School Governance Assessment Tool Social Audits, Good Governance, and Financial Management

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1 School Governance Assessment Tool Social Audits, Good Governance, and Financial Management A HOW-TO GUIDE Nepal This School Governance Assessment Tool builds on and improves the social audit process by incorporating good governance and financial management practices through the collection of essential information at the school level. This tool was developed and field tested by Community School National Network Nepal (CSNN), an NGO that supports community-managed schools in Nepal in order to improve their quality of education. It is intended to assist in better understanding how the Social Audit Committee (SAC) collects information during the social audit process and how the social audit report has been used. The purpose of the tool is not to judge whether audit work done by the SAC is correct or not. Rather, the tool is meant to assess how the social audit process is being conducted in order to build the capacity of the SAC to improve its practices. The following points are offered as guidance on how to administer the tool, which is shown on the following pages. Direct questions only to the SAC members and people directly involved in the relevant aspect of the work. Indicate answer to each question by filling in yes or no in the appropriate column. If the answer is yes, cross-validate it using the guidelines described in the righthand column. Cross-checking can be accomplished by referring to the social audit report, the School Management Committee (SMC) meeting minutes, school records, and student notes as well as interviews and focus group discussions with the SMC, SAC, and school stakeholders (e.g., the head teacher, teachers, staff, parents, and students). If discrepancies are found in the cross-validation process, note the extent and nature of the differences observed. However, do not indicate a judgement as to whether the information provided is true or false. However, if a judgment is necessary to record, it can be written on a blank page attached to the end of the tool. A social audit of school activities, including its good governance and financial management practices, not only encourages stakeholders to change their practices in the short term but also strengthens the overall capacity of a school to manage itself in the long-term in order to deliver quality education.

2 School Governance Assessment Tool Social Audits, Good Governance, and Financial Management Good Governance Participatory Organizations of the School Yes/No If Yes, What is the Status? If No, Why? 1 Have these committees been formed in this school? 1. Social Audit Committee (SAC) 2. School Management Committee (SMC) 3. Parent Teacher Association (PTA) 4. Children s Club 5. Other committees* Check when those committees are formed, the number members in the committee, and the representation within it. *Other committees are committees created to address local needs, such as construction or teacher recruitment. 2 Has an SAC been formed as per the Article 171 (a) of Education Regulation 2059? 3 Have these committees been formed following the norms of a democratic election process? 1. SMC 2. PTA 3. Children s Club 4. Other committees Look for changes in the formation of the committee. What are the reasons for those changes? Were there any political influences? Education Regulation 2059, Art. 171 (a) states that the SAC has: The Chairperson of the PTA (Coordinator) Two parents or guardians (including one female) of children studying in the school, nominated by the PTA (Members) The Chairperson of the Ward where school is located (Member-Secretary) A teacher, nominated by the Head Teacher (Member) An intellectual nominated by the PTA (Member) In addition, one male and one female student, each with the first position in the highest grade of the school, participate as observers. Was the democratic election process followed? If not, what were the reasons? Were there any unanimous decisions made? Were there any outside influences on this process? What is the functionality of each of these committees? Do they serve a valuable purpose? If not, what was the motivation for creating these committees? The key elements of the democratic election process are: 1. Public announcement of the stakeholders assembly seven days before the election is to take place 2. Correspondence to District Education Officer 3. Publication of list of parents and guardians 4. Amendments to list of parents and guardians, if any 5. Publication of an election program for the assembly 6. Registration of candidates 7. Resolution of complaints about election process 8. Publication of a final list of candidates 9. Voting 10. Counting of votes 11. Publication of the election results 12. Approval by the assembly 13. Distribution of certificates 14. Handover of responsibilities 4 Has a social audit been conducted each year? What was process for conducting the social audit? How does it deviate from what is required, if at all? If answer is No, why was social audit not done? 5 After completing the social audit, was the report presented to stakeholders assembly for discussion in a public hearing? Check for the number of people that participated in the assembly. What were the major recommendations for and amendments to the report generated from this assembly meeting? 6 Has there been any follow-up on the report? Has the report been forwarded to the District Education Office (DEO) as required by the Guidelines? Were any actions taken by the various committees (e.g., SMC, PTA, and Children s Club) based on the recommendations? Did the DEO conduct any monitoring based on the report? 7 Did the SMC provide the social audit report to Financial Auditor during the school s financial audit? Did the SMCs proactively provide the report to the Financial Auditor or was it only provided after being requested? 8 Did the Financial Auditor review the Social Audit report? In which of the main points of the report did the Financial Auditor take an interest?

