TSPR Audit Protocols - Computers and Technology

Use of automation has enabled school districts to enhance operational, instructional, and business programs. Technological advances in hardware and software combined with affordable pricing allow districts of all sizes to utilize information systems to perform vital functions.
An information technology system provides a number of benefits including:

More efficient operations through speed of processing and increased information
Integration of programs
Communication networks

This module assesses all aspects of information technology including information system planning, operational and organizational controls, system applications, system acquisition, user input, and program evaluation. The chapter focuses on operations management , not on technical analysis or review.

I. Organization, Staffing and Budgeting

To achieve its technology-related goals, a school district must have an organizational structure that creates an environment for using and supporting new technologies.
Data Needs

Policies and procedures
Organizational structure of the information technology operation. For example, who handles instructional technology, who handles administrative technology?
District salary schedule and technology budget
Department mission and goals
Information technology training plans for support staff, teachers and administrators
List training manuals

Staff to Interview
Superintendent
Assistant superintendent with assigned responsibility
All other assistant superintendents
Communication Department
Director of Human Resources
Director of Technology Department
I.A. Organization and Personnel Management
Activities to performed

I.A.1 Examine the organization and staffing charts and job descriptions for technology and interview staff to determine reporting arrangements, determine whether the organizational structure depicted on the chart reflects the actual organization of the department, and document if it has been changed recently or repeatedly in the recent past or is anticipated to change in the near future and explain the reasons for changes. Note any contracted services or employees as well as any user committees and show to whom they report in the overall management structure.

I.A.2 Examine the staffing and budgets of technology and technology related functions including hardware and software budgets for the last five years and determine the ratio of total staff to staffing within the technology function. Compare the budget and staffing levels to levels in peer districts and to industry standards.

I.A.3 Examine the salaries of technology staff and compare the salaries to salaries in area peer districts or industry standards. Note variances by position.

Questions to Ask
Are instructional and administrative technology support handled in one department or are the technical support functions separated in the overall district’s organizational structure? Is the structure working well or are there opportunities for improving the management of the functions? Does the current arrangement of technology promote communication? Does the current arrangement provide support to users?
Is the technology organization too autonomous essentially holding the organization hostage to technology services and data because upper management does not understand the technology function and/or has low expectations of the technology department as a result of their lack of expertise? Is the board of trustees too involved or unduly influenced by salespersons in making contractual decisions for major contracts for technology?
Does the district have an established system for determining information technology staffing requirements that is based upon enrollment, program needs, number of users to support, and comparative district data? Who heads the technology division? Are functions that relate to technology efficiently aligned within the overall district organization? What is the staffing pattern of the technology division? What are the functions supported by the technology division? How are related functions coordinated within the district? Does the district have active user committees to assist in determining needs and establishing system priorities? Explain.
How does communication flow to upper management? Stakeholders? Lower-level employees? How does the board interact with the technology department? Formally? Informally? How does the administration interact with the technology? Formally? Informally? What is the relationship between purchasing and technology? Are there formal lines of communication that support the purchasing of technology? How does the technology department meet the curriculum and instructional needs of the district?
What is the relationship between the technology department and campus staff? How are the needs of individual campuses met? Are there teams of campus-based staff that support technology? What is their reporting relationship within the technology function? What is the communication link with technology?
Where does the user technology committee fit into the overall district organization? What advisory or decision-making authority does the committee have? Does the district technology committee have adequate representation from various user groups? Explain. Does the committee meet on a regularly scheduled basis with a well-planned agenda and activities?
Has the district developed a segregation of functions between the Information technology department and user departments and internally within the information technology department as possible? Does the district’s central information technology staff function separately from technology staff in accounting, payroll and other departments? Why? Are the duties and responsibilities of the district’s information technology staff clearly separated to ensure checks and balances on input and output data? Why?
What is the turnover rate among technology staff? How is turnover of employees tracked? Do employees complete a survey when the leave the district? How is leaver information used to improve employee satisfaction? Is district compensation for technology employees competitive? Does the district or department have performance pay plan? How are employees recognized? Retention bonuses of people who agree to stay past certain critical years or in certain critical functions? How are employee grievances handled?
How is absenteeism managed? Who covers for absent employees? Who evaluates employees and on what schedule? What are evaluation criteria? How are poor-performing employees dealt with? Remediation? Appraisal? Grievances? Board involvement? Administrative involvement?
I.B. Staff Development
Activities to Perform

I.B.1 Prepare a list of technology-related staff development opportunities and show the target audience; the provider, whether internal or external; the frequency of the training; the number of attendees; and the summary results any evaluations received concerning the training.

