Internal Control Training

Annual Register Verification Training0Presented by the Office of Auditor General

0IntroductionThe purpose of this training is to outline the necessary steps to be taken by school officials in performing an annual self-audit of their official October 31 Register. This process directly affects school budget allocations.1

Topics to be CoveredATS reports that flag students whose attendance records need to be confirmed. Steps necessary to substantiate attendance records.Forms and documentation schools need to complete and maintain on file.Deadlines for schools to update the ATS reports.2

ATS ReportsALOA Low October AttendanceThis report lists students who only have one or two days of attendance in October.

ANDI November Discharges This report lists students who were discharged in November.

These reports are necessary for schools to identify students whose records require self-audit.3

ALOASelf-Audit4

4ALOAHow can schools conduct this self-audit successfully?

Confirm the attendance of all the students listed on the ALOA ATS report.

Collect and maintain all supporting documentation pertaining to ALOA student attendance.

Enter the necessary action codes in ATS no later than November 9, 2012.

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ALOA in ATSThe ALOA report will be activated and available for review on November 1.

School staff members responsible for attendance must research and substantiate the attendance information of each student on the ALOA screen for the date(s) in question.6Sample Screen

PROFILE 71-M-475 New York City Public Schools 11-01-12 15:09:34 ALOA0130 Low October Attendance 01303-JMEGLIN ==> PAGE 1 OF 1 ID NAME CLS ADM DATE DISC DATE DAY 1 #PDS DAY 2 #PDS ACTN --------- --------------- --- -------- --------- ----- ---- ----- ---- ---- 234567890 DOE, JOHN 5NN 07/02/00 10/03 1 10/16 1 198765432 CAMBERS, SUE 7MM 07/02/99 11/01/12 10/04 3 211111111 EBERTS, QUINN 7ZD 09/09/98 10/01 1 10/02 1 222222222 SAMPLE, FRED A33 07/02/00 10/08 2 333333333 MARKS, DANIEL A44 07/02/99 10/04 3 F1/Help F2/ F3/Quit-return F4/ F5/Print F6/ F7/ F8/ F9/Refresh F10/ F11/ F12/Exit

6ALOA DocumentationSchool officials must gather documentation confirming all the days of October attendance for students named on the ALOA report.

Attendance must be confirmed by one of the following staff members:

Classroom teacher Guidance CounselorAttendance teacher

For each student listed on the ALOA report, attendance staff must obtain a completed and signed Register Verification Form for the date(s) of attendance in October from one of the three individuals mentioned above.

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7Register Verification Form

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ALOA DocumentationSchool officials must gather documentation confirming all the days of October attendance for students named on the ALOA report.

Attendance must be confirmed by one of the following staff members:

Classroom teacher Guidance CounselorAttendance teacher

For each student listed on the ALOA report, attendance staff must obtain a completed and signed Register Verification Form for the date(s) of attendance in October from one of the three individuals mentioned above.9PLEASE NOTEIf verification by more than one staff member is necessary, a separate form must be completed for each individual.

9ALOA Verification10

10ALOA VerificationTeacher Verification:Daily scan sheet: Signed by the teacher of record, to the indicated class for the date(s) in question. This should be the supporting document for all schools that do not use period attendance scan sheets.

Period attendance scan sheet: Signed by the teacher of record, to the indicated class for the date(s) in question. This should be the supporting document for schools that use period attendance scanning.11

11Sample Daily Attendance Sheet

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ALOA Verification13Teacher Verification:Daily scan sheet: Signed by the teacher of record, to the indicated class for the date(s) in question. This should be the supporting document for all schools that do not use period attendance scan sheets.

Period attendance scan sheet: Signed by the teacher of record, to the indicated class for the date(s) in question. This should be the supporting document for schools that use period attendance scanning.

1314Sample Period Attendance Sheet

ALOA VerificationGuidance Counselor Verification:Guidance Counselors Log: Includes the names of the guidance counselor and student, the date of the guidance session, and the purpose of the meeting. The log needs to be a chronological listing of the guidance activities.A completed ATS Intervention Log (ILOG) is also acceptable.

Planning Interview Form (PIF): Completed, signed and dated by the counselor, student and parent/guardian.15

15Sample ILOG16

ALOA VerificationGuidance Counselor Verification:Guidance Counselors Log: Includes the names of the guidance counselor and student, the date of the guidance session, and the purpose of the meeting. The log needs to be a chronological listing of the guidance activities. A completed ATS Intervention Log (ILOG) is also acceptable.

Planning Interview Form (PIF): Completed, signed and dated by the counselor, student and parent/guardian.17

17Sample Planning Interview Form (pg. 1)18

19Sample Planning Interview Form (pg. 2)

20Sample Planning Interview Form (pg. 3)

ALOA VerificationAttendance Teacher Verification:Annotated 407 Form: Signed by the attendance teacher with the date and purpose of the meeting.

A completed ATS Intervention Log (ILOG) is also acceptable.21

21Sample Annotated 407

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ALOA VerificationAttendance Teacher Verification:Annotated 407 Form: Signed by the attendance teacher with the date and purpose of the meeting.

A completed ATS Intervention Log (ILOG) is also acceptable.23

23ALOA Action Codes24

ALOA Action CodesSchools must enter the corresponding action code in the last column of the ALOA screen (column labeled ACTN). Sample Screen

25PLEASE NOTEThe attendance staff person must enter the appropriate action code into ATS no later than November 9, 2012.