3 School Governance Assessment Tool 3 Other Factors of School Governance Did the SMC Assess the Following? Yes/No If Yes, How Was It Assessed and What is the Status? If No, Why? 9 The frequency of meetings and consultations with stakeholders, resource centers, the DEO, the Department of Education, the Village Development Council (VDC), the District Development Council (DDC), and the municipality 10 The compulsory, equal, and active participation of all social classes, religions, genders, etc., in the community-level assembly 11 A school-based induction and development training for newlyrecruited based on the school s available resources Verify through meeting minutes, number of meetings, and the meeting agendas. Verify through assembly records. Verify through records of teacher trainings, including subject-specific training. 12 Teacher performance evaluation Did the teacher performance evaluations use the following criteria: Regular attendance Start and end classes on time Manage and use instructional materials Relate to students according to their psychological needs Use a variety of inquisitive teaching and learning methods Involve all students in the learning process Ensure coordination between students and parents Discourage discriminatory behavior among students Be attentive to school and student cleanliness Be involved in extracurricular activities. 13 Staff performance evaluation Did the staff performance evaluations use the following criteria: Transparent maintenance of the accounting system Updated information on the school Knowledge of duties and responsibilities. 14 The management and mobilization of school property through maintenance of records 15 The construction of detailed rules and code of conduct through discussion in the meetings of stakeholders Check inventory of school property and records of support received from donors and local communities Verify through meeting minutes. Are the rules and code of conduct practiced? Was the school charter prepared and displayed? Is a complaint box maintained and made available? Are the necessary policies and rules for professional development of teachers and preparation of training materials developed? Has an accountability chart been developed? Is there a provision in place to handle those who violate the code of conduct? 16 Information disclosure Verify through records that letters and faxes were sent to individuals and organizations. Is information disclosed through the radio? Are student activities published on bulletin boards? Is the annual plan of the school publicly disclosed? Are notices and information received from DEO disclosed to stakeholders? Are SMC decisions publicly disclosed? Are stakeholders informed of school activities? 17 The accountability practices of various committees and personnel Is the PTA accountable to the school and the community? Do PTA members know their roles and responsibilities? Do SMC members know their roles and responsibilities? Is the SMC accountable to the school and community? Are the teachers (including head teacher) accountable to the school administration and students? Are the teachers (including head teacher) loyal and committed to their jobs? Are the teachers (including head teacher) disciplined? Are teachers (including head teacher) committed to student learning? Are students disciplined? Do the members of the committees and sub-committees actively participate in meetings and in decision making? Are the achievements and overall progress of the Children s Club disclosed?

