reporting entity.

R.C. 119.032 review dates: 01/07/2013 and 01/07/2018
Promulgated Under: 119.03
Statutory Authority: 3301.07 , 3301.0714(L)
Rule Amplifies: 3301.0714(L)
Prior Effective Dates: 4/19/2008

3301-17-08 Audit.

Notwithstanding the sequential sanctions provided for in division (L)(2) of section 3301.0714 of the Revised Code, any time the department has reason to believe a reporting entity has not made a good faith effort to report data as required by section 3301.0714 of the Revised Code, the department may conduct an audit of the reporting entity's data reporting practices pursuant to the provisions provided for in division (L)(5) of section 3301.0714 of the Revised Code. The department may contract with an outside entity to conduct the audit.

R.C. 119.032 review dates: 01/07/2013 and 01/07/2018
Promulgated Under: 119.03
Statutory Authority: 3301.07 , 3301.0714(L)
Rule Amplifies: 3301.0714(L)
Prior Effective Dates: 4/19/2013

3301-17-09 Reimbursement.

If any audit conducted by an outside entity under divisions (L)(2)(d)(i) or (L)(5) of section 3301.0714 of the Revised Code confirms that a reporting entity has not made a good faith effort to report data as required by section 3301.0714 of the Revised Code, the reporting entity shall reimburse the department for the full cost of the audit.

If the department determines that any inaccurate data reported under this section caused a reporting entity to receive excess state funds in any fiscal year, the reporting entity shall reimburse the department an amount equal to the excess funds, in accordance with a payment schedule determined by the department.

If the department issues a revised report card on its own determination under division (L)(2)(d)(viii) of section 3301.0714 of the Revised Code or as recommended by a referee appointed by the department pursuant to division (L)(6) of section 3301.0714 of the Revised Code, the reporting entity shall reimburse the department the full cost of conducting the hearing and for issuing a revised report card.

The department may withhold state funds for purposes described in this rule.

R.C. 119.032 review dates: 01/07/2013 and 01/07/2018
Promulgated Under: 119.03
Statutory Authority: 3301.07 , 3301.0714(L)
Rule Amplifies: 3301.0714(L)
Prior Effective Dates: 4/19/2008