I.B.2 Examine the staff development budget for technology training for technology staff and for user departments or campuses. Determine what percent training is of the total technology budget for the district and compare that percentage to industry standards.

Questions to Ask
What, if any, training is mandatory for staff, including teachers? Which training is routinely given to new staff regarding the information technology program and system? What is the basic structure of the district training plan? Which training are routinely given to non-management staff? How often? Which training are routinely given to management staff? How often? Which training are routinely given to technical support staff? How often? Is the district WebPage used as a source of training?
Are users consulted about the needs of new training? How often? What are the training requirements for teachers? For technical support staff? How often are the training sessions evaluated?
What training do staff in the technology division receive to better understand current and emerging developments in technology? How do technology staff serve as resources to other district administrators in technology matters? Are employees in the division cross-trained? To what extent do technology staff participate in workshops, conferences, seminars, read professional literature and interact with technology administrators in both public and private sectors to improve job performance?

II. Policies, Procedures and Planning

The Texas Education Code requires school districts to prepare improvement plans that include provisions for the integration of technology into instructional and administrative programs. The most effective technology plans contain clear goals, objectives and action plans for technology projects. They assign individual responsibility for implementation steps and set deadlines.
Policies, procedures and standards are the bedrock of effective technological change. Districts need clear policies and procedures for the purchase of technology, its acceptable use, the application of copyright laws, and the control of software and hardware inventories.
Data Needs

Policies and procedures
District and Campus Technology Improvement Plans
Disaster recovery plan
Long-range technology plan
District business plan
New school plans (what is being installed as the schools are built)
Strategic Plan
District review, analysis or evaluation report of current equipment and future hardware needs
Grants and external technology funding; list amounts of E-rate and/or TIF grant funds received/awarded within the last 5 years.

Possible People to Interview
Director of information technology
User departments
Board members
Region service center personnel
Education service center personnel
II.A. Technology Planning
Activities to Perform

II.A.1 Compile copies of all plans that relate to technology including but not limited to the district’s long-range technology plan, strategic plan, disaster recovery plan, campus and district improvement plans as they relate to technology and the district’s budget. Prepare a list of the plans, briefly describe the scope of the plan, the individuals or groups involved in creating the plan, the dates covered by the plan, the frequency of the plan’s update, who is responsible for monitoring progress, and state whether the goals and objectives of the plan are linked to other plans and the budget. Note any inconsistencies between the plans.

II.A.2 Prepare a list of all grants and other external funding obtained by the district for technology. Determine whether the funding is or is not directly related to implementing the technology plans of the district.

II.A.3 Examine opinion survey results (as available) to determine the perceived effectiveness of technology in the district and where users believe that additional work is needed.