4 School Governance Assessment Tool 4 School Social Audits Did the SAC Assess the Following? Yes/No If Yes, How Was It Assessed and What is the Status? If No, Why? 18 The preparation and use of grade-appropriate timetables, including subject coverage (Guideline 27) 19 Child-friendly student furniture and seating arrangements (Guideline 4) 20 Infrastructure and physical condition of the school building and classrooms (Guideline 2) Verify with student notes and teacher lesson plans. Are timetables with appropriate credit hours for each subject and grade available? Is there evidence of teachers following the timetables? Verify that the furniture is at a suitable height, that it can be easily moved around the class, and that there is enough space for the students to move around the furniture. Ensure that the roof, stairs, pathways, doors, windows etc. of the building are well maintained and that classrooms are conducive to learning (e.g., adequate furniture, space, and display of education materials and information). 21 The income and expenditures of the school (Guideline 39) Verify with relevant school staff and the SAC chair. If not, what were the reasons? 22 The availability of drinking water in the school (Guideline 9) Verify with relevant school staff and the SAC chair. Check the water source and how it is stored. Is water in a container, pitcher, bucket, or tank? Is it natural running water? Is it sufficient, hygienic, and accessible to the students? 23 The record of average student achievement scores (Guideline 28) Verify with relevant school staff and the SAC chair. Check academic record of the school and achievements of different groups (girls and boys, ethnic groups, minorities, marginalized groups, etc.) 24 The cleanliness of school (Guideline 3) Are the classrooms being swept clean? Is there a dust-bin? Is there litter? 25 The availability and state of use of local instructional materials and other instructional materials in school (Guideline 6) Verify with relevant school staff and the SAC chair. Check the instructional materials. Are they locally available? Were they created by the teachers or purchased by the students? Are the instructional materials available in the school? Where are they located (e.g., in the head-teacher s room, in a closet, sitting in a corner, in a classroom)? Are the instructional materials used by the teachers and students? 26 Maintenance, updating, and reliability of school data (Guideline 37) Verify that data is being updated annually. 27 Availability and condition of school toilets (Guideline 10) Are there sufficient toilets for the students? Are there separate toilets for girls and boys? Are they clean? 28 Annual record of discussions between head teacher and parents of students regarding child s learning (Guideline 25) 29 The agenda and record of important decisions of SMC meetings made during the year (Guideline 17) Verify through the meeting minutes. What are the main points on the agendas and the most relevant decisions made? What are the main points on the agendas and the most relevant decisions made? 30 The record of actual teaching days in the school (Guideline 14) Verify through student attendance records, teacher attendance records, and record of notices related to exams, local festivals, and programs held at school, including those sponsored by school and those sponsored by other organizations. 31 Programs and attempts made by school to provide access to education for the children within the school service area (Guideline 35) 32 Availability and condition of space to display creative work of students in school (Guideline 8) 33 The frequency of SMC meetings and its decision-making process (Guideline 16) 34 The means adopted by the school to make academic activities transparent (Guideline 29) 35 The record of total teachers, their annual attendance days, and their actual number of teaching days in the school (Guideline 15) Verify through any evidences of programs (home visits, assemblies, advocacy, information dissemination, etc.) conducted by school. Are these materials made by students? How often are they being used by the students (e.g., once in a while, occasionally, regularly)? Verify this through the meeting minutes. Was the School Improvement Plan (SIP) discussed? Check the school s annual academic plan for all grades and subjects with learning outcome objectives. Also check posted information on notice boards and bulletins. This information cannot be verified with the administration plan, which only mentions start dates of new sessions, meetings, exams, vacations, school programs, and the like. Verify through the teacher leave record, the student attendance copy (compared with teachers attendance copy), and the record of notices related to exams, local festivals, and programs at school, including those run by school or other organizations.

