California Community Colleges System Office
CACCRAO Annual ConferencePalm Springs, CA
“Step by Step”Current Activities and Issues in Attendance Accounting and
ReportingPresented by Elias Regalado
May 1, 2007
“Step by Step” AGENDA
S.B. 361 Implementation– What is S.B. 361?– Goals– Major Components– Current Status– Addendums to CCFS-320
Title 5, Chapter 6 (Curriculum and Instruction) Regulation Review
Academic Calendars & Related Topics
Current Activities and Issues
* Unless otherwise indicated, all legal citations refer to California Code of Regulations, Title 5
S.B. 361 – New Funding System
What is S.B. 361? As of 10/1/06 (Urgency Statute), replaced Program
Based Funding with a new methodology for the allocation of apportionment revenue beginning with FY 2006-07 (Education Code §§ 84750.5/84760.5)
S.B. 361 also resulted in enhanced funding for qualified Noncredit courses (Career Development and College Preparation – CDCP – Noncredit Courses)
Categorical programs continue to be funded separately through Annual Budget Act
New Funding System Goals: Fairness, Simplicity, and Predictability
S.B. 361 – New Funding System (cont.)
Major Components: Basic Allocation: Based on number and size of
college campuses and centers
Basic Allocation Base Rates for Single-College Districts: FTES >= 20,000 $5,000,000 10,000 <= FTES < 20,000 $4,000,000 FTES < 10,000 $3,000,000
Basic Allocation Base Rates per College for Multi-College districts:
FTES >= 20,000 $4,000,000 10,000 <= FTES < 20,000 $3,500,000 FTES < 10,000 $3,000,000
S.B. 361 – New Funding System
Major Components (Cont.): Basic Allocation (Cont.)
Basic Allocation Base Rates for Centers Approved CPEC centers: FTES >= 1,000 $1,000,000 “Grandparented” Centers:
FTES >= 1,000 $1,000,000 750 <= FTES < 1,000 $750,000 500 <= FTES < 750 $500,000 250 <= FTES < 500 $250,000 100 <= FTES < 250 $125,000
S.B. 361 – New Funding System
Major Components (Cont.): Basic Allocation (Cont.)
Basic Allocation Center Types (two types): California Post Education Commission (CPEC)
Approved having at least 1,000 FTES
“Grandfathered” Centers: Not meeting current CPEC standards as of July 1, 2006, but previously approved by CPEC as eligible for state capital facilities or in existence as a center prior to CPEC’s establishment.
S.B. 361 – New Funding System
Major Components (Cont.): Basic Allocation (Cont.)
Basic Allocation augmentation for Rural Colleges
Criteria for augmentation of $500,000: Service area population density less than half the
statewide average (currently 217 people/square mile)
Credit FTES less than 5,000 Single College District
S.B. 361 – New Funding System
Major Components (Cont.): Equalized FTES funding rates beginning in
2006-07: Credit funding rate is $4,367 - to be adjusted
by cola in subsequent years
Noncredit funding rate is $2,626 - to be adjusted by cola in subsequent years
Career Development and College Preparation Noncredit may be funded at $3,092 – to be adjusted by cola in subsequent years
S.B. 361 – New Funding System
Major Components (Cont.): Career Development and College
Preparation (CDCP) Noncredit Courses
2006-07: $30 million is appropriated to fund the CDCP Noncredit incremental $466 increase above the standard Noncredit rate of $2,626
If $30 million is not sufficient to fully fund available CDCP Noncredit, the CDCP funding will be deficited
S.B. 361 – New Funding System
Implementation: On January 16, 2007, BOG adopted two sets of
emergency regulations to be consistent with underlying statute (S.B. 361) and Education Code
First set made changes in the basic formula for the allocation of general apportionment revenue
Second set dealt with enhanced funding for qualified CDCP Noncredit courses
Emergency regulations In effect for 180 days or 6 months
S.B. 361 – New Funding System
Implementation (Cont.) 2006-07 First Principal Apportionment (P1) calculated
pursuant to the revised funding provisions of S.B. 361 as incorporated in emergency Title 5 regulations
Efforts under way to begin development of permanent regulations, but are not anticipated to be legally effective until early August.
