Utah Admin. Code 277-114-5

Current through Bulletin No. 2024-21, November 1, 2024

Section 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.

Utah Admin. Code R277-114-5

Adopted by Utah State Bulletin Number 2017-5, effective 2/7/2017

Amended by Utah State Bulletin Number 2020-07, effective 3/12/2020

Amended by Utah State Bulletin Number 2024-06, effective 3/11/2024