Questions to Ask
Does the technology department have a mission statement or have an understanding about how their department fits into the overall district mission and goal? How does the department monitor and measure success? How does the department know they are meeting their customers needs? Who are their customers? How is quality of services ensured?
How often do user groups attend regular review and planning sessions? How often the management personnel attend regular review and planning sessions? How are technology staff involved in user division planning that relates to technology?
Does the district conduct scheduled reviews, analysis and evaluation of information technology software hardware? Do these scheduled reviews consider changing user requirements? Are any user committees involved in conducting reviews, analysis and evaluation of information technology software? Explain. Does the district regularly review current equipment and future hardware needs on an annual basis? Explain.
Has the board adopted an annual spending plan for information technology with use of operating funds and bond funds as appropriate? Are spending plans tied into technology plans? Do technology plans have detailed implementation schedules and timelines? Is information on progress reported to the board?
Has the board approved multi-year spending plan to provide hardware, software, and all peripheral requirements? Funding for use of outside consultants to assist regular staff with system planning, requirement definition, or system implementation if the need exists?
How aggressively has the district sought grant funding to support the technology plans of the district? Who is responsible for grant writing? What goals, objectives or strategies are being met through grant funding or other external funding sources? How is this funding strategy reflected in the district’s plans?
Does the district provide a system for determining accounting, instructional, student records, curriculum, budgeting and other departmental information needs? Does the district provide a formal prioritization process for analyzing district-wide needs?
Does the district’s long range technology planning process include input from representatives of the district administration, campus-based personnel and support personnel? Are the district’s current and future technology requirements considered when planning for system upgrades or replacements?
How is district security of hardware evaluated? Of software? How is district security of information access evaluated? How is disaster and recovery planned? Evaluated? Tested?
Is data regularly stored offsite in light of the recent increase in disasters involving flood, tornado and fire?
II.B. Technology Policies and Procedures
Activities to Perform

II.B.1 Compile and examine all policies and administrative procedures relating to technology including, but not limited to any board approved technology standards, internet or other technology use policies for students and/or staff, and security policies to protect the privacy of student data.

Questions to Ask
Are information technology policies published and disseminated to appropriate staff and committee members and updated on a scheduled basis? Are technology procedures that implement board-approved policies published and disseminated to appropriate staff and committees?
Does the district provide procedures for establishing user committees for system planning and feedback? Are accounting and other user department personnel actively involved in the design of new systems and selection of administrative software packages?
Does the district provide standards for technology that promote acquisition of some technology while discouraging or preventing the purchase of other technology? Are these standards distributed to campuses? How does the district ensure compliance with standards? Does the technology department support unauthorized hardware or software? Have standards improved the district’s ability to support the software or hardware purchased?
Does the district have published guidelines (procedures) for application system development and acquisition and maintenance controls? Are there policies or procedures in place to ensure that information technology and user department personnel adequately test new application systems before they are acquired?
What procedures ensure that maintenance (updating and changing) of application programs is adequately controlled? What kind of standards are in place for system documentation? Who is responsible for ensuring that standards for documentation are followed? Which programs are fully documented? Does the district fully use control features that are built into the hardware and operating system?
Does the district have policies, procedures or processes in place to restrict access to data files, programs, and documentation to authorized personnel? How is access restricted? Does the district restrict access to hardware to authorized personnel? How?
Has the district developed appropriate physical safeguards and backup provisions? What off-site storage is used? Has the district developed a disaster recovery plan?
What input controls, ensure that only properly authorized and approved input data is accepted for processing? What significant codes are used to record data to be verified (e.g., employee numbers or vendor numbers)?

III. Infrastructure, Software, Hardware And Operations

While infrastructure provides the connections that permit communications, the hardware provides the capability to retrieve, process and disseminate information, software makes these tools truly powerful resources.
Data Needs

List of technical services currently supported by the Regional Education Service Center
List of technical services currently supported by the private sector
Description of the system architecture of the district (platforms, documentation on WANs, LANs, operating systems, etc)
Inventory of students computers (other hardware) by campus and location
Inventory of staff computers (other hardware) by campus and location
Inventory of specialized administrative software being used in the district and highlights of instructional programs being used by the district. (For example, the district might use Edulog in transportation or Bon Appetit in food services, etc. For instructional programs, there are probably some mayor efforts that are going on. Just hit the high points. We certainly don’t want a list saying, Excel, Lotus, Word, etc.)
Staffing chart showing all of the levels of technical support provided within the district
Work orders and completion statistics reports
Diagram of the troubleshooting process
Diagram of the PEIMS data collection and compilation process
List of operational manual and reports
Copy of the exception reports from the external auditor that performed the audit of PEIMS financial data

Possible People to Interview
Director of Information Technology
Information Technology Management
Purchasing staff
User departments
Help desk supervisor and staff
Webmaster
Region service center personnel
Education service center personnel
III.A. Inventory Control

Activities to Perform

III.A.1 Obtain a list of computers for all campuses and programs by facility, type and capacity of computer and location (whether classroom, lab, office, etc.). Establish a pupil to computer ratio by campus and program based upon computers that can support grade-appropriate programs and Internet access (exclude unusable equipment). Establish a staff to computer ratio for administrative computers.
CROSSOVER WITH EDUCATIONAL SERVICE DELIVERY
III.A.2 Obtain documentation regarding the inventory control systems for hardware and software and compare the documented procedures with practices to determine the effectiveness of the controls.

