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The Department of Elementary and Secondary Education's Oversight of Charter Schools

December 18, 2014 · Department of Elementary and Secondary Education · Read the full official report (PDF) ↗

Published December 18, 2014 Audit covers July 1, 2009 – June 30, 2013 Under Suzanne M. Bump · 2011–2023

In plain English
The audit says Massachusetts education officials had some oversight in place, but important charter school information was unreliable and some oversight decisions were inconsistent.
source
“The reliability and accuracy of charter school information in DESE’s data systems are questionable.”
Read the plain-English breakdown
What is this?

This is a state performance audit of how DESE oversaw Massachusetts charter schools from July 1, 2009 through June 30, 2013.

“This report details the audit objectives, scope, methodology, findings, and recommendations for the audit period, July 1, 2009 through June 30, 2013.”
Why was it audited?

Charter schools involve major public spending, so the auditor reviewed whether the state was overseeing them properly.

“Taxpayer funding, including tuition payments and other funding, associated with Commonwealth charter schools is expected to exceed $516 million for fiscal year 2014.”
Why it matters

If waitlists, school data, and renewal decisions are not reliable, state leaders and families may make choices based on bad information.

“A lack of accurate waitlist information may result in ineffective planning and oversight, as well as policymaking consequences such as an inaccurate assessment of demand when charter school approval, renewal, or expansion applications are considered and when the Legislature makes decisions on changes to existing limitations on the number of charter schools.”
What's in it for me?

For ordinary families, the report matters because parents, lawmakers, and schools rely on DESE’s data to judge demand, performance, and school quality.

“Without sufficient oversight and monitoring by DESE of the accuracy of schools’ reported data, there is an increased risk that unreliable or inaccurate data will be used by DESE, other state agencies, the Legislature, researchers, parents, and others in their decision-making.”
The bottom line

The auditor found that DESE did many monitoring tasks, but had serious problems with waitlists, data reliability, sharing charter school practices, and some renewal decisions.

“However, our audit identified issues with certain aspects of DESE’s administration of charter schools, including the following:”
What happens next

The report recommends that DESE improve waitlist tracking, verify reported data, tighten data security, clarify expectations, and apply renewal standards consistently.

“DESE should gather all waitlist information required by law, including student addresses, telephone numbers, and birthdates, in order to develop and maintain accurate consolidated waitlists.”
Why it's significant

The report is significant because charter schools were a major part of Massachusetts education policy and had been debated for years.

“The role and success of these charter schools in fulfilling legislatively established educational purposes have been the subject of extensive public debate since provisions for the establishment of charter schools were first included in the Massachusetts Education Reform Act of 1993.”
Jargon, unpacked

A Commonwealth charter school is a public charter school that runs separately from the local school district and is managed by its own board.

“Commonwealth charter schools, established as freestanding government entities fully independent of traditional local school districts.”

1 figure(s) pending source verification - not shown

What the Auditor checked

What the Auditor found

DESE’s charter school waitlist information was inaccurate.
recordkeeping/documentationinternal controlsreporting timeliness

Why it matters: Inaccurate waitlist information may impair planning, oversight, charter approval and renewal decisions, and legislative policymaking.

Standard: Chapter 71, Section 89(n), of the Massachusetts General Laws requires charter schools to submit waitlist information and DESE to maintain consolidated municipal waitlists. ( Chapter 71, Section 89(n), of the Massachusetts General Laws )

5 recommendations
  • DESE should gather all waitlist information required by law, including student addresses, telephone numbers, and birthdates, in order to develop and maintain accurate consolidated waitlists.
  • DESE should take the measures necessary to ensure that charter schools notify it within 30 days when vacancies are filled and that it uses this information to update its waitlists.
  • DESE and BESE should consider modifying 603 CMR 1.05 to fully prohibit rolling waitlists and require students to reconfirm prior applications.
  • DESE should develop options for more efficient and accurate waitlist processing.
  • DESE should consider routinely conducting some type of verification of waitlist information.
Agency response & Auditor reply
Agency: "The unduplicated waitlist count reported by DESE was 40,376; after nearly a year of intensive work, the report identified 38,034, a difference of less than six percent."
Key charter school and district student and educator data may not be reliable, and data systems lacked adequate security controls.
recordkeeping/documentationinternal controlscybersecuritydata privacy

Why it matters: Unreliable or insecure data could be used for oversight, reporting, policymaking, research, and high-stakes decisions, and could be lost, altered, or used without authorization.

Standard: Chapter 69, Section 1(I), of the General Laws, ITD Enterprise Information Security Policy, ITD Enterprise Access Control Standards, and NIST Special Publication 800-53. ( Chapter 69, Section 1(I), of the Massachusetts General Laws; ITD’s Enterprise Information Security Policy and associated Access Control Standards; National Institute of Standards and Technology Special Publication 800-53 )

9 recommendations
  • DESE should develop policies and procedures for verifying charter schools’ reported data.
  • DESE should continually adjust data verification and data quality programs to reflect common uncovered issues.
  • DESE should implement a security training policy and program.
  • DESE should create policies and procedures defining staff and management roles for auditing system activity.
  • EOE should create and annually review an information security policy for SIMS and EPIMS.
  • EOE should develop a system configuration management policy for changes before deployment.agency: partially agreed
  • EOE should ensure session settings lock users out after a maximum of 15 minutes of inactivity.agency: already implemented
  • EOE and DESE should implement a password complexity policy that complies with ITD requirements.agency: already implemented
  • EOE should establish a formal policy requiring periodic audit-log review and procedures for adverse user behavior.
Agency response & Auditor reply
Agency: "DESE independently initiated reviews of data quality because these issues are a high priority."
Auditor: "Rather, it is based on a comprehensive assessment of DESE’s data quality control system for this information."
DESE renewed school charters inconsistently.
internal controlsrecordkeeping/documentationlicensing/inspections

Why it matters: Inconsistent renewal decisions may obscure DESE expectations, deprive schools of needed feedback, misinform parents about school performance, and allow substandard academic programs to continue.

Standard: Chapter 71, Sections 89(dd) and 89(ee), of the General Laws and DESE Accountability Plan Guidelines. ( Chapter 71, Sections 89(dd) and 89(ee), of the Massachusetts General Laws; 603 Code of Massachusetts Regulations 1.02 )

2 recommendations
  • DESE should consistently apply its performance criteria in the charter renewal process, including requiring schools to meet their Accountability Plan measures.
  • If other factors influence charter renewal status, DESE should formally identify and explain them in guidelines.
Agency response & Auditor reply
Agency: "A school’s progress with respect to its accountability plan is only one of many factors considered by the Commissioner and the Board when assessing a school’s performance."
Auditor: "We do not question BESE and DESE’s combined authority to grant or renew charters; however, we do believe that they should be consistent when exercising this authority as it relates to the imposition of conditions."

Prior findings revisited

Fixed
"In addition, DESE has addressed all the findings in our prior audit that were followed up on during this audit."

More audits of this entity

Other Office of the State Auditor reports on Department of Elementary and Secondary Education , including the prior audits referenced above.

See this entity's page with all 5 audits →