New Directors Seminar Compliance

1. New Directors SeminarCompliance Private Licensed Schools

2. Contents • Foundations – Statute, Regs, and Memos • Electronic sites • Secure Website Access • Annual Statistical Report • Board Approvals Required • Notifications Required • License Renewal

3. Contents Continued • Contents of Public Website • Program Changes • Site Visits • Admissions Representatives • Student Records - transcripts • Records Repository

4. Contents Continued • Complaints • Enforcement Action • Possible Sanctions • Common Pitfalls • Rigid Deadlines • Closing Procedures

5. Handout • Web resources • NOTE: Today’s PowerPoints are on the public website.

6. Legal Authority • Statute • Regulations • Board Policy Memos

7. Internet Resources • Public Website http://www.pde.state.pa.us/ • Secure Website – via PaPowerport https://www.epdeportal.ed.state.pa.us/WEBPortal_Intro.asp • Financial Forms - ftp://ftp.state.pa.us/pub/PDE_PUBLIC/PLS Financial/

8. Accessing Secure Website Steps: • Obtain user name and password for ePDE Web Portal – do this on-line at https://www.epdeportal.ed.state.pa.us/WEBPortal_Intro.asp • Prepare excel spreadsheet to name users • Submit spreadsheet as e-mail attachment to ra-pdetech@state.pa.us • Receive confirmation that account is ready • Logon to Web Portal • Access PLS Application

9. Annual Statistical Report • MUST be submitted between July 1 and September 30 each year. • Submitted electronically • Failure to submit is a violation punishable by a fine of at least $500 or revocation.

10. Board Approvals Required • Relocation • Expansion • Remote Location • New Branch • All Require site visit ($500 fee), certificate of occupancy • Scholarship • Change of Ownership • Name Change

11. Notifications Required • Change in Director – PDE-340 • Change in Acting Director – PDE-340 • Program Changes – PDE 3744

14. Reportable Events • Material change in financial condition • Lapse in surety • School files for bankruptcy • Building code violation • Environmental hazard • Title IV audit

15. Additional Information Needed • Change in e-mail account • Change in phone number

16. License Renewal • First is due one year from first licensure • Subsequent due every two years • MUST be renewed prior to expiration • Reminder will be sent, but school is responsible • Renewal form PDE-3123

18. Components of Renewal App • Form PDE-3123 with signature • Fee ($500 - $4,400) • Financial Statement (PDE-2006 or audited) • Evidence of surety • Ethics statement • Records Repository • Enrollment Agreement • Catalog • Changes to PDE-3808 • Confirmations

19. Program Changes • Submitted on PDE-3744 • Must be less than 25% change in clock hours • Cannot be a substantive change to objectives • Approval required PRIOR to implementation • Also required for tuition changes

22. Site Visits • Expansion of instructional space • Remote location • Branch location • Relocation • All requested in writing by school - $500 fee • All require Board approval • Compliance Visit • Scheduled by staff, no fee

23. Admission Representatives • Required if students will be asked to sign enrollment agreement anyplace off the school property • Not required for marketing – education fairs, etc – if students do not enroll • PDE-5006 • $300 Fee • Must be renewed annually

25. Transcripts • Must be maintained for 50 years • Must be placed with a repository when the school closes • Must contain 7 items • Student Name • Student ID Number • Program Name • Grades for all Subjects • Date of Entrance • Date of Graduation or Withdrawal • Award received (diploma, certificate, or AST/ASB degree

27. Records Repository • Must be maintained at all times • Must be submitted with each renewal • No fee can be required after closure • Service fees may be charged to students • Should be with another PLS

28. Complaints • We encourage complainants to try to resolve the situation with the school director first • Complaint is submitted to PLS – with signature • Complaint is sent to school for response • 30 days to respond in writing

29. Complaints Con’t • Complaint will be investigated • Conversations with complainant • Conversations with school • Possible Visit to School • A resolution may be proposed • Complaint will be closed OR • Complaint will be referred to RRP

30. Enforcement Action • Complaint or potential violation is referred to RRP by staff • RRP may order a Notice of Violation • 14 days to respond • RRP may direct an Order to Show Cause • 20 days to respond • School can request a hearing • Full Board votes on final adjudication

31. Possible Sanctions • $500 fine for first violation • $750 fine for second violation • $1000 fine for third violation • $1500 fine for unlicensed activity • Suspension of license • Revocation of license

32. Common Pitfalls • Late Annual Report • Late Renewal • Late Quarterly Reporting • Failure to make timely refunds • Failure to make accurate refunds • Instructor reads from book • Students stepping in as instructors • Instructor cancels or shortens classes

33. Common Pitfalls Con’t • Textbooks late or unavailable • Retroactive tuition increase • Using an unapproved school name • Advertising • In employment column • Blind • Salaries

34. Deadlines • Renewal Application • 7th of month before expiration • $500 fine possible • New Program Applications • 10 weeks before Board Meeting as published • Quarterly Reporting • 3 weeks before Board meeting – see letter • Annual Statistical Report • Before September 30

35. Closing Procedures • Notify staff in writing 30 days prior • Teach out all students • Place records with repository

36. Additional Closing Steps If Students Still Enrolled • Notify all current students in writing • Identify teach out institutions for all students • Provide PLS with name and contact information for all students • Provide PLS with current transcript for all current students • Provide PLS with current account card for all current students

37. Note Re Closure • A closed school can be fined for failure to comply with closure requirements.