To bridge the gap between emergency and permanent regulations, on March 5, 2007, BOG extended emergency regulations to August 31, 2007
S.B. 361 – New Funding System
Implementation (Cont.) CCFS-320 Addendums
CDCP Noncredit FTES
Noncredit Certificate Applications due Feb. 28, 2007 for purposes of the 06-07 Second Principal Apportionment (Certificate of Completion and Certificate of Competency)
Necessary for enhanced funding allocation and S.B. 361 reporting requirements
Certificate and Course data to be submitted annually (March 1) to Legislature and Department of Finance
Amount of FTES claimed by districts Specific Program and Course Titles Number of courses receiving enhanced funding
S.B. 361 – New Funding System
Implementation (Cont.) CCFS-320 Addendums (Cont.)
CDCP Noncredit FTES (Cont.)
District Applications Status (P-2): Approx. 180 applications approved (24 districts) Approx. 1,200 Courses
Reporting Process FTES (Annualized) Number of Course Sections (Annualized) Data entered at the district level and not disaggregated by
college Data is “supplemental” information and will be
considered a subset of the total FTES reported on the CCFS-320
S.B. 361 – New Funding System
Implementation (Cont.) CCFS-320 Addendums
Center FTES Reporting
Districts with S.B. 361 Grandparented centers certified each center’s total Annual FTES, as of 2005-06 Recal (manual reporting process)
Based on reported information, Basic Allocation funding for CPEC Approved and Grandparented Centers started with the 2006-07 First Principal Apportionment
Future Reporting Periods: Annual and Recal only (web-based reporting process)
Title 5, Chapter 6 – Regulation Review
Background System Office staff and a subcommittee of the
Systemwide Advisory Committee on Curriculum currently working on a comprehensive review of Title 5, Chapter 6, which includes provisions related to:
Curriculum standards Course and program approval Course repetition Limit on times a student may withdraw from a course Field trips and excursions Distance Education/Independent Study courses Offering courses outside of district boundaries Academic Calendars
Title 5, Chapter 6 – Regulation Review
Status First Draft of proposed revisions sent to Districts on
March 26, 2007 Second Draft sent April 9, 2007 System Office presented draft to Consultation
Council on April 19, 2007 Draft includes an index to easily track new,
repealed, and relocated sections. Would go into effect in August if approved by
BOG in July 2007 Comments or questions about proposed revisions
should be submitted to Ralph Black, Assistant General Counsel, at:
Title 5, Chapter 6 – Regulation Review
Proposed Changes Impacting Attendance Accounting & Reporting
Limitation on “W”s in one course (§§ 55024 and 58161.5)
A student shall not be permitted to receive more than three (3) “W” symbols on his or her record for enrollment in the same course
A student who enrolls again in a course after already having already received three “W”s in the same course shall receive a grade or a different nonevaluative symbol, unless the student withdraws from the course prior to the end of the fourth week of instruction or 30 percent of the term, whichever is less, or such shorter period as established by the district
Title 5, Chapter 6 – Regulation Review
Proposed Changes Impacting Attendance Accounting & Reporting (cont.)
Limitation on “W”s in one course (§§ 55024 and 58161.5) (Cont.)
District may not claim apportionment for the attendance of a student in a credit course if the “W” symbol has been previously been assigned to that student for that same course on three or more occasions
Would go into effect in August if approved by the Board in July, so the first term affected would be Fall 2007
District would need to look back for “W”s issued in the same course prior to that
Title 5, Chapter 6 – Regulation Review
Proposed Changes Impacting Attendance Accounting & Reporting (cont.)
Increase in “Repeats” allowed for substandard grades (Proposed §§ 55040, 55041, and 58161)
District may allow a student to repeat a course two times in an effort to alleviate substandard academic work (only one repetition currently permitted)
District may, upon petition by the student, permit a third repetition of a course in which substandard academic work has been recorded, provided the district finds that there are extenuating circumstances (accidents, illness, or other circumstance beyond the control of the student) [THIS REPETITION WOULD NOT BE ELIGIBLE FOR APPORTIONMENT]
This two repetition limit also applies where a student is permitted to repeat a course by petition where substandard work was NOT recorded pursuant to proposed Section 55041(e) (district finds that there are extenuating circumstances)
Title 5, Chapter 6 – Regulation Review
Proposed Changes Impacting Attendance Accounting & Reporting (cont.)