ACTN25ALOA Action CodesDocumentation must be maintained for all three action codes entered into ATS.26ALOA Action CodeDescriptionInclude on the Official October 31 Register1October presence is incorrect; Student is a Long Term Absentee (LTA).LTA-A Student was absent all of September and October.LTA-B Student was absent all of October but was present at least one day in September.No2Admit date is incorrect. Student did not attend the school prior to November 1, 2012, therefore, the admit date is wrong and should be corrected to a date after October 31, 2012.No3October presence is correct. The school has verified the days of attendance and has gathered the necessary evidence to prove attendance in October.Yes

26ALOA Action CodesWhen entering action codes one (1) and two (2):

The schools attendance staff must also correct the attendance data in ATS by changing the date of presence to an absence.

Once the ATS records are modified, these students will drop off the ALOA report.27PLEASE NOTEIf schools are not able to update ATS, they must maintain documentation supporting their ATS Help Desk request for assistance to correct the attendance data.

27ANDISelf-Audit28

ANDIHow can schools conduct this self-audit successfully?

Confirm all November discharge dates and codes listed for students on the ANDI report.

Collect and maintain all supporting documentation pertaining to a students discharge.

Enter the necessary action codes in ATS no later than November 30, 2012.

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ANDI in ATSThe November Discharges (ANDI) screen in ATS indicates students who were discharged in November.School staff members responsible for attendance must research and substantiate each ANDI students discharge date.The ANDI report will become available for schools to review November 1. School staff should monitor the report throughout the month as November student discharges are processed. 30

Sample Screen

30ANDI Verification31

31ANDI VerificationSchools must research their discharge records in order to provide confirmation that the November discharge dates are correct for each student on the ANDI report. Supporting documentation that clearly substantiates the discharge date and code entered for each student must be maintained.

Common types of documentation provided to support discharges are covered in this presentation. A more comprehensive list can be found in the Transfer, Discharge, and Graduation Code Guidelines 2012-2013. Please review the guidelines carefully since they are updated yearly to reflect current standards and align with the New York States reporting requirements.

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ANDI VerificationCommon Types of Documentation:For students that HAVE ENROLLED in a school outside the DOE:A dated letter on new schools letterhead OR,E-mail from a school official using the new schools official e-mail address OR,A fax with a formal cover sheet from the receiving school OR,A screen shot or printout from the new school/districts Student Information System. For students that the school HAS NOT received documented confirmation of enrollment:Written confirmation of the date the student left New York City (NYC) and moved within the United States (US).

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ANDI VerificationFor students that have left NYC and moved OUTSIDE the US:A statement from a parent or guardian indicating the new city and country of residence.

Additional Supporting Documents:Planning Interview Form (PIF).Confirmation of Graduation.

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ANDI VerificationThe students start/enrollment date at the new school MUST be on the following documents. If not, further research must be conducted by the school to verify this date.Dated letter on new schools letterhead indicating the students start/enrollment date. ORE-mail from a school official using the schools official e-mail address that contains the students start/enrollment date. ORA fax with a formal cover sheet from the receiving school that contains the students start/enrollment date. ORA screen shot or printout from the school/districts Student Information System that indicates that the student is currently enrolled attached to an email using the schools official email address or a fax with a formal cover sheet.

Secondary documentation (i.e., telephone calls from the new school) is NOT accepted as verification.

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ANDI VerificationWritten confirmation of when student left NYC:

If moving within the US the confirmation should include: The date the student left NYC,A full new address, including street, city and state of residence,The name and contact information of the parent/guardian providing the information,The names and titles of school personnel who obtained the information.36

ANDI VerificationWritten confirmation of when student left NYC:

If moving outside the US: Must include the new city and country of residence, andThe name of the parent/guardian providing the information and their contact information.

Note: The parent statement may be written or verbal with the statement witnessed by an attendance teacher or other school staff member. This witness verification should be documented, signed and included in the students file or recorded in ILOG.

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ANDI VerificationPlanning Interview Form (PIF):Completed, signed and dated by the guidance counselor/school official, student and a parent/guardian.

Confirmation of Graduation: Diploma or proof that a student received a diploma.38PLEASE NOTEOnly diplomas earned on or after November 1, 2012 will be accepted.

ANDI Action Codes39

ANDI Action CodesSchools must enter the corresponding action code in the last column of the ANDI screen (column labeled ACTN).40PLEASE NOTEThe attendance staff person must enter the appropriate action code into ATS no later than November 30, 2012. Sample Screen

ACTNANDI Action Codes 41PLEASE NOTEIf schools are not able to update ATS, they must maintain documentation supporting their ATS Help desk request for assistance to correct the attendance data.Sufficient documentation must be obtained for all action codes.ANDI Action CodeDescriptionInclude on the Official October 31 Register4Discharge date is incorrect. Student should have been discharged prior to November 1, 2012.No5November discharge date is correct.Documentation is necessary to prove that a discharge after October 31, 2012 is valid.Yes

Please Note42For both the ALOA and ANDI self-audits, all documentation should be maintained in the event your school is selected for audit.

Preparation for an Office of Auditor General AuditReview all collected documents for completeness. Have copies of all supporting documentation available as auditors will retain these for their records.Ensure all photocopies are legible. Place documentation in alphabetical order based on students last names.Do not staple documents.

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Resources (Login Required)OAG Student Population Unit Resources(Found under the Audits section) http://intranet.nycboe.net/DOEPortal/Principals/LegalServices/GeneralCounsel/default.htm

Transfer, Discharge, and Graduation Guidelines 2012-2013

http://intranet.nycboe.net/NR/rdonlyres/57192E64-EEA0-4D7E-A7F9-D975148FF007/0/TDG201213.pdf 44

Contact the Office of Auditor Generals Student Population Unit by:

Email: PopHelp@schools.nyc.gov

Phone: (718) 935-3104

45Questions?

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