1. Preparing for an ROE Audit
Presented By:
Shirley Bloom
Director of Certification/Licensure
North Cook Intermediate Service Center

2. The Compliance Team Generally 2 to 4 People
Various Times During the Visit
Compliance Coordinator
Educator Licensure and Personnel
Health and Life Safety

3. Underlying Philosophy
Great Schools in Illinois
Caring Professionals Focused on Helping Students Develop Full Potential
Belief that Every District Strives to Comply With All State and Federal Mandates
Audits Are NOT Intended to be a “Gotcha”
Meant to Confirm Compliance and Assist in Remedying Any Areas of Concern
Seek to Highlight Outstanding and Unique Qualities
Further Seek to Offer Insight to Further Its Goals in the Future

4. Try Not to Disrupt
We Forms and Detailed Instructions 3 Weeks Prior to Visit
Having Documentation Attached to Appropriate pages Expedites Visit
Seek to Offer the Least Amount of Disruption Possible
Give the Compliance Team a Room (Often a Conference or Board Room)
All Materials should be stored on Tables of Carts
Typical Visit is Around 3 Days with a Possible 4th or 5th for Larger Districts

5. District Staff Need to Have Names of Appropriate Contact Persons
Need to Meet with the Superintendent
On the First Day (Under 30 minutes)
Overview of the Complete Process and Seek Input to be Included for Final Report
On the Last Day
Exit Conference to Report Findings and Get Additional Input

6. Loose Ends Following Exit Conference
Usually Some Items That Can Be Corrected Within a Few Weeks
Items Missing from Personnel Files
Completion of Required Surveys
Items can be Faxed and Scanned and ed Prior to Final Report

7. Overview of School Evaluation Instrument (Compliance Probe)
Seven Sections
I = Governance and Operations
II = General Health and Safety
III = Personnel (Including NCLB)
IV = Bilingual Education
VI-A = Elementary Curriculum or VI-B High School Curriculum
VII = Special Education

8. Materials to be Provided By District At Time of Visit
Policies
Handbook Citations
Notices to Parents
Schedules or Other Documentation that Demonstrates Compliance to the Appropriate Page
Curriculum Checklist
Mandated units of Study

9. Additional Resources ISBE Waivers Maps Policy Manual(s)
Organizational chart
Board of Education Minutes and Agendas (1-2 years)
Budget
Annual Financial Report and Audit
High School Course Description Booklets or Online Access
Parent / Student Handbooks and Registration Materials
Curriculum Guides

10. Example for Organization