Increase in “Repeats” allowed for substandard grades (Proposed §§ 55040, 55041, and 58161) (Cont.)
“Substandard academic work” occurs when grading symbols “D,” “F,” “FW,” “NP” or “NC” has been recorded
Optional, so districts can implement it when and if they wish
Repetitions beyond the limits stated here are permitted, but may not be claimed for apportionment
District may allow the previous grade and credit to be disregarded in computing the student’s GPA each repetition
Title 5, Chapter 6 – Regulation Review
Proposed Changes Impacting Attendance Accounting & Reporting (cont.)
Repetitions for Noncredit courses (Proposed § 58161(i)) The attendance of a student repeating a Noncredit course
may be claimed for apportionment if the district documents that, during the previous enrollment in the course, the student made measurable progress toward, but has not yet fully achieved, the learning objectives specified for the course
District must maintain such documentation as a Class 3 disposable record basic to audit
A student is considered to have taken or repeated a Noncredit course when he or she enrolls in a Noncredit course on or after 7/1/07 and completes at least 30% of the course hours
Chancellor is directed to report to BOG by 1/15/09 on appropriate limitations for Noncredit course repetitions
Title 5, Chapter 6 – Regulation Review
Proposed Changes Impacting Attendance Accounting & Reporting (cont.)
Prohibition in enrolling in same course during the same semester or session (Proposed § 55007(a))
Students may not simultaneously enroll in two or more sections of the same course during the same term
Students needing additional instruction in the subject matter while enrolled in a course may be referred to:
Individualized tutoring pursuant to § 58170 Supplemental learning assistance pursuant to §§ 58172
and 58164
Title 5, Chapter 6 – Regulation Review
Proposed Changes Impacting Attendance Accounting & Reporting (cont.)
Prohibition in enrolling in overlapping courses (Proposed § 55007(b))
Students may not enroll in two or more courses where the meeting times for the courses overlap, unless the district establishes a mechanism for ensuring the following requirements are met:
The student provides a sound justification Appropriate district official approves the schedule The college maintains documentation describing the
justification and showing that the student made up the hours not attended under the supervision of the instructor of the course during the same week
Academic Calendars & Related Topics
Concept Paper• The Concept Paper is a joint product of the College
Finance and Academic Affairs Divisions of the System Office and was developed collaboratively with CIO leaders
• Objective is to enhance dialog between the System Office and the districts on standardization strategies related to course scheduling, flex calendars, and academic calendar compression
• The Concept Paper includes background/historical information, definitions, problem descriptions, possible resolution actions, and a conclusion with expected next steps
Academic Calendars & Related Topics
Concept Paper (Cont.)• The Concept Paper was formally presented by CIO
leaders at the Joint CIO/CSSO conference of March 15-17, 2006. The Concept Paper has also been presented to Consultation Council and the Fiscal Standards and Accountability Committee
• Feedback has been solicited for an expected future communication from the System Office to formalize any final guidance
• In the interim, and in the interest of a prudent and timely review of current compressed calendar applications, the guidelines included in the concept paper are currently being applied to the review and approval process for compressed calendar applicants
Academic Calendars & Related Topics
Concept Paper (Cont.)