Questions to Ask
How does the district control hardware inventories? Is each piece of hardware tagged with an inventory number? Are computers and other items of technology included in the fixed asset inventory or are they kept on a control ledger for inventory purposes? Is an annual inventory conducted? How does the district deal with discrepancies in the inventory? Are individuals held accountable for lost or stolen items? Are individuals assigned responsibility for every item of inventory? Are the police or proper authorities notified when equipment is missing? Are insurance claims filed for stolen equipment? Are insurance coverages adjusted to reflect the current inventory?
How does the district remove an item from inventory when it becomes obsolete or damaged? How does the district dispose of obsolete equipment?
How does the district ensure that all software on all computers is properly licensed? That copyrights are honored? How does the district view "shareware"? When unauthorized software is found on a computer, how does the district deal with the problem? Does the district use site-licenses for software that is used on multiple machines? Who is responsible for maintaining the software inventories?
III.B. Systems Infrastructure and Integration

Activities to Perform

III.B.1 Compile a list of specialized administrative software and major instructional programs being used by the district. (For example, a district might use the SNAP systems for finance and personnel; Edulog in transportation; Bon Appetit in food services; NovaNet for the Alternative Education programs, etc. Don’t list Excel, Lotus, Word, etc. — only major specialized programs.) Determine when these systems were installed and/or upgraded, whether they are standalone or integrated with other systems, whether the districts or departments are experiencing any major problems with the system, and if any are scheduled for replacement or upgrade in the near future?

III.B.2 Prepare a list, or diagram, the district’s telecommunications infrastructure including routers, servers, the mainframe, WANs, LANs as well as the wiring (such as t1 lines) that connect the sites showing the type and capacity of each, and the location (where applicable). Also show any external providers that contribute to the infrastructure such as Regional Education Service Centers that sometimes provide mainframe support to smaller districts. Note any areas where the infrastructure is lacking and determine if the district’s plans are addressing these issues.

Questions to Ask
Are all schools in the district connected to the internet? Are the connections in every classroom, or are connections only to certain computers or certain locations within the campus? Are the campus offices connected to the business office? Does the current level of technology allow from electronic communication between campuses and among campuses and the central administration?
Are administrative systems integrated to allow for exchange of information? Is the exchange of information immediate, or does information update periodically, such as over night? What processes are not integrated? How does this lack of integration contribute to redundant data entry? To errors or omissions?
How is student information such as attendance data collected and transmitted to the central office? Can teachers enter the data directly into the system from the classroom? Are attendance clerks used to enter data that teachers pass to them manually? Is manual data collected at the campus level and entered at the central office? How is the accuracy of manually compiled data ensured? What improvements would be possible if these systems were better integrated or connected?
What form of communication exists between the classrooms and the campus offices? Between campuses and the central office? How can a teacher or campus administrator call for help? Are there phones in every classroom? Are there opportunities for using existing lines to improve communication with the classrooms?
What is the district’s relationship to Regional Education Service Centers as it relates to technology? Are there opportunities to expand the current capabilities of the district through an improvement relationship with the Regional Service Center? Are there other external entities such as businesses or colleges or universities that could, through a partnership arrangement, help the district to expand its current capabilities?
III.C. Technical Support and Help Desk Operations
Activities to Perform

III.C.1 Prepare a staffing chart showing all of the levels of technical support provided within the districts including support provided by campuses-based personnel, central office personnel, external entities including service contracts, maintenance agreements, warranty services and the like. Define the number of employees within each group, the role of each group, the type of technology that is supported such as MACs, PCs, software, etc., and attempt to the extent possible to determine the ratio of technician to users or the ratio of technicians to computers. Compare to industry or peer district standards.

