Utah Admin. Code R277-114-5 - Corrective Action for Non-Contractual Requirements
(1) For corrective action related to a
program or set of requirements not established in contract, the Superintendent
may take corrective action as described in this section.
(2)
(a) In
taking corrective action under this section, the Superintendent shall act in
accordance with state and federal law applicable to the program or set of
requirements.
(b) Before the
Superintendent places an oversight entity on a corrective action plan as
described in Subsection (3), the Superintendent shall:
(i) provide written notice of initiating the
process 30 days before the day on which the corrective action plan is
finalized; and
(ii) during the 30
days, discuss with the LEA's superintendent, charter director or the oversight
entity's primary contact the nature of the issue and try to resolve the issue
informally, including discussing whether:
(A)
the oversight entity has adequate time to comply; or
(B) the oversight entity needs additional
training.
(c)
If the corrective action plan is due to an oversight entity's failure to
provide information, the notice described in Subsection (2)(b)(i) shall include
a statement confirming that the information is not available
elsewhere.
(3) The
Superintendent may place an oversight entity on a corrective action plan if the
Board, the Superintendent, or an external or internal audit determines that the
oversight entity:
(a) demonstrates
non-compliance with published expectations for program outcomes or allowable
program expenditures;
(b)
demonstrates unsatisfactory outcomes in performance as evidenced by audit
results or framework category three or four monitoring;
(c) demonstrates financial fraud, waste, or
abuse; or
(d) did not comply with a
request to provide timely, accurate and complete program or financial
information, in accordance with oversight procedures.
(4) A corrective action plan shall contain
the following elements:
(a) the background
information that led to corrective action;
(b) each identified issue, including the
reasons for the corrective action plan as described in Subsection
(3);
(c) details of the identified
issue, based on evidence gathered, including dates;
(d) the specific conditions the oversight
entity must meet as a result of the issues;
(e) steps required to satisfy the corrective
action plan and estimated time frame for completing the steps;
(f) a procedure for communication during the
course of the corrective action, including:
(i) designation of a primary contact at the
oversight entity;
(ii) a schedule
for the frequency of updates provided by the contact;
(iii) the format of required updates;
and
(iv) the designated recipient
of the updates;
(g) a
procedure to close the corrective action, including:
(i) designation of an individual authorized
to close the corrective action;
(ii) the criteria for closing the corrective
action;
(iii) an estimated schedule
for closing the corrective action; and
(iv) how the authorized individual will
communicate closure to the oversight entity; and
(h) notice of the option for appeal as
described in Section R277-114-6.
(5) In creating a corrective action plan, the
Superintendent shall emphasize providing technical support to assist the
oversight entity to achieve compliance and performance.
(6) The specific conditions described in
Subsection (4)(b) may include:
(a) requiring
the oversight entity to obtain technical or management support, including
program assistance such as mentoring;
(b) requiring the oversight entity to receive
payment as a reimbursement instead of advance payment;
(c) requiring evidence of acceptable
performance within a given period before the oversight entity may proceed to
the next corrective action step;
(d) requiring more frequent or more intensive
monitoring than what is required from the related program or set of
requirements;
(e) requiring
additional or more detailed financial or compliance reports; or
(f) establishing additional prior
approvals.
(7) The
Superintendent may also include in a corrective action plan a provision and
timeline for:
(a) training for the oversight
entity's staff;
(b) a referral for
risk-based monitoring, for a program or set of requirements that does not
already perform risk-based monitoring;
(c) a referral for an audit or other
agreed-upon procedure by:
(i) an external
auditor; or
(ii) the Board's
internal audit section, with approval of the Board's Audit
Committee;
(d) periodic
meetings between an oversight entity administrator or governing board member
and the Superintendent or a Deputy Superintendent; and
(e) a planned appearance before the Board or
a Board committee to provide status updates
(8) For an oversight entity that is a charter
school the Superintendent shall:
(a) consult
with the charter authorizer in the creation of the corrective action plan;
and
(b) report regularly to the
charter authorizer about the status of the oversight
entity.
(9) The
Superintendent may implement escalating restrictive conditions in a corrective
action plan based on:
(a) the severity of the
violation as determined by the program's monitoring plan or process;
or
(b) repeated violations by an
oversight entity.
(10)
(a) The Superintendent may include penalties
for non-compliance with a corrective action plan in accordance with Subsection
53E-3-401(8).
(b) If the Superintendent determines to
withhold funding as part of a corrective action plan, the corrective action
plan will state:
(i) the circumstances that
led to the determination;
(ii) a
timeline for withholding funds; and
(iii) the steps the oversight entity is
required to satisfy to reinstate funding.
(11) The Superintendent shall give notice and
a hard or electronic copy of the corrective action plan to:
(a) the designated primary contact described
in Subsection (4)(d)(i);
(b) the
respective oversight entity's governing board; and
(c) the charter school authorizer, in
accordance with Subsection (8).
(12) As requested, the Superintendent shall
report to the Board about the status of a corrective action plan in force for
an oversight entity.
Notes
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