Instructions for Completing CAP Form

Rehabilitation Services Administration

Vocational Rehabilitation Program

Corrective Action Plan

Instructions for Completing CAP Form

Pursuant to 107(a)(1) of the Rehabilitation Act of 1973, the Rehabilitation Services Administration (RSA) is required to conduct annual reviews and periodic on-site monitoring of the vocational rehabilitation (VR) program to determine whether a state agency is complying substantially with the provisions of its State Plan under Section 101 of the Rehabilitation Act and with the evaluation standards and performance indicators established under section 106 of the Rehabilitation Act subject to the performance accountability provisions described in Section 116(b) of the Workforce Innovation and Opportunity Act (WIOA). When, based on its monitoring, RSA determines that a state agency has not administered and operated the VR program in compliance with its State Plan, the Rehabilitation Act, and implementing regulations at 34 C.F.R. Part 361, the agency must develop a corrective action plan (CAP), established by RSA in accordance with the requirement of section 107(b)(2) of the Rehabilitation Act, for RSA approval within 45 days from the issuance of the final monitoring report. In addition, the agencies must use the form to report progress toward resolution of the findings specified in the CAPs on a quarterly basis. The instructions for completing each field in the CAP form are as follows. The RSA State liaison fills in the first page of the CAP form prior to sending it to the VR State agency.

Finding Headline

For each finding covered by the CAP, type in the finding topical headline from the Monitoring Report. For example, “Internal Controls.”

For each finding, type in data under the “Finding” topic and complete all information as identified below.

Finding

Type in a brief statement of the finding narrative as contained in the Monitoring Report into the space provided. For example, “The agency is not in compliance with [citations of relevant statutory and/or regulatory provisions] because….” Typically, such statements can be copied directly from the Monitoring Report.

Mandated Corrective Action

Type in the mandated corrective action associated with the finding as contained in the Monitoring Report.

RSA Focus Area

Determine from the Monitoring Report whether the finding relates to an RSA focus area and type in the appropriate response.

Corrective Action 1.1

Action

Type in each corrective action separately that the agency will implement to address the finding and the result of the agency being in compliance with the Federal requirement under the “Corrective Action” heading on the form.

Standard to be Met and Method of Evaluation

Type in the identified compliance requirement or level of performance to be met to establish that the finding is resolved and type in the methods the agency will use to evaluate that it has resolved the finding.

Planned Start Date

Type in the projected start date for implementing the corrective action using two digit month/ two digit day/ and four digit year. Example: 12/01/2020

Actual Start Date

Type in the actual date of implementation of the corrective action using two digit month/ two digit day/ and four digit year. Example: 12/01/2020.

Projected Completion Date

Type in a projected date for each corrective action to be completed using two digit month/ two digit day/ and four digit year. Example: 12/01/2020.

Actual Completion Date

Identify the actual date on which the corrective action was completed using two digit month/ two digit day/ and four digit year. Example: 12/01/2020.

Quarterly Updates

Type in the quarterly narrative update on the progress of the VR agency toward implementing corrective actions to resolve compliance findings under the “Quarterly Progress” heading on the form.

RSA State Team Comments

For use by RSA only. RSA may type in narrative comment under this area on the form regarding the performance of the VR agency in the implementation of corrective actions taken toward the resolution of findings specified in the CAP and the effectiveness of those corrective actions in achieving compliance with the Federal requirement.

Resolved

For use by RSA only. RSA is to type in this option when a finding has been fully resolved and the agency has met the Federal performance requirement.

Public Burden Statement

According to the Paperwork Reduction Act of 1995, no persons are required to respond to a collection of information unless such collection displays a valid OMB control number. Public reporting burden for this collection of information is estimated to average 50 hours for development of the corrective action plan and 5 hours for each of three quarterly updates per response, for a total of 65 hours annually, including time for reviewing instructions, searching existing data sources, gathering and maintaining the data needed, and completing and reviewing the collection of information. The obligation to respond to this collection is required to obtain or retain a benefit (Section 107A of the Rehabilitation Act of 1973, as amended by Title IV of the Workforce Innovation and Opportunity Act). Send comments regarding the burden estimate or any other aspect of this collection of information, including suggestions for reducing this burden, to the U.S. Department of Education, 400 Maryland Ave., SW, Washington, DC 20210-4537 or email ICDocketMgr@ed.gov and reference the OMB Control Number 1820-0694. Note: Please do not return the completed Corrective Action Plan form to this address.

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