III.C.2 Review work orders and completion statistics for a period of time and determine whether responses meet customer expectations and needs. Compare the statistics to industry standards and note areas where improvements might be needed.

III.C.3 Diagram the troubleshooting process, including the help desk operations, and determine if the levels of technical support are appropriate and effective.

Questions to Ask
Do customers feel that they are getting the level of technical support they need to get their jobs done? Are there times with the productivity of staff is impaired due to major breakdowns? What activities has the district performed to reduce productivity losses?
Are the information technology operations performed in a controlled, orderly
manner that provides good customer service? Who is responsible for prioritizing requests and scheduling of work assigned to designated staff?
Are campus and administrative user staff that have an interest in technology used effectively to train and troubleshoot for fellow employees?
III.D. PEIMS Data Collections and Submissions
Activity to Perform

III.D.1 Diagram the Public Education Information Management System PEIMS data collection and compilation process starting at the campus level through the final submission and re-verification process. Determine what quality assurance steps are in the system and where there are points of redundant manual data entry and identify any areas of weakness.

CROSSOVER WITH EDUCATIONAL SERVICE DELIVERY
Questions to Ask
Are policies and procedures in place to ensure the accurate collection and reporting of PEIMS, TAAS, and dropout data? What data reporting problems has the district experienced in the last three years and how has the district dealt with those issues? What attendance and other campus-level administrative tasks are automated? What redundant data entry must be done either from manual forms to the computer or from one computerized system to another? Are systems integrated to allow for easy transfer of data? Does the districts computer system store data in a form and format that can be easily extracted and submitted for PEIMS?
Does the district work closely with the Regional Service Center’s PEIMS Coordinators or Specialists? What other entities provide support to the district in the PEIMS data collection and reporting process?
How does the district ensure the accuracy of data reported to the state through PEIMS? What systematic checks and controls are in place to prevent entry errors, detect errors or data manipulation, ensure the logic of the compiled data, and correct data errors when detected? What controls are in place to ensure that student identification codes and other identifier data is accurate and consistent?
Are campus level personnel required to verify and confirm the accuracy of data? Did the PEIMS resubmission process require significant data correction? If so, extensive review of the accuracy of management reports and the district’s use of data. Do executive level administrators examine the data submissions and perform logic checks? Who is held accountable for data accuracy? What were the frequencies of PEIMS errors detected by Reports Plus testing routines?
How many PEIMS clerks does the district employee? PEIMS coordinators? What training is provided to PEIMS clerks and PEIMS coordinators receive? What are the district’s policies for mandatory PEIMS training for all individuals responsible for data input and reporting functions?

IV. Technology Acquisition Practices

Data Needs

Policies and procedures concerning technology acquisitions
Long-range technology plan concerning technology acquisitions
New school plans (what is being acquired as the schools are built)
Technology related purchasing records

Possible People to Interview
Director of Information Technology
Director of Purchasing
Information Technology Project Leaders
Region service center personnel
Education service center personnel
Grant writers
Activities to Perform

IV.A.1 Examine a sample of purchasing documents data or files and determine the amount of the purchase, the funding source for the purchase, purchasing process used, compliance with state purchasing laws, and, to the extent possible, whether prices were competitive.

