SPP: Public Agency Procedural Compliance Self-Assessment

Corrective Action Plans

Plan must correct all errors as soon as possible and no later than one year.

Each individual instance of noncompliance must be corrected as specified in the self-assessment report, and steps must be taken to ensure future compliance. When the public agency’s procedural compliance self-assessment indicates an error, the public agency must develop agency-wide corrective actions to correct the identified noncompliance and to ensure future compliance.

The agency must implement a system of internal controls to ensure correction of noncompliance and to ensure future compliance. Effective internal control systems ensure districts maintain and/or continue to improve upon the levels of compliance achieved during the procedural compliance self-assessment. Internal control systems provide real-time opportunities for ongoing professional development and mechanisms to allow districts to continuously identify and correct noncompliance. Internal control systems are both preventive and detective. They assist districts in both preventing noncompliance from occurring and readily identifying and correcting noncompliance as it occurs. More information on systems of internal control is available on the Procedural Compliance Self-Assessment web page.

All public agency noncompliance must be corrected as soon as possible and no later than one year from the date WDPI notifies the public agency of noncompliance by letter. WDPI will verify the agency has corrected each individual case of noncompliance and the agency is currently in compliance with regulatory requirements.

A public agency is required to submit to the WDPI a corrective action plan addressing the noncompliance via the web-based self-assessment report. The WDPI strongly recommends self-assessment results and proposed corrective actions be reviewed with the agency’s ad hoc self-assessment committee prior to submitting a corrective action plan to WDPI. The corrective action plan includes required activities to bring about compliance and to ensure future compliance. Examples include revising policies, procedures, or forms; training staff; increasing supervision; changing staff assignments; or adding staff and other resources. WDPI’s web-base reporting system provides the proposed correction strategies reasonably calculated to correct the identified noncompliance in a timely manner and ensure future compliance.

Required Student-Level Corrective Actions

Recommended Corrective Actions for Public Agency Noncompliance.

Maintain documentation within public agency.

As you complete your corrective action plans, please maintain documentation within the public agency.

For errors in individual student records, you must be able to demonstrate you corrected all identified student noncompliance as soon as possible by taking the steps identified by WDPI.

To demonstrate correct implementation of requirements, WDPI will review a reasonable sample of records created after your public agency has completed the self-assessment. The records will be reviewed for compliance with any requirement with one or more instances of identified noncompliance reported through the self-assessment.

The Department will verify that all noncompliance has been corrected.

• Self-Assessment Training, Section 5, Correcting Noncompliance and Systems of Internal Control
  Recorded Webinar - High Definition Version - PowerPoint Presentation
• PI-3202-Assurances, for documenting correction of student-level errors and adoption of an internal control system.

If you have questions about the self-assessment process that are not answered in this section or on the Self-Assessment Questions and Answers page, please submit your question by email.

For questions about this information, contact Courtney Reed Jenkins 608-267-9183 or Patricia Williams 608-267-3720.

Last updated on 9/19/2011 1:34:20 PM