1. (1) The Superintendent may place a recipient on a corrective action plan when a recipient:

   1. (a) where applicable, does not demonstrate satisfactory progress or outcomes as described by the provision;
   2. (b) is noncompliant with federal or state law, Board rule, program requirements, fiscal requirements, or other applicable standards of professional, fiduciary, or supervisory conduct required under Board rule or law;
   3. (c) fails to comply in a timely manner with requests to provide accurate and complete information required under this rule or other Board directives;
   4. (d) engages in fraud, waste, abuse, or other misuse of funds or resources; or
   5. (e) engages in alleged actions that cause significant risk to the Board.

2. (2) The Superintendent shall clearly outline in a corrective action plan:

   1. (a) the reason for the corrective action plan, including the provision at issue;
   2. (b) related and relevant documentation obtained or generated as part of the monitoring process;
   3. (c) a summary of the evidence gathered, including relevant dates;
   4. (d) specific conditions to be met to resolve identified issues;

   5. (e) a procedure for communication during the course of resolving the corrective action, including:

      1. (i) designation of a primary contact of the recipient;
      2. (ii) a schedule for the frequency of updates provided by the contact;
      3. (iii) the format of required updates; and
      4. (iv) the designated recipient of the updates;

   6. (f) a procedure to close the corrective action, including:

      1. (i) designation of an individual authorized to close the corrective action;
      2. (ii) the criteria for closing the corrective action;
      3. (iii) an estimated schedule for closing the corrective action; and
      4. (iv) how the authorized individual will communicate closure to the recipient; and
   7. (g) notice of the option for appeal as described in Section R277-114-6.

3. (3) The specific conditions described in Subsection (2)(d) may include:

   1. (a) requiring payments as reimbursements rather than advance payments;
   2. (b) withholding authority to proceed to the next step until receipt of evidence of acceptable performance is provided;
   3. (c) requiring additional, more detailed financial reports;
   4. (d) requiring an extension of the existing monitoring plan or the implementation of a revised monitoring plan;
   5. (e) requiring the recipient to obtain technical or management assistance; or
   6. (f) other appropriate requirements that include adequate notice to recipient.

4. (4) A corrective action plan may also include a provision and a timeline for:

   1. (a) periodic meetings between a recipient administrator or governing board member and the Superintendent or the Superintendent's designee;
   2. (b) planned appearances before the Board or Superintendent to provide status updates; and
   3. (c) training for the recipient's staff.
5. (5) In creating a corrective action plan, the Superintendent may provide technical support to assist the recipient to achieve compliance and performance.
6. (6) The Superintendent may include penalties for noncompliance with a corrective action plan in accordance with Subsection 53E-3-401(8).

7. (7)(a) All corrective action plans shall be reviewed and approved by the Superintendent or designee before finalization and issuance.

   1. (b) If a corrective action plan includes financial noncompliance or conditions related to fiscal oversight, the corrective action plan shall be reviewed by the Deputy Superintendent of Operations or the Assistant Superintendent of Operations.

8. (8)(a) The Superintendent shall provide written notice of the corrective action plan to the recipient's chief administrator and the chair, or equivalent presiding officer, of the recipient's governing board.

   1. (b) If additional administrators or board members are designated in writing by the recipient as points of contact for such matters, notice shall also be provided to those individuals.
   2. (c) If one or more required recipients cannot reasonably be identified or contacted, delivery to the recipient's central administrative office or official email address shall constitute sufficient notice.

9. (10) The Superintendent shall also provide the written notice of the corrective action plan to:

   1. (a) the Board; and
   2. (b) internal controls.
10. (11) Internal controls, under the direction of the Superintendent, shall maintain a centralized tracking system of corrective action plans which shall be implemented by USBE to ensure consistency of internal processes, predictability to recipients, and increased transparency.

11. (12) The tracking system shall:

    1. (a) be updated upon issuance of a corrective action plans;
    2. (b) record progress and completion of corrective actions; and
    3. (c) support quarterly reporting to the Board on the status of monitored provisions and corrective actions.
12. (13) If a recipient placed on a Corrective Action Plan for violations of school safety law as outlined in Sections 53-22-101 through 53-22-109 fails to comply with the conditions outlined in the corrective action plan within the specified timeframe, the Superintendent shall provide notice to the State Security Chief and may refer the matter for further review or action as deemed appropriate.

KEY: monitoring, corrective action, oversight

Date of Last Change: February 9, 2026

Notice of Continuation: August 15, 2024

Authorizing, and Implemented or Interpreted Law: Art X Sec 3; 53E-3-401(4); 53E-3-401(8); 53E-3-301; 53F-1-104; 63G-7-301