Questions to Ask
When making a decision to buy technology does the district first assess its current programs and systems? Are user divisions asked what they need and what they hope to achieve with the new technology? Does the district or department develop a vision for the future that anticipates how the new technology will improve the way the district does business? Does the district quantify the improvements it expects to achieve with the purchase? Does the district write specifications for meeting needs or have vendor products been allowed to dictate the district's processes? How does the board monitor the benefits achieved through the purchase of technology to determine if the decisions to purchase where appropriate?
How does the district acquire new technology? Does the district obtain hardware or software through state or local purchasing cooperatives or catalog purchasing arrangements? Does the district use purchasing cooperatives and/or the Qualified Information Systems Vendors (QISV) program administered through the Texas General Services Commission? Are formal bids used to acquire technology? How is the purchasing department involved in the purchasing of technology?
How are expenditures controlled? How does the district ensure that all technology purchases are made following state purchasing guidelines? Does the district competitively bid technology purchases? What purchasing cooperatives or catalog purchasing arrangements does the district use when purchasing technology? For each technology project, does the district perform a feasibility study and cost benefit analysis that evaluates costs, risks, and benefit of each project? What are the major challenges to overcome in performing feasibility studies in this district?
Does the district attempt to locate alternative funding sources such as grants, donations, and the like to pay for or defray the costs of anticipated purchases? Does the district use lease purchase arrangements to acquire technology? When making decisions to lease or purchase technology outright does the district factor in the cost of implied interest? Do the terms and conditions of the lease purchase agreement allow the district to upgrade technology at appropriate intervals?
Does the district negotiate on purchases and software licenses? Does the district have teams used to negotiate software licenses? Is software tested prior to purchase?

V. Review and Evaluation of Contracting Process

Technology equipment and support services could be purchased or contracted for through private companies or interlocal agreements with neighboring districts or other governmental entities. It is important to regularly evaluate whether there are goods or services that can be obtained from the private sector at a lower cost, higher quality or both. It is equally important to continually evaluate existing contracts to determine if the district is getting the best value possible through the contracting arrangement. This evaluation process is discussed in great detail in the Purchasing Module, Section IV. Contract Processes and Section V. Yellow Pages Test.

I.A.1	Examine the organization and staffing charts and job descriptions for technology and interview staff to determine reporting arrangements, determine whether the organizational structure depicted on the chart reflects the actual organization of the department, and document if it has been changed recently or repeatedly in the recent past or is anticipated to change in the near future and explain the reasons for changes. Note any contracted services or employees as well as any user committees and show to whom they report in the overall management structure.
I.A.2	Examine the staffing and budgets of technology and technology related functions including hardware and software budgets for the last five years and determine the ratio of total staff to staffing within the technology function. Compare the budget and staffing levels to levels in peer districts and to industry standards.
I.A.3	Examine the salaries of technology staff and compare the salaries to salaries in area peer districts or industry standards. Note variances by position.

I.B.1	Prepare a list of technology-related staff development opportunities and show the target audience; the provider, whether internal or external; the frequency of the training; the number of attendees; and the summary results any evaluations received concerning the training.
I.B.2	Examine the staff development budget for technology training for technology staff and for user departments or campuses. Determine what percent training is of the total technology budget for the district and compare that percentage to industry standards.

II.A.1	Compile copies of all plans that relate to technology including but not limited to the district’s long-range technology plan, strategic plan, disaster recovery plan, campus and district improvement plans as they relate to technology and the district’s budget. Prepare a list of the plans, briefly describe the scope of the plan, the individuals or groups involved in creating the plan, the dates covered by the plan, the frequency of the plan’s update, who is responsible for monitoring progress, and state whether the goals and objectives of the plan are linked to other plans and the budget. Note any inconsistencies between the plans.
II.A.2	Prepare a list of all grants and other external funding obtained by the district for technology. Determine whether the funding is or is not directly related to implementing the technology plans of the district.
II.A.3	Examine opinion survey results (as available) to determine the perceived effectiveness of technology in the district and where users believe that additional work is needed.

III.C.1	Prepare a staffing chart showing all of the levels of technical support provided within the districts including support provided by campuses-based personnel, central office personnel, external entities including service contracts, maintenance agreements, warranty services and the like. Define the number of employees within each group, the role of each group, the type of technology that is supported such as MACs, PCs, software, etc., and attempt to the extent possible to determine the ratio of technician to users or the ratio of technicians to computers. Compare to industry or peer district standards.
III.C.2	Review work orders and completion statistics for a period of time and determine whether responses meet customer expectations and needs. Compare the statistics to industry standards and note areas where improvements might be needed.
III.C.3	Diagram the troubleshooting process, including the help desk operations, and determine if the levels of technical support are appropriate and effective.