• Going forward, we will continue the development of the compressed calendar guidelines internally
• The objective continues to be to clarify identified issues and current Title 5 regulations, and not create new regulations
• Once work is completed, the Academic Senate will be provided an opportunity to provide input on the finalized guidelines prior to bringing them back to the Consultation Council for discussion
Academic Calendars & Related Topics
Changes in Academic Calendar Configuration – Application Process
Per § 55720, prior to any change in academic calendar configuration, a district shall obtain approval from the System Office
District must demonstrate compliance with 175-Day Rule (§§ 58120 and 58142) and address state aid implications
District must provide educational implications, positive and negative, of the proposed change and other relevant information (studies, surveys, analysis, etc)
Questions regarding Academic Calendar changes should be directed to Elias Regalado, System Office
Attendance Accounting Issues
District Attendance Accounting Procedures as Req. by §58030
Board adopted procedures that will document all: Course enrollment Student attendance and Disenrollment
Procedures GOAL: Accurate and timely attendance and contact hour data reflective of internal controls
Such procedures shall include rules for retention of support documentation to enable independent determination of the accuracy of FTES reported for apportionment purposes
Attendance Accounting Issues
District Attendance Accounting Procedures as Req. by § 58030 (Cont.)
Should cover other critical attendance accounting areas, including:
Clearing of census rosters Overlapping course attendance TBA Contact Hours (To Be Arranged) Tracking of cancelled classes Proper scheduling of courses relative to attendance
accounting procedures Contact Hour calculations Course repetition
Should be regularly reviewed to assure compliance with all current requirements
Attendance Accounting Issues
Internal Control Systems As previously noted, district Attendance Accounting
Procedures as required by § 58030 shall be structured as to provide for internal controls
Internal controls provide reasonable assurance for the reliability of:
Attendance and contact hour data Safeguarding of records (physical records as well as
information system data files and applications) And compliance with laws and regulations
Due to direct relationship to Apportionment eligibility, internal controls in this area are critical
Attendance Accounting Issues
Internal Control Systems (cont.) If district is subject to a comprehensive audit/review relative
to FTES claims, MIS and Admissions and Records Office internal control systems, and possibly others, will be reviewed for student attendance monitoring and accountability
Procedures applicable to internal control systems should be as specific as possible, including indicating which group or department head will provide leadership and ongoing oversight
These procedures should make special mention of internal controls applicable to information systems
Attendance Accounting Issues
Internal Control Systems (cont.) Internal control procedures applicable to
information systems also ensure that: Data processing diagnostics and errors are noted and
resolved Applications and functions are processed according to
established schedules and reporting periods File backups are taken at appropriate intervals Recovery procedures for data processing failures are
established Actions of computer operators and system administrators are
reviewed
Primary resources concerning internal controls include the district CBO and the Internal Auditor
Attendance Accounting Issues
Affirmative Confirmation of Students “Actively Enrolled”
§ 58004 requires districts to clear the course rolls of inactive enrollment as of each census day for any student who has been identified as a “no show”, any student who has officially withdrawn from the course, and any student who has been dropped from the course
District must drop students that are no longer participating in the course, except if there are extenuating circumstances
“No longer participating” includes, but is not limited to, excessive unexcused absences but must relate to nonattendance
Attendance Accounting Issues
Affirmative Confirmation of Students “Actively Enrolled”
Districts must have affirmative confirmation of students actively enrolled in census courses as of each census day in order to factually comply with tabulation requirements provided by § 59020 and to properly report FTES for apportionment purposes
Legal advisory will be prepared addressing this issue
Attendance Accounting Issues
Miscellaneous Issues & Reminders Course contact hours claimed for
apportionment must be consistent with corresponding course outlines (§ 58050)
Relationship of hours to units must be based on Board approved policy (§§ 55002; 58050)
Independent Study Attendance Accounting procedure exception for Independent Study Labs (§ 58009)
Attendance Accounting Issues
Miscellaneous Issues & Reminders CCFS-320 “F” (Flex) Factors must be
thoroughly reviewed prior to certification (§ 55729)
Local holidays/college closures may impact applicability of attendance accounting procedures, which may result in less apportionment (§ 58003.1)
Cancelled Census classes should not be claimed for apportionment (§§ 58050;58051)
Be sure to fully report Basic Skills FTES
Attendance Accounting Issues
Miscellaneous Issues & Reminders 2006-07 Contracted District Audit Manual
(CDAM) to be released soon
Emergency Conditions Request (CCFS-313, § 58146)
Timely submission of CCFS-320 is critical to apportionment process and State Budget development (§ 58003.4)
Feedback on recent CCC Confer training for CCFS-320 Addendums
Questions/Comments