How to Complete the Complaint Corrective Action Plan (CAP) Process

1. Log in to Catamaran.
2. Access Complaint CAPs in two ways:

• On the Dashboard, scroll down to the Tasks Overview Use the filters, as needed, to narrow tasks, and select the link in the Activity column to open the Complaint CAP.

• On the Dashboard, select the Search link in the upper right-hand corner of the page. Using the search function, choose Monitoring. Filter the search results by selecting Complaint CAPs. Next, search for the specific CAP.

Next, work with the review and analysis process (RAP) team to complete the Complaint CAP. When writing a CAP, include as many details as possible about:

• The exact activities that will be performed
• Who is responsible for those activities
• Milestone events and dates of completion

This evidence will be used to judge the effectiveness of the CAP for progress reporting.

Realistic goals and benchmarks should be set regarding areas of correction. CAPs should be SMART: specific, measurable, attainable, realistic, and time bound. In many cases, district policies, procedures, and/or practices that contributed to the noncompliance will need to be changed and evidence of this change must be included in a CAP.

To complete Complaint CAPs in Catamaran:

3. From the Complaint CAP Menu, select the CAP Cover Page link located under the Forms heading.
4. Complete the CAP Cover Page and choose Save/Next.
5. Complete the Complaint CAP Finding Page(s) and then choose Save & Submit.

Navigation Notes

Once a Complaint CAP is written, submit it to the MDE for review. The Complaint CAP will be reviewed by a team of state-level reviewers. The MDE will either accept the Complaint CAP or return it, with comments, for modifications. A Complaint CAP must be resubmitted until it is approved.

Complaint CAPs should be submitted after both the CAP Cover Page and CAP Finding Page are completed. To submit the Complaint CAP to MDE,

6. Select the Save & Submit button on the CAP Finding Page.

Begin implementing Complaint CAP activities once the Complaint CAP is submitted. Because the Complaint CAP time frame is short, any noncompliance should be corrected as soon as possible. It is not necessary to wait for MDE approval to begin Complaint CAP activities.

When implementing the Complaint CAP, follow the steps and activities outlined in the plan. It may be necessary to periodically meet with those responsible for implementation to ensure activities are underway and being executed correctly. RAP Team members should be updated on progress.

The CAP Progress Report is due to the MDE on a timely basis. The schedule for Progress Report submission is available in the Catamaran Due Dates document located under the Deadlines section of the Catamaran Training Website.

The MDE will review all progress reports for evidence of progress and accept the reports. Districts will be contacted by the intermediate school district (ISD) if any concerns are identified.

7. Access the Complaint CAP by selecting the link in the Activity column on the Tasks Overview. The Complaint CAP will be at the Approved – PR Required
8. From the Complaint CAP Menu, select the Progress Report
9. Complete the Progress Report by doing the following:

• Insert Progress Notes for each Complaint CAP activity step listed (beginning February 2021).
• Rate agreement with each statement by responding with either a Yes or No.
• Provide additional information as appropriate in the comment boxes.
• Upload requested documentation to demonstrate evidence of correction using the provided Browse

10. Submit the Progress Report to the MDE for review by choosing the Submit PR button at the top of the page.

Before requesting closeout of a Complaint CAP, the district must be prepared to provide supporting evidence to demonstrate Complaint CAP activities have been completed and any updated policies, procedures, and/or practices have been implemented to correct all noncompliance (student-level and systemic).

11. Access the Complaint CAP by selecting the link in the Activity column on the Tasks Overview. The Complaint CAP will be at the status Implement CAP.

12. From the Complaint CAP Menu, select the Request for Verification & Closeout
13. Complete the Request Verification and Closeout of Findings form by doing the following:

• Insert Evidence Notes for each CAP activity step listed (beginning February 2021) and
• Upload Supporting Evidence using the provided Browse buttons for each Complaint CAP activity step (optional).
• Upload any requested evidence for compensatory services using the provided Browse button at the bottom of the page.
• Provide any district clarification using the provided comment boxes.

14. Submit the closeout request to the ISD by choosing the Request Verification button at the top of the page.

After completing Compliant CAP activities and correcting all noncompliance, the verification of correction process begins. There are two prongs of verification of correction required by the OSEP and implemented by the MDE:

• Prong 1: The district has corrected each individual case of noncompliance; and
• Prong 2: The district is correctly implementing the specific regulatory requirements (i.e., has achieved 100% compliance), based on the State’s review of updated data.

Depending upon the activity and indicator, verification activities may be completed by MDE staff, ISD, or TA providers and may include:

• A review of updated policies, procedures, or practices
• A review of student records
• A review of the results of student/child record reviews, or evidence that training or technical assistance was obtained
• A review of new data submitted through the State data systems
• Interviews of district staff

Based on this review, the MDE will establish that the district is correctly implementing the specific statutory or regulatory requirements and that the identified noncompliance has been corrected. Once evidence of correction can be verified, the MDE will notify the district, close the Complaint CAP, and issue a closeout report or letter in the next Catamaran release.