5 School Governance Assessment Tool 5 School Social Audits Did the SAC Assess the Following? Yes/No If Yes, How Was It Assessed and What is the Status? If No, Why? 36 The agenda of PTA meetings and a record of the important decisions made in the year (Guideline 19) 37 The agenda of the SAC meetings and a record of the important decisions made in the year (Guideline 21) 38 Record of the number of children attending this school (Guideline 31) Verify this through the record of meeting agendas. Verify this through the record of meeting agendas. Check the admission record of students paying admission fees and compare it with the total number of students recorded in records of class and exam attendance as well as students with promotions or who failed or dropped out. Check if data is segregated (Pre-primary, Primary, Secondary School, etc.) 39 Frequency of SAC meetings (Guideline 20) Verify through the record of meeting agendas. How many meeting took place? Was the SIP discussed? 40 Record of discussions between subject or grade teachers with parents about student learning (Guideline 26) 41 The agenda of meetings of teachers and staff as well as a record of important decisions made in the year (Guideline 24) 42 The availability and condition of the science or environment laboratory in school with locally-available equipment (Guideline 7) 43 The record of non- teaching days in school for the year (Guideline 13) 44 The frequency of meetings of teachers and staff and the quality of their decision-making process (Guideline 23). 45 The availability and condition of local and other sports materials in the school (Guideline 11) 46 The number of SAC meetings in the year and the quality of the decision-making process (Guideline 22) Verify through meeting minutes. Verify this through the record of meeting agendas. Are the materials locally available? How often do students use them (once in a while, occasionally, regularly)? Check the student attendance copy and compare it with teacher attendance copy. Check record of notices related to exams, local festivals, and programs run in school, including those run by school itself or by other organizations. Verify through the record of meeting agendas. Was the SIP discussed? Assess the types and number of sports materials available in school. Are they accessible for the children to use? Verify through the record of meeting agendas. What were the five main points of discussion in the meeting minutes and five major decisions made? Was the SIP discussed? 47 The record of children not involved in studies (Guideline 33) Check data for the total population of children in service area. Subtract number of children in service are that are going to school. Are this data segregated into various age groups (5 years, 5 9 years, 9 12 years, years, and years)? 48 The productive and effective use of available land, including the playground (Guideline 1) Is the land rented out? Is it being farmed by the school itself? What is the income that the school earns from the land? How does the SMC decide how to use this income? Is there evidence of a contract for this land? 49 The details of land owned by the school (Guideline 38) Check the documents that grant the school ownership of the land. What is the total size and condition of the land? 50 The frequency of PTA meetings and the quality of the decision making process (Guideline 18) Verify through the record of meeting agendas. What were the five main points of discussion in the meeting minutes and Was the SIP discussed? 51 The condition and management of the library (Guideline 5) Does the school have a library? Are used textbooks taken back from the students in the library? Are books arranged by subject and grade level? Are there other learning materials for the students available in the library? Can students access these materials? Does the library have a record of students accessing these materials? How frequently do students access these materials?

6 School Governance Assessment Tool 6 School Social Audits Did the SAC Assess the Following? Yes/No If Yes, How Was It Assessed and What is the Status? If No, Why? 52 Record of students organized by gender (Guideline 36) See the general record of students attending the school. Is the record organized by gender? Do the records also organize information by school level (Pre-primary, Primary, Lower Secondary School, Secondary School, and Higher Secondary School)? 53 The record of the total population of school service area (Guideline 30) Verify through any available school surveys or other sources of data provided by school. Are the number of children segregated into various age groups (5 years, 5 9 years, 9 12 years, years, and years)? 54 The record of the children going to other schools (Guideline 32) Verify through data of total population of children in service area, the total number of children attending any school, and the total number of children attending this school. Check for segregated data of children according to school level (Pre-primary, Primary, Lower Secondary School, Secondary School, and Higher Secondary School). 55 The record of the children joining Alternative Education Programs (Guideline 34) Are there any Alternative Education Programs (AEPs) linked to this school? How many? How many children participate in the AEP? Are the number of children segregated into various age groups (5 years, 5 9 years, 9 12 years, years, and years)? Financial Management 56 Did the SAC assess the income and expenditures of the school? (Guideline 39) If yes, how was it assessed and what is the status? If no, why? Government Grants Government-appointed teachers (darbandi) Quota for relief teachers (raahat) Scholarships Books Stationary Construction Other Received Spent Balance Remarks Locally-Generated Resources Source of Funds Received Spent Balance Remarks (Use of Resources) Fees Cash donation Donation in kind (an estimated equivalent cash value) Voluntary services (an estimated equivalent cash value) Others